Vol. 80 Friday, No. 132 July 10, 2015

Pages 39669–39940

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 80, No. 132

Friday, July 10, 2015

Agricultural Marketing Service See National Oceanic and Atmospheric Administration NOTICES See Patent and Trademark Office Meetings: Plant Variety Protection Board; Teleconferences, 39745– Committee for Purchase From People Who Are Blind or 39746 Severely Disabled Requests for Nominations: NOTICES Peanut Standards Board, 39745 Procurement List; Additions and Deletions, 39759–39760

Agriculture Department Defense Department See Agricultural Marketing Service See Army Department See Animal and Plant Health Inspection Service See Engineers Corps See Rural Business-Cooperative Service NOTICES Agency Information Collection Activities; Proposals, Animal and Plant Health Inspection Service Submissions, and Approvals, 39760–39761 RULES Viruses, Serums, Toxins, and Analogous Products: Education Department Single Label Claim for Veterinary Biological Products, NOTICES 39669–39675 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Army Department Study on Sustaining the Positive Effects of Preschool, NOTICES 39764 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 39760 Employment and Training Administration NOTICES Centers for Disease Control and Prevention Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Agency Information Collection Activities; Proposals, H–2B Temporary Non-Agricultural Employment-Based Submissions, and Approvals, 39779–39783 Visa Program, 39801–39802

Centers for Medicare & Medicaid Services Energy Department PROPOSED RULES See Federal Energy Regulatory Commission Medicare and Medicaid Programs; CY 2016 Home Health Prospective Payment System Rate Engineers Corps Update; Home Health Value-Based Purchasing NOTICES Model; and Home Health Quality Reporting Environmental Impact Statements; Availability, etc.: Requirements, 39840–39914 Figure Eight Island Shoreline Management Project; Figure Eight Island, New Hanover County, NC, 39761–39762 Civil Rights Commission Fort Worth District; TX, 39763 NOTICES Meetings: Environmental Protection Agency Arizona Advisory Committee, 39747 RULES Air Quality State Implementation Plans; Approvals and Coast Guard Promulgations: RULES Pennsylvania; Determination of Attainment of the 24- Drawbridge Operations: Hour Fine Particulate Standard for the Liberty– Victoria Barge Canal, Bloomington, TX, 39683–39686 Clairton Nonattainment Area, 39696–39698 Safety Zones: NOTICES Annual Fireworks Displays within the Sector Columbia Clean Air Act Operating Permit Program: River Captain of the Port Zone, 39686–39688 Petitions for Objection to State Operating Permit for the Oil Exploration Staging Area in Dutch Harbor, AK, U.S. Department of Energy—Hanford Operations, 39691–39694 Benton County, WA, 39771–39772 Oil Exploration Staging Area in Goodhope Bay; Kotzebue Environmental Impact Statements; Weekly Receipts, 39771 Sound, AK, 39689–39691 Meetings: Oswego Harborfest Jet Ski Show, Oswego Harbor, Local Government Advisory Committee, Small Oswego, NY, 39694–39696 Communities Advisory Subcommittee, 39771 Recurring Marine Events in Captain of the Port Long Island Sound Zone, 39688 Federal Aviation Administration NOTICES Commerce Department Meetings: See Foreign-Trade Zones Board Special Committee 214, 39830 See International Trade Administration Special Committee 231, 39831 See Minority Business Development Agency Petitions for Exemptions; Summaries, 39830–39831

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Federal Communications Commission General Services Administration RULES PROPOSED RULES Accessible Emergency Information, and Apparatus Federal Management Regulations: Requirements for Emergency Information and Video Art-in-Architecture, 39719–39720 Description, 39698–39715 PROPOSED RULES Health and Human Services Department Accessible Emergency Information, and Apparatus See Centers for Disease Control and Prevention Requirements for Emergency Information and Video See Centers for Medicare & Medicaid Services Description, 39722–39731 See Food and Drug Administration NOTICES See Health Resources and Services Administration Agency Information Collection Activities; Proposals, See National Institutes of Health Submissions, and Approvals, 39772–39777 PROPOSED RULES World Trade Center Health Program: Federal Deposit Insurance Corporation Petition on Autoimmune Diseases; Finding of Insufficient NOTICES Evidence, 39720–39722 Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals, 39777–39778 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 39783–39785 Federal Energy Regulatory Commission Medicare Programs: PROPOSED RULES Administrative Law Judge Hearing Program for Medicare Liquids Shippers Group, Airlines for America, National Claim and Entitlement Appeals; Quarterly Listing of Propane Gas Association; Technical Conference, 39719 Program Issuances, 39785–39786 NOTICES Combined Filings, 39765–39768, 39770 Health Resources and Services Administration Complaints: Joint Consumer Representatives v. PJM Interconnection, NOTICES LLC, 39764–39765 Determining Mental Health Professional Shortage Areas of Initial Market-Based Rate Filings Including Requests for Greatest Need; Correction, 39783 Blanket Section 204 Authorizations: 2015 ESA Project Co., LLC, 39766 Homeland Security Department Petitions for Declaratory Orders: See Coast Guard Rice Energy Marketing, LLC, 39769–39770 See U.S. Customs and Border Protection Staff Attendances, 39767 Housing and Urban Development Department Federal Highway Administration NOTICES NOTICES Federal Properties Suitable as Facilities to Assist the Federal Agency Actions: Homeless, 39793–39795 Texas; US 69/Loop 49 North Lindale Reliever Route, Smith County, 39831–39832 Institute of Museum and Library Services NOTICES Federal Reserve System Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Agency Information Collection Activities; Proposals, Museum Assessment Program Evaluation, 39805–39806 Submissions, and Approvals, 39778 Interior Department Fish and Wildlife Service See Fish and Wildlife Service NOTICES See National Park Service Permits: See Reclamation Bureau Endangered Species; Applications, 39795–39796

Food and Drug Administration International Trade Administration RULES NOTICES Food Labeling: Antidumping or Countervailing Duty Investigations, Orders, Nutrition Labeling of Standard Menu Items in or Reviews: Restaurants and Similar Retail Food Establishments; Hand Trucks and Certain Parts Thereof from the People’s Compliance Date Extension, 39675–39676 Republic of China, 39748 Meetings: Foreign Assets Control Office Civil Nuclear Trade Advisory Committee, 39748–39749 RULES Venezuela Sanctions Regulations, 39676–39683 International Trade Commission NOTICES NOTICES Blocking or Unblocking of Persons and Properties, 39836 Investigations; Determinations, Modifications, and Rulings, etc.: Foreign-Trade Zones Board Certain Steel Nails From Korea, Malaysia, Oman, Taiwan, NOTICES and Vietnam, 39800 Subzone Status Approvals: Marine Sonar Imaging Devices, Including Downscan and Syngenta Crop Protection LLC, St. Gabriel and Baton Sidescan Devices, Products Containing the Same, and Rouge, LA, 39747 Components Thereof, 39799–39800

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Justice Department Evaluation of National Estuarine Research Reserve, 39752 NOTICES Permits: Agency Information Collection Activities; Proposals, Marine Mammals; File No. 14186, 39752 Submissions, and Approvals: Marine Mammals; File No. 17670, 39749–39750 Applications for Special Deputation, 39800–39801 Marine Mammals; File No. 17967, 39751–39752 Marine Mammals; File No. 19108, 39750 Labor Department Marine Mammals; File No. 19526, 39750–39751 See Employment and Training Administration National Park Service Minority Business Development Agency NOTICES NOTICES Environmental Impact Statements; Availability, etc.: Meetings: Moose, Wolves, and Vegetation, Isle Royale National Guidance on Applications for Federal Funding; Park, MI, 39796–39797 Corrections, 39749 Patent and Trademark Office National Aeronautics and Space Administration NOTICES NOTICES United States Patent and Trademark Office, Japan Patent Meetings: Office Collaborative Search Pilot Program, 39752– Aeronautics Committee, 39803–39804 39759 Human Exploration and Operations Committee, 39805 Institutional Committee, 39804–39805 Pension Benefit Guaranty Corporation Science Committee, 39804 NOTICES Technology, Innovation, and Engineering Committee, Agency Information Collection Activities; Proposals, 39802–39803 Submissions, and Approvals: National Foundation on the Arts and the Humanities Qualified Domestic Relations Orders Submitted, 39806– See Institute of Museum and Library Services 39807 National Highway Traffic Safety Administration Pipeline and Hazardous Materials Safety Administration PROPOSED RULES NOTICES Meetings: Pipeline Safety: School Bus Occupant Protection: Taking Safety to a New Operator Qualification, Cost Recovery, Accident and Level, 39835–39836 Incident Notification, and Other Pipeline Safety Petitions for Decisions of Inconsequential Noncompliance; Proposed Changes, 39916–39939 Denials: RECARO Child Safety, LLC, 39832–39835 Postal Regulatory Commission NOTICES National Institutes of Health New Postal Products, 39807–39810 NOTICES Charter Renewals: Postal Service Recombinant DNA Advisory Committee, 39787 NOTICES Government-Owned Inventions; Availability for Licensing, Product Changes: 39787–39789 Priority Mail and First-Class Package Service Negotiated Meetings: Service Agreement, 39810 Center for Scientific Review, 39786–39787, 39789–39790 Priority Mail Negotiated Service Agreement, 39810 National Institute of Allergy and Infectious Diseases, 39787 Reclamation Bureau National Institute of Diabetes and Digestive and Kidney NOTICES Diseases, 39787 Environmental Impact Statements; Availability, etc.: Bay Delta Conservation Plan/California WaterFix, National Oceanic and Atmospheric Administration Partially Recirculated; Public Meetings, 39797–39799 RULES Fisheries of the Caribbean, Gulf of Mexico, and South Rural Business-Cooperative Service Atlantic: NOTICES 2015 Commercial Accountability Measure and Closure for Meetings: Gulf of Mexico Greater Amberjack, 39715–39716 National Stakeholder Forum – Biorefinery, Renewable Fisheries Off West Coast States: Chemical, and Biobased Product Manufacturing West Coast Commercial Salmon Fisheries; Modifications; Assistance Program, 39746–39747 Inseason Actions #7 through #13, 39716–39718 PROPOSED RULES Securities and Exchange Commission Fisheries of the Exclusive Economic Zone Off Alaska: NOTICES Revise Maximum Retainable Amounts for Skates in the Consolidated Tape Association: Gulf of Alaska, 39734–39744 Twenty Third Substantive Amendment to the Second Fisheries of the Northeastern United States: Restatement of the Consolidated Tape Association Northeast Groundfish Fishery; Denial of Petition for Plan, 39821–39823 Rulemaking for Gulf of Maine Cod, 39731–39734 Meetings; Sunshine Act, 39810 NOTICES Self-Regulatory Organizations; Proposed Rule Changes: Agency Information Collection Activities; Proposals, BATS Exchange, Inc., 39816–39818 Submissions, and Approvals, 39751 C2 Options Exchange, Inc., 39815–39816

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Chicago Board Options Exchange, Inc., 39821 U.S. Customs and Border Protection Financial Industry Regulatory Authority, Inc., 39811– NOTICES 39815, 39818–39820 Automated Commercial Environment Export Manifest for Miami International Securities Exchange, LLC, 39824– Air Cargo Test, 39790–39793 39827 NASDAQ Stock Market, LLC, 39827–39829 Veterans Affairs Department Trading Suspension Orders: NOTICES Arrin Corp., et al., 39820–39821 Agency Information Collection Activities; Proposals, International Hi-Tech Industries Inc., et al., 39810–39811 Submissions, and Approvals: Former Prisoner of War Medical History, 39837 Surface Transportation Board NOTICES Indexing the Annual Operating Revenues of Railroads, Separate Parts In This Issue 39836 Part II Health and Human Services Department, Centers for Trade Representative, Office of United States Medicare & Medicaid Services, 39840–39914 NOTICES Determinations Regarding Waivers of Discriminatory Part III Purchasing Requirements: Transportation Department, Pipeline and Hazardous Goods and Services of Montenegro, 39829 Materials Safety Administration, 39916–39939

Transportation Department See Federal Aviation Administration Reader Aids See Federal Highway Administration Consult the Reader Aids section at the end of this issue for See National Highway Traffic Safety Administration phone numbers, online resources, finding aids, and notice See Pipeline and Hazardous Materials Safety of recently enacted public laws. Administration To subscribe to the Federal Register Table of Contents See Surface Transportation Board LISTSERV electronic mailing list, go to http:// listserv.access.gpo.gov and select Online mailing list Treasury Department archives, FEDREGTOC-L, Join or leave the list (or change See Foreign Assets Control Office 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.

9 CFR 112...... 39669 18 CFR Proposed Rules: 284...... 39719 21 CFR 11...... 39675 101...... 39675 31 CFR 591...... 39676 33 CFR 117...... 39683 165 (5 documents) ...... 39686, 39688, 39689, 39691, 39694 40 CFR 52...... 39696 41 CFR Proposed Rules: 102–177...... 39719 42 CFR Proposed Rules: 88...... 39720 409...... 39840 424...... 39840 484...... 39840 47 CFR 79...... 39698 Proposed Rules: 79...... 39722 49 CFR Proposed Rules: 190...... 39916 191...... 39916 192...... 39916 195...... 39916 199...... 39916 50 CFR 622...... 39715 660...... 39716 Proposed Rules: 648...... 39731 679...... 39734

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Rules and Regulations Federal Register Vol. 80, No. 132

Friday, July 10, 2015

This section of the FEDERAL REGISTER Background communicate product performance to contains regulatory documents having general their customers. applicability and legal effect, most of which The Animal and Plant Health We solicited comments concerning are keyed to and codified in the Code of Inspection Service (APHIS) administers our proposal for 60 days ending June 20, Federal Regulations, which is published under and enforces the Virus-Serum-Toxin 2014. We received seven comments by 50 titles pursuant to 44 U.S.C. 1510. Act, as amended (21 U.S.C. 151–159). that date. They were from veterinary The Code of Federal Regulations is sold by The regulations issued pursuant to the biologics laboratories, trade the Superintendent of Documents. Prices of Act are intended to ensure that associations, a veterinarians’ new books are listed in the first FEDERAL veterinary biological products are pure, association, and individuals. They are REGISTER issue of each week. safe, potent, and efficacious when used discussed below by topic. according to label instructions. The Labeling Requirements regulations in 9 CFR part 112, DEPARTMENT OF AGRICULTURE ‘‘Packaging and Labeling,’’ (referred to One commenter noted that in both the below as the regulations) prescribe preamble to the April 2014 proposed Animal and Plant Health Inspection requirements for the packaging and rule and the accompanying economic Service labeling of veterinary biologics. The analysis, we stated that the removal of regulations ensure that labeling the four-tiered efficacy labeling 9 CFR Part 112 provides adequate information structure will simplify our evaluation of concerning the proper use and safety of efficacy studies by focusing on a basic [Docket No. APHIS–2011–0049] the product, including vaccination claim of effectiveness, resulting in a reduction of the time required for RIN 0579–AD64 schedules, warnings, and cautions. evaluation and a likely reduction in the APHIS guidelines provide examples number of studies being found Viruses, Serums, Toxins, and of label claims that may be used to Analogous Products; Single Label unacceptable. The commenter requested reflect the expected performance of the further explanation of how those Claim for Veterinary Biological product, provided that appropriate Products benefits will result from this efficacy data has been submitted and rulemaking. AGENCY: Animal and Plant Health approved by APHIS. Prior to this As a result of this rulemaking, APHIS Inspection Service, USDA. rulemaking, the guidelines, contained in will be able to evaluate these studies for APHIS Veterinary Services ACTION: Final rule. product efficacy rather than whether or Memorandum No. 800.202 (http:// not the data demonstrate a higher _ SUMMARY: We are amending the Virus- www.aphis.usda.gov/animal health/ efficacy tier or ‘‘stronger’’ label claim. _ _ _ Serum-Toxin Act regulations to provide vet biologics/publications/memo 800 For example, under the four-tiered for the use of a simpler labeling format 202.pdf), described performance efficacy system, if efficacy data is that would better communicate product requirements and allowable indications submitted to support the claim of performance to the user. Under this statements for four different levels ‘‘Prevention of infection,’’ the data must rulemaking, the previous label format, (tiers) of effectiveness. be analyzed with a very high degree of which reflected any of four different On April 21, 2014, we published in confidence to determine if it meets the levels of effectiveness, is replaced with the Federal Register (79 FR 22048– criteria of preventing all colonization or a single, uniform label format. We are 22051, Docket No. APHIS–2011–0049) a replication of the challenge organism in also requiring biologics licensees to proposal 1 to amend the Virus-Serum- vaccinated and challenged animals. provide a standardized summary, with Toxin Act regulations to provide for the This is considered an extremely strong confidential business information use of a simpler labeling format than the claim and would entail a more extensive removed, of the efficacy and safety data existing one. Specifically, we proposed statistical analysis, as compared to a submitted to the Animal and Plant to replace the previous four-tier label claim of ‘‘Aids in disease control,’’ for Health Inspection Service in support of format with a single, uniform label which the data needs to demonstrate the issuance of a full product license or format. We also proposed to require that the product alleviates disease conditional license. A simpler label biologics licensees to provide a severity or reduces disease duration. format, along with publicly available standardized summary, with Conducting data reviews with the aim of safety and efficacy data, will help confidential business information determining whether a product is biologics producers to more clearly removed, of the efficacy and safety data effective rather than how ‘‘strong’’ its communicate product performance to submitted to APHIS in support of the label claim is will simplify and their customers. issuance of a full product license or streamline our review process. Fewer studies will be found unacceptable DATES: Effective September 8, 2015. conditional license. The proposed because the data will only have to show FOR FURTHER INFORMATION CONTACT: Dr. requirements for a simpler label format and the provision of publically available that the product is efficacious rather Donna Malloy, Operational Support than having to support a label claim of Section, Center for Veterinary Biologics, safety and efficacy data were intended to help biologics producers more clearly a particular level of strength. Policy, Evaluation, and Licensing, VS, One commenter stated that the title of APHIS, 4700 River Road Unit 148, the April 2014 proposed rule, Riverdale, MD 20737–1231; (301) 851– 1 To view the proposed rule, its supporting documents, and the comments we received, go to specifically its reference to single label 3426. http://www.regulations.gov/ claims, was misleading. The commenter SUPPLEMENTARY INFORMATION: #!docketDetail;D=APHIS-2011-0049. stated that the proposed rule related to

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a single efficacy indications statement Veterinary Medical Association, which A commenter stated that as a logical rather than a single label claim. Label represents the largest group of next step in our effort to standardize claims, according to the commenter, are consumers of veterinary biologics. We labeling requirements for biological numerous and not limited to the were informed that the current labeling products, we should require efficacy/indication statement. indications were confusing and did not standardized pregnant animal language Throughout this rulemaking, as well provide sufficient insight into the actual for product labels. The commenter as in the Veterinary Services performance of the product. Further, in offered examples of pregnant animal Memorandum referred to above, APHIS 2011, APHIS held a public meeting to language that could be used on labels. has used the term ‘‘label claim’’ to discuss effectiveness indications This comment is beyond the scope of represent the level of efficacy of the statements and received additional the present rulemaking. product, as demonstrated by the feedback from the public on draft A commenter requested more manufacturer, based on approved data. guidelines concerning effectiveness guidance as to the basic efficacy Taken in context, the meaning of the indications statements on labels. The threshold for licensure of new products, term should be clear to readers. proposed labeling requirements, stating that neither the current efficacy A commenter stated that APHIS therefore, reflect the views of both thresholds nor the manner in which should provide for the continued use of APHIS and entities and individuals they are determined for novel products distinct label statements for various potentially affected by this rulemaking. was mentioned in the April 2014 diseases/syndromes, primary In the preamble to the April 2014 proposed rule. parameters in the case definition, or proposed rule, we stated that products Our methodology for statistical and other situations in which such label for which efficacy data are no longer scientific review of efficacy data will statements would be appropriate. available should indicate on the label not change under this rulemaking. We According to the commenter, the that the data are not available because will continue to evaluate data based on indications statement contained in the the product was licensed ‘‘x’’ years ago. the primary outcome and clinically April 2014 proposed rule would not fit A commenter suggested that the relevant outcomes of the study. certain cases, such as those where the required statement should be modified Guidance for efficacy studies can be indication for a biological product is to to remove the reference to a year or found on the Center for Veterinary reduce the shedding of an organism or specific date in order to preclude the Biologics home page under ‘‘Biologics reduce viremia. need to update the label on an annual Regulation and Guidance’’ (http:// We are not making any changes to the basis. www.aphis.usda.gov/wps/portal/aphis/ rule text based on this comment. The We agree with this comment. APHIS ourfocus/animalhealth?1dmy&urile= proposed text in § 112.2(a)(5) was guidelines regarding label claims will be wcm%3apath%3a%2FAPHIS_Content_ sufficiently flexible to allow the revised as this final rule is Library%2FSA_Our_Focus%2FSA_ indications statement to be modified to implemented. The new guideline Animal_Health%2FSA_Vet_Biologics). include a specific parameter associated regarding products for which efficacy Implementation of Proposed with the case definition of a disease data is no longer available will read as Requirements syndrome. For example, with acceptable follows: ‘‘Original efficacy data is not data, the indications statement could available because the product was In the preamble to the April 2014 read, ‘‘This product has been shown to licensed in (date).’’ This change will proposed rule, we indicated that for be effective for the vaccination of preclude the need to update the label currently licensed products, healthy swinell weeks of age or older each year. manufacturers would have to submit a against the respiratory form of porcine A commenter stated that a common standardized summary of efficacy and reproductive and respiratory adverse event warning should appear on safety data and the revised labels to syndrome.’’ all biologics. The same commenter also APHIS within 4 years of the effective A commenter stated that the April recommended that we institute an date of this final rule. Licensees would 2014 proposed rule offered no active adverse event reporting structure. have the option of requesting an foundation for our conclusion that the While those issues are beyond the extension for up to 2 years. change in labels will provide clarity for scope of the current rulemaking, APHIS Some commenters questioned vaccine users. According to the does recognize the need for adverse whether we could realistically commenter, there is no evidence that a event warnings and reporting. We implement the proposed requirements significant percentage of the vaccine intend to address the issues in a future in 4 years without tremendous users will read the labels and choose to rulemaking. disruption to APHIS operations, the look up the required data summary of A commenter stated that in the biologics industry, and the consumer. It the studies on the Web site. The proposed rule, we did not adequately was also suggested that we could be commenter stated that, contrary to what consider the potential impact of the diverted from ongoing review and we claimed in the preamble to the April required label changes upon the export approval activities because instituting 2014 proposed rule, the proposed of currently licensed veterinary the proposed new requirements would labeling requirements would make biological products. In the commenter’s necessitate that APHIS management and labeling more complex rather than view, APHIS must allow the continued staff perform a number of new tasks. simpler. use of currently approved export labels Such an additional workload, it was We disagree with this comment. In (containing the tiered claims and further suggested, may be especially our view, providing safety and efficacy establishment number) for all products problematic at a time when we already data, combined with a simpler labeling licensed at the time this rule becomes may not have adequate resources due to format, will allow the end user to better effective. budget pressure. One commenter assess product performance. We Requirements for export labels are recommended that we phase in the developed the proposed requirements in beyond the scope of the present requirements over a period of 8 years. In cooperation with stakeholders and the rulemaking. APHIS is open to working addition, commenters requested public. In 2009, APHIS met with with industry and the public regarding clarification on how the phase-in of the representatives of veterinary biologics transition of international labels, as we requirements will be approached and manufacturers and the American have done in the past. communicated to the public, such that

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the rollout and public promotions are question. Because each study is unique Some commenters expressed concerns coordinated. in terms of health status of the animals, that our parameters for the data We do not agree that the 8-year environmental conditions, challenge summaries could potentially lead to implementation period recommended model/strain, and other factors, limiting exposure of confidential business by one commenter is needed. In our the range of the studies in the manner information. One commenter stated that view, a 4-year phase-in of the labeling recommended by the commenters could clarification was needed that the and data summary requirements, with mean that relevant efficacy data would reference to ‘‘dose’’ related to the additional extensions of up to 2 years not be made available to the public. volume and not to the potency of the allowed under certain conditions, will Some commenters raised concerns vaccine. The potency of the vaccine provide manufacturers and consumers related to the parameters we listed in reflects antigen content and is with adequate time to adapt to the the preamble to the April 2014 proposed confidential business information that requirements. We further intend to rule for the data summaries. These has been historically protected by implement the requirements by species included, among others, the minimum APHIS, according to the commenter. (i.e. poultry products, then equine and maximum age of the target species; The same commenter also asserted that products, etc.) in order to ease the the diversity of target species; the the case definition and data regarding impact on the industry and end users. number of animals in the study; the concentration of the challenge Implementing the requirements in this whether animals are client-owned; the organism should be removed from the manner will also minimize the impact serologic status of animals (including list of parameters for the same reason. on APHIS personnel with respect to presence or absence of maternal The commenter suggested that the ongoing review and approval activities. antibody when appropriate); and ‘‘strength’’ of challenge can be assessed Some commenters noted that on dosage, timing, and route of by the morbidity/mortality observed in January 13, 2011, APHIS had published administration. It was noted that we do the controls versus the vaccinates. an earlier proposed rule in the Federal not currently require information on Another commenter stated that the Register (76 FR 2268–2277, Docket No. some of these items. The issues raised primary outcome and clinically relevant APHIS–2008–0008) that also proposed by these commenters are discussed outcomes of the study used for analysis changes to the labeling requirements for individually in the paragraphs that were confidential business information veterinary biological products. follow. that should not be required in the Commenters recommended that APHIS Commenters stated that the maximum summaries. finalize and implement the two rules age of the target species should be As noted above, the parameters listed simultaneously for the benefit of removed from the list of parameters. It in the preamble of the April 2014 industry and for end users, who will be was stated that because older animals proposed rule were provided as encountering these new labels for the have better developed immune systems examples only, not as requirements. The first time, and that we coordinate the and are more resistant to infection, the studies that will be summarized and implementation timeline with industry. minimum age utilized in the study is included on the APHIS Web site are APHIS agrees with commenters that more important to the field use of the those studies that demonstrate product implementing the rules concurrently vaccine than the maximum. efficacy and safety sufficient for product would be advantageous for end users It was also recommended by one licensure. We will not require the data and industry. We intend to finalize the commenter that the term ‘‘diversity of summaries to include case definitions or rules in as close proximity to one target species’’ be removed from the list statistical results of an inferential nature another as possible and to coordinate of parameters. The commenter stated (e.g., confidence intervals and p values). their implementation with industry. that the term is vague and, if meant to Biologics licensees will provide a distinguish among categories (e.g., Data Summary Requirements summary of their data, with confidential layers vs. broilers, or breeds), it is business information removed. Such Some commenters addressed issues immunologically irrelevant. information will be protected, thus related to the scope of the proposed data Another commenter stated that the preventing competitors from using summary requirement. It was suggested serological status of the animals in the efficacy and data summaries for that the April 2014 proposed rule was study should not be included unless it marketing, promotion, or advertising not clear as to the studies that will need is relevant to the label claim. If that is initiatives. APHIS will provide guidance to be summarized and appear on the not the case, according to the to the industry, in the form of a users’ APHIS Web site. A commenter stated commenter, the information is not guide and other guidance documents, that only ‘‘pivotal’’ efficacy and safety useful. regarding the appropriate use of data studies should be included and that We have already noted that efficacy summaries for use in marketing, reference requalification or other studies data summaries will need to include promotion, and/or advertising. that do not lead to a change in a label information regarding study design and A commenter stated that the proposed claim should not be among those associated raw data used to license the rule was unclear about the type of summarized. It was also recommended product. The study parameters listed in explanatory statistical information that that, for safety summaries, only field the preamble to the April 2014 proposed will need to be included in the data safety studies should be included, as rule, however, were examples rather summaries, given that we indicated that they are the most clinically relevant. than requirements. Further guidance the summaries will not include We do not agree with these documents, including but not limited to, statistical information of an inferential comments. The purpose of the a users’ guide, will be developed by nature. summaries is to present efficacy and APHIS to provide, among other things, The purpose of the summaries is to safety data in a non-confusing manner. additional clarification of the present efficacy and safety data in a Efficacy data summaries will include parameters associated with the data non-confusing manner. Because these information regarding study design and summaries. These guidance documents, data summaries may be read by persons associated raw data used to license the which are discussed in greater detail with little to no medical/scientific product, and the results of each study later in this document, will be released background, some statistical data may will be evaluated in terms of statistical by APHIS and made available for public be confusing to such readers. and clinical relevance to the disease in review and comment. Additionally, including some statistical

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information in the data summaries may, products with differing experimental The issues raised by the commenters are in some cases, raise or lower the models is not scientifically valid, and discussed individually in the public’s opinion of a given product, that we preclude manufacturers from paragraphs that follow. which would be contrary to the intent making such comparisons in advertising One commenter stated that in that of this initiative. However, there are and promotion outside of head-to-head economic analysis, we significantly some instances (e.g., lung lesions as a studies. underestimated the costs of preparing primary outcome) where statistical We agree with these comments and, safety and efficacy summaries, which terms may be beneficial to the as noted above, we will release a users’ we estimated to be $55 per summary, practitioner or other medically trained guide and other guidance documents as and product labels, which we estimated persons. We will require each data this final rule is being implemented, to be $99 to $500 per label. According summary to include a statement and we will make the documents to the commenter, current preparation referring the reader to consult their available on our Web site in draft form of labels involves input and review by veterinarian for interpretation of the for public comment. For the purposes of scientific, commercial, and regulatory data. In addition, as noted above, APHIS marketing, promotion, or advertising, staff, preparation of label artwork, will provide guidance to the industry the manufacturers will be allowed to generation of printing specifications, regarding the use of data summaries for include a statement on promotional and generation of controlled documentation use in marketing, promotion, and/or advertising material referring the user to for the label, formal review and advertising. the APHIS Web site, where additional approval processes, submission to Some commenters noted that the efficacy and safety data may be found. APHIS for approval, and then formal April 2014 proposed rule did not Promotional studies would not be implementation into the production include a format for the summaries. It disclosed on the Web site. This policy process. Another commenter stated that was suggested that there is a lack of is consistent with previous guidelines the cost estimates provided in the consistency in how the firms present and regulations and would not confer an economic analysis to demonstrate lack information and what APHIS reviewers advantage to any particular of significant economic impact seem consider acceptable and that if manufacturer. very optimistic, particularly the costs of customers are reading the product A commenter suggested that our Web preparing the summaries, as well as the summaries on the Web site, this site should contain a ‘‘click through’’ costs of development of new labels and variability could have a large effect on requiring a person wanting to access the product outlines for the entire vaccine the public perception of different data summaries to ‘‘click’’ to indicate he line. companies’ products. Given that or she has read the statements on the We used cost range information for possibility, it was suggested that APHIS limitation of data comparisons before label changes from a model developed should provide information on its Web accessing the material. by The Food and Drug Administration. site to educate users on the complex We will consider this comment as we The model estimates the cost of labeling nature of efficacy studies, as well as craft the Web site that will house the changes in consumer labeling explanatory statistical information, educational material and efficacy and regulations. While not directly where appropriate, related to individual safety summaries. applicable to veterinary biologics data summaries. Commenters requested Commenters stated that the Web labeling changes, the model does more information regarding the nature address allowing users to access the include cost range information on of such materials and stated that APHIS data summaries is too long and not user various areas pertinent to a veterinary should allow input from the regulated friendly. The commenters suggested that biologics label change. industry in the development of both the the URL should fit on a label and that, We agree that label changes go format and content of the summaries in addition, we should allow the Web through multiple approval steps. and the educational materials. address to be excluded from very small However, because the rule does not As indicated in the preamble to the labels. require any new scientific content, April 2014 proposed rule, given the We agree with these comments. The changing the text on the label to fit with large number of diseases, vaccine types, new Web address reads as follows: the rule requirements should be much and efficacy models, it is not possible to productdata.aphis.usda.gov. We will simpler than the comment would imply. standardize the study design for all also allow the Web address to be The estimates of costs we included in efficacy studies. We will, however, seek excluded from very small labels. the analysis of the proposed rule do industry input regarding the include ranges for administrative and development of a data summary Additional Comments recordkeeping costs associated with template and educational guide. These A commenter stated that clarification labeling changes. Those costs to documents will then be made available was needed regarding how the manufacturers include understanding on our Web site in draft form for public requirements contained in this final rule the regulation, determining their comment. would apply to in-vitro diagnostics, responses, tracking the required change which are subject to the same throughout the labeling change process, Guidance Documents and Web Site restrictions as vaccines and other in- and reviewing and updating their Some commenters emphasized the vivo products. records of product labels. need for a general users’ guide or other As indicated in the preamble to the These labeling cost ranges were used guidance documents to supplement this April 2014 proposed rule, diagnostic in reference to the cost for products for final rule. It was suggested that, among products are not covered under this which label changes could be other things, our guidance documents rulemaking. Further, the rulemaking is coordinated with planned label changes should address advertising and not applicable to allergenic extracts or that occur in the normal course of promotion of products under the new autogenous products. business, and only included system. Commenters stated that such Several commenters expressed administrative and recordkeeping costs. documents should indicate that the data concern that the economic analysis For label changes that cannot be in the summaries is intended to provide provided with the April 2014 proposed coordinated with planned label changes, information relative to the licensure of rule underestimated the costs associated we also included other types of costs, a product, that comparisons among the with the implementation of this rule. such as prepress, graphic design, and

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label printing and materials. Those costs economic burden placed on that entity We have prepared an economic are not attributable to the regulation if by this rulemaking. analysis for this rule. The economic the labeling is coordinated with a In the proposed rule, we did not analysis provides a cost-benefit analysis, planned change. We have included include the cost of conventional as required by Executive Orders 12866 additional information on the printing plates. Based on our review of and 13563, which direct agencies to composition of the costs within the all labels for licensed biologics, we assess all costs and benefits of available economic analysis that accompanies concluded that the general practice regulatory alternatives and, if regulation this final rule. among manufacturers is to use is necessary, to select regulatory After considering these comments, we computer-generated labels. However, to approaches that maximize net benefits did revise our estimate of the cost of be conservative in our cost estimates for (including potential economic, preparing a summary. We continue to this final rule, we assume that 5 percent environmental, public health and safety believe that it will take approximately 1 of labels are printed using conventional effects, and equity). Executive Order hour to review instructions, search printing plates. Therefore, we added 13563 emphasizes the importance of existing data sources, gather and cost estimates for conventional printing quantifying both costs and benefits, of maintain the data needed, and complete plates for 5 percent of the labeling reducing costs, of harmonizing rules, and review the collection of changes that cannot be coordinated with and of promoting flexibility. The information. The rule does not require otherwise planned label changes. economic analysis also provides a final any new scientific content, and the new A commenter stated that the posting regulatory flexibility analysis that summary format requirement is simply of quantitative results accompanying the examines the potential economic effects a repackaging of existing information on studies would be valuable for of this rule on small entities, as required a product that has already been veterinarians. by the Regulatory Flexibility Act. The collected and assembled as part of the Basic statistical data may be economic analysis is summarized initial licensing process. This activity applicable to certain disease situations, below. Copies of the full analysis are will most likely be done by a mid-level such as when lesion consolidation is a available on the Regulations.gov Web manager, who will most likely already primary outcome. Such data will be site (see footnote 1 in this document for be very familiar with the product in presented in terms of the number of a link to Regulations.gov) or by question, and this labor will cost a animals exhibiting (controls) and not contacting the person listed under FOR manufacturer about $55. We do exhibiting (vaccinates) clinical signs of FURTHER INFORMATION CONTACT. acknowledge, however, that there will disease out of the total numbers of We are amending the Virus-Serum- be some further management review animals vaccinated or not vaccinated. Toxin Act regulations to require the use involved. Therefore, we are including For safety studies, the number of of a simpler labeling format. Biologics another one-half hour of management animals presenting with adverse licensees and permittees will also be time to our estimate of the cost of reactions to vaccination out of the total required to provide a standardized preparing a summary. The revised number of animals will be included in summary of the efficacy and safety data. This rule will simplify the evaluation estimate is $83 per summary. the data. of efficacy studies, thereby reducing the A commenter noted that in the Miscellaneous amount of time required by APHIS to preamble to the July 2014 proposed In addition to the changes described evaluate study data. A novel veterinary rule, we stated that most labels would above that we are making in response to biological product can generate revenue be replaced in the normal course of the comments we received, we are in the neighborhood of $5 to $10 million business regardless of this rule, given making an editorial change for the sake per year. Increased efficiencies in the the 4- to 6-year implementation of clarity. In § 112.2(a)(5) of the April generation and evaluation of efficacy timeframe. The commenter disagreed, 2014 proposed rule, we proposed to data should result in fewer delays in estimating that approximately 20 require an indications statement to read, bringing a product to market. In percent of the labels for existing ‘‘This product has been shown to be addition, a simpler label may benefit products would be replaced as normal effective for the vaccination of healthy those manufacturers, both large and practice. The commenter suggested that animals ll weeks of age or older small, who export their products, as the number of entities that would incur against ll.’’ In order to clarify that the foreign manufacturers do not use a the expenses associated with replacing specific animal species must be tiered approach to label claims. labels as a result of this rulemaking will included on the label, we are amending This rule will affect all veterinary be far larger than we projected. that sentence to read as follows: ‘‘An biologics licensees and permittees. We respectfully disagree. Of the indications statement to read, ‘‘This Currently, there are approximately 100 approximately 11,700 active, approved product has been shown to be effective veterinary biological establishments, labels, 53 percent, or about 6,200, are no for the vaccination of healthy (insert including permittees. These companies more than 4 years old, suggesting that a name of species) ll weeks of age or produce about 1,900 different products, similar number will be replaced in the older against ll.’’ and there are about 11,700 active ordinary course of business during the Therefore, for the reasons given in the approved labels for veterinary biologics. implementation period. We therefore proposed rule and in this document, we There were about 3,100 labels submitted considered 53 percent to be an are adopting the proposed rule as a final for approval from June 2012 through appropriate percentage to use to rule, with the changes discussed in this May 2013, by about two-thirds of the estimate the number of products for document. companies. which regulatory labeling changes can Costs of the rule for licensees and be coordinated with otherwise planned Executive Orders 12866 and 13563 and permittees are not expected to be labeling changes. Regulatory Flexibility Act significant, whether the affected entity One commenter, representing a This final rule has been determined to is small or large. APHIS anticipates that manufacturer, stated that we did not be not significant for the purposes of the only costs associated with the new factor in the cost of replacing printing Executive Order 12866 and, therefore, labeling format will be one-time costs plates for existing labels, thereby has not been reviewed by the Office of incurred by licensees and permittees in significantly underestimating the Management and Budget. having labels for existing licensed

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products reformatted in accordance and the total cost is estimated to range intergovernmental consultation with with the rule. Most biologics companies, between $99,000 and $500,000. State and local officials. (See 7 CFR part in the course of normal business, use a Costs incurred for minor label 3015, subpart V.) just-in-time method for producing new changes that cannot be coordinated with Executive Order 12988 labels and readily alter their content. planned label changes include costs for Because the label changes due to this prepress, graphic design, and printing This final rule has been reviewed rule will only require new text and not the labels, in addition to administrative under Executive Order 12988, Civil a label redesign, they are considered and recordkeeping activities. We expect Justice Reform. It is not intended to minor changes. that about 5,500 of the active labels, have retroactive effect. This rule will Products that are not yet licensed but associated with about 900 products, will not preempt any State or local laws, are within 6 months of licensure at the be changed other than in conjunction regulations, or policies where they are time these regulations become effective with a planned change. Administrative necessary to address local disease will be expected to be fully compliant and recordkeeping costs for these label conditions or eradication programs. no later than 1 year after licensure. changes are estimated to range between However, where safety, efficacy, purity, Products that are more than 6 months $198 and $1,000 per product, or and potency of biological products are away from licensure at the time these between about $178,000 and $900,000 concerned, it is the Agency’s intent to regulations become effective will be in total. We estimate that at least 95 occupy the field. This includes, but is expected to be fully compliant at the percent of the products with labels that not limited to, the regulation of labeling. time of licensure. For products that are will need to be changed other than in Under the Act, Congress clearly currently licensed, the standardized conjunction with a planned change are intended that there be national summary of efficacy and safety data and computer generated with no outside uniformity in the regulation of these the revised labels will have to be design assistance. The internal prepress products. There are no administrative submitted to APHIS within 4 years of and graphic design labor costs proceedings which must be exhausted the time these regulations become associated with these changes are prior to a judicial challenge to the effective. APHIS will consider written estimated to be between $135 and $743 regulations under this rule. requests to extend the time period for for each product. The material costs for submitting the summaries by an computer generated labels are estimated Paperwork Reduction Act additional 2 years if necessary. to be between $100 and $275 for each This final rule contains no new We estimate that, in total, this rule new label. For these label changes, information collection or recordkeeping will cost veterinary biological production labor and material costs are requirements under the Paperwork establishments between $1.1 million estimated to range between about Reduction Act of 1995 (44 U.S.C. 3501 and $4.1 million, with a median $638,000 and $2 million. et seq.). estimate of about $2.4 million. Costs To be conservative in our cost associated with the rule for an estimates, we assume that 5 percent of List of Subjects in 9 CFR Part 112 individual manufacturer will depend on the products with labels that will need Animal biologics, Exports, Imports, the extent of the changes required, type to be changed other than in conjunction Labeling, Packaging and containers, of printing method used, and whether with a planned change are printed using Reporting and recordkeeping the label changes can be coordinated more costly conventional printing requirements. with planned label changes. All affected plates, and the manufacturers of these Accordingly, we are amending 9 CFR manufacturers will incur administrative products use external prepress and part 112 as follows: and recordkeeping costs, that is, costs graphic design consultants. Prepress associated with understanding the and graphic design labor costs, internal PART 112—PACKAGING AND regulation, determining responses, and external, are estimated to be LABELING tracking the required changes between $810 and $5,043 for each throughout the labeling change process, product, totaling between about $36,000 ■ 1. The authority citation for part 112 and reviewing and updating their and $227,000. There is significant continues to read as follows: records of product labels. For label variation in the cost of conventionally Authority: 21 U.S.C. 151–159; 7 CFR 2.22, changes not coordinated with planned printed labels depending on the printing 2.80, and 371.4. label changes, costs will also include method. Printing material costs for these labor and materials associated with label changes are estimated to range ■ 2. Section 112.2 is amended as generating the new labels, such as between about $47,000 and $306,000. follows: prepress, graphic design, and label Minor costs may be incurred in ■ a. In paragraph (a)(5), by adding a new printing. Those costs are not attributable producing the standardized summaries first sentence. to the regulation if the labeling revisions of efficacy and safety data for currently ■ b. By adding a new paragraph are coordinated with planned changes. licensed products within the 4-year (a)(9)(v). In many instances manufacturers will implementation period. We estimate The additions read as follows: not have to produce new labeling that about 1,700 revised summaries will materials before they would otherwise § 112.2 Final container label, carton label, need to be produced as a result of this and enclosure. do so in the normal course of business rule because efficacy and safety studies and will only incur additional are frequently provided for multiple (a) * * * administrative and recordkeeping costs products. The estimated cost will be (5) An indications statement to read, to track the changes. Costs incurred for about $83 per summary, or about ‘‘This product has been shown to be minor label changes that are $141,000 in total. effective for the vaccination of healthy coordinated with planned label changes (insert name of species) ll weeks of are estimated to range between $99 and Executive Order 12372 age or older against ll.’’ * * * $500 per label. We estimate that there This program/activity is listed in the * * * * * are about 6,200 labels associated with Catalog of Federal Domestic Assistance (9) * * * about 1,000 products for which there under No. 10.025 and is subject to (v) A statement similar to ‘‘For more will be this type of coordinated change, Executive Order 12372, which requires information regarding efficacy and

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safety data, go to Done in Washington, DC, this 6th day of • Defines terms, including terms that productdata.aphis.usda.gov. July 2015. describe criteria for determining * * * * * Kevin Shea, whether an establishment is subject to Administrator, Animal and Plant Health the rule; ■ 3. Section 112.5 is amended as Inspection Service. • establishes which foods are subject follows: [FR Doc. 2015–16898 Filed 7–9–15; 8:45 am] to the nutrition labeling requirements ■ a. In the introductory text, by BILLING CODE 3410–34–P and which foods are not subject to these removing the words ‘‘paragraph (c) of requirements; this section and under the master label • requires that calories for standard system provided in paragraph (d)’’ and DEPARTMENT OF HEALTH AND menu items be declared on menus and adding the words ‘‘paragraph (d) of this HUMAN SERVICES menu boards that list such foods for section and under the master label sale; • system provided in paragraph (e)’’ in Food and Drug Administration requires that calories for standard their place. menu items that are self-service or on ■ 21 CFR Parts 11 and 101 display be declared on signs adjacent to b. In paragraph (a), by removing the such foods; words ‘‘(http://www.aphis.usda.gov/ [Docket No. FDA–2011–F–0172] • requires that written nutrition animal_health/vet_biologics/vb_ RIN 0910–AG57 information for standard menu items be forms.shtml)’’ and adding the words available to consumers who ask to see ‘‘(productdata.aphis.usda.gov)’’ in their Food Labeling; Nutrition Labeling of it; place. Standard Menu Items in Restaurants • requires, on menus and menu ■ c. By redesignating paragraphs (b) and Similar Retail Food boards, a succinct statement concerning through (g) as paragraphs (c) through Establishments; Extension of suggested daily caloric intake (succinct (h). Compliance Date statement), designed to help the public understand the significance of the ■ d. By adding a new paragraph (b). AGENCY: Food and Drug Administration, calorie declarations; ■ e. In newly redesignated paragraph HHS. • requires, on menus and menu (d)(1), by removing the citation ACTION: Final rule; extension of boards, a statement regarding the ‘‘§ 112.5(d)’’ and adding the words compliance date. availability of the written nutrition ‘‘paragraph (e) of this section’’ in its information (statement of availability); place. SUMMARY: The Food and Drug • Administration (FDA or we) is establishes requirements for ■ f. In newly redesignated paragraph extending the compliance date for the determination of nutrient content of (e)(1)(ii), by removing the citation final rule requiring disclosure of certain standard menu items; • establishes requirements for ‘‘§ 112.5(d)(1)(iii)’’ and adding the nutrition information for standard menu substantiation of nutrient content words ‘‘paragraph (e)(1)(iii) of this items in certain restaurants and retail determined for standard menu items, section’’ in its place. food establishments. The final rule including requirements for records that ■ g. In newly redesignated paragraph appeared in the Federal Register of a covered establishment must make (e)(1)(iii), by removing the citation December 1, 2014. We are taking this available to FDA within a reasonable ‘‘§ 112.5(d)(1)(i)’’ and adding the words action in response to requests for an period of time upon request; and ‘‘paragraph (e)(1)(i) of this section’’ in extension and for further clarification of • establishes terms and conditions its place. the rule’s requirements. under which restaurants and similar ■ h. In newly redesignated paragraph DATES: retail food establishments not otherwise (e)(1)(iv), by removing the citation Effective date: This final rule is subject to the rule could elect to be ‘‘§ 112.5(d)(1)(ii)’’ and adding the words effective December 1, 2015. subject to the requirements by Compliance date: Covered ‘‘paragraph (e)(1)(ii) of this section’’ in registering with FDA. its place. establishments must comply with the In the preamble to the final rule (79 rule published December 1, 2014 (79 FR ■ FR 71156 at 71239 through 71241), we i. In newly redesignated paragraph (h), 71156) by December 1, 2016. by removing the citation ‘‘§ 112.5(c)’’ stated that the rule would be effective FOR FURTHER INFORMATION CONTACT: and adding the words ‘‘paragraph (d) of on December 1, 2015, and also provided Ashley Rulffes, Center for Food Safety this section’’ in its place. a compliance date of December 1, 2015, and Applied Nutrition (HFS–820), Food for covered establishments. The final The addition reads as follows: and Drug Administration, 5100 Paint rule (at 21 CFR 101.11(a)) defines § 112.5 Review and approval of labeling. Branch Pkwy., College Park, MD 20740, ‘‘covered establishment’’ as a restaurant 240–402–2371, email: ashley.rulffes@ * * * * * or similar retail food establishment that fda.hhs.gov. is a part of a chain with 20 or more (b) A data summary, available on the SUPPLEMENTARY INFORMATION: locations doing business under the same Internet at productdata.aphis.usda.gov, name (regardless of the type of I. Background shall be used with each submission of ownership, e.g., individual franchises) efficacy and safety data in support of a In the Federal Register of December 1, and offering for sale substantially the label claim. Manufacturers will submit 2014 (79 FR 71156), we published a same menu items, as well as a restaurant the efficacy and safety data information final rule requiring disclosure of certain or similar retail food establishment that with either the efficacy and safety nutrition information for standard menu is voluntarily registered to be covered studies or at the time of label items in certain restaurants and retail under 21 CFR 101.11(d). submission. This information will be food establishments. The final rule posted at productdata.aphis.usda.gov to implements provisions of section II. Extending the Compliance Date allow public disclosure of product 403(q)(5)(H) of the Federal Food, Drug, Since we published the final rule in performance. and Cosmetic Act (21 U.S.C. the Federal Register, we have received * * * * * 343(q)(5)(H)) and: numerous requests asking us to further

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interpret portions of the final rule or to and safety, and other advantages; 1. FDA, ‘‘Food Labeling; Nutrition Labeling respond to questions asking whether distributive impacts; and equity). FDA of Standard Menu Items in Restaurants and specific practices would be acceptable has developed a regulatory impact Similar Retail Food Establishments; for purposes of complying with the rule. analysis that presents the benefits and Extension of Compliance Date,’’ 2015. We issued a document in the Federal costs of this final rule (Ref. 1). The Available at: http://www.fda.gov/AboutFDA/ ReportsManualsForms/Reports/ Register (80 FR 13225, March 13, 2015) Agency believes that this final rule is EconomicAnalyses/. announcing the availability of a ‘‘Small not a significant regulatory action under Entity Compliance Guide’’ for the rule, Executive Order 12866. Dated: July 6, 2015. and are considering what additional The Regulatory Flexibility Act Leslie Kux, guidance might be helpful. requires Agencies to analyze regulatory Associate Commissioner for Policy. Since February 2015, we have options that would minimize any [FR Doc. 2015–16865 Filed 7–9–15; 8:45 am] received four requests asking us to significant impact of a rule on small BILLING CODE 4164–01–P extend the compliance date of the final entities. Because the final rule changes rule based on concerns that covered the compliance date from December 1, establishments do not have adequate 2015, to December 1, 2016, the Agency time to fully implement the certifies that the final rule will not have DEPARTMENT OF THE TREASURY requirements of the rule by the a significant economic impact on a compliance date. These requests were substantial number of small entities. Office of Foreign Assets Control submitted by a large retailer and trade Section 202(a) of the Unfunded and other associations, and they provide Mandates Reform Act of 1995 requires 31 CFR Part 591 information regarding steps involved in that Agencies prepare a written implementation of the requirements. statement, which includes an Venezuela Sanctions Regulations More specifically, the requests describe assessment of anticipated costs and AGENCY: Office of Foreign Assets steps involved in developing software, benefits, before proposing ‘‘any rule that Control, Treasury. information systems, and other includes any Federal mandate that may technologies for providing nutrition result in the expenditure by State, local, ACTION: Final rule. information in ways that better and tribal governments, in the aggregate, SUMMARY: correspond to how foods are offered for The Department of the or by the private sector, of $100,000,000 Treasury’s Office of Foreign Assets sale in covered establishments and or more (adjusted annually for inflation) allow for more efficient and product- Control (OFAC) is issuing regulations to in any one year.’’ The current threshold implement the Venezuela Defense of specific nutrition labeling. In addition, after adjustment for inflation is $144 the requests describe steps involved in Human Rights and Civil Society Act of million, using the most current (2014) 2014 (Pub. L. 113–278) and Executive training staff, implementing standard Implicit Price Deflator for the Gross operating procedures, and developing Order 13692 of March 8, 2015 Domestic Product. FDA does not expect (‘‘Blocking Property and Suspending and installing updated and consistent this final rule to result in any 1-year menu boards across all locations within Entry of Certain Persons Contributing to expenditure that would meet or exceed the Situation in Venezuela’’). OFAC a chain. Most requests sought to extend this amount. the compliance date by 1 year. intends to supplement this part 591 In light of these requests, we have IV. Paperwork Reduction Act with a more comprehensive set of decided to extend the compliance date This final rule contains no collection regulations, which may include for the final rule to December 1, 2016. of information. Therefore, clearance by additional interpretive and definitional The final rule requirements are intended the Office of Management and Budget guidance and additional general to ensure that consumers are provided under the Paperwork Reduction Act of licenses and statements of licensing accurate, clear, and consistent nutrition 1995 is not required. policy. information for foods sold in covered DATES: Effective: July 10, 2015. establishments in a direct and accessible V. Environmental Impact FOR FURTHER INFORMATION CONTACT: manner to enable consumers to make We have determined under 21 CFR informed and healthful dietary choices. 25.30(k) that this action is of a type that Assistant Director for Licensing, tel.: Therefore, allowing adequate time for does not individually or cumulatively 202/622–2480, Assistant Director for covered establishments to fully have a significant effect on the human Policy, tel.: 202/622–6746, Assistant implement the final rule’s requirements, environment. Therefore, neither an Director for Regulatory Affairs, tel.: 202/ as described in the requests, helps environmental assessment nor an 622–4855, Assistant Director for accomplish the primary objective of the environmental impact statement is Sanctions Compliance & Evaluation, final rule and is in the public interest. required. tel.: 202/622–2490, OFAC, or Chief Counsel (Foreign Assets Control), tel.: III. Economic Analysis of Impacts VI. Reference 202/622–2410, Office of the General FDA has examined the impacts of the The following reference has been Counsel, Department of the Treasury final rule under Executive Order 12866, placed on display in the Division of (not toll free numbers). Executive Order 13563, the Regulatory Dockets Management (see ADDRESSES) SUPPLEMENTARY INFORMATION: Flexibility Act (5 U.S.C. 601–612), and and may be seen by interested persons Electronic and Facsimile Availability the Unfunded Mandates Reform Act of between 9 a.m. and 4 p.m., Monday 1995 (Pub. L. 104–4). Executive Orders through Friday, and is available This document and additional 12866 and 13563 direct Agencies to electronically at http:// information concerning OFAC are assess all costs and benefits of available www.regulations.gov. (FDA has verified available from OFAC’s Web site regulatory alternatives and, when the Web site address in this reference (www.treasury.gov/ofac). Certain general regulation is necessary, to select section, but we are not responsible for information pertaining to OFAC’s regulatory approaches that maximize any subsequent changes to the Web site sanctions programs also is available via net benefits (including potential after this document publishes in the facsimile through a 24-hour fax-on- economic, environmental, public health Federal Register.) demand service, tel.: 202/622–0077.

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Background collections of information have been 591.502 [Reserved] approved by the Office of Management 591.503 Exclusion from licenses. On December 18, 2014, President 591.504 Payments and transfers to blocked Obama signed the Venezuela Defense of and Budget under control number 1505– 0164. An agency may not conduct or accounts in U.S. financial institutions. Human Rights and Civil Society Act of 591.505 Entries in certain accounts for sponsor, and a person is not required to 2014 (Pub. L. 113–278) (the ‘‘Act’’) into normal service charges authorized. respond to, a collection of information law. The Act required the President to 591.506 Provision of certain legal services unless the collection of information impose targeted sanctions on certain authorized. displays a valid control number. persons that he determines to be 591.507 Payments for legal services from funds originating outside the United responsible for significant acts of List of Subjects in 31 CFR Part 591 States authorized. violence or serious human rights abuses Administrative practice and 591.508 Authorization of emergency against antigovernment protesters in procedure, Banking, Banks, Blocking of medical services. Venezuela and to have ordered or assets, Brokers, Credit, Foreign trade, Subparts F–G—[Reserved] otherwise directed the arrest or Investments, Loans, Securities, Services, prosecution of persons in Venezuela Venezuela. Subpart H—Procedures primarily because of the person’s For the reasons set forth in the 591.801 [Reserved] legitimate exercise of freedom of preamble, the Department of the 591.802 Delegation by the Secretary of the Treasury. expression or assembly. Treasury’s Office of Foreign Assets On March 8, 2015, the President Control adds part 591 to 31 CFR chapter Subpart I—Paperwork Reduction Act issued Executive Order 13692 (80 FR V to read as follows: 591.901 Paperwork Reduction Act notice. 12747, March 11, 2015) (E.O. 13692), invoking the authority of, inter alia, the PART 591—VENEZUELA SANCTIONS Appendix A to Part 591 Executive Order International Emergency Economic REGULATIONS 13692 of March 8, 2015 Powers Act (50 U.S.C. 1701 et seq.) Authority: 3 U.S.C. 301; 31 U.S.C. 321(b); (IEEPA), the Act, and the National Subpart A—Relation of This Part to Other Laws and Regulations 50 U.S.C. 1601–1651, 1701–1706; Pub. L. Emergencies Act (50 U.S.C. 1601 et seq.) 101–410, 104 Stat. 890 (28 U.S.C. 2461 note); (NEA). Sec. Pub. L. 110–96, 121 Stat. 1011 (50 U.S.C. OFAC is issuing the Venezuela 591.101 Relation of this part to other laws 1705 note); Pub. L. 113–278, 128 Stat. 3011 Sanctions Regulations, 31 CFR part 591 and regulations. (50 U.S.C. 1701 note); E.O. 13692, 80 FR (the ‘‘Regulations’’), to implement the Subpart B—Prohibitions 12747, March 11, 2015. Act and E.O. 13692, pursuant to 591.201 Prohibited transactions. Subpart A—Relation of This Part to authorities delegated to the Secretary of 591.202 Effect of transfers violating the Other Laws and Regulations the Treasury in E.O. 13692. A copy of provisions of this part. E.O. 13692 appears in Appendix A to 591.203 Holding of funds in interest- § 591.101 Relation of this part to other this part. bearing accounts; investment and laws and regulations. The Regulations are being published reinvestment. 591.204 Expenses of maintaining blocked This part is separate from, and in abbreviated form at this time for the property; liquidation of blocked independent of, the other parts of this purpose of providing immediate property. chapter, with the exception of part 501 guidance to the public. OFAC intends to of this chapter, the recordkeeping and Subpart C—General Definitions supplement this part 591 with a more reporting requirements and license comprehensive set of regulations, which 591.300 Applicability of definitions. application and other procedures of may include additional interpretive and 591.301 Blocked account; blocked property. which apply to this part. Actions taken definitional guidance and additional 591.302 Effective date. pursuant to part 501 of this chapter with general licenses and statements of 591.303 Entity. respect to the prohibitions contained in licensing policy. The appendix to the 591.304 Financial, material, or this part are considered actions taken Regulations will be removed when technological support. pursuant to this part. Differing foreign OFAC supplements this part with a 591.305 Interest. policy and national security more comprehensive set of regulations. 591.306 Licenses; general and specific. circumstances may result in differing 591.307 OFAC. interpretations of similar language Public Participation 591.308 Person. among the parts of this chapter. No Because the Regulations involve a 591.309 Property; property interest. 591.310 Transfer. license or authorization contained in or foreign affairs function, the provisions 591.311 United States. issued pursuant to those other parts of Executive Order 12866 and the 591.312 United States person; U.S. person. authorizes any transaction prohibited by Administrative Procedure Act (5 U.S.C. 591.313 U.S. financial institution. this part. No license or authorization 553) requiring notice of proposed Subpart D—Interpretations contained in or issued pursuant to any rulemaking, opportunity for public other provision of law or regulation participation, and delay in effective date 591.401 [Reserved] 591.402 Effect of amendment. authorizes any transaction prohibited by are inapplicable. Because no notice of 591.403 Termination and acquisition of an this part. No license or authorization proposed rulemaking is required for this interest in blocked property. contained in or issued pursuant to this rule, the Regulatory Flexibility Act (5 591.404 Transactions ordinarily incident to part relieves the involved parties from U.S.C. 601–612) does not apply. a licensed transaction. complying with any other applicable 591.405 Setoffs prohibited. laws or regulations. Paperwork Reduction Act 591.406 Entities owned by persons whose The collections of information related property and interests in property are Note to § 591.101: This part has been blocked. published in abbreviated form for the to the Regulations are contained in 31 purpose of providing immediate guidance to CFR part 501 (the ‘‘Reporting, Subpart E—Licenses, Authorizations, and the public. OFAC intends to supplement this Procedures and Penalties Regulations’’). Statements of Licensing Policy part with a more comprehensive set of Pursuant to the Paperwork Reduction 591.501 General and specific licensing regulations, which may include additional Act of 1995 (44 U.S.C. 3507), those procedures. interpretive and definitional guidance and

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additional general licenses and statements of date, had written notice of the transfer lien, execution, garnishment, or other licensing policy. or by any written evidence had judicial process is null and void with recognized such transfer. respect to any property and interests in Subpart B—Prohibitions (c) Unless otherwise provided, a property blocked pursuant to § 591.201. license or other authorization issued by § 591.201 Prohibited transactions. OFAC before, during, or after a transfer § 591.203 Holding of funds in interest- All transactions prohibited pursuant shall validate such transfer or make it bearing accounts; investment and reinvestment. to Executive Order 13692 of March 8, enforceable to the same extent that it 2015, are also prohibited pursuant to would be valid or enforceable but for (a) Except as provided in paragraphs this part. the provisions of this part and any (e) or (f) of this section, or as otherwise Note 1 to § 591.201: The names of persons regulation, order, directive, ruling, directed by OFAC, any U.S. person designated pursuant to Executive Order instruction, or license issued pursuant holding funds, such as currency, bank 13692, whose property and interests in to this part. deposits, or liquidated financial property therefore are blocked pursuant to (d) Transfers of property that obligations, subject to § 591.201 shall this section, are published in the Federal otherwise would be null and void or hold or place such funds in a blocked Register and incorporated into OFAC’s unenforceable by virtue of the interest-bearing account located in the Specially Designated Nationals and Blocked provisions of this section shall not be United States. Persons List (SDN List) with the identifier (b)(1) For purposes of this section, the ‘‘[VENEZUELA].’’ The SDN List is accessible deemed to be null and void or through the following page on OFAC’s Web unenforceable as to any person with term blocked interest-bearing account site: www.treasury.gov/sdn. Additional whom such property is or was held or means a blocked account: information pertaining to the SDN List can be maintained (and as to such person only) (i) In a federally-insured U.S. bank, found in Appendix A to this chapter. See in cases in which such person is able to thrift institution, or credit union, § 591.406 concerning entities that may not be establish to the satisfaction of OFAC provided the funds are earning interest listed on the SDN List but whose property each of the following: at rates that are commercially and interests in property are nevertheless reasonable; or blocked pursuant to this section. (1) Such transfer did not represent a willful violation of the provisions of this (ii) With a broker or dealer registered Note 2 to § 591.201: The International part by the person with whom such with the Securities and Exchange Emergency Economic Powers Act (50 U.S.C. property is or was held or maintained Commission under the Securities 1701–1706), in Section 203 (50 U.S.C. 1702), (and as to such person only); Exchange Act of 1934 (15 U.S.C. 78a et authorizes the blocking of property and (2) The person with whom such seq.), provided the funds are invested in interests in property of a person during the property is or was held or maintained a money market fund or in U.S. pendency of an investigation. The names of did not have reasonable cause to know Treasury bills. persons whose property and interests in (2) Funds held or placed in a blocked property are blocked pending investigation or suspect, in view of all the facts and pursuant to this section also are published in circumstances known or available to account pursuant to paragraph (a) of this the Federal Register and incorporated into such person, that such transfer required section may not be invested in the SDN List with the identifier ‘‘[BPI– a license or authorization issued instruments the maturity of which VENEZUELA]’’. pursuant to this part and was not so exceeds 180 days. licensed or authorized, or, if a license or (c) For purposes of this section, a rate Note 3 to § 591.201: Sections 501.806 and authorization did purport to cover the is commercially reasonable if it is the 501.807 of this chapter describe the transfer, that such license or rate currently offered to other depositors procedures to be followed by persons on deposits or instruments of seeking, respectively, the unblocking of authorization had been obtained by funds that they believe were blocked due to misrepresentation of a third party or comparable size and maturity. mistaken identity, or administrative withholding of material facts or was (d) For purposes of this section, if reconsideration of their status as persons otherwise fraudulently obtained; and interest is credited to a separate blocked whose property and interests in property are (3) The person with whom such account or subaccount, the name of the blocked pursuant to this section. property is or was held or maintained account party on each account must be filed with OFAC a report setting forth in the same. § 591.202 Effect of transfers violating the full the circumstances relating to such (e) Blocked funds held in instruments provisions of this part. transfer promptly upon discovery that: the maturity of which exceeds 180 days (a) Any transfer after the effective date (i) Such transfer was in violation of at the time the funds become subject to that is in violation of any provision of the provisions of this part or any § 591.201 may continue to be held until this part or of any regulation, order, regulation, ruling, instruction, license, maturity in the original instrument, directive, ruling, instruction, or license or other directive or authorization provided any interest, earnings, or other issued pursuant to this part, and that issued pursuant to this part; proceeds derived therefrom are paid involves any property or interest in (ii) Such transfer was not licensed or into a blocked interest-bearing account property blocked pursuant to § 591.201, authorized by OFAC; or in accordance with paragraphs (a) or (f) is null and void and shall not be the (iii) If a license did purport to cover of this section. basis for the assertion or recognition of the transfer, such license had been (f) Blocked funds held in accounts or any interest in or right, remedy, power, obtained by misrepresentation of a third instruments outside the United States at or privilege with respect to such party or withholding of material facts or the time the funds become subject to property or property interest. was otherwise fraudulently obtained. § 591.201 may continue to be held in the (b) No transfer before the effective Note to paragraph (d) of § 591.202: The same type of accounts or instruments, date shall be the basis for the assertion filing of a report in accordance with the provided the funds earn interest at rates or recognition of any right, remedy, provisions of paragraph (d)(3) of this section that are commercially reasonable. power, or privilege with respect to, or shall not be deemed evidence that the terms (g) This section does not create an any interest in, any property or interest of paragraphs (d)(1) and (2) of this section affirmative obligation for the holder of in property blocked pursuant to have been satisfied. blocked tangible property, such as § 591.201, unless the person who holds (e) Unless licensed pursuant to this chattels or real estate, or of other or maintains such property, prior to that part, any attachment, judgment, decree, blocked property, such as debt or equity

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securities, to sell or liquidate such § 591.302 Effective date. pursuant to this part but not set forth in property. However, OFAC may issue The term effective date refers to the subpart E of this part or made available licenses permitting or directing such effective date of the applicable on OFAC’s Web site: www.treasury.gov/ sales or liquidation in appropriate cases. prohibitions and directives contained in ofac. (h) Funds subject to this section may this part as follows: Note to § 591.306: See § 501.801 of this not be held, invested, or reinvested in (a) With respect to a person listed in chapter on licensing procedures. the Annex to E.O. 13692 of March 8, a manner that provides immediate 2015, 12:01 a.m. eastern daylight time, financial or economic benefit or access § 591.307 OFAC. March 9, 2015; and The term OFAC means the to any person whose property and (b) With respect to a person whose interests in property are blocked Department of the Treasury’s Office of property and interests in property are Foreign Assets Control. pursuant to § 591.201, nor may their otherwise blocked pursuant to holder cooperate in or facilitate the § 591.201, the earlier of the date of § 591.308 Person. pledging or other attempted use as actual or constructive notice that such The term person means an individual collateral of blocked funds or other person’s property and interests in or entity. assets. property are blocked. § 591.309 Property; property interest. § 591.204 Expenses of maintaining § 591.303 Entity. blocked property; liquidation of blocked The terms property and property property. The term entity means a partnership, interest include, but are not limited to, association, trust, joint venture, money, checks, drafts, bullion, bank (a) Except as otherwise authorized, corporation, group, subgroup, or other deposits, savings accounts, debts, and notwithstanding the existence of organization. indebtedness, obligations, notes, any rights or obligations conferred or § 591.304 Financial, material, or guarantees, debentures, stocks, bonds, imposed by any international agreement technological support. coupons, any other financial or contract entered into or any license instruments, bankers acceptances, The term financial, material, or or permit granted prior to the effective mortgages, pledges, liens or other rights technological support, as used in date, all expenses incident to the in the nature of security, warehouse Executive Order 13692 of March 8, maintenance of physical property receipts, bills of lading, trust receipts, 2015, means any property, tangible or blocked pursuant to § 591.201 shall be bills of sale, any other evidences of title, intangible, including but not limited to the responsibility of the owners or ownership or indebtedness, letters of currency, financial instruments, operators of such property, which credit and any documents relating to securities, or any other transmission of expenses shall not be met from blocked any rights or obligations thereunder, value; weapons or related materiel; funds. powers of attorney, goods, wares, chemical or biological agents; merchandise, chattels, stocks on hand, (b) Property blocked pursuant to explosives; false documentation or ships, goods on ships, real estate § 591.201 may, in the discretion of identification; communications mortgages, deeds of trust, vendors’ sales OFAC, be sold or liquidated and the net equipment; computers; electronic or agreements, land contracts, leaseholds, proceeds placed in a blocked interest- other devices or equipment; ground rents, real estate and any other bearing account in the name of the technologies; lodging; safe houses; interest therein, options, negotiable owner of the property. facilities; vehicles or other means of instruments, trade acceptances, transportation; or goods. royalties, book accounts, accounts Subpart C—General Definitions ‘‘Technologies’’ as used in this payable, judgments, patents, trademarks definition means specific information § 591.300 Applicability of definitions. or copyrights, insurance policies, safe necessary for the development, deposit boxes and their contents, The definitions in this subpart apply production, or use of a product, annuities, pooling agreements, services throughout the entire part. including related technical data such as of any nature whatsoever, contracts of blueprints, plans, diagrams, models, § 591.301 Blocked account; blocked any nature whatsoever, and any other formulae, tables, engineering designs property. property, real, personal, or mixed, and specifications, manuals, or other tangible or intangible, or interest or The terms blocked account and recorded instructions. blocked property shall mean any interests therein, present, future, or account or property subject to the § 591.305 Interest. contingent. prohibitions in § 591.201 held in the Except as otherwise provided in this § 591.310 Transfer. part, the term interest, when used with name of a person whose property and The term transfer means any actual or respect to property (e.g., ‘‘an interest in interests in property are blocked purported act or transaction, whether or property’’), means an interest of any pursuant to § 591.201, or in which such not evidenced by writing, and whether nature whatsoever, direct or indirect. person has an interest, and with respect or not done or performed within the to which payments, transfers, § 591.306 Licenses; general and specific. United States, the purpose, intent, or exportations, withdrawals, or other (a) Except as otherwise provided in effect of which is to create, surrender, dealings may not be made or effected this part, the term license means any release, convey, transfer, or alter, except pursuant to a license or other license or authorization contained in or directly or indirectly, any right, remedy, authorization from OFAC expressly issued pursuant to this part. power, privilege, or interest with respect authorizing such action. (b) The term general license means to any property. Without limitation on Note to § 591.301: See § 591.406 any license or authorization the terms of the foregoing, it shall include the concerning the blocked status of property which are set forth in subpart E of this making, execution, or delivery of any and interests in property of an entity that is part or made available on OFAC’s Web assignment, power, conveyance, check, 50 percent or more owned by persons whose site: www.treasury.gov/ofac. declaration, deed, deed of trust, power property and interests in property are (c) The term specific license means of attorney, power of appointment, bill blocked pursuant to § 591.201. any license or authorization issued of sale, mortgage, receipt, agreement,

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contract, certificate, gift, sale, affidavit, Subpart D—Interpretations § 591.405 Setoffs prohibited. or statement; the making of any A setoff against blocked property payment; the setting off of any § 591.401 [Reserved] (including a blocked account), whether obligation or credit; the appointment of § 591.402 Effect of amendment. by a U.S. bank or other U.S. person, is any agent, trustee, or fiduciary; the a prohibited transfer under § 591.201 if creation or transfer of any lien; the Unless otherwise specifically effected after the effective date. issuance, docketing, or filing of, or levy provided, any amendment, § 591.406 Entities owned by persons of or under, any judgment, decree, modification, or revocation of any provision in or appendix to this part or whose property and interests in property attachment, injunction, execution, or are blocked. other judicial or administrative process chapter or of any order, regulation, ruling, instruction, or license issued by Persons whose property and interests or order, or the service of any in property are blocked pursuant to garnishment; the acquisition of any OFAC does not affect any act done or omitted, or any civil or criminal § 591.201 have an interest in all interest of any nature whatsoever by property and interests in property of an reason of a judgment or decree of any proceeding commenced or pending, prior to such amendment, modification, entity in which such blocked persons foreign country; the fulfillment of any own, whether individually or in the condition; the exercise of any power of or revocation. All penalties, forfeitures, and liabilities under any such order, aggregate, directly or indirectly, a 50 appointment, power of attorney, or regulation, ruling, instruction, or license percent or greater interest. The property other power; or the acquisition, continue and may be enforced as if such and interests in property of such an disposition, transportation, importation, amendment, modification, or revocation entity, therefore, are blocked, and such exportation, or withdrawal of any had not been made. an entity is a person whose property security. and interests in property are blocked § 591.403 Termination and acquisition of pursuant to § 591.201, regardless of § 591.311 United States. an interest in blocked property. whether the name of the entity is The term United States means the (a) Whenever a transaction licensed or incorporated into OFAC’s Specially United States, its territories and authorized by or pursuant to this part Designated Nationals and Blocked possessions, and all areas under the results in the transfer of property Persons List (SDN List). jurisdiction or authority thereof. (including any property interest) away Subpart E—Licenses, Authorizations, § 591.312 United States person; U.S. from a person whose property and and Statements of Licensing Policy person. interests in property are blocked pursuant to § 591.201, such property § 591.501 General and specific licensing The term United States person or U.S. shall no longer be deemed to be procedures. person means any United States citizen, property blocked pursuant to § 591.201, For provisions relating to licensing permanent resident alien, entity unless there exists in the property procedures, see part 501, subpart E of organized under the laws of the United another interest that is blocked pursuant this chapter. Licensing actions taken States or any jurisdiction within the to § 591.201, the transfer of which has pursuant to part 501 of this chapter with United States (including foreign not been effected pursuant to license or respect to the prohibitions contained in branches), or any person in the United other authorization. this part are considered actions taken States. (b) Unless otherwise specifically pursuant to this part. General licenses provided in a license or other and statements of licensing policy § 591.313 U.S. financial institution. authorization issued pursuant to this relating to this part also may be The term U.S. financial institution part, if property (including any property available through the Venezuela means any U.S. entity (including its interest) is transferred or attempted to sanctions page on OFAC’s Web site: foreign branches) that is engaged in the be transferred to a person whose www.treasury.gov/ofac. business of accepting deposits, making, property and interests in property are § 591.502 [Reserved] granting, transferring, holding, or blocked pursuant to § 591.201, such brokering loans or credits, or purchasing property shall be deemed to be property § 591.503 Exclusion from licenses. or selling foreign exchange, securities, in which such a person has an interest OFAC reserves the right to exclude or commodity futures or options, or and therefore blocked. any person, property, transaction, or class thereof from the operation of any procuring purchasers and sellers § 591.404 Transactions ordinarily incident thereof, as principal or agent. It includes to a licensed transaction. license or from the privileges conferred depository institutions, banks, savings by any license. OFAC also reserves the banks, trust companies, securities Any transaction ordinarily incident to right to restrict the applicability of any brokers and dealers, commodity futures a licensed transaction and necessary to license to particular persons, property, and options brokers and dealers, give effect thereto is also authorized, transactions, or classes thereof. Such forward contract and foreign exchange except: actions are binding upon actual or merchants, securities and commodities (a) An ordinarily incident transaction, constructive notice of the exclusions or exchanges, clearing corporations, not explicitly authorized within the restrictions. investment companies, employee terms of the license, by or with a person § 591.504 Payments and transfers to benefit plans, and U.S. holding whose property and interests in blocked accounts in U.S. financial companies, U.S. affiliates, or U.S. property are blocked pursuant to institutions. subsidiaries of any of the foregoing. This § 591.201; or Any payment of funds or transfer of term includes those branches, offices, (b) An ordinarily incident transaction, credit in which a person whose property and agencies of foreign financial not explicitly authorized within the and interests in property are blocked institutions that are located in the terms of the license, involving a debit to pursuant to § 591.201 has any interest United States, but not such institutions’ a blocked account or a transfer of that comes within the possession or foreign branches, offices, or agencies. blocked property. control of a U.S. financial institution

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must be blocked in an account on the U.S. federal, state, or local court or professional fees and reimbursement of books of that financial institution. A agency; incurred expenses for the provision of transfer of funds or credit by a U.S. (3) Initiation and conduct of legal, legal services authorized pursuant to financial institution between blocked arbitration, or administrative § 591.506(a) do not originate from: accounts in its branches or offices is proceedings before any U.S. federal, (1) A source within the United States; authorized, provided that no transfer is state, or local court or agency; (2) Any source, wherever located, made from an account within the (4) Representation of persons before within the possession or control of a United States to an account held outside any U.S. federal, state, or local court or U.S. person; or the United States, and further provided agency with respect to the imposition, (3) Any individual or entity, other that a transfer from a blocked account administration, or enforcement of U.S. than the person on whose behalf the may be made only to another blocked sanctions against such persons; and legal services authorized pursuant to account held in the same name. (5) Provision of legal services in any § 591.506(a) are to be provided, whose other context in which prevailing U.S. property and interests in property are Note to § 591.504: See § 501.603 of this law requires access to legal counsel at chapter for mandatory reporting blocked pursuant to any part of this requirements regarding financial transfers. public expense. chapter or any Executive order. (b) The provision of any other legal See also § 591.203 concerning the obligation Note to paragraph (a) of § 591.507: This to hold blocked funds in interest-bearing services to persons whose property and paragraph authorizes the blocked person on accounts. interests in property are blocked whose behalf the legal services authorized pursuant to § 591.201 or any further pursuant to § 591.506(a) are to be provided to § 591.505 Entries in certain accounts for Executive orders relating to the national make payments for authorized legal services normal service charges authorized. emergency declared in Executive Order using funds originating outside the United (a) A U.S. financial institution is 13692 of March 8, 2015, not otherwise States that were not previously blocked. authorized to debit any blocked account authorized in this part, requires the Nothing in this paragraph authorizes held at that financial institution in issuance of a specific license. payments for legal services using funds in which any other person whose property and payment or reimbursement for normal (c) Entry into a settlement agreement or the enforcement of any lien, interests in property are blocked pursuant to service charges owed it by the owner of § 591.201 or any further Executive orders that blocked account. judgment, arbitral award, decree, or relating to the national emergency declared (b) As used in this section, the term other order through execution, in Executive Order 13692 of March 8, 2015, normal service charges shall include garnishment, or other judicial process any other part of this chapter, or any charges in payment or reimbursement purporting to transfer or otherwise alter Executive order has an interest. for interest due; cable, telegraph, or affect property or interests in (b) Reports. (1) U.S. persons who Internet, or telephone charges; postage property blocked pursuant to § 591.201 receive payments in connection with costs; custody fees; small adjustment or any further Executive orders relating legal services authorized pursuant to charges to correct bookkeeping errors; to the national emergency declared in § 591.506(a) must submit annual reports and, but not by way of limitation, Executive Order 13692 of March 8, no later than 30 days following the end minimum balance charges, notary and 2015, is prohibited unless licensed of the calendar year during which the protest fees, and charges for reference pursuant to this part. payments were received providing books, photocopies, credit reports, Note to § 591.506: U.S. persons seeking information on the funds received. Such transcripts of statements, registered administrative reconsideration or judicial reports shall specify: mail, insurance, stationery and supplies, review of their designation or the blocking of (i) The individual or entity from and other similar items. their property and interests in property may apply for a specific license from OFAC to whom the funds originated and the § 591.506 Provision of certain legal authorize the release of a limited amount of amount of funds received; and services authorized. blocked funds for the payment of legal fees (ii) If applicable: (a) The provision of the following where alternative funding sources are not (A) The names of any individuals or legal services to or on behalf of persons available. For more information, see OFAC’s entities providing related services to the Guidance on the Release of Limited Amounts whose property and interests in U.S. person receiving payment in of Blocked Funds for Payment of Legal Fees connection with authorized legal property are blocked pursuant to and Costs Incurred in Challenging the § 591.201 or any further Executive services, such as private investigators or Blocking of U.S. Persons in Administrative or expert witnesses; orders relating to the national Civil Proceedings, which is available on (B) A general description of the emergency declared in Executive Order OFAC’s Web site: www.treasury.gov/ofac. services provided; and 13692 of March 8, 2015, is authorized, (C) The amount of funds paid in provided that receipt of payment of § 591.507 Payments for legal services from connection with such services. professional fees and reimbursement of funds originating outside the United States authorized. (2) The reports, which must reference incurred expenses must be specifically this section, are to be mailed to: licensed or otherwise authorized (a) Receipts of payment of professional fees and reimbursement of Licensing Division, Office of Foreign pursuant to § 591.507: Assets Control, U.S. Department of the (1) Provision of legal advice and incurred expenses for the provision of Treasury, 1500 Pennsylvania Avenue counseling on the requirements of and legal services authorized pursuant to NW., Annex, Washington, DC 20220. compliance with the laws of the United § 591.506(a) to or on behalf of any States or any jurisdiction within the person whose property and interests in Note to § 591.507: U.S. persons who United States, provided that such advice property are blocked pursuant to receive payments in connection with legal and counseling are not provided to § 591.201 or any further Executive services authorized pursuant to § 591.506(a) orders relating to the national do not need to obtain specific authorization facilitate transactions in violation of this to contract for related services that are part; emergency declared in Executive Order ordinarily incident to the provision of those (2) Representation of persons named 13692 of March 8, 2015, are authorized legal services, such as those provided by as defendants in or otherwise made from funds originating outside the private investigators or expert witnesses, or parties to legal, arbitration, or United States, provided that the funds to pay for such services. Additionally, U.S. administrative proceedings before any received by U.S. persons as payment of persons do not need to obtain specific

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authorization to provide related services that 212(f) of the Immigration and Nationality Act notwithstanding any contract entered into or are ordinarily incident to the provision of of 1952 (8 U.S.C. 1182(f)) (INA), and section any license or permit granted prior to the legal services authorized pursuant to 301 of title 3, United States Code, effective date of this order. § 591.506(a). I, BARACK OBAMA, President of the Sec. 2. I hereby find that the unrestricted United States of America, find that the immigrant and nonimmigrant entry into the § 591.508 Authorization of emergency situation in Venezuela, including the United States of aliens determined to meet medical services. Government of Venezuela’s erosion of human one or more of the criteria in subsection 1(a) The provision of nonscheduled rights guarantees, persecution of political of this order would be detrimental to the opponents, curtailment of press freedoms, interests of the United States, and I hereby emergency medical services in the use of violence and human rights violations suspend entry into the United States, as United States to persons whose property and abuses in response to antigovernment immigrants or nonimmigrants, of such and interests in property are blocked protests, and arbitrary arrest and detention of persons, except where the Secretary of State pursuant to § 591.201 or any further antigovernment protestors, as well as the determines that the person’s entry is in the Executive orders relating to the national exacerbating presence of significant public national interest of the United States. This emergency declared in Executive Order corruption, constitutes an unusual and section shall not apply to an alien if 13692 of March 8, 2015, is authorized, extraordinary threat to the national security admitting the alien into the United States is provided that all receipt of payment for and foreign policy of the United States, and necessary to permit the United States to I hereby declare a national emergency to deal comply with the Agreement Regarding the such services must be specifically with that threat. I hereby order: Headquarters of the United Nations, signed at licensed. Section 1. (a) All property and interests in Lake Success June 26, 1947, and entered into property that are in the United States, that force November 21, 1947, or other applicable Subparts F–G—[Reserved] hereafter come within the United States, or international obligations. that are or hereafter come within the Sec. 3. I hereby determine that the making Subpart H—Procedures possession or control of any United States of donations of the type of articles specified person of the following persons are blocked in section 203(b)(2) of IEEPA (50 U.S.C. § 591.801 [Reserved] and may not be transferred, paid, exported, 1702(b)(2)) by, to, or for the benefit of any § 591.802 Delegation by the Secretary of withdrawn, or otherwise dealt in: person whose property and interests in the Treasury. (i) the persons listed in the Annex to this property are blocked pursuant to section 1 of order; and this order would seriously impair my ability Any action that the Secretary of the (ii) any person determined by the Secretary to deal with the national emergency declared Treasury is authorized to take pursuant of the Treasury, in consultation with the in this order, and I hereby prohibit such to Executive Order 13692 of March 8, Secretary of State: donations as provided by section 1 of this 2015, and any further Executive orders (A) to be responsible for or complicit in, or order. relating to the national emergency responsible for ordering, controlling, or Sec. 4. The prohibitions in section 1 of this declared therein, may be taken by the otherwise directing, or to have participated order include but are not limited to: Director of OFAC or by any other person in, directly or indirectly, any of the following (a) the making of any contribution or to whom the Secretary of the Treasury in or in relation to Venezuela: provision of funds, goods, or services by, to, (1) actions or policies that undermine or for the benefit of any person whose has delegated authority so to act. democratic processes or institutions; property and interests in property are Subpart I—Paperwork Reduction Act (2) significant acts of violence or conduct blocked pursuant to this order; and that constitutes a serious abuse or violation (b) the receipt of any contribution or § 591.901 Paperwork Reduction Act notice. of human rights, including against persons provision of funds, goods, or services from any such person. For approval by the Office of involved in antigovernment protests in Venezuela in or since February 2014; Sec. 5. (a) Any transaction that evades or Management and Budget (OMB) under (3) actions that prohibit, limit, or penalize avoids, has the purpose of evading or the Paperwork Reduction Act of 1995 the exercise of freedom of expression or avoiding, causes a violation of, or attempts to (44 U.S.C. 3507) of information peaceful assembly; or violate any of the prohibitions set forth in collections relating to recordkeeping (4) public corruption by senior officials this order is prohibited. and reporting requirements, licensing within the Government of Venezuela; (b) Any conspiracy formed to violate any procedures (including those pursuant to (B) to be a current or former leader of an of the prohibitions set forth in this order is statements of licensing policy), and entity that has, or whose members have, prohibited. other procedures, see § 501.901 of this engaged in any activity described in Sec. 6. For the purposes of this order: (a) the term ‘‘person’’ means an individual chapter. An agency may not conduct or subsection (a)(ii)(A) of this section or of an entity whose property and interests in or entity; sponsor, and a person is not required to property are blocked pursuant to this order; (b) the term ‘‘entity’’ means a partnership, respond to, a collection of information (C) to be a current or former official of the association, trust, joint venture, corporation, unless it displays a valid control Government of Venezuela; group, subgroup, or other organization; number assigned by OMB. (D) to have materially assisted, sponsored, (c) the term ‘‘United States person’’ means or provided financial, material, or any United States citizen, permanent resident APPENDIX A TO PART 591—Executive technological support for, or goods or alien, entity organized under the laws of the Order 13692 services to or in support of: United States or any jurisdiction within the Executive Order 13692 of March 8, 2015 (1) a person whose property and interests United States (including foreign branches), or in property are blocked pursuant to this any person in the United States; Blocking Property and Suspending Entry of order; or (d) the term ‘‘Government of Venezuela’’ Certain Persons Contributing to the Situation (2) an activity described in subsection means the Government of Venezuela, any in Venezuela (a)(ii)(A) of this section; or political subdivision, agency, or By the authority vested in me as President (E) to be owned or controlled by, or to have instrumentality thereof, including the Central by the Constitution and the laws of the acted or purported to act for or on behalf of, Bank of Venezuela, and any person owned or United States of America, including the directly or indirectly, any person whose controlled by, or acting for or on behalf of, International Emergency Economic Powers property and interests in property are the Government of Venezuela. Act (50 U.S.C. 1701 et seq.) (IEEPA), the blocked pursuant to this order. Sec. 7. For those persons whose property National Emergencies Act (50 U.S.C. 1601 et (b) The prohibitions in subsection (a) of and interests in property are blocked seq.) (NEA), the Venezuela Defense of Human this section apply except to the extent pursuant to this order who might have a Rights and Civil Society Act of 2014 (Public provided by statutes, or in regulations, constitutional presence in the United States, Law 113–278) (the ‘‘Venezuela Defense of orders, directives, or licenses that may be I find that because of the ability to transfer Human Rights Act’’) (the ‘‘Act’’), section issued pursuant to this order, and funds or other assets instantaneously, prior

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notice to such persons of measures to be Strategic Defense Region of the National change in method of operation while taken pursuant to this order would render Armed Forces, former Director of allowing for comments regarding the those measures ineffectual. I therefore Operations for the National Guard; born remote operations. This interim rule determine that for these measures to be June 13, 1961] increases the efficiency of operations effective in addressing the national 2. Gustavo Enrique Gonza´lez Lo´pez [Director emergency declared in this order, there need General of the National Intelligence allowing for the safe navigation of be no prior notice of a listing or Service and President of the Strategic vessels through the bridge while determination made pursuant to section 1 of Center of Security and Protection of the recognizing the bridge’s importance to this order. Homeland; born November 2, 1960] the Port of Victoria that it serves. Sec. 8. The Secretary of the Treasury, in 3. Justo Jose´ Noguera Pietri [President of the DATES: This interim rule is effective July consultation with the Secretary of State, is Venezuelan Corporation of Guayana, 10, 2015. hereby authorized to take such actions, former General Commander of the Comments and related material must including the promulgation of rules and National Guard; born March 15, 1961] regulations, and to employ all powers reach the Coast Guard on or before 4. Katherine Nayarith Haringhton Padron September 8, 2015. granted to the President by IEEPA and [National Level Prosecutor of the 20th section 5 of the Venezuela Defense of Human District Office of the Public Ministry; ADDRESSES: You may submit comments, Rights Act, other than the authorities born December 5, 1971] identified by docket number, using any contained in sections 5(b)(1)(B) and 5(c) of 5. Manuel Eduardo Pe´rez Urdaneta [Director one of the following methods: that Act, as may be necessary to carry out the of the National Police; born May 26, (1) Federal eRulemaking Portal: purposes of this order, with the exception of 1962] http://www.regulations.gov. section 2 of this order, and the relevant 6. Manuel Gregorio Bernal Martı´nez [Chief of (2) Fax: (202) 493–2251. provisions of section 5 of that Act. The the 31st Armored Brigade of Caracas, (3) Mail or Delivery: Docket Secretary of the Treasury may redelegate any former Director General of the National of these functions to other officers and Management Facility (M–30), U.S. Intelligence Service; born July 12, 1965] Department of Transportation, West agencies of the United States Government 7. Miguel Alcides Vivas Landino [Inspector consistent with applicable law. All agencies General of the National Armed Forces, Building Ground Floor, Room W12–140, of the United States Government are hereby former Commander of the Andes Integral 1200 New Jersey Avenue SE., directed to take all appropriate measures Strategic Defense Region of the National Washington, DC 20590–0001. Deliveries within their authority to carry out the Armed Forces; born July 8, 1961] accepted between 9 a.m. and 5 p.m., provisions of this order. Dated: July 2, 2015. Monday through Friday, except federal Sec. 9. The Secretary of State is hereby holidays. The telephone number is 202– authorized to take such actions, including the John E. Smith, promulgation of rules and regulations, and to 366–9329. Acting Director, Office of Foreign Assets See the ‘‘Public Participation and employ all powers granted to the President Control. by IEEPA, the INA, and section 5 of the Request for Comments’’ portion of the Venezuela Defense of Human Rights Act, Approved: SUPPLEMENTARY INFORMATION section including the authorities set forth in sections Dated: July 2, 2015. below for further instructions on 5(b)(1)(B), 5(c), and 5(d) of that Act, as may Adam J. Szubin, submitting comments. To avoid be necessary to carry out section 2 of this Acting Under Secretary, Office of Terrorism duplication, please use only one of order and the relevant provisions of section and Financial Intelligence, Department of the these methods. 5 of that Act. The Secretary of State may Treasury. FOR FURTHER INFORMATION CONTACT: If redelegate any of these functions to other officers and agencies of the United States [FR Doc. 2015–16782 Filed 7–9–15; 8:45 am] you have questions on this rule, call or Government consistent with applicable law. BILLING CODE P email Ms. Geri Robinson; Bridge Sec. 10. The Secretary of the Treasury, in Administration Branch, Eighth Coast consultation with the Secretary of State, is Guard District; telephone 504–671– hereby authorized to determine that DEPARTMENT OF HOMELAND 2128, email [email protected]. If circumstances no longer warrant the blocking SECURITY you have questions on viewing or of the property and interests in property of submitting material to the docket, call a person listed in the Annex to this order, Coast Guard Cheryl F. Collins, Program Manager, and to take necessary action to give effect to Docket Operations, telephone (202) that determination. 33 CFR Part 117 Sec. 11. The Secretary of the Treasury, in 366–9826. consultation with the Secretary of State, is [Docket No. USCG–2014–0952] SUPPLEMENTARY INFORMATION: hereby authorized to submit the recurring and final reports to the Congress on the RIN 1625–AA09 Table of Acronyms national emergency declared in this order, CFR Code of Federal Regulations consistent with section 401(c) of the NEA (50 Drawbridge Operation Regulation; DHS Department of Homeland Security U.S.C. 1641(c)) and section 204(c) of IEEPA Victoria Barge Canal, Bloomington, TX USCG United States Coast Guard (50 U.S.C. 1703(c)). NEPA National Environmental Policy Act AGENCY: Sec. 12. This order is not intended to, and Coast Guard, DHS. NPRM Notice of Proposed Rule Making does not, create any right or benefit, ACTION: Interim rule with request for § Section Symbol substantive or procedural, enforceable at law comments. U.S.C. United States Code or in equity by any party against the United JOC Joint Outfall Canal States, its departments, agencies, or entities, SUMMARY: The Coast Guard is modifying its officers, employees, or agents, or any other the method of operation for the Victoria A. Public Participation and Request for person. Barge Canal Railroad Bridge across the Comments Sec. 13. This order is effective at 12:01 a.m. Victoria Barge Canal, mile 29.4, at We encourage you to participate in eastern daylight time on March 9, 2015. Bloomington, Victoria County, Texas. this rulemaking by submitting Barack Obama The bridge owner, the Victoria County comments and related materials. All THE WHITE HOUSE, Navigation District, in conjunction with comments received will be posted, March 8, 2015 the Union Pacific Railroad (UPRR), the without change to http:// Annex operator of the bridge, is operating the www.regulations.gov and will include 1. Antonio Jose´ Benavides Torres bridge remotely under a temporary any personal information you have [Commander of the Central Integral deviation. This interim rule codifies the provided.

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1. Submitting Comments our dockets by the name of the C. Basis and Purpose If you submit a comment, please individual submitting the comment (or The Coast Guard received a request include the docket number for this signing the comment, if submitted on from the bridge owner, the Victoria rulemaking (USCG–2014–0952), behalf of an association, business, labor County Navigation District, in indicate the specific section of this union, etc.). You may review a Privacy conjunction with the bridge operator, document to which each comment Act notice regarding our public dockets the Union Pacific Railroad (UPRR) to applies, and provide a reason for each in the January 17, 2008, issue of the remotely operate the vertical lift span suggestion or recommendation. You Federal Register (73 FR 3316). bridge across the Victoria Barge Canal, may submit your comments and 4. Public Meeting at Mile 29.4 near Bloomington, Texas. material online, or by fax, mail or hand The bridge owner and operator delivery, but please use only one of We do not now plan to hold a public requested to operate the bridge remotely these means. If you submit a comment meeting. But you may submit a request from its dispatching center in Spring, online via http://www.regulations.gov, it for one to the docket using one of the Texas and remove the requirement that will be considered received by the Coast four methods specified under a bridge tender be present on site at all Guard when you successfully transmit ADDRESSES. Please explain why one times. A temporary deviation was the comment. If you fax, hand deliver, would be beneficial. If we determine issued permitting these practices. Under or mail your comment, it will be that one would aid this rulemaking, we the procedures now in use, the bridge considered as having been received by will hold one at a time and place will continue to open on signal for the the Coast Guard when it is received at announced by a later notice in the passage of vessels. the Docket Management Facility. We Federal Register. This final rule will allow the bridge recommend that you include your name B. Regulatory History and Information operator to increase efficiency of bridge and a mailing address, an email address, operations and vessel transit by or a phone number in the body of your On December 30, 2014, we published remotely operating the bridge. This document so that we can contact you if a temporary deviation from regulations; method provides for the opening signal we have questions regarding your request for comments (TD) entitled, to be received by the railroad dispatcher submission. ‘‘Drawbridge Operation Regulation; and allows the dispatcher to open the To submit your comment online, go to Victoria Barge Canal, Bloomington, bridge from a remote location. Vessel http://www.regulations.gov, type the Texas’’ in the Federal Register (79 FR traffic on the waterway will be docket number (USCG–2014–0952) in 78304). We received no comments on monitored by the railroad dispatcher by the ‘‘SEARCH’’ box and click the temporary deviation. No public use of an Automatic Identification ‘‘SEARCH.’’ Then click on ‘‘Submit a meeting was requested, and none was System (AIS). The AIS System allows Comment’’ on the line associated with held. the Port of Victoria and the UPRR this rulemaking. The Coast Guard is issuing this dispatcher to determine where vessels If you submit your comments by mail interim final rule without prior notice are located along the waterway in the or hand delivery, submit them in an pursuant to authority under section 4(a) vicinity of the bridge. We also note that unbound format, no larger than 81⁄2 by of the Administrative Procedure Act the Victoria County Navigation District 11 inches, suitable for copying and (APA) (5 U.S.C.) 553(b)). This provision has a carriage requirement that all electronic filing. If you submit authorizes an agency to issue a rule vessels desiring to transit the Victoria comments by mail and would like to without prior notice and opportunity to Barge Canal to the Port of Victoria be know that they reached the Facility, comment when the agency for good equipped with an operating AIS please enclose a stamped, self-addressed cause finds that those procedures are transponder. postcard or envelope. We will consider ‘‘impracticable, unnecessary, or contrary The Victoria Barge Canal Railroad all comments and material received to the public interest.’’ Under 5 U.S.C. Bridge is a vertical lift span bridge during the comment period and may 553(b)(B), the Coast Guard finds that across the Victoria Barge Canal, at Mile change the rule based on your good cause exists for not publishing a 29.4 near Bloomington, Texas. The comments. NPRM with respect to this rule because vertical lift bridge has a vertical doing so would be impracticable and clearance of 22 feet above high water in 2. Viewing Comments and Documents contrary to the public interest. This the closed-to-navigation position and 50 To view comments, as well as bridge has been operating on a modified feet above high water in the open-to- documents mentioned in this preamble schedule under a temporary deviation, navigation position. Traffic on this as being available in the docket, go to and given that we have received no waterway is primarily commercial and http://www.regulations.gov, type the comments, we believe that the schedule consists of vessels and tows that provide docket number (USCG–2014–0952) in has been working. Reverting to the old services to the Port of Victoria. the ‘‘SEARCH’’ box and click schedule in order to accept comment D. Discussion of Comments, Changes ‘‘SEARCH.’’ Click on Open Docket would present logistical difficulties for and the Interim Rule Folder on the line associated with this the operator and users. rulemaking. You may also visit the Under 5 U.S.C. 553(d)(3), the Coast No comments were received during Docket Management Facility in Room Guard finds that good cause exists for the comment period of the temporary W12–140 on the ground floor of the making this rule effective in less than 30 deviation. However, a contractor raised Department of Transportation West days after publication in the Federal an issue regarding the requirements of Building, 1200 New Jersey Avenue SE., Register. Under the Temporary dispatchers to contact the vessels when Washington, DC 20590, between 9 a.m. Deviation published on December 30, a vessel entered the two-mile bridge and 5 p.m., Monday through Friday, 2014, this bridge has been remotely zone. In response to this concern, the except Federal holidays. operated, and mariners will benefit from Coast Guard decided that further there not being any changes to the comments would be accepted under an 3. Privacy Act ongoing method of operation of the Interim Rule. Anyone can search the electronic bridge that has been in place for the past The bridge owner, the Victoria County form of comments received into any of six months. Navigation District, in conjunction with

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the Union Pacific Railroad (UPRR), the indication that a train is in the block This rule will affect the following operator of the bridge, requested and the vessel will be cleared as soon entities, some of which may be small permission to remotely operate the as practicable. If the vessel operator has entities: the property owners, vessel bridge. A test deviation was performed not yet communicated with the railroad operators and waterway users who wish to test the proposed remote operating dispatcher, the vessel operator should to transit on Victoria Barge Canal daily. system as the method for opening the immediately call the railroad dispatcher This rule will not have a significant bridge under the existing operating via telephone at 800–262–4691. impact on a substantial number of small schedule and to determine whether a 3. If any vessel reaches the one-half entities for the following reasons: a test permanent change to remote operations mile post and has not communicated deviation was conducted and no should be approved. with the railroad dispatcher nor been opposition in response to the test was Prior to the granting of the temporary cleared to proceed, the vessel should received by the Coast Guard Office of deviation, the bridge opened on signal stop and contact either the railroad Bridge Administration. Further, through for the passage of vessels in accordance dispatcher at 800–262–4691 or the Port pre-coordination and consultation with with 33 CFR 117.5. When a request of Victoria emergency contact at 361– property owners, vessel operators and signal to open the bridge is received and 570–8855. waterway users, this operating schedule before opening the bridge for vessel Traffic on this waterway is primarily will accommodate all waterway users traffic, the tender was required by his commercial and consists of vessels and with minimal impact to their transits on company to contact the railroad tows that provide services to the Port of the waterway. dispatcher so that railroad traffic could Victoria. be stopped. Under the existing 3. Assistance for Small Entities deviation, the bridge continues to open E. Regulatory Analyses Under section 213(a) of the Small Business Regulatory Enforcement on signal for the passage of vessels, but We developed this rule after Fairness Act of 1996 (Public Law 104– the method of opening the bridge is considering numerous statutes and accomplished through remote operation 121), we want to assist small entities in executive orders related to rulemaking. by the railroad dispatcher. understanding this rule. If the rule Below we summarize our analyses The bridge operator, UPRR, would affect your small business, based on these statutes or executive determined that by remotely operating organization, or governmental orders. the bridge, vessel transit through the jurisdiction and you have questions bridge is more efficient. This remote 1. Regulatory Planning and Review concerning its provisions or options for method of operation provides for the compliance, please contact the person This rule is not a significant signal to open to be received directly by listed in the FOR FURTHER INFORMATION regulatory action under section 3(f) of the railroad dispatcher and will allow CONTACT, above. Executive Order 12866, Regulatory the railroad dispatcher to then open the Small businesses may send comments Planning and Review, as supplemented bridge from the remote location. on the actions of Federal employees by Executive Order 13563, Improving The Interim Rule allows for mariners who enforce, or otherwise determine Regulation and Regulatory Review, and to continue their transit while the bridge compliance with, Federal regulations to does not require an assessment of is remotely operated and to comment as the Small Business and Agriculture potential costs and benefits under to whether the proposed method of Regulatory Enforcement Ombudsman section 6(a)(3) of Order 12866 or under operation is sufficient to insure the and the Regional Small Business section 1 of Executive Order 13563. The safety of vessels transiting the area. Regulatory Fairness Boards. The Office of Management and Budget has This interim rule allows the bridge to Ombudsman evaluates these actions not reviewed it under those Orders. be unmanned and operated remotely at annually and rates each agency’s all times. To facilitate the continued This rule allows all vessels utilizing responsiveness to small business. If you smooth operation of the bridge, this stretch of the waterway to continue wish to comment on actions by mariners should exchange opening to transit the waterway unencumbered employees of the Coast Guard, call 1– requests using the following method: while provide for the bridge owner to 888–REG–FAIR (1–888–734–3247). The 1. When a vessel with AIS equipment operate the bridge from a remote Coast Guard will not retaliate against onboard approaches the two-mile post, location. Vessel operators should not small entities that question or complain the dispatcher will receive a prompt to see any changes in the efficiency of about this rule or any policy or action open the bridge, if required, because a vessel movements as the bridge will still of the Coast Guard. vessel is approaching. The vessel may be required to open on signal for the continue to transit the waterway, but passage of vessels. 4. Collection of Information must tune their radiotelephone to VHF– 2. Impact on Small Entities This rule calls for no new collection FM channel 13 and receive passing of information under the Paperwork instructions from the railroad The Regulatory Flexibility Act of 1980 Reduction Act of 1995 (44 U.S.C. 3501– dispatcher. The dispatcher must contact (RFA), 5 U.S.C. 601–612, as amended, 3520). the vessel promptly to provide passing requires federal agencies to consider the instructions to ensure the continued potential impact of regulations on small 5. Federalism safe transit of the vessel. Operators of entities during rulemaking. The term A rule has implications for federalism vessels without AIS equipment or ‘‘small entities’’ comprises small under Executive Order 13132, operators of vessels with AIS who prefer businesses, not-for-profit organizations Federalism, if it has a substantial direct to contact the railroad dispatcher via that are independently owned and effect on the States, on the relationship telephone may call the railroad operated and are not dominant in their between the national government and dispatcher at 800–262–4691 to receive fields, and governmental jurisdictions the States, or on the distribution of instructions and arrange passing. with populations of less than 50,000. power and responsibilities among the 2. When any vessel approaches the The Coast Guard certifies under 5 U.S.C. various levels of government. We have one mile post, the railroad dispatcher 605(b) that this rule would not have a analyzed this rule under that Order and should have either cleared the vessel significant economic impact on a have determined that it does not have through the bridge or given an substantial number of small entities. implications for federalism.

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6. Protest Activities That Significantly Affect Energy Supply, transit of the vessel. Vessels without Distribution, or Use. AIS equipment or vessels with AIS who The Coast Guard respects the First would prefer to call via telephone, may Amendment rights of protesters. 13. Technical Standards call the railroad dispatcher at 800–262– Protesters are asked to contact the This rule does not use technical 4691 to arrange passing instructions. person listed in the FOR FURTHER standards. Therefore, we did not (b) When any vessel approaches the INFORMATION CONTACT section to consider the use of voluntary consensus one-mile post, the railroad dispatcher coordinate protest activities so that your standards. should have either cleared the vessel message can be received without through the bridge or given an jeopardizing the safety or security of 14. Environment indication that a train is in the block people, places or vessels. We have analyzed this rule under and the vessel will be cleared as soon 7. Unfunded Mandates Reform Act Department of Homeland Security as practicable. If the vessel has not yet Management Directive 023–01 and The Unfunded Mandates Reform Act spoken with the railroad dispatcher, the Commandant Instruction M16475.lD, vessel should immediately call the of 1995 (2 U.S.C. 1531–1538) requires which guides the Coast Guard in Federal agencies to assess the effects of railroad dispatcher via telephone at complying with the National 800–262–4691. their discretionary regulatory actions. In Environmental Policy Act of 1969 particular, the Act addresses actions (c) If any vessel reaches the one-half (NEPA) (42 U.S.C. 4321–4370f), and mile post and has not communicated that may result in the expenditure by a have made a determination that this State, local, or tribal government, in the with the railroad dispatcher nor been action is one of a category of actions cleared to proceed, the vessel should aggregate, or by the private sector of which do not individually or $100,000,000 (adjusted for inflation) or stop and contact either the railroad cumulatively have a significant effect on dispatcher at 800–262–4691 or the Port more in any one year. Though this rule the human environment. This rule will not result in such an expenditure, of Victoria emergency contact at 361– simply promulgates the operating 570–8855. we do discuss the effects of this rule regulations or procedures for elsewhere in this preamble. drawbridges. This rule is categorically Dated: June 17, 2015. David R. Callahan, 8. Taking of Private Property excluded, under figure 2–1, paragraph (32)(e), of the Instruction. Rear Admiral, U.S. Coast Guard, Commander, This rule will not cause a taking of Under figure 2–1, paragraph (32)(e), of Eighth Coast Guard District. private property or otherwise have the Instruction, an environmental [FR Doc. 2015–16984 Filed 7–9–15; 8:45 am] taking implications under Executive analysis checklist and a categorical BILLING CODE 9110–04–P Order 12630, Governmental Actions and exclusion determination are not Interference with Constitutionally required for this rule. Protected Property Rights. DEPARTMENT OF HOMELAND List of Subjects in 33 CFR Part 117 SECURITY 9. Civil Justice Reform Bridges. This rule meets applicable standards For the reasons discussed in the Coast Guard in sections 3(a) and 3(b)(2) of Executive preamble, the Coast Guard amends 33 Order 12988, Civil Justice Reform, to CFR part 117 as follows: 33 CFR Part 165 minimize litigation, eliminate [Docket No. USCG–2014–0300] ambiguity, and reduce burden. PART 117—DRAWBRIDGE OPERATION REGULATIONS 10. Protection of Children Safety Zones; Annual Fireworks ■ Displays Within the Sector Columbia We have analyzed this rule under 1. The authority citation for part 117 River Captain of the Port Zone Executive Order 13045, Protection of continues to read as follows: Children from Environmental Health Authority: 33 U.S.C. 499; 33 CFR 1.05–1; AGENCY: Coast Guard, DHS. Risks and Safety Risks. This rule is not and Department of Homeland Security ACTION: Notice of enforcement of an economically significant rule and Delegation No. 0170.1. regulation. does not create an environmental risk to ■ 2. Add § 117.991 to read as follows: health or risk to safety that might SUMMARY: The Coast Guard will enforce disproportionately affect children. § 117.991 Victoria Barge Canal the Annual Fireworks Display Safety The draw of the Victoria Barge Canal Zones in the Captain of the Port 11. Indian Tribal Governments Railroad Bridge across Victoria Barge Columbia River Zone. Each safety zone This rule does not have tribal Canal, mile 29.4, at the Bloomington, will be enforced 1 hour before and 1 implications under Executive Order Victoria County, Texas, shall operate as hour after each scheduled fireworks 13175, Consultation and Coordination follows: display described in that rule. The Coast with Indian Tribal Governments, (a) The draw shall be unmanned and Guard will not enforce zones which are because it does not have a substantial when a vessel with AIS equipment intended for fireworks displays that are direct effect on one or more Indian onboard approaches the two-mile post, not planned to occur this year. This tribes, on the relationship between the the dispatcher will receive a prompt to action is necessary to protect watercraft Federal Government and Indian tribes, open the bridge, if required, because a and their occupants from the inherent or on the distribution of power and vessel is approaching. The vessel may safety hazards associated with fireworks responsibilities between the Federal continue to transit the waterway, but displays. During the enforcement Government and Indian tribes. must tune their radiotelephone to VHF– period, no person or vessel may enter or FM channel 13 and receive passing remain in the safety zone without 12. Energy Effects instructions from the railroad permission from the Sector Columbia This action is not a ‘‘significant dispatcher. The dispatcher must contact River Captain of the Port. energy action’’ under Executive Order the vessel promptly to provide passing DATES: The regulations in 33 CFR 13211, Actions Concerning Regulations instruction to insure the continued safe 165.1315 will be enforced 1 hour before

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and 1 hour each event listed in the table Division, MSU Portland, Coast Guard; displays within the Captain of the Port in 33 CFR 165.1315(a). telephone 503–240–9319, email Columbia River Zone in the locations FOR FURTHER INFORMATION CONTACT: If [email protected]. and during the dates and times listed in you have questions on this notice of SUPPLEMENTARY INFORMATION: The Coast the table below, reproduced from 33 enforcement, call or email Mr. Ken Guard will enforce the safety zone CFR 165.1315(a): Lawrenson, Waterways Management regulations for the Annual Fireworks

Event name Approximate Approximate (typically) Event location Date of event latitude longitude

Tri-City Chamber of Commerce Fireworks Display, Kennewick, WA ...... July 4th 2015, 10:00 46°13′37″ N. 119°08′47″ W. Columbia Park. p.m. to 10:30 p.m. Astoria-Warrenton 4th of July Fireworks ...... Astoria, OR ...... July 4th 2015, 10:00 46°11′44″ N. 123°48′25″ W. p.m. to 10:30 p.m. Waterfront Blues Festival Fireworks ...... Portland, OR ...... July 4th 2015, 10:00 45°30′42″ N. 122°40′14″ W. p.m. to 10:30 p.m. Oregon Symphony Concert Fireworks Display ...... Portland, OR ...... September 3rd 2015, 45°30′42″ N. 122°40′14″ W. 9:30 p.m. to 10:00 p.m. Florence Independence Day Celebration ...... Florence, OR ...... July 4th 2015, 10:00 43°58′09″ N. 124°05′50″ W. p.m. to 10:30 p.m. Oaks Park Association ...... Portland, OR ...... July 4th 2015, 10:00 45°28′22″ N. 122°39′59″ W. p.m. to 10:30 p.m. City of Rainier/Rainier Days ...... Rainier, OR ...... July 11th 2015, 10:00 46°05′46″ N. 122°56′18″ W. p.m. to 10:30 p.m. Ilwaco July 4th Committee Fireworks/Independ- Ilwaco, OR ...... July 3rd 2015, 10:00 46°18′17″ N. 124°02’00″ W. ence Day at the Port. p.m. to 10:30 p.m. Splash Aberdeen Waterfront Festival ...... Aberdeen, WA ...... July 4th 2015, 10:00 46°58′40″ N. 123°47′45″ W. p.m. to 10:30 p.m. City of Coos Bay July 4th Celebration/Fireworks Coos Bay, OR ...... July 4th 2015, 10:00 43°22′06″ N. 124°12′’24″ W. Over the Bay. p.m. to 10:30 p.m. Arlington 4th of July ...... Arlington, OR ...... July 4th 2015, 10:00 45°43′23″ N. 120°12′11 W. p.m. to 10:30 p.m. Port of Cascade Locks 4th of July Fireworks Dis- Cascade Locks, OR ...... July 4th 2015, 10:00 45°40′15″ N. 121°53′43″ W. play. p.m. to 10:30 p.m. Astoria Regatta ...... Astoria, OR ...... August 8th 2015, 10:00 46°11′43″ N. 123°489′25″ W. p.m. to 10:30 p.m. Washougal 4th of July ...... Washougal, WA ...... July 4th 2015, 10:00 45°34′32″ N. 122°22′53″ W. p.m. to 10:30 p.m. City of St. Helens 4th of July Fireworks Display ..... St. Helens, OR ...... July 4th 2015, 10:00 45°51′54″ N. 122°47′26″ W. p.m. to 10:30 p.m. Waverly Country Club 4th of July Fireworks Dis- Milwaukie, OR ...... July 4th 2015, 10:00 45°27′03″ N. 122°39′18″ W. play. p.m. to 10:30 p.m. Hood River 4th of July ...... Hood River, OR ...... July 4th 2015, 8:30 p.m. 45°42′58″ N. 121°30′32″ W. to 11:00 p.m. Winchester Bay 4th of July Fireworks Display ...... Winchester Bay, OR ...... July 4th 2015, 10:00 43°40′56″ N. 124°11′13″ W. p.m. to 10:30 p.m. Brookings, OR July 4th Fireworks ...... Brookings, OR ...... July 4th 2015, 10:00 42°02′39″ N. 124°16′14″ W. p.m. to 10:45 p.m. Yachats 4th of July ...... Yachats, OR ...... July 4th, 2015, 10:00 44°18′38″ N. 124°06′27″ W. p.m. to 10:30 p.m. Lincoln City 4th of July ...... Lincoln City, OR ...... July 4th, 2015, 10:00 44°55′28″ N. 124°01′31″ W. p.m. to 10:30 p.m. July 4th Party at the Port of Gold Beach ...... Gold Beach, OR ...... July 4th, 2015, 10:00 42°25′30″ N. 124°25′03″ W. p.m. to 10:30 p.m. Gardiner 4th of July ...... Gardiner, OR ...... July 4th, 2015, 10:00 43°43′55″ N. 124°06′48″ W. p.m. to 10:30 p.m. Huntington 4th of July ...... Huntington, OR ...... July 4th, 2015, 10:00 44°18′02″ N. 117°13′33″ W. p.m. to 10:30 p.m. Toledo Summer Festival ...... Toledo, OR ...... July 25th, 2015, 10:00 44°37′08″ N. 123°56′24″ W. p.m. to 10:30 p.m. Port Orford 4th of July ...... Port Orford, OR ...... July 4th, 2015, 10:00 42°44′31″ N. 124°29′30″ W. p.m. to 10:30 p.m. The Dalles Area Chamber of Commerce Fourth of The Dalles, OR ...... July 4th, 2015, 10:00 45°36′18″ N. 121°10′23″ W. July. p.m. to 10:30 p.m. Roseburg Hometown 4th of July ...... Roseburg, OR ...... July 4th, 2015, 10:00 43°12′58″ N. 123°22′10″ W. p.m. to 10:30 p.m. Newport 4th of July ...... Newport, OR ...... July 4th, 2015, 10:00 44°37′40″ N. 124°02′45″ W. p.m. to 10:30 p.m. The Mill Casino Independence Day ...... North Bend, OR ...... July 3rd 2015, 10:00 43°23′42″ N. 124°12′55″ W. p.m. to 10:30 p.m. Waldport 4th of July ...... Waldport, OR ...... July 3rd, 2015, 10:00 44°25′31″ N. 124°04′44″ W. p.m. to July 4th, 2015 1:00 a.m.

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Event name Approximate Approximate (typically) Event location Date of event latitude longitude

Westport 4th of July ...... Westport, WA ...... July 4th 2015, 10:00 46°54′17″ N. 124°05′59″ W. p.m. to 10:30 p.m. The 4th of July at Pekin Ferry ...... Ridgefield, WA ...... June 27, 2015, 10:00 45°52′07″ N. 122°43′53″ W. p.m. to 11:59 p.m. Leukemia and Lymphoma Light the Night Fire- Portland, OR ...... October 24th, 2015, 7:45 45°31′14″ N. 122°40′06″ W. works Display. p.m. to 8:15 p.m.

Under the provisions of 33 CFR enforcement, he may use a Broadcast in the Sector Long Island Sound area of 165.1315 and 33 CFR part 165, subpart Notice to Mariners to grant general responsibility on the dates and times C, no person or vessel may enter or permission to enter the regulated area. listed in the table below. This action is remain in the safety zones without Dated: June 11, 2015. necessary to provide for the safety of life permission of the Captain of the Port D.J. Travers, on navigable waterways during the Columbia River or his designated Captain, U.S. Coast Guard, Captain of the events. During the enforcement periods, representative. See 33 CFR 165.1315 Port, Sector Columbia River. no person or vessel may enter the safety zones without permission of the Captain and 33 CFR part 165, subpart C for [FR Doc. 2015–16972 Filed 7–9–15; 8:45 am] additional information and prohibitions. of the Port (COTP) Sector Long Island BILLING CODE 9110–04–P Persons or vessels wishing to enter the Sound or designated representative. safety zones may request permission to DATES: The regulations in 33 CFR do so from the Captain of the Port DEPARTMENT OF HOMELAND 165.151 will be enforced during the Columbia River or his designated SECURITY dates and times as listed in the representative via VHF Channel 16 or SUPPLEMENTARY INFORMATION section of Coast Guard 13. The Coast Guard may be assisted by this document. other Federal, State, or local enforcement agencies in enforcing this 33 CFR Part 165 FOR FURTHER INFORMATION CONTACT: If you have questions on this notice of regulation. [Docket No. USCG–2012–1036] This notice of enforcement is issued enforcement, call or email Petty Officer under authority of 33 CFR 165.1315 and Safety Zones; Recurring Marine Events Ian Fallon, Waterways Management 5 U.S.C. 552 (a). In addition to this in Captain of the Port Long Island Division, U.S. Coast Guard Sector Long Island Sound; telephone 203–468–4565, notice in the Federal Register, the Coast Sound Zone email [email protected]. Guard will provide the maritime AGENCY: Coast Guard, DHS. community with notification of this SUPPLEMENTARY INFORMATION: ACTION: Notice of enforcement of The Coast enforcement period via the Local Notice regulation. Guard will enforce the safety zones to Mariners. If the COTP determines that listed in 33 CFR 165.151 on the a regulated area need not be enforced for SUMMARY: The Coast Guard will enforce specified dates and times as indicated in the full duration stated in this notice of two safety zones for fireworks displays the following Table.

TABLE 1 TO § 165.151

7.8 Westport Police Athletic League Fireworks ...... • Date: July 3, 2015. • Rain Date: July 6, 2015. • Time: 8:30 p.m. to 10:00 p.m. • Location: Waters off Compo Beach, Westport, CT in approximate po- sition, 41°06′15″ N, 073°20′57″ W (NAD 83). 7.29 Mashantucket Pequot Fireworks ...... • Date: July 11, 2015. • Rain Date: July 12, 2015. • Time: 8:30 p.m. to 10:30 p.m. • Location: Waters of the Thames River New London, CT in approxi- mate positions Barge 1, 41°21′03.03″ N, 072°5′24.5″ W Barge 2, 41°20′51.75″ N, 072°5′18.90″ W (NAD 83).

Under the provisions of 33 CFR notice in the Federal Register, the Coast Dated: June 24, 2015. 165.151, the fireworks displays listed Guard will provide the maritime H.L. Morrison, above are established as safety zones. community with advance notification of Commander, U.S. Coast Guard, Acting During the enforcement periods, this enforcement period via the Local Captain of the Port Sector Long Island Sound. persons and vessels are prohibited from Notice to Mariners or marine [FR Doc. 2015–16985 Filed 7–9–15; 8:45 am] entering into, transiting through, information broadcasts. If the COTP BILLING CODE 9110–04–P mooring, or anchoring within the safety determines that the safety zones need zones unless they receive permission not be enforced for the full duration from the COTP or designated stated in this notice of enforcement, a representative. Broadcast Notice to Mariners may be This notice of enforcement is issued used to grant general permission to under authority of 33 CFR part 165 and enter the regulated area. 5 U.S.C. 552 (a). In addition to this

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DEPARTMENT OF HOMELAND Collins, Program Manager, Docket demonstrations in the vicinity of SECURITY Operations, telephone 202–366–9826. offshore exploration support vessels SUPPLEMENTARY INFORMATION: must do so outside of the temporary Coast Guard safety zones. Results from a thorough Table of Acronyms and comprehensive examination of the 33 CFR Part 165 DHS Department of Homeland Security five criteria identified above, in FR Federal Register conjunction with International Maritime [Docket Number USCG–2015–0267] NPRM Notice of Proposed Rulemaking Organization guidelines and existing RIN 1625–AA00 TFR Temporary Final Rule regulations, warrant establishment of A. Regulatory History and Information safety zones to ensure safe and efficient Safety Zone—Oil Exploration Staging vessel transits within the Port of Area in Goodhope Bay; Kotzebue On May 1, 2015, we published a Goodhope Bay and the adjacent Sound, AK notice of proposed rulemaking (NPRM) territorial sea. These safety zones will entitled Safety Zones: Oil Exploration facilitate safe navigation and protect AGENCY: Coast Guard, DHS. Staging Area in Goodhope Bay, vessels from hazards caused by ACTION: Temporary final rule. Kotzebue Sound, AK in the Federal increased volume of vessel traffic, Register. We received one letter including hazards that may be SUMMARY: The Coast Guard is commenting on the proposed rule. No intentionally created, in the Port of establishing temporary safety zones in public meeting was requested, and none Goodhope Bay. the Port of Goodhope Bay, Alaska, and was held. adjacent U.S. territorial sea on July 1 C. Discussion of Comments and the and October 15, 2015. The temporary B. Basis and Purpose Final Rule safety zones will encompass the Based on information provided by For the reasons described above, the navigable waters within a 25-yard private entities affiliated with oil Coast Guard is finalizing a temporary radius of moored or anchored offshore exploration activities, the Coast Guard safety zone due to safety concerns for exploration or support vessels, and the anticipates approximately eleven personnel aboard the support vessels, navigable waters within a 100-yard vessels associated with exploratory mariners operating other vessels in the radius of underway offshore exploration drilling operations will call upon the vicinity of Goodhope Bay, and to protect or support vessels. The purpose of the Port of Goodhope Bay, Alaska, en route the environment. The regulation will safety zones are to protect persons and to proposed drilling sites in the Chukchi significantly reduce the threat of vessels during an unusually high and Beaufort. The addition of these collisions, allisions, or other incidents volume of vessel traffic in the Port of vessels in conjunction with the high which could endanger the safety of all Goodhope Bay and the adjacent volume of traffic operating within the vessels operating on the navigable territorial sea due to additional vessel Port of Goodhope Bay creates a safety waters of the Port of Goodhope Bay and traffic associated with exploratory risk for all vessels operating therein. the adjacent territorial sea. The Coast drilling operations in the Chukchi and Such risks include reduced ability to Guard is establishing temporary safety Beaufort seas during the summer of navigate safely within the congested zones that will prohibit entry into the 2015. waterways of the port during the subject zones unless specifically authorized by time period. the Captain of the Port, Western Alaska, DATES: This rule is effective without The vessels and equipment or his designated on-scene actual notice from July 10, 2015 until anticipated to be staged within these representative. October 15, 2015. For the purposes of areas, due to their size and technical enforcement, actual notice will be used The temporary safety zones will complexity, pose a safety risk to vessels encompass the waters within 25 yards from July 1, 2015, until July 10, 2015. that attempt to navigate too closely to ADDRESSES: Documents mentioned in of the support vessel if the support them. Limited rescue capabilities are vessel is moored or at anchor, and 100 this preamble are part of docket [USCG– available in the area. In evaluating 2015–0267]. To view documents yards if the support vessel is in transit. whether a safety zone would be They are in effect from July 1 through mentioned in this preamble as being appropriate, the Coast Guard explored available in the docket, go to http:// October 15, in order to encompass the relevant safety factors and considered expected period of operations. www.regulations.gov, type the docket several criteria, including, but not number in the ‘‘SEARCH’’ box and click limited to: (1) The amount of D. Regulatory Analyses ‘‘SEARCH.’’ Click on Open Docket commercial activity in and around the We developed this temporary final Folder on the line associated with this Port of Goodhope Bay; (2) safety rule after considering numerous statutes rulemaking. You may also visit the concerns for personnel aboard the and executive orders related to Docket Management Facility in Room vessels; (3) sensitivity of the rulemaking. Below we summarize our W12–140 on the ground floor of the environment in the region and potential analyses based on a number of these Department of Transportation West adverse affects caused by a grounding, statutes or executive orders. Building, 1200 New Jersey Avenue SE., allision, or collision; (4) the types and Washington, DC 20590, between 9 a.m. volume of vessels navigating in the 1. Regulatory Planning and Review and 5 p.m., Monday through Friday, vicinity of the Port of Goodhope Bay; This rule is not a significant except Federal holidays. and (5) the need to allow for lawful regulatory action under section 3(f) of FOR FURTHER INFORMATION CONTACT: If demonstrations without endangering the Executive Order 12866, Regulatory you have questions on this temporary safe operations of support vessels. Planning and Review, as supplemented rule, call or email LT Eugene Chung, Vessels transiting in the vicinity of the by Executive Order 13563, Improving Sector Anchorage Prevention, Coast proposed safety zones could consist of Regulation and Regulatory Review, and Guard; telephone 907–428–4189, Email large commercial shipping vessels, does not require an assessment of [email protected]. If you have fishing vessels, tugs and tows, and potential costs and benefits under questions on viewing or submitting recreational vessels. Any group or section 6(a)(3) of Executive Order 12866 material to the docket, call Cheryl individual intending to conduct lawful or under section 1 of Executive Order

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13563. The Office of Management and the Small Business and Agriculture 9. Civil Justice Reform Budget has not reviewed it under those Regulatory Enforcement Ombudsman This rule meets applicable standards Orders. The safety zone will have and the Regional Small Business in sections 3(a) and 3(b)(2) of Executive negligible economic impact, as there Regulatory Fairness Boards. The Order 12988, Civil Justice Reform, to will be ample room for navigation Ombudsman evaluates these actions minimize litigation, eliminate around it. annually and rates each agency’s ambiguity, and reduce burden. 2. Impact on Small Entities responsiveness to small business. If you wish to comment on actions by 10. Protection of Children From This rule is not a significant employees of the Coast Guard, call 1– Environmental Health Risks regulatory action due to the minimal 888–REG–FAIR (1–888–734–3247). The We have analyzed this rule under impact this will have on standard vessel Coast Guard will not retaliate against Executive Order 13045, Protection of operations within the Port of Goodhope small entities that question or complain Children from Environmental Health Bay because of the limited area affected about this rule or any policy or action Risks and Safety Risks. This rule is not and the limited duration of the rule. The of the Coast Guard. an economically significant rule and safety zones are also designed to allow would not create an environmental risk 4. Collection of Information vessels transiting through the area to to health or risk to safety that might safely travel around the safety zones This rule calls for no new collection disproportionately affect children. without incurring additional costs. The Regulatory Flexibility Act of 1980 of information under the Paperwork 11. Indian Tribal Governments (RFA), (5 U.S.C. 601–612, as amended, Reduction Act of 1995 (44 U.S.C. 3501– 3520.). This rule does not have tribal requires federal agencies to consider the implications under Executive Order potential impact of regulations on small 5. Federalism 13175, Consultation and Coordination entities during rulemaking. The term with Indian Tribal Governments, ‘‘small entities’’ comprises small A rule has implications for federalism because it would not have a substantial businesses, not-for-profit organizations under Executive Order 13132, direct effect on one or more Indian that are independently owned and Federalism, if it has a substantial direct tribes, on the relationship between the operated and are not dominant in their effect on the States, on the relationship Federal Government and Indian tribes, fields, and governmental jurisdictions between the national government and or on the distribution of power and with populations of less than 50,000. the States, or on the distribution of responsibilities between the Federal The Coast Guard certifies under 5 U.S.C. power and responsibilities among the Government and Indian tribes. 605(b) that this rule will not have a various levels of government. We have significant economic impact on a analyzed this rule under that Order and 12. Energy Effects substantial number of small entities. determined that this rule does not have This rule is not a ‘‘significant energy This rule could affect the following implications for federalism. action’’ under Executive Order 13211, entities, some of which might be small 6. Protest Activities Actions Concerning Regulations That entities: the owners or operators of Significantly Affect Energy Supply, vessels intending to transit through or The Coast Guard respects the First Distribution, or Use. anchor in within a portion of the Port Amendment rights of protesters. 13. Technical Standards of Dutch Harbor or adjacent waters, Protesters are asked to contact the from June 15, 2015 to July 15, 2015. person listed in the FOR FURTHER This rule does not use technical This safety zone would not have a INFORMATION CONTACT section to standards. Therefore, we did not significant economic impact on a coordinate protest activities so that your consider the use of voluntary consensus substantial number of small entities for message can be received without standards. the following reasons: These safety zone jeopardizing the safety or security of 14. Environment restrictions are only effective from July people, places or vessels. 1, 2015 to October 15, 2015, and are We have analyzed this rule under limited only to waters within 25 yards 7. Unfunded Mandates Reform Act Department of Homeland Security of the support vessel if the support Management Directive 023–01 and The Unfunded Mandates Reform Act vessel is moored or at anchor, and 100 Commandant Instruction M16475.lD, of 1995 (2 U.S.C. 1531–1538) requires yards if the support vessel is in transit. which guide the Coast Guard in Federal agencies to assess the effects of The Coast Guard will publish a local complying with the National their discretionary regulatory actions. In notice to mariners (LNM) and will issue Environmental Policy Act of 1969 particular, the Act addresses actions broadcast notice to mariners (BNM) (NEPA) (42 U.S.C. 4321–4370f), and that may result in the expenditure by a alerts via marine channel 16 VHF before have made a preliminary determination State, local, or tribal government, in the the safety zone is enforced. that this action is one of a category of aggregate, or by the private sector of actions that do not individually or 3. Assistance for Small Entities $100,000,000 (adjusted for inflation) or cumulatively have a significant effect on Under section 213(a) of the Small more in any one year. Though this rule the human environment. Specifically, Business Regulatory Enforcement would not result in such an the rule involves establishing a safety Fairness Act of 1996 (Pub. L. 104–121), expenditure, we do discuss the effects of zone, which is categorically excluded in the NPRM we offered to assist small this rule elsewhere in this preamble. from further review under paragraph entities in understanding the rule so 8. Taking of Private Property 34(g) of Figure 2–1 of the Commandant that they could better evaluate its effects Instruction. We seek any comments or on them and participate in the This rule would not cause a taking of information that may lead to the rulemaking process. private property or otherwise have discovery of a significant environmental Small businesses may send comments taking implications under Executive impact from this temporary final rule. on the actions of Federal employees Order 12630, Governmental Actions and An environmental analysis checklist who enforce, or otherwise determine Interference with Constitutionally and a categorical exclusion compliance with, Federal regulations to Protected Property Rights. determination are available in the

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NPRM docket where indicated under vessel shall proceed as directed by the Beaufort seas during the summer of Supporting Documents. COTP’s designated on-scene 2015. representative. List of Subjects in 33 CFR Part 165 DATES: This rule is effective without (3) Entry into the safety zone is actual notice from July 10, 2015 until Harbors, Marine safety, Navigation prohibited unless authorized by the July 15, 2015. For the purposes of (water), Reporting and recordkeeping COTP or his designated on-scene enforcement, actual notice will be used requirements, Security measures, representative. Any persons desiring to from June 15, 2015, until July 10, 2015. Waterways. enter the safety zone must contact the ADDRESSES: Documents mentioned in For the reasons discussed in the designated on-scene representative on this preamble are part of docket [USCG– preamble, the Coast Guard amends 33 VHF channel 16 (156.800 MHz) and 2015–0246]. To view documents CFR part 165 as follows: receive permission prior to entering. (4) If permission is granted to transit mentioned in this preamble as being PART 165—REGULATED NAVIGATION within the safety zone, all persons and available in the docket, go to http:// AREAS AND LIMITED ACCESS AREAS vessels must comply with the www.regulations.gov, type the docket instructions of the designated on-scene number in the ‘‘SEARCH’’ box and click ■ 1. The authority citation for part 165 representative. ‘‘SEARCH.’’ Click on Open Docket continues to read as follows: (5) The COTP, Western Alaska, will Folder on the line associated with this Authority: 33 U.S.C. 1231; 50 U.S.C. 191; notify the maritime and general public rulemaking. You may also visit the 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; by marine information broadcast during Docket Management Facility in Room Department of Homeland Security Delegation the period of time that the safety zones W12–140 on the ground floor of the No. 0170.1 are in force by providing notice in Department of Transportation West ■ 2. Add § 165.T17–0267 to read as accordance with 33 CFR 165.7. Building, 1200 New Jersey Avenue SE., follows: (d) Penalties. Persons and vessels Washington, DC 20590, between 9 a.m. violating this rule are subject to the and 5 p.m., Monday through Friday, § 165.T17–0267 Safety Zone; Port of penalties set forth in 33 U.S.C. 1232 and except Federal holidays. Goodhope Bay; Goodhope Bay, Alaska. 50 U.S.C. 192. FOR FURTHER INFORMATION CONTACT: If (a) Location. The following areas are you have questions on this temporary Dated: June 3, 2015. safety zones: rule, call or email LT Eugene Chung, (1) All navigable waters within a 25- S.D. Montoya, Sector Anchorage Prevention, Coast yard radius of a moored or anchored Commander, U.S. Coast Guard, Acting Guard; telephone 907–428–4189, Email offshore exploration or support vessel, Captain of the Port, Western Alaska. [email protected]. If you have or within a 100-yard radius of any [FR Doc. 2015–16740 Filed 7–9–15; 8:45 am] questions on viewing or submitting underway offshore exploration or BILLING CODE 9110–04–P material to the docket, call Cheryl support vessel, located within the Port Collins, Program Manager, Docket of Goodhope Bay, to the limits of the Operations, telephone 202–366–9826. DEPARTMENT OF HOMELAND U.S. territorial sea. SUPPLEMENTARY INFORMATION: (2) [Reserved] SECURITY (b) Effective date. The temporary Table of Acronyms Coast Guard safety zones become effective at 12:01 DHS Department of Homeland Security a.m., July 1, 2015, and terminate on 33 CFR Part 165 FR Federal Register 11:59 p.m., October 15, 2015, unless NPRM Notice of Proposed Rulemaking sooner terminated by the Captain of the [Docket Number USCG–2015–0246] TFR Temporary Final Rule Port. (c) Regulations. The general RIN 1625–AA00 A. Regulatory History and Information regulations governing safety zones Safety Zone—Oil Exploration Staging On May 1, 2015, we published a contained in § 165.23 apply to all Area in Dutch Harbor, AK notice of proposed rulemaking (NPRM) vessels operating within the area entitled Safety Zones: Oil Exploration described in paragraph (a). AGENCY: Coast Guard, DHS. Staging Area in Dutch Harbor, AK in the (1) If a non-exploration or support ACTION: Temporary final rule. Federal Register (80 FR 24866). We vessel is moored or anchored and an received one comment on the proposed offshore exploration or support vessel SUMMARY: The Coast Guard is rule. No public meeting was requested, transits near them such that it places the establishing temporary safety zones in and none was held. moored or anchored vessel within the the Port of Dutch Harbor, Broad Bay or 100-yard safety zone described in adjacent navigable waters in the Dutch B. Basis and Purpose paragraph (a) of this section, the moored Harbor area on June 15, 2015. The Based on the expectation of increased or anchored vessel must remain temporary safety zones will encompass maritime traffic primarily due to the stationary until the offshore exploration the navigable waters within a 25-yard anticipated arrival of approximately or support vessel maneuvers to a radius of moored or anchored offshore twenty eight (28) vessels affiliated with distance exceeding the 100-yard safety exploration or support vessels, and the planned offshore drilling operations in zone. navigable waters within a 100-yard the Chukchi and Beaufort Seas, (2) All persons and vessels shall radius of underway offshore exploration temporary safety zones needed to ensure comply with the instructions of the or support vessels. The purpose of the the safe transit of vessels within the Captain of the Port (COTP) or safety zones is to protect persons and navigable waters of the Port of Dutch designated on-scene representative, vessels during an unusually high Harbor and adjacent waters extending consisting of commissioned, warrant, volume of vessel traffic in the Port of seaward to the limits of the territorial and petty officers of the Coast Guard. Dutch Harbor, and the adjacent sea. The Coast Guard believes temporary Upon being hailed by a U.S. Coast territorial sea due to additional vessel safety zones are needed due to safety Guard vessel by siren, radio, flashing traffic associated with exploratory concerns for personnel aboard the light or other means, the operator of a drilling operations in the Chukchi and support vessels, mariners operating

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other vessels in the vicinity of Dutch vessel is moored or at anchor, and 100 fields, and governmental jurisdictions Harbor, and to protect the environment. yards if the support vessel is in transit. with populations of less than 50,000. The vessels and equipment anticipated The Coast Guard received one The Coast Guard certifies under 5 U.S.C. to be staged within these safety zones, comment on the NPRM. The commenter 605(b) that this rule will not have a due to their size and technical suggested that the end date, originally significant economic impact on a complexity, pose a safety risk to vessels proposed as July 1, 2015, be extended to substantial number of small entities. that attempt to navigate too closely to July 15, 2015. The commenter noted This rule could affect the following them. Limited rescue capabilities are that several of the assets that will be entities, some of which might be small available in the area. In an effort to staged in Dutch Harbor are not entities: the owners or operators of mitigate the safety risks and any scheduled to depart until early July, vessels intending to transit through or resulting environmental damage, the 2015. Based on this suggestion, the anchor in within a portion of the Port Coast Guard is establishing temporary Coast Guard is adjusting the end date of Dutch Harbor or adjacent waters, safety zones within the Port of Dutch until July 15, 2015. from June 15, 2015 to July 15, 2015. Harbor and the adjacent territorial sea. Enforcing temporary safety zones for This safety zone would not have a In evaluating this request, the Coast each offshore exploration or support significant economic impact on a Guard explored relevant safety factors vessel while they are on the navigable substantial number of small entities for and considered several criteria, waters in the Port of Dutch Harbor or the following reasons: These safety zone including, but not limited to: (1) The the adjacent territorial sea will help restrictions are only effective from June amount of commercial activity in and ensure the safety of all vessels, 15, 2015 to July 15, 2015, and are around the Port of Dutch Harbor; (2) including the diverse commercial fleets limited only to waters within 25 yards safety concerns for personnel aboard the of Dutch Harbor. of the support vessel if the support vessel is moored or at anchor, and 100 vessels; (3) sensitivity of the D. Regulatory Analyses environment in the region and potential yards if the support vessel is in transit. We developed this temporary final adverse affects caused by a grounding, The Coast Guard will publish a local rule after considering numerous statutes allision, or collision; (4) the types and notice to mariners (LNM) and will issue and executive orders related to volume of vessels navigating in the broadcast notice to mariners (BNM) rulemaking. Below we summarize our vicinity of the Port of Dutch Harbor; and alerts via marine channel 16 VHF before analyses based on a number of these (5) the need to allow for lawful the safety zone is enforced. statutes or executive orders. demonstrations without endangering the 3. Assistance for Small Entities safe operations of support vessels. 1. Regulatory Planning and Review Under section 213(a) of the Small Vessels transiting in the vicinity of the This rule is not a significant Business Regulatory Enforcement safety zones could consist of large regulatory action under section 3(f) of Fairness Act of 1996 (Pub. L. 104–121), commercial shipping vessels, fishing Executive Order 12866, Regulatory in the NPRM we offered to assist small vessels, tugs and tows, and recreational Planning and Review, as supplemented entities in understanding the rule so vessels. Any group or individual by Executive Order 13563, Improving that they could better evaluate its effects intending to conduct lawful Regulation and Regulatory Review, and on them and participate in the demonstrations in the vicinity of does not require an assessment of rulemaking process. offshore exploration support vessels potential costs and benefits under Small businesses may send comments must do so outside of the temporary section 6(a)(3) of Executive Order 12866 on the actions of Federal employees safety zones. or under section 1 of Executive Order who enforce, or otherwise determine Results from a thorough and 13563. The Office of Management and compliance with, Federal regulations to comprehensive examination of the five Budget has not reviewed it under those the Small Business and Agriculture criteria identified above, in conjunction Orders. The safety zone will have Regulatory Enforcement Ombudsman with International Maritime negligible economic impact, as there and the Regional Small Business Organization guidelines and existing will be ample room for navigation Regulatory Fairness Boards. The regulations, warrant establishment of around it. Ombudsman evaluates these actions the temporary safety zones. A safety 2. Impact on Small Entities annually and rates each agency’s zone would significantly reduce the responsiveness to small business. If you threat of collisions, allisions, or other This rule is not a significant wish to comment on actions by incidents which could endanger the regulatory action due to the minimal employees of the Coast Guard, call 1– safety of all vessels operating on the impact this will have on standard vessel 888–REG–FAIR (1–888–734–3247). The navigable waters of the Port of Dutch operations within the port of Dutch Coast Guard will not retaliate against Harbor and the adjacent territorial sea. Harbor because of the limited area small entities that question or complain C. Discussion of the Temporary Final affected and the limited duration of the about this rule or any policy or action Rule rule. The safety zones are also designed of the Coast Guard. to allow vessels transiting through the For the reasons described above, the area to safely travel around the safety 4. Collection of Information Coast Guard is establishing temporary zones without incurring additional This rule calls for no new collection safety zones that would surround the costs. of information under the Paperwork designated vessels while at anchor, The Regulatory Flexibility Act of 1980 Reduction Act of 1995 (44 U.S.C. 3501– moored or underway on the navigable (RFA), (5 U.S.C. 601–612, as amended, 3520.). waters of the Port of Dutch Harbor and requires federal agencies to consider the the adjacent territorial sea in order to potential impact of regulations on small 5. Federalism mitigate the potential safety risks entities during rulemaking. The term A rule has implications for federalism associated with the increased vessel ‘‘small entities’’ comprises small under Executive Order 13132, traffic. The temporary safety zones will businesses, not-for-profit organizations Federalism, if it has a substantial direct encompass the waters within 25 yards that are independently owned and effect on the States, on the relationship of the support vessel if the support operated and are not dominant in their between the national government and

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the States, or on the distribution of responsibilities between the Federal (1) All navigable waters within a 25- power and responsibilities among the Government and Indian tribes. yard radius of a moored or anchored various levels of government. We have offshore exploration or support vessel, 12. Energy Effects analyzed this rule under that Order and or within a 100-yard radius of any determined that this rule does not have This rule is not a ‘‘significant energy underway offshore exploration or implications for federalism. action’’ under Executive Order 13211, support vessel, located within the Port Actions Concerning Regulations That of Dutch Harbor, Broad Bay or adjacent 6. Protest Activities Significantly Affect Energy Supply, navigable waters encompassed within The Coast Guard respects the First Distribution, or Use. the area from Cape Cheerful at 54– Amendment rights of protesters. 13. Technical Standards 12.000 N 166–38.000 W north to the Protesters are asked to contact the limits of the U.S. territorial sea, and person listed in the ‘‘For Further This rule does not use technical from Princess Head at 53–59.000 N 166– Information Contact’’ section to standards. Therefore, we did not 25.900 W to the limits of the U.S. coordinate protest activities so that your consider the use of voluntary consensus territorial sea. message can be received without standards. (2) [Reserved] (b) Effective date. The temporary jeopardizing the safety or security of 14. Environment people, places or vessels. safety zones become effective at 12:01 We have analyzed this rule under a.m., June 15, 2015, and terminate on 7. Unfunded Mandates Reform Act Department of Homeland Security 11:59 p.m., July 15, 2015, unless sooner The Unfunded Mandates Reform Act Management Directive 023–01 and terminated by the Captain of the Port. of 1995 (2 U.S.C. 1531–1538) requires Commandant Instruction M16475.lD, (c) Regulations. The general Federal agencies to assess the effects of which guide the Coast Guard in regulations governing safety zones their discretionary regulatory actions. In complying with the National contained in § 165.23 apply to all particular, the Act addresses actions Environmental Policy Act of 1969 vessels operating within the area that may result in the expenditure by a (NEPA) (42 U.S.C. 4321–4370f), and described in paragraph (a) of this State, local, or tribal government, in the have made a preliminary determination section. aggregate, or by the private sector of that this action is one of a category of (1) If a non-exploration or support $100,000,000 (adjusted for inflation) or actions that do not individually or vessel is moored or anchored and an more in any one year. Though this rule cumulatively have a significant effect on offshore exploration or support vessel would not result in such an the human environment. Specifically, transits near them such that it places the expenditure, we do discuss the effects of the rule involves establishing a safety moored or anchored vessel within the this rule elsewhere in this preamble. zone, which is categorically excluded 100-yard safety zone described in from further review under paragraph paragraph (a) of this section, the moored 8. Taking of Private Property 34(g) of Figure 2–1 of the Commandant or anchored vessel must remain This rule would not cause a taking of Instruction. We seek any comments or stationary until the offshore exploration private property or otherwise have information that may lead to the or support vessel maneuvers to a taking implications under Executive discovery of a significant environmental distance exceeding the 100-yard safety Order 12630, Governmental Actions and impact from this temporary final rule. zone. Interference with Constitutionally An environmental analysis checklist (2) All persons and vessels shall Protected Property Rights. and a categorical exclusion comply with the instructions of the determination are available in the Captain of the Port (COTP) or 9. Civil Justice Reform docket where indicated under designated on-scene representative, This rule meets applicable standards Supporting Documents. consisting of commissioned, warrant, in sections 3(a) and 3(b)(2) of Executive and petty officers of the Coast Guard. Order 12988, Civil Justice Reform, to List of Subjects in 33 CFR Part 165 Upon being hailed by a U.S. Coast minimize litigation, eliminate Harbors, Marine safety, Navigation Guard vessel by siren, radio, flashing ambiguity, and reduce burden. (water), Reporting and recordkeeping light or other means, the operator of a requirements, Security measures, vessel shall proceed as directed by the 10. Protection of Children From Waterways. COTP’s designated on-scene Environmental Health Risks For the reasons discussed in the representative. We have analyzed this rule under preamble, the Coast Guard amends 33 (3) Entry into the safety zone is Executive Order 13045, Protection of CFR part 165 as follows: prohibited unless authorized by the Children from Environmental Health COTP or his designated on-scene Risks and Safety Risks. This rule is not PART 165—REGULATED NAVIGATION representative. Any persons desiring to an economically significant rule and AREAS AND LIMITED ACCESS AREAS enter the safety zone must contact the would not create an environmental risk designated on-scene representative on to health or risk to safety that might ■ 1. The authority citation for part 165 VHF channel 16 (156.800 MHz) and disproportionately affect children. continues to read as follows: receive permission prior to entering. (4) If permission is granted to transit 11. Indian Tribal Governments Authority: 33 U.S.C. 1231; 50 U.S.C. 191; 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; within the safety zone, all persons and This rule does not have tribal Department of Homeland Security Delegation vessels must comply with the implications under Executive Order No. 0170.1 instructions of the designated on-scene 13175, Consultation and Coordination ■ 2. Add § 165.T17–0246 to read as representative. with Indian Tribal Governments, follows: (5) The COTP, Western Alaska, will because it would not have a substantial notify the maritime and general public direct effect on one or more Indian § 165.T17–0246 Safety Zone; Port of Dutch by marine information broadcast during tribes, on the relationship between the Harbor; Dutch Harbor, Alaska the period of time that the safety zones Federal Government and Indian tribes, (a) Location. The following areas are are in force by providing notice in or on the distribution of power and safety zones: accordance with 33 CFR § 165.7.

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(d) Penalties. Persons and vessels Manager, Docket Operations, telephone recreational vessels, congested violating this rule are subject to the 202–366–9826 or 1–800–647–5527. waterways, and alcohol use by some penalties set forth in 33 U.S.C. 1232 and SUPPLEMENTARY INFORMATION: spectators, present a significant risk of 50 U.S.C. 192. serious injuries or fatalities. Table of Acronyms Dated: June 3, 2015. C. Discussion of the Final Rule DHS Department of Homeland Security S.D. Montoya, FR Federal Register With the aforementioned hazards in Commander, U.S. Coast Guard, Acting NPRM Notice of Proposed Rulemaking mind, the Captain of the Port Buffalo Captain of the Port, Western Alaska. TFR Temporary Final Rule has determined that this temporary [FR Doc. 2015–16700 Filed 7–9–15; 8:45 am] A. Regulatory History and Information safety zone is necessary to ensure the BILLING CODE 9110–04–P safety of spectators and vessels during The Coast Guard is issuing this the Oswego Harborfest Jet Ski Show. temporary final rule without prior This zone will be effective and enforced DEPARTMENT OF HOMELAND notice and opportunity to comment intermittently from 12:45 p.m. until 7:15 SECURITY pursuant to authority under section 4(a) p.m. on July 25, 2015 and from 12:45 of the Administrative Procedure Act Coast Guard p.m. until 7:15 p.m. on July 26, 2015. (APA) (5 U.S.C. 553(b)). This provision This zone will encompass all waters of authorizes an agency to issue a rule 33 CFR Part 165 Oswego Harbor; Oswego, NY starting at without prior notice and opportunity to position 43°27′49.88″ N. and [Docket Number USCG–2015–0507] comment when the agency for good 076°31′15.41″ W. then Northwest to cause finds that those procedures are 43°27′51.72″ N. and 076°31′18.13 then RIN 1625–AA00 ‘‘impracticable, unnecessary, or contrary Southwest to 43°27′44.26″ N. and to the public interest.’’ Under 5 U.S.C. ° ′ ″ Safety Zone; Oswego Harborfest Jet 076 31 39.18 W. then South to 553(b)(B), the Coast Guard finds that 43°27′42.68″ N. and 076°31′36.91″ W. Ski Show; Oswego Harbor, Oswego, good cause exists for not publishing a NY then returning the point of origin. notice of proposed rulemaking (NPRM) Entry into, transiting, or anchoring AGENCY: Coast Guard, DHS. with respect to this rule because doing within the safety zone is prohibited ACTION: Temporary final rule. so would be impracticable and contrary unless authorized by the Captain of the to the public interest. The final details Port Buffalo or his designated on-scene SUMMARY: The Coast Guard is for this event were not known to the representative. The Captain of the Port establishing a temporary safety zone on Coast Guard until there was insufficient or his designated on-scene Oswego Harbor, Oswego, NY. This time remaining before the event to representative may be contacted via safety zone is intended to restrict publish an NPRM. Thus, delaying the VHF Channel 16. vessels from a portion of Oswego Harbor effective date of this rule to wait for a during the Oswego Harborfest Jet Ski comment period to run would be both D. Regulatory Analyses Show. This temporary safety zone is impracticable and contrary to the public We developed this rule after necessary to protect mariners and interest because it would inhibit the considering numerous statutes and vessels from the navigational hazards Coast Guard’s ability to protect executive orders related to rulemaking. associated with a jet ski show. spectators and vessels from the hazards Below we summarize our analyses DATES: This rule will be effective from associated with a maritime fireworks based on these statutes and executive 12:45 p.m. on July 25, 2015 until 7:15 display. Therefore, under 5 U.S.C. orders. 553(d)(3), the Coast Guard finds that p.m. on July 26, 2015. 1. Regulatory Planning and Review good cause exists for making this ADDRESSES: Documents mentioned in temporary rule effective less than 30 This rule is not a significant this preamble are part of docket [USCG– days after publication in the Federal regulatory action under section 3(f) of 2015–0507]. To view documents Register. Executive Order 12866, Regulatory mentioned in this preamble as being Planning and Review, as supplemented available in the docket, go to http:// B. Basis and Purpose by Executive Order 13563, Improving www.regulations.gov, type the docket The legal basis and authorities for this Regulation and Regulatory Review, and number in the ‘‘SEARCH’’ box and click rule are found in 33 U.S.C. 1231, 46 does not require an assessment of ‘‘SEARCH.’’ Click on Open Docket U.S.C. Chapter 701, 3306, 3703; 50 potential costs and benefits under Folder on the line associated with this U.S.C. 191, 195; 33 CFR 1.05–1, 6.04–1, section 6(a)(3) of Executive Order 12866 rulemaking. You may also visit the 6.04–6, and 160.5; Pub. L. 107–295, 116 or under section 1 of Executive Order Docket Management Facility in Room Stat. 2064; and Department of 13563. The Office of Management and W12–140 on the ground floor of the Homeland Security Delegation No. Budget has not reviewed it under those Department of Transportation West 0170.1, which collectively authorize the Orders. Building, 1200 New Jersey Avenue SE., Coast Guard to establish and define We conclude that this rule is not a Washington, DC 20590, between 9 a.m. regulatory safety zones. significant regulatory action because we and 5 p.m., Monday through Friday, Between 12:45 p.m. and 7:15 p.m. on anticipate that it will have minimal except Federal holidays. July 25, 2015 and between 12:45 p.m. impact on the economy, will not FOR FURTHER INFORMATION CONTACT: If and 7:15 p.m. on July 26, 2015, a jet ski interfere with other agencies, will not you have questions on this rule, call or show will be taking place on Oswego adversely alter the budget of any grant email LTJG Amanda Garcia, Chief of Harbor in Oswego, NY. Based on recent or loan recipients, and will not raise any Waterways Management, U.S. Coast accidents that have occurred in other novel legal or policy issues. The safety Guard Sector Buffalo; telephone 716– Captain of the Port zones, the Captain of zone created by this rule will be 843–9343, email the Port Buffalo has determined a jet ski relatively small and enforced for a [email protected]. If show presents significant risks to public relatively short time. Also, the safety you have questions on viewing the safety and property. The likely zone is designed to minimize its impact docket, call Ms. Cheryl Collins, Program combination of large numbers of on navigable waters. Furthermore, the

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safety zone has been designed to allow employees of the Coast Guard, call 1– Children from Environmental Health vessels to transit around it. Thus, 888–REG–FAIR (1–888–734–3247). The Risks and Safety Risks. This rule is not restrictions on vessel movement within Coast Guard will not retaliate against an economically significant rule and that particular area are expected to be small entities that question or complain does not create an environmental risk to minimal. Under certain conditions, about this rule or any policy or action health or risk to safety that may moreover, vessels may still transit of the Coast Guard. disproportionately affect children. through the safety zone when permitted 4. Collection of Information by the Captain of the Port. 11. Indian Tribal Governments This rule will not call for a new This rule does not have tribal 2. Impact on Small Entities collection of information under the implications under Executive Order Under the Regulatory Flexibility Act Paperwork Reduction Act of 1995 (44 13175, Consultation and Coordination (5 U.S.C. 601–612), we have considered U.S.C. 3501–3520). with Indian Tribal Governments, the impact of this rule on small entities. 5. Federalism because it does not have a substantial The Coast Guard certifies under 5 U.S.C. direct effect on one or more Indian 605(b) that this rule will not have a A rule has implications for federalism tribes, on the relationship between the significant economic impact on a under Executive Order 13132, Federal Government and Indian tribes, substantial number of small entities. Federalism, if it has a substantial direct or on the distribution of power and The Coast Guard certifies under 5 U.S.C. effect on the States, on the relationship responsibilities between the Federal 605(b) that this rule will not have a between the national government and Government and Indian tribes. significant economic impact on a the States, or on the distribution of substantial number of small entities. power and responsibilities among the 12. Energy Effects This rule will affect the following various levels of government. We have This action is not a ‘‘significant entities, some of which might be small analyzed this rule under that Order and energy action’’ under Executive Order entities: the owners or operators of determined that this rule does not have 13211, Actions Concerning Regulations vessels intending to transit or anchor in implications for federalism. That Significantly Affect Energy Supply, a portion of Oswego Harbor on July 25 6. Protest Activities Distribution, or Use. and 26, 2015. This safety zone will not have a The Coast Guard respects the First 13. Technical Standards significant economic impact on a Amendment rights of protesters. This rule does not use technical substantial number of small entities for Protesters are asked to contact the standards. Therefore, we did not the following reasons: this safety zone person listed in the ‘‘For Further consider the use of voluntary consensus would be subject to enforcement for a Information Contact’’ section to standards. few hours a day over the course of two coordinate protest activities so that your 14. Environment days and the safety zone will allow message can be received without vessels to move freely around the safety jeopardizing the safety or security of We have analyzed this rule under zone in Oswego Harbor. Traffic may be people, places, or vessels. Department of Homeland Security allowed to pass through the zone with 7. Unfunded Mandates Reform Act Management Directive 023–01 and the permission of the Captain of the Commandant Instruction M16475.lD, The Unfunded Mandates Reform Act Port. The Captain of the Port can be which guide the Coast Guard in of 1995 (2 U.S.C. 1531–1538) requires complying with the National reached via VHF channel 16. Before the Federal agencies to assess the effects of enforcement of the zone, we would Environmental Policy Act of 1969 their discretionary regulatory actions. In (NEPA) (42 U.S.C. 4321–4370f), and issue local Broadcast Notice to particular, the Act addresses actions Mariners. have determined that this action is one that may result in the expenditure by a of a category of actions that do not 3. Assistance for Small Entities State, local, or tribal government, in the individually or cumulatively have a Under section 213(a) of the Small aggregate, or by the private sector of significant effect on the human Business Regulatory Enforcement $100,000,000 (adjusted for inflation) or environment. This rule involves the Fairness Act of 1996 (Public Law 104– more in any one year. Though this rule establishment of a safety zone and, 121), we want to assist small entities in will not result in such an expenditure, therefore it is categorically excluded understanding this rule. If the rule we do discuss the effects of this rule from further review under paragraph elsewhere in this preamble. would affect your small business, 34(g) of Figure 2–1 of the Commandant organization, or governmental 8. Taking of Private Property Instruction. An environmental analysis jurisdiction and you have questions This rule will not cause a taking of checklist supporting this determination concerning its provisions or options for private property or otherwise have and a Categorical Exclusion compliance, please contact the person taking implications under Executive Determination are available in the listed in the FOR FURTHER INFORMATION Order 12630, Governmental Actions and docket where indicated under CONTACT section above. Interference with Constitutionally ADDRESSES. We seek any comments or Small businesses may send comments Protected Property Rights. information that may lead to the on the actions of Federal employees discovery of a significant environmental who enforce, or otherwise determine 9. Civil Justice Reform impact from this rule. compliance with, Federal regulations to This rule meets applicable standards List of Subjects in 33 CFR Part 165 the Small Business and Agriculture in sections 3(a) and 3(b)(2) of Executive Regulatory Enforcement Ombudsman Order 12988, Civil Justice Reform, to Harbors, Marine safety, Navigation and the Regional Small Business minimize litigation, eliminate (water), Reporting and recordkeeping Regulatory Fairness Boards. The ambiguity, and reduce burden. requirements, Security measures, Ombudsman evaluates these actions Waterways. annually and rates each agency’s 10. Protection of Children For the reasons discussed in the responsiveness to small business. If you We have analyzed this rule under preamble, the Coast Guard amends 33 wish to comment on actions by Executive Order 13045, Protection of CFR part 165 as follows:

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PART 165—REGULATED NAVIGATION ENVIRONMENTAL PROTECTION Agency, Region III, 1650 Arch Street, AREAS AND LIMITED ACCESS AREAS AGENCY Philadelphia, Pennsylvania 19103. FOR FURTHER INFORMATION CONTACT: ■ 1. The authority citation for part 165 40 CFR Part 52 Emlyn Ve´lez-Rosa, (215) 814–2038, or continues to read as follows: [EPA–R03–OAR–2015–0175; FRL–9930–23- by email at [email protected]. Authority: 33 U.S.C. 1231; 50 U.S.C. 191; Region 3] SUPPLEMENTARY INFORMATION: 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; Department of Homeland Security Delegation Approval and Promulgation of Air I. Background No. 0170.1. Quality Implementation Plans; On November 13, 2009, EPA ■ 2. Add § 165.T09–0507 to read as Pennsylvania; Determination of published designations for the 2006 24- follows: Attainment of the 2006 24-Hour Fine hour PM2.5 NAAQS (74 FR 58688), Particulate Standard for the Liberty- which became effective on December § 165.T09–0507 Safety Zone; Oswego Clairton Nonattainment Area 14, 2009. In that action, EPA designated Harborfest Jet Ski Show; Oswego Harbor, the Liberty-Clairton Area as Oswego, NY. AGENCY: Environmental Protection nonattainment for the 2006 24-hour (a) Location. This zone will Agency (EPA). PM2.5 NAAQS. The Liberty-Clairton encompass all waters of Oswego Harbor; ACTION: Final rule. Area is comprised of the following Oswego, NY starting at position portion of Allegheny County: The 43°27′49.88″ N. and 076°31′15.41″ W. SUMMARY: The Environmental Protection boroughs of Lincoln, Glassport, Liberty, then Northwest to 43°27′51.72″ N. and Agency (EPA) is finalizing a and Port Vue and the City of Clairton. 076°31′18.13 then Southwest to determination of attainment regarding See 40 CFR 81.339 (Pennsylvania). The 43°27′44.26″ N. and 076°31′39.18″ W. the Liberty-Clairton, Pennsylvania 2006 Liberty-Clairton Area is surrounded by, then South to 43°27′42.68″ N. and 24-hour fine particulate matter (PM2.5) but separate and distinct from, the ° ′ ″ nonattainment area (hereafter ‘‘Liberty- 076 31 36.91 W. then returning the Pittsburgh-Beaver Valley PM2.5 point of origin. Clairton Area’’ or ‘‘the Area’’). EPA is nonattainment area. (b) Enforcement period. This determining that the Liberty-Clairton A nonattainment designation under regulation will be enforced Area has attained the 2006 24-hour the CAA triggers additional planning intermittently on July 25, 2015 from PM2.5 National Ambient Air Quality requirements for states to show 12:45 p.m. until 7:15 p.m. and on July Standard (NAAQS), based upon quality- attainment of the NAAQS in the 26, 2015 from 12:45 p.m. until 7:15 p.m. assured, quality-controlled and certified nonattainment areas by a statutory ambient air monitoring data for the (c) Regulations. (1) In accordance with attainment date, as specified in the calendar years 2012–2014. EPA’s final the general regulations in § 165.23, entry CAA. Since 2005, EPA had ‘‘clean data determination’’ will into, transiting, or anchoring within this implemented the 1997 and 2006 PM2.5 suspend the requirements to submit for safety zone is prohibited unless NAAQS based on the general the Liberty-Clairton Area an attainment authorized by the Captain of the Port implementation provisions of subpart 1 demonstration, reasonably available Buffalo or his designated on-scene of Part D of Title I of the CAA (subpart control measures (RACM), reasonable representative. 1). On January 4, 2013, in Natural further progress (RFP), and contingency Resources Defense Council v. EPA (2) This safety zone is closed to all measures related to attainment of the vessel traffic, except as may be (NRDC v. EPA), the D.C. Circuit 2006 24-hour PM2.5 NAAQS, for so long determined that EPA should be permitted by the Captain of the Port as the Area continues to attain the 2006 implementing its PM2.5 pollution Buffalo or his designated on-scene 24-hour PM NAAQS. This final representative. 2.5 standard under additional CAA determination will not constitute a requirements than those EPA had been (3) The ‘‘on-scene representative’’ of redesignation to attainment. This final the Captain of the Port Buffalo is any following in subpart 1 and remanded to action is being taken under the Clean EPA the ‘‘Final Clean Air Fine Particle Coast Guard commissioned, warrant or Air Act (CAA). petty officer who has been designated Implementation Rule’’ (1997 PM2.5 DATES: This final rule is effective on by the Captain of the Port Buffalo to act Implementation Rule) (72 FR 20586, August 10, 2015. on his behalf. April 25, 2007) and the ‘‘Implementation of the New Source (4) Vessel operators desiring to enter ADDRESSES: EPA has established a Review (NSR) Program for Particulate or operate within the safety zone must docket for this action under Docket ID Matter Less than 2.5 Micrometers contact the Captain of the Port Buffalo Number EPA–R03–OAR–2015–0175. All (PM )’’ final rule (2008 NSR PM or his on-scene representative to obtain documents in the docket are listed in 2.5 2.5 Rule).1 706 F.3d 428 (D.C. Cir. 2013). permission to do so. The Captain of the the www.regulations.gov Web site. The D.C. Circuit found that the EPA Port Buffalo or his on-scene Although listed in the electronic docket, erred in implementing the 1997 PM representative may be contacted via some information is not publicly 2.5 NAAQS solely pursuant to subpart 1, VHF Channel 16. Vessel operators given available, i.e., confidential business without consideration of the particulate permission to enter or operate in the information (CBI) or other information matter specific provisions of subpart 4 safety zone must comply with all whose disclosure is restricted by statute. of Part D of Title I of the CAA (subpart directions given to them by theCaptain Certain other material, such as 4). of the Port Buffalo, or his on-scene copyrighted material, is not placed on On April 25, 2014, EPA finalized a representative. the Internet and will be publicly available only in hard copy form. rule identifying the classification of all Dated: June 15, 2015. Publicly available docket materials are PM2.5 areas currently designated B. W. Roche, available either electronically through 1 Captain, U.S. Coast Guard, Captain of the www.regulations.gov or in hard copy for EPA’s 2008 NSR PM2.5 Rule relates to Port Buffalo. requirements for the NSR permitting program public inspection during normal required by parts C and D of title I of the CAA. The [FR Doc. 2015–16807 Filed 7–9–15; 8:45 am] business hours at the Air Protection details and provisions of the 2008 NSR PM2.5 Rule BILLING CODE 9110–04–P Division, U.S. Environmental Protection are not relevant to this proposed rulemaking.

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nonattainment for the 1997 and 2006 on air quality data for the Liberty- • Is not a ‘‘significant regulatory PM2.5 NAAQS as ‘‘Moderate,’’ Clairton Area can be found in the NPR action’’ subject to review by the Office consistent with subpart 4 of the CAA. and technical support document (TSD) of Management and Budget under See 79 FR 31566 (June 2, 2014). prepared for the proposed action. Executive Order 12866 (58 FR 51735, Consequently, the Liberty-Clairton Area October 4, 1993); was classified as Moderate for the 2006 III. Final Actions • does not impose an information 24-hour PM2.5 NAAQS. EPA determines that the Liberty- collection burden under the provisions Under EPA’s longstanding Clean Data Clairton Area is currently attaining the of the Paperwork Reduction Act (44 Policy interpretation, a determination 2006 24-hour PM NAAQS, based on U.S.C. 3501 et seq.); that a nonattainment area has attained 2.5 • is certified as not having a the most recent three years of complete the NAAQS suspends the state’s significant economic impact on a quality-assured, and certified data for obligation to submit an attainment substantial number of small entities 2012–2014 which meets the demonstration, RFP, RACM, and under the Regulatory Flexibility Act (5 requirements of 40 CFR part 50, contingency measures as required by the U.S.C. 601 et seq.); appendix N. In accordance with our CAA for so long as the area continues • does not contain any unfunded Clean Data Policy, as a result of this to attain the standard. Since the purpose mandate or significantly or uniquely final determination of attainment, EPA of these provisions is to help reach affect small governments, as described also determines that the obligation to attainment, a goal which has already in the Unfunded Mandates Reform Act submit the following attainment-related been achieved, EPA interprets that these of 1995 (Pub. L. 104–4); requirements should no longer be planning requirements for the Liberty- • does not have Federalism applicable. Although the D.C. Circuit Clairton Area are not applicable for so implications as specified in Executive long as the Area continues to monitor remanded the 1997 PM2.5 Order 13132 (64 FR 43255, August 10, Implementation Rule to EPA, the DC attainment for the 2006 24-hour PM2.5 1999); Circuit’s decision in NRDC v. EPA NAAQS: Subpart 4 obligations to • is not an economically significant related to EPA’s use of subpart 1 for provide an attainment demonstration regulatory action based on health or CAA Part D requirements instead of pursuant to section 189(a)(1)(B), the safety risks subject to Executive Order subpart 1 and subpart 4, and the RACM provisions of section 13045 (62 FR 19885, April 23, 1997); decision did not cast doubt on EPA’s 189(a)(1)(C), the RFP provisions of • is not a significant regulatory action interpretation of certain statutory section 189(c), and related attainment subject to Executive Order 13211 (66 FR provisions underlying the Clean Data demonstration, RACM, RFP, and 28355, May 22, 2001); Policy nor cast any doubt on EPA’s contingency measure provisions • is not subject to requirements of Clean Data Policy interpretation in the requirements of subpart 1, section 172. Section 12(d) of the National If at any time after the effective date of 1997 PM2.5 Implementation Rule. See Technology Transfer and Advancement NRDC v. EPA, 706 F.3d 428. this final rulemaking notice, EPA Act of 1995 (15 U.S.C. 272 note) because On April 23, 2015 (78 FR 22666), EPA determines that the Liberty-Clairton application of those requirements would published a notice of proposed Area again violates the 2006 24-hour be inconsistent with the CAA; and rulemaking (NPR) for the PM2.5 NAAQS, the basis for suspending • does not provide EPA with the Commonwealth of Pennsylvania these requirements would no longer discretionary authority to address, as proposing to determine that the Liberty- exist. This final rulemaking action does appropriate, disproportionate human Clairton Area has attained the 2006 24- not constitute a redesignation to health or environmental effects, using hour PM2.5 NAAQS. As part of the NPR, attainment under CAA section practicable and legally permissible EPA addressed the effect of a final 107(d)(3). In addition, this methods, under Executive Order 12898 determination of attainment under the determination does not relieve (59 FR 7629, February 16, 1994). Clean Data Policy for the Liberty- Pennsylvania from the requirement to In addition, this rule does not have Clairton Area, as a Moderate submit for the Liberty-Clairton Area an tribal implications as specified by nonattainment area under subpart 4. emissions inventory as required by CAA Executive Order 13175 (65 FR 67249, The rationale for EPA’s action is section 172(c)(3) or to have a November 9, 2000), because the SIP is explained in the NPR and will not be nonattainment area permitting program not approved to apply in Indian country restated here. No comments were pursuant to CAA sections 172(c)(5) and located in the State, and EPA notes that received on the NPR. 173. it will not impose substantial direct costs on tribal governments or preempt II. Summary of EPA’s Evaluation of the IV. Statutory and Executive Order tribal law. Liberty-Clairton PM2.5 Air Quality Data Reviews B. Submission to Congress and the This final ‘‘clean data determination’’ A. General Requirements for the Liberty-Clairton Area is based on Comptroller General the quality-controlled, quality assured, Under the CAA, the Administrator is The Congressional Review Act, 5 certified PM2.5 air quality data for 2012– required to approve a SIP submission U.S.C. 801 et seq., as added by the Small 2014. There are two PM2.5 monitors in that complies with the provisions of the Business Regulatory Enforcement the Liberty-Clairton Area—one in CAA and applicable Federal regulations. Fairness Act of 1996, generally provides Liberty Borough and one in the City of 42 U.S.C. 7410(k); 40 CFR 52.02(a). that before a rule may take effect, the Clairton. The design values for the two Thus, in reviewing SIP submissions, agency promulgating the rule must monitors in the Liberty-Clairton Area for EPA’s role is to approve state choices, submit a rule report, which includes a the 2012–2014 monitoring period were provided that they meet the criteria of copy of the rule, to each House of the 35 mg/m3 or less. Therefore, EPA the CAA. Accordingly, this action Congress and to the Comptroller General determines that the Liberty-Clairton merely approves state law as meeting of the United States. EPA will submit a Area has attained the 2006 24-hour Federal requirements and does not report containing this action and other PM2.5 NAAQS during the 2012–2014 impose additional requirements beyond required information to the U.S. Senate, monitoring period, in accordance with those imposed by state law. For that the U.S. House of Representatives, and 40 CFR part 50. Additional information reason, this action: the Comptroller General of the United

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States prior to publication of the rule in planning SIPs related to attainment of fjallfoss.fcc.gov/ecfs2/. (Documents will the Federal Register. A major rule the standard for as long as this area be available electronically in ASCII, cannot take effect until 60 days after it continues to meet the 2006 24-hour Microsoft Word, and/or Adobe Acrobat.) is published in the Federal Register. PM2.5 NAAQS. If EPA determines, after This document is also available for This action is not a ‘‘major rule’’ as notice-and-comment rulemaking, that public inspection and copying during defined by 5 U.S.C. 804(2). this area no longer meets the 2006 24- regular business hours in the FCC Reference Information Center, Federal C. Petitions for Judicial Review hour PM2.5 NAAQS, the corresponding determination of attainment for that area Communications Commission, 445 12th Under section 307(b)(1) of the CAA, shall be withdrawn. Street SW., CY–A257, Washington, DC petitions for judicial review of this [FR Doc. 2015–16813 Filed 7–9–15; 8:45 am] 20554. The complete text may be action must be filed in the United States BILLING CODE 6560–50–P purchased from the Commission’s copy Court of Appeals for the appropriate contractor, 445 12th Street SW., Room circuit by September 8, 2015. Filing a CY–B402, Washington, DC 20554. petition for reconsideration by the FEDERAL COMMUNICATIONS Alternative formats are available for Administrator of this final rule does not COMMISSION people with disabilities (Braille, large affect the finality of this action for the print, electronic files, audio format), by purposes of judicial review nor does it 47 CFR Part 79 sending an email to [email protected] or extend the time within which a petition calling the Commission’s Consumer and [MB Docket No. 12–107; FCC 15–56] for judicial review may be filed, and Governmental Affairs Bureau at (202) shall not postpone the effectiveness of Accessible Emergency Information, 418–0530 (voice), (202) 418–0432 such rule or action. This action, and Apparatus Requirements for (TTY). determining that the Liberty-Clairton Emergency Information and Video I. Introduction Area has attained the 2006 24-hour Description PM2.5 NAAQS, may not be challenged 1. In this Second Report and Order, later in proceedings to enforce its AGENCY: Federal Communications we take additional steps under the requirements. (See section 307(b)(2).) Commission. authority of sections 202 and 203 of the ACTION: Final rule. Twenty-First Century Communications List of Subjects in 40 CFR Part 52 and Video Accessibility Act of 2010 Environmental protection, Air SUMMARY: In this document, the (‘‘CVAA’’) 1 to make emergency pollution control, Incorporation by Commission adopts additional rules information in video programming reference, Intergovernmental relations, under the authority of the Twenty-First accessible to individuals who are blind Particulate matter, Reporting and Century Communications and Video or visually impaired. The Commission recordkeeping requirements. Accessibility Act of 2010 (CVAA) to adopted rules in 2013 to require that Authority: 42 U.S.C. 7401 et seq. make emergency information in video visual emergency information shown programming accessible to individuals during non-newscast television Dated: June 25, 2015. who are blind or visually impaired. programming, such as in an on-screen Shawn M. Garvin, First, the document requires crawl, is also available to individuals Regional Administrator, Region III. multichannel video programming who are blind or visually impaired 40 CFR part 52 is amended as follows: distributors to pass through a secondary through an aural presentation on a audio stream containing audible secondary audio stream.2 In adopting PART 52—APPROVAL AND emergency information when they these rules pursuant to sections 202 and PROMULGATION OF permit consumers to access linear 203 of the CVAA, the Commission IMPLEMENTATION PLANS programming on second screen devices, recognized the importance of making such as tablets, smartphones, laptops, ■ 1. The authority citation for part 52 sure that individuals who are blind or and similar devices. Second, the continues to read as follows: visually impaired are able to hear document requires manufacturers of critical information about emergencies Authority: 42 U.S.C. 7401 et seq. apparatus that receive or play back affecting their locality, which can video programming to provide a Subpart NN—Pennsylvania enable them promptly to respond to mechanism that is simple and easy to such emergency situations and to ■ 2. Section 52.2059 is amended by use for activating the secondary audio protect their lives and property. adding paragraph (q) to read as follows: stream to access audible emergency 2. First, this Second Report and Order information. concludes that multichannel video § 52.2059 Control strategy: Particulate programming distributors (‘‘MVPDs’’) matter. DATES: Effective August 10, 2015. FOR FURTHER INFORMATION CONTACT: * * * * * 1 Twenty-First Century Communications and (q) Determination of attainment. EPA Evan Baranoff, [email protected], Video Accessibility Act of 2010, Public Law 111– has determined, as of July 10, 2015, of the Media Bureau, Policy Division, 260, 124 Stat. 2751 (2010); Amendment of Twenty- based on quality-assured ambient air (202) 418–2120. First Century Communications and Video Accessibility Act of 2010, Public Law 111–265, 124 quality data for 2012 to 2014, that the SUPPLEMENTARY INFORMATION: This is a Stat. 2795 (2010) (making technical corrections to Liberty-Clairton, PA nonattainment area summary of the Commission’s Second the CVAA). has attained the 2006 24-hour fine Report and Order (Order), FCC 15–56, 2 See Accessible Emergency Information; particle (PM2.5) national ambient air adopted on May 21, 2015, and released Apparatus Requirements for Emergency Information and Video Description: Implementation quality standards (NAAQS). This on May 28, 2015. The full text of this of the Twenty-First Century Communications and determination suspends the document is available electronically via Video Accessibility Act of 2010, MB Docket Nos. requirements for this area to submit an the FCC’s Electronic Document 12–107, 11–43, Report and Order, FCC 13–45, 78 FR attainment demonstration, associated Management System (EDOCS) Web site 31770 (2013) (‘‘First Report and Order’’). A _ secondary audio stream is an audio channel, other reasonably available control measures, a at http://fjallfoss.fcc.gov/edocs public/ than the main program audio channel, that is reasonable further progress plan, or via the FCC’s Electronic Comment typically used for foreign language audio and video contingency measures, and other Filing System (ECFS) Web site at http:// description.

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must pass through a secondary audio counts. Thus, we believe that in order the CVAA directs the Commission to (i) stream containing audible emergency for emergency information to be made ‘‘identify methods to convey emergency information in accordance with section fully accessible to individuals who are information (as that term is defined in 79.2 of the Commission’s rules 3 when blind or visually impaired in section 79.2 of title 47, Code of Federal they permit consumers to access linear accordance with section 203 of the Regulations 10) in a manner accessible to programming 4 on tablets, smartphones, CVAA, manufacturers of covered individuals who are blind or visually laptops, and similar devices over the apparatus must ensure that such impaired,’’ 11 and (ii) ‘‘promulgate MVPD’s network as part of their MVPD individuals have a simple, easy to use regulations that require video services. Increasingly, Americans are mechanism to activate the secondary programming providers and video utilizing a wide range of devices in audio stream in order to hear emergency programming distributors (as those addition to the television to view video information. terms are defined in section 79.1 of title programming,5 and a number of MVPDs 4. In the Second Further Notice of 47, Code of Federal Regulations 12) and now allow customers to view linear Proposed Rulemaking (‘‘Second Further program owners to convey such programming on ‘‘second screen’’ Notice’’) accompanying the Second emergency information in a manner devices using applications or other Report and Order (and published in this accessible to individuals who are blind technologies.6 Our rule ensures that issue of the Federal Register), we seek or visually impaired.’’ 13 Section 203 of individuals who are blind or visually comment on three issues: (i) Whether impaired will be provided with we should adopt rules regarding how Programming Accessibility Advisory Committee on accessible emergency information when covered entities should prioritize the Twenty-First Century Communications and emergency information conveyed Video Accessibility Act of 2010, available at http:// they are watching linear programming vpaac.wikispaces.com; Public Law 111–260, sec. over the MVPD’s network as part of aurally on the secondary audio stream 201(e)(2) (‘‘VPAAC Second Report: Access to their MVPD services, regardless of when more than one source of visual Emergency Information’’). The portion of the report whether they are viewing the emergency information is presented on- that addresses emergency information is available at screen at the same time; (ii) whether we http://vpaac.wikispaces.com/file/view/ programming on their television or on 120409+VPAAC+Access+to+Emergency+ their tablet, smartphone, or similar should reconsider the Commission’s Information+REPORT+AS+SUBMITTED+4-9- device. requirement for ‘‘school closings and 2012.pdf. See also Media Bureau and Consumer 3. Second, this Second Report and changes in school bus schedules’’ and Governmental Affairs Bureau Seek Comment Order requires manufacturers of resulting from emergency situations to on Second VPAAC Report: Video Description and Access to Emergency Information, MB Docket No. apparatus subject to section 79.105 of be conveyed aurally on the secondary 12–107, Public Notice, DA 12–636 (MB rel. Apr. 24, the Commission’s rules 7 to provide a audio stream, considering the length of 2012). mechanism that is simple and easy to such information and the limits of the 10 ‘‘Emergency information’’ is defined in section use for activating the secondary audio secondary audio stream; and (iii) 79.2 of the Commission’s rules as ‘‘[i]nformation, about a current emergency, that is intended to stream to access audible emergency whether we should require MVPDs to further the protection of life, health, safety, and information. Individuals who are blind ensure that the navigation devices that property, i.e., critical details regarding the or visually impaired should not have to they provide to subscribers include a emergency and how to respond to the emergency. navigate through multiple levels of simple and easy to use activation Examples of the types of emergencies covered include tornadoes, hurricanes, floods, tidal waves, menus or take other time-consuming mechanism for accessing audible earthquakes, icing conditions, heavy snows, actions to activate the secondary audio emergency information on the widespread fires, discharge of toxic gases, stream when they hear the aural tone secondary audio stream, and to provide widespread power failures, industrial explosions, signaling that emergency information is a simple and easy to use mechanism to civil disorders, school closings and changes in school bus schedules resulting from such being provided visually on the screen. activate the secondary audio stream for conditions, and warnings and watches of In emergency situations, every second emergency information when they impending changes in weather.’’ 47 CFR 79.2(a)(2). permit subscribers to view linear As in the First Report and Order, we note that the 3 47 CFR 79.2. emergency information covered by this proceeding programming on mobile and other does not include emergency alerts delivered 4 The term ‘‘linear programming’’ is generally devices as part of their MVPD services. through the Emergency Alert System (EAS), the understood to refer to video programming that is accessibility requirements for which are contained prescheduled by the video programming provider. II. Background See Promoting Innovation and Competition in the in Part 11 of the Commission’s rules. See 47 CFR Provision of Multichannel Video Programming 5. The CVAA was enacted on October 11.1 et seq.; First Report and Order, para. 9. Distribution Services, MB Docket No. 14–261, 8, 2010 with the purpose of ensuring However, to the extent a broadcaster or other Notice of Proposed Rulemaking, FCC 14–210, 80 FR covered entity uses the information provided 2078 (2014) (‘‘MVPD Definition NPRM’’) (using the that individuals with disabilities are through EAS or any other source (e.g., the National term ‘‘linear programming’’ ‘‘consistent with prior able to fully utilize modern Weather Service) to generate its own crawl Commission use’’); Annual Assessment of the communications services and conveying emergency information as defined in Status of Competition in the Market for the Delivery section 79.2(a)(2) outside the context of an EAS equipment and to better access video activation, it must comply with the requirements of of Video Programming, MB Docket No. 14–16, 8 Notice of Inquiry, FCC 14–8, 79 FR 8452 (2014) (‘‘A programming. Sections 202 and 203 of section 79.2. See First Report and Order, para. 9. linear channel is one that distributes programming the CVAA address, in part, the 11 47 U.S.C. 613(g)(1). at a scheduled time. Non-linear programming, such accessibility of emergency information 12 Section 79.1 defines a ‘‘video programming as video-on-demand (‘VOD’) and online video for individuals who are blind or visually provider’’ as ‘‘[a]ny video programming distributor content, is available at a time of the viewer’s 9 and any other entity that provides video choosing.’’)). impaired. Specifically, section 202 of programming that is intended for distribution to 5 See Annual Assessment of the Status of residential households including, but not limited to Competition in the Market for the Delivery of Video 8 See H.R. Rep. No. 111–563, 111th Cong., 2d broadcast or nonbroadcast television network and Programming, MB Docket No. 14–16, Sixteenth Sess. at 19 (2010); S. Rep. No. 111–386, 111th the owners of such programming.’’ 47 CFR Report, FCC 15–41, para. 336 (rel. Apr. 2, 2015) Cong., 2d Sess. at 1 (2010). 79.1(a)(12). Section 79.1 defines a ‘‘video (‘‘16th Video Competition Report’’) (‘‘IP video 9 Pursuant to Section 201 of the CVAA, the programming distributor’’ as ‘‘[a]ny television distribution opportunities for MVPDs and [online Chairman of the Commission established an broadcast station licensed by the Commission and video distributors] continu‘e to expand through advisory committee known as the Video any multichannel video programming distributor as portable media devices.’’). Programming Accessibility Advisory Committee defined in § 76.1000(e) of this chapter, and any 6 For example, Cablevision, Charter, Comcast, (‘‘VPAAC’’), comprised of representatives from other distributor of video programming for Cox, and Time Warner Cable currently offer industry and consumer groups, which submitted its residential reception that delivers such applications that allow their subscribers to view statutorily mandated report addressing accessible programming directly to the home and is subject to linear programming on mobile and other devices. emergency information to the Commission on April the jurisdiction of the Commission.’’ Id. 79.1(a)(11). 7 47 CFR 79.105. 9, 2012. See Second Report of the Video 13 47 U.S.C. 613(g)(2).

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the CVAA directs the Commission to of Proposed Rulemaking issued in rules discussed below. Consistent with prescribe rules requiring certain conjunction with the Commission’s the intent of the CVAA, we must ensure apparatus on which consumers receive User Interfaces Order 20 (‘‘User that individuals with disabilities are not or play back video programming, such Interfaces Further Notice’’), also under left behind as new technologies and as televisions, set-top boxes, DVD and MB Docket No. 12–107, the Commission platforms for viewing video Blu-ray players, to have the capability to sought comment on whether to require programming are developed, and we are decode and make available emergency manufacturers of apparatus covered by mindful of this as we revise our rules information and video description section 203 of the CVAA to provide promoting the accessibility of services in a manner accessible to access to the secondary audio stream emergency information. individuals who are blind or visually used for audible emergency information III. Discussion impaired, and requiring certain by a simple and straightforward apparatus designed to record video mechanism, such as a mechanism A. Accessible Emergency Information programming to enable the rendering or reasonably comparable to a button, key, Requirements for Linear Programming pass through of emergency information or icon.21 In particular, the Commission on Mobile and Other Devices 14 and video description. sought comment on whether section 9. Given the increasing number of 6. The Commission adopted the First 303(u)(1)(C) of the Communications Act 15 ways in which consumers are accessing Report and Order on April 9, 2013. of 1934, as amended (the ‘‘Act’’), as linear video programming from MVPDs, The record compiled in the proceeding added by section 203 of the CVAA, we believe that it is important to further reflected consensus among industry and which requires that covered apparatus define MVPD responsibilities with consumer groups supporting use of a have the capability to make available regard to the secondary audio stream for secondary audio stream to provide emergency information in a manner that emergency information on mobile and emergency information in a manner is accessible to individuals who are other devices. Specifically, we conclude accessible to individuals who are blind blind or visually impaired, gives the that MVPDs must pass through a or visually impaired, which was Commission authority to adopt such a secondary audio stream containing 16 22 recommended by the VPAAC. Thus, requirement. Consumer and academic audible emergency information when to implement the emergency commenters, including the American they permit consumers to access linear information requirements in Section Foundation for the Blind (‘‘AFB’’), the programming on tablets, smartphones, 202, the First Report and Order adopted American Council of the Blind (‘‘ACB’’), laptops, and similar devices 23 over the rules requiring that video programming and the Rehabilitation Engineering MVPD’s network as part of their MVPD providers (including program owners) Research Center for Wireless services.24 For our purposes here, linear and video programming distributors use Technologies (‘‘Wireless RERC’’), video programming is accessed ‘‘over a secondary audio stream to convey support such a requirement, while the MVPD’s network’’ 25 if it can only be televised emergency information industry commenters oppose it. received via a connection provided by aurally, when such information is 8. To further implement sections 202 the MVPD 26 using an MVPD-provided conveyed visually during programming and 203 of the CVAA, we adopt the application or plug-in.27 other than newscasts.17 Pursuant to section 203, the First Report and Order of the Twenty-First Century Communications and 1. Legal and Policy Analysis also adopted rules applicable to Video Accessibility Act of 2010, MB Docket Nos. 12–107, 11–43, Further Notice of Proposed 10. In the Further Notice, we inquired manufacturers that require apparatus Rulemaking, FCC 13–45, 78 FR 31800 (2013) whether an MVPD is acting as a ‘‘video designed to receive, play back, or record (‘‘Further Notice’’) (accompanying First Report and programming distributor’’ that provides video programming transmitted Order). The Commission also sought comment on the following issues in the Further Notice: (i) simultaneously with sound to make 23 In addition to tablets, smartphones, and 18 Whether MVPDs must pass through video available the secondary audio stream. description on the secondary audio stream when laptops, the phrase ‘‘similar devices’’ includes other 7. In the Further Notice of Proposed they permit their subscribers to access linear devices on which subscribers can view MVPD- Rulemaking (‘‘Further Notice’’) that programming via mobile or other devices; (ii) provided linear programming over the MVPD’s network, such as personal computers, game accompanied the First Report and whether the Commission should mandate that the secondary audio stream include a particular tag consoles, and Roku devices. Order, the Commission sought comment (e.g., a ‘‘visually impaired’’ (‘‘VI’’) tag); and (iii) 24 At this time, this does not include over-the-top on whether MVPDs are covered by the whether the Commission should require covered (‘‘OTT’’) services, which are at issue in a separate emergency information rules when they entities to provide customer support services that proceeding that considers whether to interpret the are specifically designed to assist consumers who term MVPD to include ‘‘services that make available permit their subscribers to access linear are blind or visually impaired to navigate between for purchase, by subscribers or customers, multiple programming via mobile or other the main and secondary audio streams. See id. The linear streams of video programming, regardless of devices.19 In a separate Further Notice Commission is continuing to consider these issues. the technology used to distribute the 20 See Accessibility of User Interfaces, and Video programming.’’ MVPD Definition NPRM, para. 1. As in the MVPD Definition NPRM, we use the term 14 Id. 303(u)(1), 303(z)(1). Programming Guides and Menus; Accessible Emergency Information, and Apparatus OTT to refer to linear video services that travel over 15 See generally First Report and Order. Requirements for Emergency Information and Video the Internet and that MVPDs do not treat as 16 See First Report and Order, para. 13; VPAAC Description: Implementation of the Twenty-First managed video services on any MVPD system. Second Report: Access to Emergency Information at Century Communications and Video Accessibility 25 This definition applies when we use the phrase 7, 10–11. Act of 2010, MB Docket Nos. 12–108, 12–107, ‘‘over the MVPD’s network’’ throughout the item. 17 See First Report and Order, para. 12; 47 CFR Report and Order, FCC 13–138, 78 FR 77210 (2013) 26 Video is ‘‘received via a connection provided 79.2(b)(2)(ii). The Commission did not revise the (‘‘User Interfaces Order’’); Accessibility of User by the MVPD’’ if it is received either via an MVPD’s existing requirement applicable to emergency Interfaces, and Video Programming Guides and broadband connection or if it is video that comes information provided visually during newscasts, Menus; Accessible Emergency Information, and over a coaxial or satellite connection that is explaining that the rule already requires such Apparatus Requirements for Emergency converted to IP in the home gateway. information to be made accessible to individuals Information and Video Description: Implementation 27 This is distinguishable from video who are blind or visually impaired through aural of the Twenty-First Century Communications and programming provided over the Internet, which can presentation in the main program audio. First Video Accessibility Act of 2010, MB Docket Nos. be accessed by an MVPD subscriber when using Report and Order, para. 10. See 47 CFR 79.2(b)(2)(i). 12–108, 12–107, Further Notice of Proposed either an MVPD-provided connection, or a third- 18 See First Report and Order, paras. 49, 52; 47 Rulemaking, FCC 13–138, 78 FR 77074 (2013) party Internet service provider or broadband CFR 79.105 through 79.106. (‘‘User Interfaces Further Notice’’). connection. For example, a customer that uses a 19 See Accessible Emergency Information; 21 See User Interfaces Further Notice, para. 9. tablet connected to a bookstore’s Wi-Fi to access Apparatus Requirements for Emergency 22 See id.; 47 U.S.C. 303(u)(1)(C); Public Law 111– video programming would not be accessing the Information and Video Description: Implementation 260, sec. 203. programming ‘‘over the MVPD’s network.’’

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‘‘video programming’’ covered by the services.32 Further, section 202 of the its subscribers to access video emergency information rules adopted in CVAA gives the Commission discretion programming that is distributed to the the First Report and Order when it in how it implements the requirement home via the MVPD’s network, the permits its subscribers to access linear that video programming distributors, MVPD is subject to the Commission’s programming that contains emergency including MVPDs, ‘‘convey [ ] emergency information rules, regardless information via tablets, laptops, emergency information in a manner of the devices that are accessing the personal computers, smartphones, or accessible to individuals who are blind video programming.’’ 36 The Wireless similar devices.28 We also sought or visually impaired.’’ 33 Thus, applying RERC agrees with AT&T’s position.37 comment on whether, under this the emergency information rules when 13. We believe that requiring MVPDs approach, an MVPD should be required MVPDs permit subscribers to access to pass through a secondary audio to ensure that any application or plug- linear programming on mobile and other stream with audible emergency in that it provides to the consumer to devices over the MVPD’s network information in these circumstances will access such programming is capable of adheres to the statutory directive to further the goals of the CVAA by helping to ensure that emergency making emergency information audible ensure that emergency information is information is made accessible to on a secondary audio stream. conveyed in an accessible manner to individuals with visual disabilities. individuals who are blind or visually 11. We conclude that the accessible 12. NCTA, AT&T Services, Inc. impaired when they watch linear video emergency information requirements (‘‘AT&T’’), and the Wireless RERC argue programming provided by their MVPD adopted in the First Report and Order that MVPDs should be covered by the over the MVPD’s network, regardless of should apply to linear video emergency information rules in section the device on which they are viewing programming distributed by MVPDs to 79.2 when they provide linear the programming. The number of ways their subscribers over the MVPD’s programming that contains emergency in which consumers are able to access network, regardless of the device on information for viewing on mobile and linear programming from their MVPDs which such programming is viewed. In other devices within the home. NCTA is growing. As NCTA points out, the First Report and Order, the contends that ‘‘a cable operator ‘‘[c]able operators, as part of their Commission determined that the delivering linear broadcast stations existing services, increasingly are accessible emergency information containing emergency information (or providing applications (‘apps’) or other requirements adopted therein apply to any other linear video programming technologies that enable their video programming subject to section service that might provide an aural subscribers to view linear programming 79.2 that is provided by a covered version of emergency information within the home over the cable 38 entity, i.e., video programming provided covered by the rules) within a operator’s network.’’ Consumer by television broadcast stations licensed subscriber’s home would be a ‘video advocates emphasize the importance of by the Commission, MVPDs, and any programming distributor’ for . . . making sure that the emergency other distributor of video programming purposes [of the rules], even if the linear information rules keep pace with such for residential reception that delivers service is received through use of an trends and urge the Commission to such programming directly to the home operator-supplied app on a device apply the emergency information rules and is subject to the jurisdiction of the owned by a consumer.’’ 34 According to 36 Commission.29 As the National Cable & NCTA, ‘‘cable operators would not AT&T Comments at 3. 37 Reply Comments of the Rehabilitation Telecommunications Association object to applying the emergency Engineering Research Center for Wireless (‘‘NCTA’’) observes, MVPDs are information rules in these Technologies, MB Docket Nos. 12–107, 11–43, at 5 expressly included within the circumstances.’’ 35 Likewise, AT&T (‘‘Wireless RERC Reply’’). regulatory definition of a ‘‘video states that ‘‘when an MVPD is allowing 38 See NCTA Comments at 2; Wireless RERC 30 Reply at 4; Letter from Diane B. Burstein, Vice programming distributor.’’ Further, President and Deputy General Counsel, NCTA, to 32 linear programming distributed by an Given that we apply the rules only when Marlene H. Dortch, Secretary, FCC, at 1 (Apr. 4, MVPDs permit consumers to access linear 2014) (‘‘NCTA Apr. 4, 2014 Ex Parte Letter’’). See MVPD to a subscriber over the MVPD’s programming on tablets, smartphones, laptops, and network is ‘‘video programming’’ also Further Notice, n.6 (stating that Cablevision similar devices over the MVPD’s network as part of currently permits consumers to access its entire subject to section 79.2 of the rules. In their MVPD services, and not to OTT services at package of video programming, including broadcast other words, it is ‘‘[p]rogramming this time, we need not address the issues raised by channels that contain emergency information, industry commenters with regard to whether the provided by, or generally considered through its Optimum app for the iPad and other Commission has authority under the CVAA to devices); Charter Communications, Press Release, comparable to programming provided extend the accessible emergency information Charter Announces Launch of Charter TV App by, a television broadcast station that is requirements in Section 79.2 to all linear (Apr. 8, 2014) (announcing the Charter TV App programming delivered over the Internet or via available for free download on various platforms, distributed and exhibited for residential Internet protocol (‘‘IP’’). See Comments of AT&T use.’’ 31 Accordingly, MVPDs must through which ‘‘Charter TV customers can now Services, Inc., MB Docket Nos. 12–107, 11–43, at 3 watch over 130 live TV Channels anywhere inside comply with the accessible emergency (‘‘AT&T Comments’’); Comments of DIRECTV, LLC, their home on their mobile devices such as tablets information requirements when they MB Docket Nos. 12–107, 11–43, at 5–6 (‘‘DIRECTV or smartphones’’); Comcast, Xfinity TV Apps, Comments’’); Comments of the Consumer available at http://xfinitytv.comcast.net/apps permit consumers to access linear Electronics Association, MB Docket Nos. 12–107, programming on tablets, smartphones, (‘‘Turn any device into a personal TV screen 11–43, at 6 (‘‘CEA Comments’’); Comments of the anywhere in your home. Stream any channel live, laptops, and similar devices over the Telecommunications Industry Association, MB watch XFINITY On DemandTM and access your MVPD’s network as part of their MVPD Docket Nos. 12–107, 11–43, at 3–4 (‘‘TIA DVR shows on your tablet, smartphone or Comments’’); Reply Comments of the Entertainment computer.’’); Cox, About the Contour App, available Software Association, MB Docket Nos. 12–107, 11– at http://www.cox.com/residential/support/tv/ 28 Further Notice, para. 2. 43, at 3 (‘‘ESA Reply’’); Reply Comments of the article.cox?articleId=ee838930-c7d7-11e2-caa8- 29 First Report and Order, para. 7; 47 CFR Information Technology Industry Council, MB 000000000000 (‘‘With the Contour App, you can 79.1(a)(10) through (11). Docket Nos. 12–107, 11–43, at 3–4 (‘‘ITIC Reply’’). [w]atch over 130 live channels and thousands of On 30 See Comments of the National Cable & See also Reply Comments of the National Demand programs while in the home.’’); Time Telecommunications Association, MB Docket Nos. Association of Broadcasters, MB Docket Nos. 12– Warner Cable, TWC TV App, available at http:// 12–107, 11–43, at 3 (‘‘NCTA Comments’’); 47 CFR 107, 11–43, at 2 (‘‘NAB Reply’’). www.timewarnercable.com/en/tv/features/twc- 79.1(a)(11). See also First Report and Order, para. 33 47 U.S.C. 613(g)(2). tv.html (‘‘Watch up to 300 live TV channels on up 33. 34 NCTA Comments at 3. to five of your favorite devices simultaneously in 31 See NCTA Comments at 3; 47 CFR 79.1(a)(10). 35 Id. your home with the TWC TV app’’).

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to mobile and other devices.39 In situations, irrespective of where the (‘MVPD’) by including within its scope addition, the Wireless RERC explains subscriber is physically located when services that make available for that individuals who are blind or accessing the programming.42 Instead of purchase, by subscribers or customers, visually impaired may not draw a applying our rules based on where the multiple linear streams of video distinction between regular television consumer is located when viewing the programming, regardless of the broadcasts and linear programming on programming, we look instead to technology used to distribute the mobile and other devices offered as part whether the programming is provided programming.’’ 46 In that NPRM, we of an MVPD’s services and, therefore, over the MVPD’s network, as opposed to specifically sought comment on the they argue that the emergency over the Internet, given that Internet- application of our rules pertaining to information rules should apply equally based video services are currently at accessibility of emergency information to the latter.40 We concur. Consumers issue in a separate proceeding. NCTA by persons with disabilities to Internet- who choose to watch linear argues that the rules should apply only based distributors of video programming programming offered by an MVPD on a within an MVPD subscriber’s home, and that qualify as MVPDs under the mobile device over the MVPD’s network not outside of the home, ‘‘both because proposed definition.47 We conclude, should not be deprived of timely and of the limited scope of the statutory and therefore, that application of the potentially life-saving accessible regulatory definitions, and because of emergency information rules to such emergency information that they the nature of emergency information.’’ 43 services is better addressed in that otherwise would have received had they We conclude that focusing on whether proceeding. watched the same programming on a the services are provided over the 2. MVPD Obligations television. MVPD’s network more clearly 14. Although we inquired in the delineates the services subject to the 16. We conclude that MVPDs must Further Notice as to whether the rule and avoids confusion as to whether ensure that any application or plug-in emergency information rules should the rule applies with respect to OTT that they provide to consumers to access apply to an MVPD’s linear programming services that consumers may be able to linear programming over the MVPD’s accessed outside the home, we find it access in their homes.44 Further, to the network on mobile and other devices is more appropriate to apply the rules extent NCTA’s ‘‘in the home’’ capable of passing through the aural when MVPDs permit consumers to construction is intended to ensure that representation of emergency access linear programming on tablets, the emergency information rules do not information (including the smartphones, laptops, and similar apply to video programming accessed accompanying aural tone) on a devices over the MVPD’s network as over the Internet, our approach to cover secondary audio stream. In so part of their MVPD services. In the linear programming accessed over the concluding, we do not change the Further Notice, we noted that some MVPD’s network as part of an MVPD’s underlying obligations applicable to MVPDs currently enable subscribers to services accomplishes this objective. video programming distributors and access linear programming inside the Our emergency information rules do not video programming providers as set home as well as outside the home (i.e., apply, at this time, to an MVPD’s linear forth in the First Report and Order. In TV Everywhere 41), and we sought programming that is accessed via the the First Report and Order, the comment on whether our emergency Internet, such as TV Everywhere Commission concluded that the video information rules should apply in both offerings. programming distributor or video 15. As mentioned above, we do not programming provider that creates 39 See Wireless RERC Reply at 3–4; Comments of apply these rules to over-the-top visual emergency information content Jose Cruz, MB Docket Nos. 12–107, 11–43, at 2 services provided by MVPDs at this and adds it to the programming stream (arguing that ‘‘[t]he blind/visually impaired should is responsible for providing an aural be able to access emergency broadcasts from their time. In December 2014, we adopted a MVPD . . . through mobile and/or other electronic Notice of Proposed Rulemaking representation of the information on a devices,’’ which ‘‘may affect their well-being or the proposing to include within the secondary audio stream, accompanied well-being of their families’’); Comments of Jeanette definition of MVPD certain Internet- by an aural tone.48 The Commission also M. Schmoyer, MB Docket Nos. 12–107, 11–43, at 1 45 found that video programming (arguing that the accessible emergency information based video services. Specifically, we requirements should apply to television proposed ‘‘to modernize our distributors are responsible for ensuring programming delivered over tablets, laptops, interpretation of the term ‘multichannel that the aural representation of the smartphones, and similar devices, and stating that video programming distributor’ emergency information and the ‘‘[a]t the rate technology changes, PC’s are already accompanying aural tone get passed decreasing in sales in favor of laptops and tablets’’ 49 and ‘‘[i]nformation provided as a visual element 42 Further Notice, para. 2. through to consumers. NCTA asserts needs to be provided in an audio element no matter 43 NCTA Comments at 3, n.11. See also AT&T that ‘‘the Further Notice appears to what the device’’). Comments at 1; CEA Comments at 4 (‘‘The contemplate an additional requirement 40 See Wireless RERC Reply at 4. Commission consistently has applied Section[ ] that operators ‘mak[e] the emergency 41 See 16th Video Competition Report, para. 3 79.2 only in the context of traditional broadcast (‘‘These services, referred to as ‘TV Everywhere,’ television and MVPD services, which are classic information audible on a secondary allow MVPD subscribers to access both linear and examples of services for residential reception that audio stream’ on devices that they do video-on-demand (‘VOD’) programming on a variety deliver such programming directly to the home.’’) not control,’’ which, they argue, goes of in-home and mobile Internet-connected (citation omitted); TIA Comments at 4 (‘‘The devices.’’); id. at n.22 (‘‘TV Everywhere is an Commission’s video description and emergency 46 Id. authentication system whereby certain movies and information requirements are appropriately limited 47 television shows are accessible online via a variety to the MVPD’s traditional programming offered Id. at para. 56. of display devices including personal computer, within the home, and that qualifies as linear video 48 First Report and Order, para. 36; 47 CFR mobile, and television—but only if you can prove programming under Part 79.1 of the Commission’s 79.2(b)(2)(ii). In addition, both video programming (or ‘authenticate’) that you have a subscription to rules.’’); ESA Reply at 3 (‘‘The CVAA imposes distributors and video programming providers are an MVPD.’’); id. para. 85 (‘‘Most of the video emergency information requirements not on the full responsible for ensuring that aural emergency programming offered on TV Everywhere is available range of video programming, but only on that information supersedes all other programming on only to MVPD subscribers. Access to TV programming intended for in-home reception.’’). the secondary audio stream, with each entity Everywhere video programming is restricted 44 Moreover, we disagree with NCTA’s argument responsible only for its own actions or omissions through the use of an authentication process that that emergency information is irrelevant to a in this regard. First Report and Order, para. 36; 47 requires a subscriber to select their MVPD service subscriber outside of his or her home. See NCTA CFR 79.2(b)(5). provider and then provide a user ID and Comments at 3, n.11. 49 First Report and Order, para. 36; 47 CFR password.’’) (citation omitted). 45 See MVPD Definition NPRM, para. 1. 79.2(b)(2)(ii).

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beyond the requirement to ensure that example, CTIA–The Wireless otherwise impedes the ability of a user aural emergency information gets Association (‘‘CTIA’’) explains that to hear the secondary audio stream.58 passed through to consumers.50 We mobile device manufacturers have no agree that, consistent with the control over the development or 4. Compliance Deadline responsibilities set forth in the current installation of MVPD applications, and 19. We adopt a compliance deadline rule, to the extent MVPDs do not once an MVPD application is installed of two years after publication of the originate visual emergency information on a mobile device, the application Second Report and Order in the Federal that is added to the programming controls the audio capabilities, i.e., Register. NCTA requests that the stream, they are not responsible for whether there are multiple audio Commission provide MVPDs at least providing an aural representation of the streams and which audio stream is two years after adoption of new information on a secondary audio heard by the user.55 According to CTIA, 51 requirements to come into compliance stream. MVPDs are responsible for ‘‘the mobile device simply supports the because of the technical challenges ensuring that the aural representation of general audio functionality of the involved.59 NCTA explains that passing emergency information on the device, so that it will play whatever through a secondary audio stream to secondary audio stream gets passed audio stream the app itself provides.’’ 56 mobile and other devices in the home is through to consumers, and we find that Likewise, CEA contends that if an ‘‘a different, more complex, and more this obligation applies if the MVPD MVPD application is capable of costly matter’’ than passing a secondary permits the consumer to view linear delivering and switching between more audio stream through to a television programming on mobile and other than one audio stream for linear set.60 According to NCTA, ‘‘cable devices over the MVPD’s network as programming, the device generally will operators generally just pass through the part of its MVPD services. play the audio stream delivered by the primary audio stream to operator- 3. Apparatus Manufacturer Obligations application.57 provided apps,’’ and thus, ‘‘operators 17. We also sought comment in the 18. Based on the record, we do not would have to acquire additional Further Notice as to whether apparatus impose compliance obligations on the equipment and encoding to support the manufacturers covered by section 203 of manufacturers of apparatus covered by pass through of an additional audio the CVAA should be required to ensure section 203 of the CVAA with regard to stream in IP,’’ and ‘‘operators may need that tablets, laptops, personal ensuring that any application or plug-in to provide audio enhancements to many computers, smartphones, and similar that MVPDs provide to consumers to different apps created to serve a devices are capable of receiving the access linear programming on mobile multiplicity of devices in the home.’’ 61 secondary audio stream.52 As part of and other devices is capable of passing Given these challenges, NCTA asks for this inquiry, we asked whether through audible emergency information sufficient time to allow operators to apparatus manufacturers should be on a secondary audio stream. The record support the capability for a secondary solely responsible for making demonstrates that such entities typically audio stream on these devices going 62 emergency information accessible on do not control either the applications or forward. DIRECTV states that these types of devices, or whether both technologies in question or the ability of developing the technological ecosystem the MVPD and the manufacturer have a consumers to select and receive the to support a secondary audio stream for role in facilitating the provision of the secondary audio stream for MVPD- emergency information in the IP context secondary audio stream on such provided linear programming on mobile ‘‘would be a massive undertaking’’ devices.53 Consumer electronics and other devices. We believe that the because linear programming delivered industry commenters argue that responsibility for passing through the via IP does not currently include this manufacturers should not be subject to aural representation of emergency capability, the equipment used to view compliance obligations because information in the secondary audio such programming does not currently apparatus have no control over the stream properly lies with MVPDs. support it, and adding additional data to audio functionality of MVPD However, to the extent MVPD applications and technologies used to applications or other technologies have 58 See ESA Reply at 4 (‘‘If . . . the Commission distribute linear programming on been designed and developed to work were to impose emergency information 54 requirements on IP-delivered linear video mobile and other devices. For on a specific type of device or platform, programming within the home, any responsibility we expect that users will be able to hear on devices should be limited to a ‘do not block’ or 50 NCTA Comments at 3–4 (citation omitted). the secondary audio stream in an MVPD ‘do no harm’ requirement.’’). See also Wireless 51 Although NCTA argues that ‘‘[c]able operators application through the native audio RERC Reply at 5 (‘‘[I]f mobile device do not originate the type of ‘emergency information’ manufacture[r]s at any point incorporate the ability addressed by the Commission’s new rule,’’ but functionality of the device, as professed to tune into linear programming via a chip or other ‘‘simply pass along the aural emergency by industry commenters. We may built-in modification (via software, hardware or information contained in a secondary audio stream impose obligations on manufacturers in firmware) or an app that is ‘integrated into a mobile that is created by the originator of that the future if we find that the apparatus device by the manufacturer,’ then the device information,’’ NCTA Comments at 4, we reiterate manufacturer should be responsible for ensuring our position ‘‘that to the extent an MVPD does itself does not make a secondary audio the provision of accessible emergency create a crawl or other visual graphic conveying stream with audible emergency information.’’) (citation omitted). local emergency information as defined in Section information from an MVPD application 59 NCTA Comments at 5. See also CEA Comments 79.2 and embeds it in non-newscast programming, available to the apparatus user or at 9 (arguing that a two-year period would be it should also be responsible for making the visual consistent with deadlines the Commission has emergency information aurally accessible.’’ First adopted in other CVAA proceedings); ESA Reply at Report and Order, n.38. Letter’’). See also Wireless RERC Reply at 5 4 (suggesting that ‘‘any deadline should be subject 52 Further Notice, para. 3. (agreeing with TIA and CTIA that the responsibility to industry development of appropriate technical 53 Id. for accessible emergency information on mobile and standards, with a subsequent phase-in period of at 54 See Comments of CTIA–The Wireless other devices lies with MVPDs because they are least two years after adoption of such standard to Association, MB Docket Nos. 12–107, 11–43, at 2, providing the video programming via an address any complicated handoffs of other technical 5–6 (‘‘CTIA Comments’’); CEA Comments at 10–11; application or Web site, and ‘‘thus the mobile and business challenges’’). TIA Comments at 4–5; ITIC Reply at 5; Letter from device in this case is serving as a conduit’’). 60 NCTA Comments at 4–5. Julie M. Kearney, Vice President, Regulatory 55 CTIA Comments at 5. 61 Id. at 5. See also NCTA Apr. 4, 2014 Ex Parte Affairs, CEA, to Marlene H. Dortch, Secretary, FCC, 56 Id. Letter at 1–2. at 2 (Mar. 28, 2014) (‘‘CEA Mar. 28, 2014 Ex Parte 57 CEA Mar. 28, 2014 Ex Parte Letter at 1–2. 62 NCTA Apr. 4, 2014 Ex Parte Letter at 2.

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the video stream would further congest for a number of devices. We believe that the Communications Act.’’ 73 Pursuant strained broadband capabilities.63 a two-year period will provide sufficient to these statutory provisions, we find 20. Although we acknowledge that time for MVPDs to achieve these steps, that the Commission has authority to today MVPDs typically pass through a along with the requisite testing and require that the secondary audio single audio stream in the IP context,64 implementation, and is consistent with stream—which is used to make the record also demonstrates that at other timeframes adopted by the emergency information audible to least some MVPDs are already able to Commission for CVAA-related individuals who are blind or visually use a secondary audio stream to deliver compliance.68 impaired—be made available on emergency information when they covered apparatus in a manner that is B. Activation Mechanism for Audible provide linear programming on mobile accessible to such individuals.74 and other devices. Notably, Comcast has Emergency Information on the 24. As noted above, in the First Report made investments in infrastructure to Secondary Audio Stream and Order, we required video enable the secondary audio stream 22. We require manufacturers of programming providers and distributors when it offers its cable services through apparatus subject to section 79.105 of to use the secondary audio stream as the its Xfinity applications, and, currently, the Commission’s rules 69 to provide a means to provide accessible emergency ‘‘Comcast customers can access the mechanism that is simple and easy to information for individuals who are secondary audio stream via the Xfinity use, such as one that is reasonably blind or visually impaired in user interface on a number of third- comparable to a button, key, or icon, for accordance with section 202 of the party devices.’’ 65 Further, Cablevision activating the secondary audio stream CVAA. Thus, to implement section 203 customers currently can access the for audible emergency information. We of the CVAA, we required apparatus secondary audio stream when using conclude that such a requirement is designed to receive and play back video Cablevision’s Optimum application on a necessary to ensure that covered programming transmitted laptop or personal computer, though not apparatus are capable of making simultaneously with sound to decode when using this application on other available emergency information in a and make available the secondary audio mobile devices.66 Cablevision has manner that is accessible to individuals stream in a manner that enables already initiated efforts to transmit the who are blind or visually impaired, as consumers to select the stream used for secondary audio stream over the mandated by section 203 of the CVAA.70 transmission and delivery of emergency Optimum application on mobile and information.75 Notably, the Commission other devices, and explains that the was given authority and discretion to process of implementing this 1. Legal and Policy Analysis promulgate regulations requiring functionality involves further 23. In the User Interfaces Further covered entities to convey emergency development of the application, information in a manner accessible to 67 Notice, the Commission sought software upgrades, and testing. comment on whether to require individuals who are blind or visually 21. Based on our review of the record, impaired. Use of the secondary audio manufacturers of apparatus covered by we conclude that a compliance deadline stream to provide audible emergency section 203 of the CVAA to provide of two years after publication of the information was not mandated by access to the secondary audio stream Second Report and Order in the Federal Congress.76 For example, the used for audible emergency information Register is reasonable, though we Commission could have required that in a simple, straightforward, and timely encourage covered MVPDs to offer this visual emergency information be made manner, such as through a mechanism functionality as soon as it is technically audible on the main program audio.77 reasonably comparable to a button, key, feasible for them to do so. The record Given broad-based support from or icon.71 Section 303(u)(1)(C) of the shows that MVPDs may need to take a consumers and industry, as well as the Act, as added by Section 203 of the number of steps to achieve compliance, recommendation of the VPAAC, CVAA, requires that apparatus designed such as acquiring additional equipment however, the Commission decided that to support the pass through of the to receive and play back video the secondary audio stream would be secondary audio stream for IP and programming transmitted the best method to make visual developing or modifying applications to simultaneously with sound ‘‘have the information presented during non- support this type of audio functionality capability to decode and make available newscast programming audibly emergency information (as that term is accessible to individuals who are blind 63 DIRECTV Comments at 7. See also NAB Reply defined in section 79.2 of the at 3. Commission’s regulations (47 CFR 79.2)) 73 Public Law 111–260, sec. 203(d). 64 NCTA Apr. 4, 2014 Ex Parte Letter at 1. in a manner that is accessible to 74 See Reply Comments of the Rehabilitation 65 See Letter from James R. Coltharp, Chief Policy individuals who are blind or visually Engineering Research Center for Wireless Advisor, FCC & Regulatory Policy, Comcast impaired.’’ 72 Further, section 203 also Technologies, MB Docket Nos. 12–108, 12–107, at Corporation, to Marlene H. Dortch, Secretary, FCC, 8 (Feb. 25, 2014) (‘‘Wireless RERC User Interfaces at 1 (May 23, 2014). provides the Commission with authority Reply Comments’’); Reply Comments of the 66 See Letter from Tara M. Corvo, Counsel for to ‘‘prescribe such regulations as are American Foundation for the Blind and the Cablevision Systems Corp., to Marlene H. Dortch, necessary to implement the American Council of the Blind, MB Docket Nos. 12– Secretary, FCC, at 1 (June 26, 2014). requirements of section[] 303(u) . . . of 108, 12–107, at 2 (Mar. 20, 2014) (‘‘AFB/ACB User 67 Id. In addition, we note that Netflix has begun Interfaces Reply Comments’’). to include alternative audio tracks for their 75 First Report and Order, para. 50; 47 CFR 68 See First Report and Order, para. 37. programming on Netflix-supported devices. See 79.105(a). 69 Todd Spangler, Netflix Adding Audio Description 47 CFR 79.105. Covered apparatus include 76 See 47 U.S.C. 613(g)(1) through (2), Tracks for Visually Impaired, Starting with apparatus that are designed to receive or play back 303(u)(1)(C). See also S. Rep. No. 111–386, at 13 ‘Marvel’s Daredevil,’ Variety (Apr. 14, 2015), video programming transmitted simultaneously (‘‘The Committee is aware that emergency alert available at http://variety.com/2015/digital/news/ with sound that is provided by entities subject to information is inherently local and time sensitive netflix-adding-audio-description-tracks-for-visually- sections 79.2 and 79.3, are manufactured or in nature. Therefore it is the intention of the impaired-starting-with-marvels-daredevil- imported for use in the United States, and use a Committee that the Commission have flexibility 1201472372/# (noting that ‘‘the company is working picture screen of any size, subject to certain with respect to applying the requirements of new with studios and other content owners to increase exemptions. See id. 79.105(a) through (b). section 713(g). . . .’’); H.R. Rep. No. 111–563, at 29 the amount of audio description across a range of 70 47 U.S.C. 303(u)(1)(C). (same). devices including smart TVs, tablets and 71 User Interfaces Further Notice, para. 9. 77 See VPAAC Second Report: Access to smartphones’’). 72 47 U.S.C. 303(u)(1)(C). Emergency Information at 8. See also id. at 11–12.

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or visually impaired. Yet, emergency impaired, due to the complexities of requirements, including the activation information presented aurally on the navigating through multiple on-screen mechanism requirement we adopt here, secondary audio stream is not, as a menus to select this feature.82 While it will ensure that critical information that practical matter, fully accessible to such is important that consumers who are is conveyed on television to further the individuals unless they are able to blind or visually impaired are able to protection of life, health, safety, and promptly switch to the secondary audio access the secondary audio stream for property in an emergency is available to stream to hear the critical details of an video description services, it is even every viewer in a timely manner, emergency in a timely manner. As the more critical that consumers who are including persons with visual VPAAC concluded, unless blind or blind or visually impaired are able to disabilities. visually impaired consumers are able to access the secondary audio stream for 27. We find that requiring the more easily control the means of audible emergency information, and provision of a simple and easy to use accessing the secondary audio stream on that they are able to do so in a timely activation mechanism for audible devices, ‘‘emergency information manner.83 In an emergency situation, emergency information on the present on the secondary audio channel every second counts. Thus, to ensure secondary audio stream is necessary to may not be readily accessible.’’ 78 that emergency information is made fulfill the statute’s mandate that 25. Although the requirements related readily accessible, we conclude that emergency information be made to the provision of accessible emergency individuals who are blind or visually accessible to individuals who are blind information on a secondary audio impaired must be able to activate the or visually impaired. This is particularly stream have not yet gone into effect,79 secondary audio stream in a simple and true given the time-sensitive nature of the experiences of consumers who use easy to use manner. emergency information. At the same the secondary audio stream for video 26. Requiring a simple and easy to use time, however, we believe it is description are illustrative in showing mechanism for activating the secondary important that the industry has how difficult it is for consumers to audio stream for emergency information flexibility in choosing the precise means access any kind of programming on the will provide a substantial benefit for for activating the secondary audio 86 secondary audio stream. Currently, the consumers who are blind or visually stream. Accordingly, we do not process for activating the secondary impaired by providing an easy and mandate a particular means of audio stream is often arduous and time- quick method to switch to the secondary compliance. For example, we note that 80 consuming. In the User Interfaces audio stream to hear critical emergency the VPAAC stated that covered entities Further Notice, the Commission information. According to AFB and could provide a dedicated button on a observed that individuals who are blind ACB, ‘‘the importance of a streamlined remote control to activate the secondary or visually impaired have experienced and obvious means for accessing audio stream, a mechanism it singled 87 difficulty with accessing the secondary emergency information is out as useful. However, we believe the audio stream because the mechanism for indispensable,’’ given that the better path is to give industry the switching to the secondary audio stream information being accessed ‘‘may very flexibility to develop simple and easy to from the main program audio is buried 84 use activation methods, similar to the 81 well save lives.’’ Indeed, as the in several layers of on-screen menus. Commission has consistently approach we adopted to implement the Likewise, in a CVAA-required report to requirements of sections 204 and 205 of recognized, ‘‘providing all viewers with 88 Congress on video description, the accurate information regarding the CVAA. Some industry Commission noted that numerous commenters have indicated that they emergencies is of great importance.’’ 85 individual commenters who are blind or have already begun developing Emergency information is of unique visually impaired contend that innovative approaches to comply with significance given its potential impact activating the secondary audio stream the activation mechanism rules adopted on public safety, and it is essential that on televisions and set-top boxes is in the User Interfaces Order. For persons with disabilities have access to challenging, and sometimes impossible example, NCTA states that activation the same time-sensitive emergency for individuals who are blind or visually methods now in development include information to which other viewers programmable buttons on remote have access. Our emergency information 78 VPAAC Second Report: Access to Emergency controls and that voice and gesture Information at 7–8 (‘‘To obtain emergency controls will likely be offered in 82 Video Description Report to Congress, para. 32. information from television programming, many 89 users with visual disabilities require a greater level 83 See VPAAC Second Report: Access to addition to these methods. of access to controls on receiving devices than most Emergency Information at 7 (‘‘The effective use of models of such devices offer today. . . . [A] blind video description by the blind or visually impaired 86 See User Interfaces Order, para. 81 (stating that or visually impaired person will need a reliable for any purpose requires convenient, reliable and the requirement to provide an activation method of accessing the secondary audio feed if readily available access to the video description mechanism reasonably comparable to a button, key, emergency information is to be provided on [this] service [on the secondary audio stream]. If this or icon ‘‘is consistent with Congress’s intent ‘to service.’’). service is to convey emergency information, the ensure ready access to [closed captioning and video 79 Compliance with the accessible emergency convenience of such access is all the more description] features by persons with disabilities,’ information rules adopted in the First Report and important.’’). while still giving covered entities the flexibility Order is required by May 26, 2015, subject to 84 AFB/ACB User Interfaces Reply Comments at contemplated by the statute’’). certain exceptions. See 47 CFR 79.2(b)(2)(ii), 2. See also Wireless RERC User Interfaces Reply 87 See VPAAC Second Report: Access to 79.105(a), 79.106(a). See also First Report and Comments at 9 (strongly urging the Commission to Emergency Information at 8–9 (‘‘In the event that Order, paras. 37–45, paras. 76–77. adopt a requirement for a mechanism reasonably . . . the crawl or scroll is made auditory in the 80 See AFB/ACB User Interfaces Reply Comments comparable to a button, key, or icon for accessing secondary audio channel, several other methods at 2 (noting that AFB, ACB, and individual the secondary audio stream for audible emergency could possibly be used to assist visually impaired consumers ‘‘have commented on the current information because ‘‘[t]his can be a life and death consumers in gaining access to this audio service. difficulty, and frequently virtual impossibility, of scenario where people with vision disabilities For example, physical buttons on the remote locating [video] description controls and turning would miss information that affects their immediate control may help individuals with visual [video] description on’’); Video Description: safety’’). disabilities enable the second audio channel.’’). Implementation of the Twenty-First Century 85 Implementation of Section 305 of the 88 User Interfaces Order, para. 81. Communications and Video Accessibility Act of Telecommunications Act of 1996, Closed 89 See National Cable & Telecommunications 2010, MB Docket No. 11–43, Report to Congress, DA Captioning and Video Description of Video Association, Opposition to Petition for 14–945, para. 32, nn.102–05 (MB rel. Jun. 30, 2014) Programming: Accessibility of Emergency Reconsideration, MB Docket Nos. 12–108, 12–07, at (‘‘Video Description Report to Congress’’). Programming, MM Docket No. 95–176, Second 7 (filed Feb. 18, 2014). See also Letter from James 81 User Interfaces Further Notice, para. 9. Report and Order, FCC 00–136, 65 FR 26757 (2000). Continued

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28. Industry commenters raise a have said so in section 203.’’ 93 the Commission in section 203 to ensure number of legal arguments as to why However, this argument also fails to that covered apparatus have the they believe the Commission should not recognize that Congress gave the capability to make available emergency require an activation mechanism for Commission authority to identify information in an accessible manner. As audible emergency information on methods to convey emergency explained above, the record section 203 apparatus, but we find each information in a manner accessible to demonstrates that such a mechanism is of them to be unpersuasive. As we individuals who are blind or visually necessary to carry out the statutory explain below, we require covered impaired, and to promulgate regulations directive.95 entities to provide a simple and easy to (i) requiring covered video programming 30. NCTA and CEA point out that the use activation mechanism and find that providers and distributors to convey Commission adopted rules pursuant to a mechanism reasonably comparable to emergency information in an accessible sections 204 and 205 of the CVAA a button, key, or icon would satisfy this manner, and (ii) requiring covered requiring the accessibility of appropriate standard. We disagree with commenters apparatus to have the capability to make built-in apparatus functions on digital who contend that the Commission emergency information available in an apparatus and the audible accessibility should not require covered entities to accessible manner.94 In other words, as of on-screen text menus and guides used provide a simple means for accessing discussed above, when Congress for the display or selection of the secondary audio stream for enacted the CVAA, it did not specify the multichannel video programming on emergency information because section particular requirements for making navigation devices for individuals who 203 does not contain such a mandate.90 emergency information available in a are blind or visually impaired.96 As explained above, section 303(u)(1)(C) manner accessible to individuals who According to NCTA and CEA, because of the Act requires generally that are blind or visually impaired. Rather, it individuals who are blind or visually covered apparatus have the capability to gave the Commission authority and impaired will have audible access to the make available emergency information discretion to adopt implementing on-screen menus used to locate the in an accessible manner, and section regulations. Moreover, as Congress did secondary audio stream, ‘‘no additional 203 of the CVAA grants the Commission not specify in the statute that covered dedicated ‘mechanism’ will be needed authority to adopt regulations that are entities must use a secondary audio for blind or visually impaired customers necessary to implement this stream to convey audible emergency to be able to readily locate’’ the requirement.91 Thus, the Commission information to individuals who are secondary audio stream for emergency has latitude to adopt requirements that blind or visually impaired, there was no information.97 Although we believe that will ensure that emergency information reason for Congress to mandate a simple these new regulations will make it is made available in an accessible and easy to use mechanism to access easier for individuals who are blind or manner. that stream. Indeed, had the 29. For similar reasons, we reject Commission chosen instead to 95 Commissioner Pai dissents ‘‘from the industry commenters’ argument that the implement section 203 by requiring all requirement that manufacturers of televisions, set- Commission has no authority to require emergency information to be audible on top boxes, and other covered devices include in an activation mechanism for audible those apparatuses a mechanism for activating the the primary audio stream, there would secondary audio stream for emergency information emergency information because have been no need for an activation that is reasonably comparable to a button, key, or Congress specifically required an mechanism for the secondary audio icon.’’ He objects to what he describes as importing activation mechanism reasonably stream that is reasonably comparable to into the rules implementing section 203 of the comparable to a button, key, or icon in CVAA specific mandates set forth in sections 204 a button, key, or icon. Thus, even and 205 of the CVAA. See Statement of sections 204 and 205 of the CVAA, but though the ‘‘reasonably comparable to a Commissioner Ajit Pai, Approving in Part and not in section 203 of the CVAA.92 CEA button, key, or icon’’ language is Dissenting in Part. The rule we adopt today, opines that ‘‘[i]f Congress had meant for included in other sections of the CVAA, however, does no such thing. Rather, it requires such a specific requirement to apply to we do not believe its omission from only that ‘‘all apparatus subject to this section must provide a simple and easy to use mechanism for emergency information, it surely would section 203 is indicative of Congress’ activating the secondary audio stream for audible intent to bar the Commission from emergency information.’’ See 47 CFR 79.105(d). R. Coltharp, Chief Policy Advisor, FCC & Regulatory requiring an activation mechanism in While the dissent distinguishes between ‘‘the Policy, Comcast Corporation, to Marlene H. Dortch, the emergency information context. We capabilities that devices must have’’ and ‘‘the Secretary, FCC, at 1 (Mar. 20, 2015) (detailing a means of activating those capabilities,’’ id., the demonstration of how consumers can activate and find this argument fails to recognize the Commission finds that distinction artificial. In use the talking guide, closed captioning, and video rulemaking authority Congress granted directing the Commission to ensure that covered description on Comcast’s X1 platform). apparatus ‘‘have the capability to decode and make 90 Comments of the Consumer Electronics 93 CEA User Interfaces Comments at 9. See also available emergency information . . . in a manner Association, MB Docket Nos. 12–108, 12–107, at 8 DISH/EchoStar User Interfaces Comments at 6 (‘‘If that is accessible to individuals who are blind or (Feb. 18, 2014) (‘‘CEA User Interfaces Comments’’). Congress had intended for the Commission to visually impaired,’’ the majority does not believe See also Comments of DISH Network L.L.C. and require that access to the secondary audio stream that Congress intended that such apparatus have EchoStar Technologies L.L.C., MB Docket Nos. 12– for audible emergency information on apparatus capabilities such as an audio stream of emergency 108, 12–107, at 6 (Feb. 18, 2014) (‘‘DISH/EchoStar covered by section 203 be available via a information that are impossible for individuals who User Interfaces Comments’’) (‘‘The absence of a mechanism ‘reasonably comparable to a button, are blind or vision impaired to activate quickly ‘reasonably comparable’ mechanism requirement in key, or icon,’ or any other specified mechanism, when they are needed—in an emergency. Such a Section 203 precludes the Commission from Congress would have stated so.’’); NCTA User distinction would be self-defeating. As discussed in imposing such a requirement in that context.’’); Interfaces Comments at 6 (noting that section 205 the order, the statutory directive that the Reply Comments of the Consumer Electronics specifically references a mechanism for activating Commission adopt rules ensuring that emergency Association, MB Docket Nos. 12–108, 12–107, at 5 closed captioning, but ‘‘section 203 . . . does not information is accessible to individuals who are (Mar. 20, 2014) (‘‘CEA User Interfaces Reply reference a mechanism at all. Under these blind or visually impaired grants the Commission Comments’’). circumstances, no additional authority to impose ample authority for the rules we adopt today. 91 47 U.S.C. 303(u)(1)(C); Public Law 111–260, such a requirement can be inferred.’’); CEA User 96 See NCTA User Interfaces Comments at 7; CEA sec. 203(d). Interfaces Reply Comments at 6. See also Letter User Interfaces Reply Comments at 6. 92 See CEA User Interfaces Comments at 9; DISH/ from Diane B. Burstein, Vice President and Deputy 97 Id. See also NCTA Feb. 18, 2015 Ex Parte Letter EchoStar User Interfaces Comments at 5–7; General Counsel, NCTA, to Marlene H. Dortch, at 1, n.2 (‘‘We further explained that audibly- Comments of the National Cable & Secretary, FCC, at 1 (Feb. 18, 2015) (‘‘NCTA Feb. accessible guides and menus will assist blind or Telecommunications Association, MB Docket Nos. 18, 2015 Ex Parte Letter’’). visually impaired individuals in locating [the] 12–108, 12–107, at 6 (Feb. 18, 2014) (‘‘NCTA User 94 See 47 U.S.C. 613(g)(1) through (2), secondary audio stream that will contain emergency Interfaces Comments’’). 303(u)(1)(C). information as well as video description.’’).

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visually impaired to access the for audible emergency information. The applications and plug-ins such in a way secondary audio stream for video Commission will consider the that access to the secondary audio description, they will not fully alleviate simplicity and ease of use of the stream is simple and easy to use for accessibility issues with regard to mechanism in determining whether the individuals who are blind or visually audible emergency information. In statutory requirement has been met, i.e., impaired. In this regard, we urge particular, if the activation mechanism that the covered apparatus has the MVPDs to consult with the disability for the secondary audio stream is buried capability to make available emergency community when designing and in multiple levels of menus, it will still information in an accessible manner. developing these features. be a time-consuming process for Consistent with our approach in the 33. We note that the provisions for individuals who are blind or visually User Interfaces Order,100 we will achievability determinations, purpose- impaired to navigate through those consider examples of compliant based waivers, and exemptions that menus, even if the menus are made mechanisms to include, but not be apply to devices covered by Section audible, and such individuals will not limited to, a dedicated button, key, or 79.105 of the Commission’s rules will have ready and immediate access to icon; voice commands; gestures; and a apply equally to the requirement that time-sensitive emergency information. single step activation from the same covered apparatus provide an activation As AFB and ACB emphasize, ‘‘it is location as the volume controls.101 This mechanism that is simple and easy to imperative that the Commission . . . approach will ensure ready access to the use for accessing the secondary audio ensure ease of use so that consumers are secondary audio stream by persons who stream.102 In addition, apparatus not confounded by avoidable are blind and visually impaired, while designed to receive and play back video technological barriers at the very time still giving covered manufacturers the programming transmitted when time is of the essence.’’ 98 We find flexibility to determine the appropriate simultaneously with sound must that, as part of their obligation to make activation mechanism, as long as it is comply with Section 203 requirements emergency information available in a simple and easy to use in accordance only to the extent they are ‘‘technically manner that is accessible to individuals with our rules. feasible.’’ 103 Thus, we permit covered who are blind or visually impaired, 32. We find that manufacturers are manufacturers to raise technical manufacturers of covered apparatus not responsible for providing a simple infeasibility as a defense when faced must ensure that these individuals are and easy to use mechanism to activate with a complaint alleging a violation of provided with a mechanism to quickly the secondary audio stream for the apparatus requirements adopted activate the secondary audio stream to emergency information on third-party herein, or to file a request for a ruling hear audible emergency information. MVPD applications and plug-ins that under Section 1.41 of the Commission’s are downloaded by consumers to view rules as to technical feasibility before linear programming on mobile and other manufacturing or importing the product, 2. Apparatus Manufacturer Obligations devices. As noted above, manufacturers consistent with our approach in the 31. Manufacturers of apparatus typically do not control such First Report and Order.104 Although we covered by section 79.105 of the applications and, in particular, they do note that apparatus manufacturers may Commission’s rules must provide a not control the ability of consumers to use alternate means of compliance with simple and easy to use mechanism for select and receive the secondary audio the rules adopted pursuant to section activating the secondary audio stream stream for linear programming provided 203, consistent with our approach in the for audible emergency information.99 As through an MVPD application on mobile First Report and Order,105 we believe described above, to provide some and other devices. In the Second Further that few, if any, manufacturers will need guidance to industry, we find that Notice, we seek comment on whether to request an alternate means of providing a mechanism reasonably we should impose an obligation on compliance with the requirement to comparable to a button, key, or icon— MVPDs to provide a simple and easy to make the secondary audio stream as is required for activating closed use activation mechanism for the accessible by providing a simple and captioning and video description on secondary audio stream to access easy to use activation mechanism section 204 digital apparatus, and for emergency information with respect to because we do not prescribe the precise activating closed captioning on section the applications and plug-ins they means for compliance. 205 navigation devices—would comply provide to consumers to access linear 3. Compliance Deadline with the requirement to provide a programming on mobile and other simple and easy to use mechanism for devices. In the meantime, we strongly 34. In the User Interfaces Further activating the secondary audio stream encourage MVPDs to design their Notice, the Commission sought comment on the appropriate time frame 98 AFB/ACB User Interfaces Reply Comments at 100 User Interfaces Order, para. 81. 102 2. 101 Id. at para. 81. The Commission is considering See 47 CFR 79.105(b)(1) through (2) (exempt 99 We emphasize that manufacturers will need to a Petition for Reconsideration filed by the National apparatus), 79.105(b)(3) (achievability), 79.105(b)(4) ensure that set-top boxes include a simple and easy Association of the Deaf along with other consumer (purpose-based waivers). See also First Report and to use activation mechanism for emergency and academic groups which asks the Commission Order, paras. 67–74. information on the secondary audio stream. We to reconsider allowing voice commands as 103 See 47 U.S.C. 303(u). seek comment in the Second Further Notice on compliant mechanisms for activating closed 104 See First Report and Order, para. 66. whether we should require MVPDs to provide their captioning, and to reconsider allowing gestures as 105 See id. at para. 75; Public Law 111–260, sec. customers with set-top boxes that contain the compliant mechanisms for activating closed 203(e). Under this approach, an entity that seeks to simple and easy to use activation mechanism for captioning and video description. See Petition for use an alternate means to comply with the the secondary audio stream. We also note that Reconsideration of the National Association of the apparatus requirements must file a request pursuant manufacturers of televisions and other digital Deaf, Telecommunications for the Deaf and Hard of to section 1.41 of the Commission’s rules for a apparatus covered by section 204 of the CVAA are Hearing, Inc., Deaf and Hard of Hearing Consumer determination that the proposed alternative satisfies already required to provide a mechanism Advocacy Network, Association of Late-Deafened the statutory requirements. See First Report and reasonably comparable to a button, key, or icon for Adults, Inc., Hearing Loss Association of America, Order, para. 75 (‘‘We will not permit an entity to activating the secondary audio stream for video California Coalition of Agencies Serving the Deaf claim in defense to a complaint or enforcement description by December 20, 2016 and thus, as a and Hard of Hearing, Cerebral Palsy and Deaf action that the Commission should determine that practical matter, they should not need to take Organization, and Technology Access Program the party’s actions were a permissible alternate additional steps to comply with the rule we adopt Gallaudet University, MB Docket Nos. 12–107, 12– means of compliance.’’). We will consider such here. See 47 CFR 79.109(a)(2), (c). 108 (Jan. 20, 2014). requests on a case-by-case basis. See id.

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for requiring covered entities to provide deadline consistent with that imposed accordance with section 79.2 of the a simple and easy to use mechanism for in the User Interfaces Order will Commission’s rules 118 when they accessing the secondary audio stream provide sufficient time for apparatus permit consumers to access linear for audible emergency information.106 manufacturers to achieve these steps. In programming on tablets, smartphones, The Commission also inquired whether addition, we find that requiring laptops, and similar devices over the the deadline should be consistent with manufacturers of such devices to MVPD’s network as part of their MVPD the deadline for compliance with incorporate the required accessibility services. Increasingly, Americans are section 203 apparatus requirements that features at the same time will ensure utilizing a wide range of devices in were adopted in the First Report and that the devices are updated on a addition to the television to view video Order (May 26, 2015) 107 or whether uniform timetable. Such a uniform programming, and a number of MVPDs device manufacturers would need timeframe will prevent any consumer now allow customers to view linear additional time to come into confusion as to the capabilities of their programming on second screen devices compliance.108 devices.113 using applications or other technologies. 35. The Wireless RERC, the only party The conclusion we make in the Second IV. Procedural Matters to comment on this issue, argues that Report and Order ensures that the deadline for a requirement to A. Final Regulatory Flexibility Act individuals who are blind or visually provide a simple and easy to use 37. As required by the Regulatory impaired will be provided with mechanism for accessing the secondary Flexibility Act of 1980, as amended accessible emergency information when audio stream for audible emergency (‘‘RFA’’),114 an Initial Regulatory they are watching linear programming information should be consistent with Flexibility Analysis (‘‘IRFA’’) was over the MVPD’s network as part of the deadlines for apparatus that the incorporated into each of the Further their MVPD services, regardless of Commission adopted in the First Report whether they are viewing the 109 Notices of Proposed Rulemaking and Order. The Wireless RERC (‘‘-NPRM’’) in this proceeding.115 The programming on their television or on strongly recommends that the Federal Communications Commission their tablet, smartphone, or similar Commission not go beyond the (‘‘Commission’’) sought written public device. deadlines adopted in that Order because comment on the proposals in the 40. Second, the Second Report and delays in implementation of the new Further Notices, including comment on Order requires manufacturers of requirements could place persons who the IRFA. The Commission received no apparatus subject to Section 79.105 of are blind or visually impaired in a the Commission’s rules 119 to provide a 110 comments on the IRFA. This present potentially ‘‘perilous position[ ].’’ Final Regulatory Flexibility Analysis mechanism that is simple and easy to Further, the Wireless RERC asserts that (‘‘FRFA’’) conforms to the RFA.116 use for activating the secondary audio any extensions of the deadline or stream to access audible emergency waivers of the newly adopted 1. Need for, and Objectives of, the information. Individuals who are blind regulations ‘‘should be granted very Second Report and Order or visually impaired should not have to judiciously.’’ 111 38. In the Second Report and Order, navigate through multiple levels of 36. We conclude that it is reasonable we take additional steps under the menus or take other time-consuming to apply the same compliance deadline authority of sections 202 and 203 of the actions to activate the secondary audio that we adopted in the User Interfaces CVAA 117 to make emergency stream when they hear the aural tone Order for digital apparatus and information in video programming signaling that emergency information is navigation devices to comply with the accessible to individuals who are blind being provided visually on the screen. accessible user interfaces rules, or visually impaired. In emergency situations, every second including the requirement to provide an 39. First, the Second Report and counts. Thus, we believe that in order activation mechanism reasonably Order concludes that multichannel for emergency information to be made comparable to a button, key, or icon for video programming distributors fully accessible to individuals who are certain accessibility features, to the (‘‘MVPDs’’) must pass through a blind or visually impaired in requirement adopted here. Thus, secondary audio stream containing accordance with Section 203 of the consistent with the deadline in section audible emergency information in CVAA, manufacturers of covered 79.109(c) of our rules, covered apparatus must ensure that such manufacturers must provide a simple 113 This will also reduce any consumer confusion individuals have a simple, easy to use and easy to use mechanism for that could arise from different deadlines relating to mechanism to activate the secondary accessing the secondary audio stream access to the secondary audio stream applying depending upon whether a particular device is audio stream in order to hear emergency for audible emergency information no information. 112 covered by Section 203, 204, or 205 of the CVAA. later than December 20, 2016. We find that Wireless RERC’s proposed timeframe Although apparatus manufacturers were of May 26, 2015 has been rendered moot by the 2. Summary of Significant Issues Raised silent in the record with regard to this passage of time. By Public Comments in Response to the issue, we believe that they will need 114 See 5 U.S.C. 603. The RFA, see 5 U.S.C. 601 IRFA et seq., has been amended by the Small Business some time for the design, testing, and Regulatory Enforcement Fairness Act of 1996 41. No public comments were filed in implementation of a simple and easy to (‘‘SBREFA’’), Public Law 104–121, Title II, 110 Stat. response to the IRFA. use activation mechanism for the 857 (1996). The SBREFA was enacted as Title II of 42. Pursuant to the Small Business secondary audio stream on covered the Contract with America Advancement Act of Jobs Act of 2010, the Commission is apparatus. We believe that making the 1996 (‘‘CWAAA’’). required to respond to any comments 115 See Further Notice, para. 9; User Interfaces Further Notice, para. 17. filed by the Chief Counsel for Advocacy 106 User Interfaces Further Notice, para. 11. 116 See 5 U.S.C. 604. of the Small Business Administration 107 47 CFR 79.105(a). 117 Twenty-First Century Communications and (SBA), and to provide a detailed 108 User Interfaces Further Notice, para. 11. Video Accessibility Act of 2010, Public Law 111– statement of any change made to the 109 See Wireless RERC User Interfaces Reply 260, 124 Stat. 2751 (2010); Amendment of Twenty- proposed rules as a result of those Comments at 10. First Century Communications and Video 110 Id. Accessibility Act of 2010, Public Law 111–265, 124 111 Id. Stat. 2795 (2010) (making technical corrections to 118 47 CFR 79.2. 112 47 CFR 79.109(c). the CVAA). 119 47 CFR 79.105.

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comments. The Chief Counsel did not distribution; and wired broadband under the Commission’s rate regulation file any comments in response to the Internet services.’’ 124 The SBA has rules, a ‘‘small system’’ is a cable system proposed rules in this proceeding. developed a small business size serving 15,000 or fewer subscribers.131 standard for this category, which is: All Current Commission records show 4,945 3. Description and Estimate of the such businesses having 1,500 or fewer 132 Number of Small Entities to Which the cable systems nationwide. Of this employees.125 Census data for 2007 Rules Will Apply total, 4,380 cable systems have less than shows that there were 31,996 20,000 subscribers, and 565 systems 43. The RFA directs the Commission establishments that operated that have 20,000 subscribers or more, based to provide a description of and, where year.126 Of this total, 30,178 on the same records. Thus, under this feasible, an estimate of the number of establishments had fewer than 100 standard, we estimate that most cable small entities that will be affected by the employees, and 1,818 establishments systems are small. rules adopted in the Second Report and had 100 or more employees.127 46. Cable System Operators (Telecom Order.120 The RFA generally defines the Therefore, under this size standard, we Act Standard). The Communications term ‘‘small entity’’ as having the same estimate that the majority of businesses Act of 1934, as amended, also contains meaning as the terms ‘‘small business,’’ can be considered small entities. a size standard for small cable system ‘‘small organization,’’ and ‘‘small 45. Cable Companies and Systems. operators, which is ‘‘a cable operator 121 governmental jurisdiction.’’ In The Commission has also developed its that, directly or through an affiliate, addition, the term ‘‘small business’’ has own small business size standards for serves in the aggregate fewer than 1 the same meaning as the term ‘‘small the purpose of cable rate regulation. percent of all subscribers in the United business concern’’ under the Small Under the Commission’s rules, a ‘‘small States and is not affiliated with any 122 Business Act. A ‘‘small business cable company’’ is one serving 400,000 entity or entities whose gross annual concern’’ is one which: (1) Is or fewer subscribers nationwide.128 revenues in the aggregate exceed independently owned and operated; (2) Industry data shows that there were $250,000,000.’’ 133 There are is not dominant in its field of operation; 1,141 cable companies at the end of approximately 56.4 million incumbent 129 and (3) satisfies any additional criteria June 2012. Of this total, all but 10 cable video subscribers in the United 123 established by the SBA. Small incumbent cable companies are small States today.134 Accordingly, an 130 entities that are directly affected by the under this size standard. In addition, operator serving fewer than 564,000 rules adopted in the Second Report and subscribers shall be deemed a small 124 Order include MVPDs and U.S. Census Bureau, 2012 NAICS Definitions, operator, if its annual revenues, when manufacturers of apparatus covered by ‘‘517110 Wired Telecommunications Carriers’’ (partial definition) at http://www.census.gov/cgi- combined with the total annual Section 79.105 of the Commission’s bin/sssd/naics/naicsrch. Examples of this category revenues of all its affiliates, do not rules. are: Broadband Internet service providers (e.g., exceed $250 million in the aggregate.135 44. Cable Television Distribution cable, DSL); local telephone carriers (wired); cable Based on available data, we find that all Services. Since 2007, these services television distribution services; long-distance but 10 incumbent cable operators are have been defined within the broad telephone carriers (wired); closed circuit television (‘‘CCTV’’) services; VoIP service providers, using small under this size standard.136 We economic census category of Wired own operated wired telecommunications note that the Commission neither Telecommunications Carriers, which infrastructure; direct-to-home satellite system requests nor collects information on was developed for small wireline (‘‘DTH’’) services; telecommunications carriers whether cable system operators are businesses. This category is defined as (wired); satellite television distribution systems; and multichannel multipoint distribution services affiliated with entities whose gross follows: ‘‘This industry comprises (‘‘MMDS’’). annual revenues exceed $250 establishments primarily engaged in 125 13 CFR 121.201; 2012 NAICS code 517110. operating and/or providing access to 126 U.S. Census Bureau, 2007 Economic Census. standard (i.e., 400,000 or fewer subscribers) all but transmission facilities and infrastructure See U.S. Census Bureau, American FactFinder, ‘‘Information: Subject Series—Estab and Firm Size: 14 MVPD operators would be considered small. See that they own and/or lease for the Employment Size of Establishments for the United NCTA, Industry Data, Top 25 Multichannel Video transmission of voice, data, text, sound, States: 2007—2007 Economic Census,’’ NAICS code Service Customers (2012), http://www.ncta.com/ and video using wired 517110, Table EC0751SSSZ2; available at http:// industry-data (visited Aug. 30, 2013). The Commission applied this size standard to MVPD telecommunications networks. factfinder2.census.gov/faces/nav/jsf/pages/ index.xhtml. operators in its implementation of the CALM Act. Transmission facilities may be based on 127 Id. See Implementation of the Commercial Advertisement Loudness Mitigation (CALM) Act, a single technology or a combination of 128 47 CFR 76.901(e). The Commission MB Docket No. 11–93, Report and Order, FCC 11– technologies. Establishments in this determined that this size standard equates 182, 77 FR 40276, para. 37 (2011) (‘‘CALM Act approximately to a size standard of $100 million or industry use the wired Report and Order’’) (defining a smaller MVPD less in annual revenues. Implementation of Sections telecommunications network facilities operator as one serving 400,000 or fewer subscribers of the Cable Television Consumer Protection And nationwide, as of December 31, 2011). that they operate to provide a variety of Competition Act of 1992: Rate Regulation, MM 131 services, such as wired telephony Docket No. 92–266, MM Docket No. 93–215, Sixth 47 CFR 76.901(c). services, including VoIP services; wired Report and Order and Eleventh Order on 132 The number of active, registered cable systems comes from the Commission’s Cable Operations and (cable) audio and video programming Reconsideration, FCC 95–196, 60 FR 35854 (1995). 129 NCTA, Industry Data, Number of Cable Licensing System (COALS) database on Aug. 28, Operating Companies (June 2012), http:// 2013. A cable system is a physical system integrated 120 5 U.S.C. 603(b)(3). www.ncta.com/Statistics.aspx (visited Sept. 28, to a principal headend. 121 Id. 601(6). 2012). Depending upon the number of homes and 133 47 U.S.C. 543(m)(2); see 47 CFR 76.901(f) & 122 Id. 601(3) (incorporating by reference the the size of the geographic area served, cable nn. 1–3. definition of ‘‘small-business concern’’ in the Small operators use one or more cable systems to provide 134 See NCTA, Industry Data, Cable Video Business Act, 15 U.S.C. 632). Pursuant to 5 U.S.C. video service. See Annual Assessment of the Status Customers (2012), http://www.ncta.com/industry- 601(3), the statutory definition of a small business of Competition in the Market for Delivery of Video data (visited Aug. 30, 2013). applies ‘‘unless an agency, after consultation with Programming, MB Docket No. 12–203, Fifteenth 135 47 CFR 76.901(f); see Public Notice, FCC the Office of Advocacy of the Small Business Report, FCC 13–99 at para. 24 (rel. July 22, 2013) Announces New Subscriber Count for the Administration and after opportunity for public (‘‘15th Annual Competition Report’’). Definition of Small Cable Operator, DA 01–158 comment, establishes one or more definitions of 130 See SNL Kagan, ‘‘Top Cable MSOs—12/12 Q’’; (Cable Services Bureau, Jan. 24, 2001). such term which are appropriate to the activities of available at http://www.snl.com/InteractiveX/ 136 See NCTA, Industry Data, Top 25 the agency and publishes such definition(s) in the TopCableMSOs.aspx?period=2012Q4&sortcol Multichannel Video Service Customers (2012), Federal Register.’’ =subscribersbasic&sortorder=desc. We note that, http://www.ncta.com/industry-data (visited Aug. 123 15 U.S.C. 632. when applied to an MVPD operator, under this size 30, 2013).

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million.137 Although it seems certain Other Program Distribution.’’ The Census data for 2007 shows 3,188 firms that some of these cable system definition of Cable and Other Program in this category.145 Of these 3,188 firms, operators are affiliated with entities Distribution provided that a small entity only 44 had 1,000 or more employees. whose gross annual revenues exceed is one with $12.5 million or less in While we could not find precise Census $250,000,000, we are unable at this time annual receipts.141 Currently, only two data on the number of firms with in the to estimate with greater precision the entities provide DBS service, which group with 1,500 or fewer employees, it number of cable system operators that requires a great investment of capital for is clear that at least 3,144 firms with would qualify as small cable operators operation: DIRECTV and DISH fewer than 1,000 employees would be in under the definition in the Network.142 Each currently offer that group. Therefore, under this size Communications Act. subscription services. DIRECTV and standard, the majority of such 47. Direct Broadcast Satellite (DBS) DISH Network each report annual businesses can be considered small. Service. DBS service is a nationally revenues that are in excess of the 49. Home Satellite Dish (HSD) distributed subscription service that threshold for a small business. Because Service. HSD or the large dish segment delivers video and audio programming DBS service requires significant capital, of the satellite industry is the original via satellite to a small parabolic ‘‘dish’’ we believe it is unlikely that a small satellite-to-home service offered to antenna at the subscriber’s location. entity as defined by the SBA would consumers, and involves the home DBS, by exception, is now included in have the financial wherewithal to reception of signals transmitted by the SBA’s broad economic census become a DBS service provider. satellites operating generally in the C- category, Wired Telecommunications 48. Satellite Master Antenna band frequency. Unlike DBS, which Carriers,138 which was developed for Television (SMATV) Systems, also uses small dishes, HSD antennas are small wireline businesses. In this known as Private Cable Operators between four and eight feet in diameter category, the SBA deems a wired (PCOs). SMATV systems or PCOs are and can receive a wide range of telecommunications carrier to be small video distribution facilities that use unscrambled (free) programming and 139 if it has 1,500 or fewer employees. closed transmission paths without using scrambled programming purchased from Census data for 2007 shows 3,188 firms any public right-of-way. They acquire program packagers that are licensed to 140 in this category. Of these 3,188 firms, video programming and distribute it via facilitate subscribers’ receipt of video only 44 had 1,000 or more employees. terrestrial wiring in urban and suburban programming. Because HSD provides While we could not find precise Census multiple dwelling units such as subscription services, HSD falls within data on the number of firms with in the apartments and condominiums, and the SBA-recognized definition of Wired group with 1,500 or fewer employees, it commercial multiple tenant units such Telecommunications Carriers.146 In this is clear that at least 3,144 firms with as hotels and office buildings. SMATV category, the SBA deems a wired fewer than 1,000 employees would be in systems or PCOs are now included in telecommunications carrier to be small that group. Therefore, under this size the SBA’s broad economic census if it has 1,500 or fewer employees.147 standard, the majority of such category, Wired Telecommunications Census data for 2007 shows 3,188 firms businesses can be considered small. Carriers,143 which was developed for in this category.148 Of these 3,188 firms, However, the data we have available as small wireline businesses. In this only 44 had 1,000 or more employees. a basis for estimating the number of category, the SBA deems a wired While we could not find precise Census such small entities were gathered under telecommunications carrier to be small data on the number of firms with in the a superseded SBA small business size if it has 1,500 or fewer employees.144 group with 1,500 or fewer employees, it standard formerly titled ‘‘Cable and is clear that at least 3,144 firms with 141 13 CFR 121.201; NAICS code 517510 (2002). fewer than 1,000 employees would be in 137 The Commission does receive such 142 See 15th Annual Competition Report, at para. information on a case-by-case basis if a cable 27. As of June 2012, DIRECTV is the largest DBS that group. Therefore, under this size operator appeals a local franchise authority’s operator and the second largest MVPD in the United standard, we estimate that the majority finding that the operator does not qualify as a small States, serving approximately 19.9 million of businesses can be considered small cable operator pursuant to 47 CFR 76.901(f). subscribers. DISH Network is the second largest entities. 138 See 13 CFR 121.201; 2012 NAICS code DBS operator and the third largest MVPD, serving 517110. This category of Wired approximately 14.1 million subscribers. Id. para. 27, Telecommunications Carriers is defined as follows: 110–11. 145 http://factfinder.census.gov/servlet/ _ _ _ _ ‘‘This industry comprises establishments primarily 143 See 13 CFR 121.201; 2012 NAICS code IBQTable? bm=y&-geo id=&- skip=600&-ds _ engaged in operating and/or providing access to 517110. This category of Wired name=EC0751SSSZ5&- lang=en. transmission facilities and infrastructure that they Telecommunications Carriers is defined as follows: 146 See 13 CFR 121.201; 2012 NAICS code own and/or lease for the transmission of voice, data, ‘‘This industry comprises establishments primarily 517110. This category of Wired text, sound, and video using wired engaged in operating and/or providing access to Telecommunications Carriers is defined in part as telecommunications networks. Transmission transmission facilities and infrastructure that they follows: ‘‘This industry comprises establishments facilities may be based on a single technology or a own and/or lease for the transmission of voice, data, primarily engaged in operating and/or providing combination of technologies. Establishments in this text, sound, and video using wired access to transmission facilities and infrastructure industry use the wired telecommunications telecommunications networks. Transmission that they own and/or lease for the transmission of network facilities that they operate to provide a facilities may be based on a single technology or a voice, data, text, sound, and video using wired variety of services, such as wired telephony combination of technologies. Establishments in this telecommunications networks. Transmission services, including VoIP services; wired (cable) industry use the wired telecommunications facilities may be based on a single technology or a audio and video programming distribution; and network facilities that they operate to provide a combination of technologies. Establishments in this wired broadband Internet services. By exception, variety of services, such as wired telephony industry use the wired telecommunications establishments providing satellite television services, including VoIP services; wired (cable) network facilities that they operate to provide a distribution services using facilities and audio and video programming distribution; and variety of services, such as wired telephony infrastructure that they operate are included in this wired broadband Internet services. By exception, services, including VoIP services; wired (cable) industry.’’ (Emphasis added to text relevant to establishments providing satellite television audio and video programming distribution; and satellite services.) U.S. Census Bureau, 2012 NAICS distribution services using facilities and wired broadband Internet services.’’ U.S. Census Definitions, ‘‘517110 Wired Telecommunications infrastructure that they operate are included in this Bureau, 2012 NAICS Definitions, ‘‘517110 Wired Carriers’’ at http://www.census.gov/cgi-bin/sssd/ industry.’’ (Emphasis added to text relevant to Telecommunications Carriers’’ at http:// naics/naicsrch. satellite services.) U.S. Census Bureau, 2012 NAICS www.census.gov/cgi-bin/sssd/naics/naicsrch. 139 13 CFR 121.201; NAICS Code 517110. Definitions, ‘‘517110 Wired Telecommunications 147 13 CFR 121.201; NAICS Code 517110. 140 http://factfinder.census.gov/servlet/ Carriers’’ at http://www.census.gov/cgi-bin/sssd/ 148 http://factfinder.census.gov/servlet/ IBQTable?_bm=y&-geo_id=&-_skip=600&-ds_ naics/naicsrch. IBQTable?_bm=y&-geo_id=&-_skip=600&-ds_ name=EC0751SSSZ5&-_lang=en. 144 13 CFR 121.201; NAICS Code 517110. name=EC0751SSSZ5&-_lang=en.

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50. Open Video Services. The open employment information regarding the Commission offered three levels of video system (OVS) framework was entities authorized to provide OVS, bidding credits: (i) A bidder with established in 1996, and is one of four some of which may not yet be attributed average annual gross revenues statutorily recognized options for the operational. Thus, again, at least some that exceed $15 million and do not provision of video programming of the OVS operators may qualify as exceed $40 million for the preceding services by local exchange carriers.149 small entities. three years (small business) received a The OVS framework provides 51. Wireless cable systems— 15 percent discount on its winning bid; opportunities for the distribution of Broadband Radio Service and (ii) a bidder with attributed average video programming other than through Educational Broadband Service. annual gross revenues that exceed $3 cable systems. Because OVS operators Wireless cable systems use the million and do not exceed $15 million provide subscription services,150 OVS Broadband Radio Service (BRS) 156 and for the preceding three years (very small falls within the SBA small business size Educational Broadband Service business) received a 25 percent discount standard covering cable services, which (EBS) 157 to transmit video programming on its winning bid; and (iii) a bidder is Wired Telecommunications to subscribers. In connection with the with attributed average annual gross Carriers.151 In this category, the SBA 1996 BRS auction, the Commission revenues that do not exceed $3 million deems a wired telecommunications established a small business size for the preceding three years carrier to be small if it has 1,500 or standard as an entity that had annual (entrepreneur) received a 35 percent fewer employees.152 Census data for average gross revenues of no more than discount on its winning bid.161 Auction 2007 shows 3,188 firms in this $40 million in the previous three 86 concluded in 2009 with the sale of category.153 Of these 3,188 firms, only calendar years.158 The BRS auctions 61 licenses.162 Of the 10 winning 44 had 1,000 or more employees. While resulted in 67 successful bidders bidders, two bidders that claimed small we could not find precise Census data obtaining licensing opportunities for business status won four licenses; one on the number of firms with in the 493 Basic Trading Areas (BTAs). Of the bidder that claimed very small business group with 1,500 or fewer employees, it 67 auction winners, 61 met the status won three licenses; and two is clear that at least 3,144 firms with definition of a small business. BRS also bidders that claimed entrepreneur status fewer than 1,000 employees would be in includes licensees of stations authorized won six licenses. that group. Therefore, under this size prior to the auction. At this time, we 52. In addition, the SBA’s placement standard, we estimate that the majority estimate that of the 61 small business of Cable Television Distribution of businesses can be considered small BRS auction winners, 48 remain small Services in the category of Wired entities. In addition, we note that the business licensees. In addition to the 48 Telecommunications Carriers is Commission has certified some OVS small businesses that hold BTA applicable to cable-based Educational operators, with some now providing authorizations, there are approximately Broadcasting Services. Since 2007, these service.154 Broadband service providers 392 incumbent BRS licensees that are services have been defined within the (‘‘BSPs’’) are currently the only considered small entities.159 After broad economic census category of significant holders of OVS certifications adding the number of small business Wired Telecommunications Carriers, or local OVS franchises.155 The auction licensees to the number of which was developed for small wireline Commission does not have financial or incumbent licensees not already businesses. This category is defined as counted, we find that there are currently follows: ‘‘This industry comprises 149 47 U.S.C. 571(a)(3) through (4). See Annual approximately 440 BRS licensees that establishments primarily engaged in Assessment of the Status of Competition in the are defined as small businesses under operating and/or providing access to Market for the Delivery of Video Programming, MB Docket No. 06–189, Thirteenth Annual Report, FCC either the SBA or the Commission’s transmission facilities and infrastructure 07–206, 74 FR 11102, para. 135 (2009) (‘‘Thirteenth rules. In 2009, the Commission that they own and/or lease for the Annual Cable Competition Report’’). conducted Auction 86, the sale of 78 transmission of voice, data, text, sound, 150 See 47 U.S.C. 573. licenses in the BRS areas.160 The and video using wired 151 See 13 CFR 121.201; 2012 NAICS code 517110. This category of Wired telecommunications networks. 156 BRS was previously referred to as Multipoint Telecommunications Carriers is defined in part as Transmission facilities may be based on follows: ‘‘This industry comprises establishments Distribution Service (MDS) and Multichannel Multipoint Distribution Service (MMDS). See a single technology or a combination of primarily engaged in operating and/or providing technologies. Establishments in this access to transmission facilities and infrastructure Amendment of Parts 21 and 74 of the Commission’s that they own and/or lease for the transmission of Rules with Regard to Filing Procedures in the industry use the wired voice, data, text, sound, and video using wired Multipoint Distribution Service and in the telecommunications network facilities Instructional Television Fixed Service and telecommunications networks. Transmission that they operate to provide a variety of facilities may be based on a single technology or a Implementation of Section 309(j) of the combination of technologies. Establishments in this Communications Act—Competitive Bidding, MM services, such as wired telephony industry use the wired telecommunications Docket No. 94–131, PP Docket No. 93–253, Report services, including VoIP services; wired network facilities that they operate to provide a and Order, FCC 95–230, 60 FR 36524, para. 7 (cable) audio and video programming variety of services, such as wired telephony (1995). 157 EBS was previously referred to as the distribution; and wired broadband services, including VoIP services; wired (cable) 163 audio and video programming distribution; and Instructional Television Fixed Service (ITFS). See Internet services.’’ In this category, wired broadband Internet services.’’ U.S. Census id. Bureau, 2012 NAICS Definitions, ‘‘517110 Wired 158 47 CFR 21.961(b)(1). 161 Id. at 8296. Telecommunications Carriers’’ at http:// 159 47 U.S.C. 309(j). Hundreds of stations were 162 Auction of Broadband Radio Service Licenses www.census.gov/cgi-bin/sssd/naics/naicsrch. licensed to incumbent MDS licensees prior to Closes, Winning Bidders Announced for Auction 86, 152 13 CFR 121.201; NAICS Code 517110. implementation of Section 309(j) of the Down Payments Due November 23, 2009, Final 153 http://factfinder.census.gov/servlet/ Communications Act of 1934, 47 U.S.C. 309(j). For Payments Due December 8, 2009, Ten-Day Petition IBQTable?_bm=y&-geo_id=&-_skip=600&-ds_ these pre-auction licenses, the applicable standard to Deny Period, Public Notice, DA 09–2378 (WTB name=EC0751SSSZ5&-_lang=en. is SBA’s small business size standard of 1,500 or rel. Nov. 6, 2009). 154 A list of OVS certifications may be found at fewer employees. 163 U.S. Census Bureau, 2012 NAICS Definitions, http://www.fcc.gov/mb/ovs/csovscer.html. 160 Auction of Broadband Radio Service (BRS) ‘‘517110 Wired Telecommunications Carriers’’ 155 See Thirteenth Annual Cable Competition Licenses, Scheduled for October 27, 2009, Notice (partial definition) at http://www.census.gov/cgi- Report, para. 135. BSPs are newer businesses that and Filing Requirements, Minimum Opening Bids, bin/sssd/naics/naicsrch. Examples of this category are building state-of-the-art, facilities-based Upfront Payments, and Other Procedures for are: broadband Internet service providers (e.g., networks to provide video, voice, and data services Auction 86, Public Notice, DA 09–1376 (WTB rel. cable, DSL); local telephone carriers (wired); cable over a single network. Jun. 26, 2009). Continued

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the SBA deems a wired In this category, the SBA deems a wired category, the SBA deems a wired telecommunications carrier to be small telecommunications carrier to be small telecommunications carrier to be small if it has 1,500 or fewer employees.164 if it has 1,500 or fewer employees.169 if it has 1,500 or fewer employees.174 Census data for 2007 shows 3,188 firms Census data for 2007 shows 3,188 firms Census data for 2007 shows 3,188 firms in this category.165 Of these 3,188 firms, in this category.170 Of these 3,188 firms, in this category.175 Of these 3,188 firms, only 44 had 1,000 or more employees. only 44 had 1,000 or more employees. only 44 had 1,000 or more employees. While we could not find precise Census While we could not find precise Census While we could not find precise Census data on the number of firms with in the data on the number of firms with in the data on the number of firms with in the group with 1,500 or fewer employees, it group with 1,500 or fewer employees, it group with 1,500 or fewer employees, it is clear that at least 3,144 firms with is clear that at least 3,144 firms with is clear that at least 3,144 firms with fewer than 1,000 employees would be in fewer than 1,000 employees would be in fewer than 1,000 employees would be in that group. Therefore, under this size that group. Therefore, under this size that group. Therefore, under this size standard, we estimate that the majority standard, the majority of such standard, the majority of such of businesses can be considered small businesses can be considered small. businesses can be considered small. entities. In addition to Census data, the 54. Small Incumbent Local Exchange 56. Radio and Television Commission’s internal records indicate Carriers. We have included small Broadcasting and Wireless that as of September 2012, there are incumbent local exchange carriers in Communications Equipment 166 2,241 active EBS licenses. The this present RFA analysis. A ‘‘small Manufacturing. The Census Bureau Commission estimates that of these business’’ under the RFA is one that, defines this category as follows: ‘‘This 2,241 licenses, the majority are held by inter alia, meets the pertinent small industry comprises establishments non-profit educational institutions and business size standard (e.g., a telephone primarily engaged in manufacturing school districts, which are by statute communications business having 1,500 167 radio and television broadcast and defined as small businesses. or fewer employees), and ‘‘is not wireless communications equipment. 53. Incumbent Local Exchange 171 dominant in its field of operation.’’ Examples of products made by these Carriers (ILECs). Neither the The SBA’s Office of Advocacy contends establishments are: Transmitting and Commission nor the SBA has developed that, for RFA purposes, small incumbent receiving antennas, cable television a small business size standard local exchange carriers are not dominant equipment, GPS equipment, pagers, specifically for incumbent local in their field of operation because any cellular phones, mobile exchange services. ILECs are included such dominance is not ‘‘national’’ in communications equipment, and radio in the SBA’s economic census category, scope.172 We have therefore included Wired Telecommunications Carriers.168 and television studio and broadcasting small incumbent local exchange carriers equipment.’’ 176 The SBA has developed in this RFA analysis, although we television distribution services; long-distance a small business size standard for this emphasize that this RFA action has no category, which is: all such businesses telephone carriers (wired); closed circuit television effect on Commission analyses and (‘‘CCTV’’) services; VoIP service providers, using having 750 or fewer employees.177 own operated wired telecommunications determinations in other, non-RFA Census data for 2007 shows that there infrastructure; direct-to-home satellite system contexts. were 939 establishments that operated (‘‘DTH’’) services; telecommunications carriers 55. Competitive Local Exchange (wired); satellite television distribution systems; for part or all of the entire year.178 Of Carriers (CLECs), Competitive Access and multichannel multipoint distribution services those, 912 operated with fewer than 500 Providers (CAPs), Shared-Tenant (‘‘MMDS’’). employees, and 27 operated with 500 or 164 13 CFR 121.201; NAICS Code 517110. Service Providers, and Other Local 165 http://factfinder.census.gov/servlet/ Service Providers. Neither the _ _ _ _ IBQTable? bm=y&-geo id=&- skip=600&-ds Commission nor the SBA has developed combination of technologies. Establishments in this name=EC0751SSSZ5&-_lang=en. industry use the wired telecommunications 166 http://wireless2.fcc.gov/UlsApp/UlsSearch/ a small business size standard network facilities that they operate to provide a results.jsp. specifically for these service providers. variety of services, such as wired telephony 167 The term ‘‘small entity’’ within SBREFA These entities are included in the SBA’s services, including VoIP services; wired (cable) applies to small organizations (non-profits) and to audio and video programming distribution; and economic census category, Wired wired broadband Internet services. By exception, small governmental jurisdictions (cities, counties, 173 towns, townships, villages, school districts, and Telecommunications Carriers. In this establishments providing satellite television special districts with populations of less than distribution services using facilities and 50,000). 5 U.S.C. 601(4) through (6). 169 13 CFR 121.201; NAICS Code 517110. infrastructure that they operate are included in this 168 See 13 CFR 121.201; 2012 NAICS code 170 http://factfinder.census.gov/servlet/ industry.’’ (Emphasis added to text relevant to 517110. This category of Wired IBQTable?_bm=y&-geo_id=&-_skip=600&-ds_ satellite services.) U.S. Census Bureau, 2012 NAICS Telecommunications Carriers is defined as follows: name=EC0751SSSZ5&-_lang=en. Definitions, ‘‘517110 Wired Telecommunications ‘‘This industry comprises establishments primarily 171 15 U.S.C. 632. Carriers’’ at http://www.census.gov/cgi-bin/sssd/ naics/naicsrch. engaged in operating and/or providing access to 172 Letter from Jere W. Glover, Chief Counsel for 174 transmission facilities and infrastructure that they Advocacy, SBA, to William E. Kennard, Chairman, 13 CFR 121.201; NAICS Code 517110. own and/or lease for the transmission of voice, data, 175 FCC (May 27, 1999). The Small Business Act http://factfinder.census.gov/servlet/ text, sound, and video using wired _ _ _ _ contains a definition of ‘‘small-business concern,’’ IBQTable? bm=y&-geo id=&- skip=600&-ds telecommunications networks. Transmission _ which the RFA incorporates into its own definition name=EC0751SSSZ5&- lang=en. facilities may be based on a single technology or a of ‘‘small business.’’ See 15 U.S.C. 632(a) (Small 176 U.S. Census Bureau, 2012 NAICS Definitions, combination of technologies. Establishments in this ‘‘334220 Radio and Television Broadcasting and industry use the wired telecommunications Business Act); 5 U.S.C. 601(3) (RFA). SBA Wireless Communications Equipment network facilities that they operate to provide a regulations interpret ‘‘small business concern’’ to Manufacturing’’ at http://www.census.gov/cgi-bin/ variety of services, such as wired telephony include the concept of dominance on a national sssd/naics/naicsrch. services, including VoIP services; wired (cable) basis. See 13 CFR 121.102(b). 177 audio and video programming distribution; and 173 See 13 CFR 121.201; 2012 NAICS code 13 CFR 121.201; 2012 NAICS code 334220. wired broadband Internet services. By exception, 517110. This category of Wired 178 U.S. Census Bureau, 2007 Economic Census. establishments providing satellite television Telecommunications Carriers is defined as follows: See U.S. Census Bureau, American FactFinder, distribution services using facilities and ‘‘This industry comprises establishments primarily ‘‘Manufacturing: Summary Series: General infrastructure that they operate are included in this engaged in operating and/or providing access to Summary: Industry Statistics for Subsectors and industry.’’ (Emphasis added to text relevant to transmission facilities and infrastructure that they Industries by Employment Size: 2007—2007 satellite services.) U.S. Census Bureau, 2012 NAICS own and/or lease for the transmission of voice, data, Economic Census,’’ NAICS code 334220, Table Definitions, ‘‘517110 Wired Telecommunications text, sound, and video using wired EC0731SG3; available at http:// Carriers’’ at http://www.census.gov/cgi-bin/sssd/ telecommunications networks. Transmission factfinder2.census.gov/faces/nav/jsf/pages/ naics/naicsrch. facilities may be based on a single technology or a index.xhtml.

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more employees.179 Therefore, under rather finds that the existing emergency to minimize the significant economic this size standard, the majority of such information requirements in Section impact on small entities consistent with establishments can be considered small. 79.2 of the Commission’s rules apply the stated objectives of applicable 57. Audio and Video Equipment when an MVPD provides linear statutes, including a statement of the Manufacturing. The Census Bureau programming for viewing on mobile and factual, policy, and legal reasons for defines this category as follows: ‘‘This other devices over the MVPD’s network. selecting the alternative adopted in the industry comprises establishments Accordingly, there are no new reporting final rule and why each one of the other primarily engaged in manufacturing or recordkeeping requirements. There significant alternatives to the rule electronic audio and video equipment will, however, be compliance considered by the agency which affect for home entertainment, motor vehicles, requirements for MPVDs, including the impact on small entities was and public address and musical small MVPDs. Specifically, MVPDs rejected.185 instrument amplification. Examples of must pass through a secondary audio 63. The rules adopted in the Second products made by these establishments stream containing audible emergency Report and Order may have an are video cassette recorders, televisions, information when they permit economic impact in some cases, and stereo equipment, speaker systems, consumers to access linear programming that impact may affect small entities. household-type video cameras, on tablets, smartphones, laptops, and Although the Commission has jukeboxes, and amplifiers for musical similar devices over the MVPD’s considered alternatives where possible, instruments and public address network as part of their MVPD services. as directed by the RFA, to minimize systems.’’ 180 The SBA has developed a As part of this obligation, MVPDs must economic impact on small entities, we small business size standard for this ensure that any application or plug-in emphasize that our action is governed category, which is: all such businesses that they provide to consumers to access by the congressional mandate contained having 750 or fewer employees.181 such programming is capable of passing in Sections 202 and 203 of the CVAA. Census data for 2007 shows that there through audible emergency information 64. In crafting its new requirements, were 492 establishments in this category on a secondary audio stream. the Commission provided reasonable operated for part or all of the entire 60. With respect to the second issue, timeframes within which covered year.182 Of those, 488 operated with the Second Report and Order adopts entities may come into compliance, as fewer than 500 employees, and four new compliance requirements for requested in the record. 65. In addition, with regard to the operated with 500 or more manufacturers of covered apparatus, accessibility requirements adopted employees.183 Therefore, under this size including small entities. Specifically, pursuant to Section 203 of the CVAA, in standard, the majority of such manufacturers of apparatus subject to certain instances, the Commission may establishments can be considered small. Section 79.105 of the Commission’s rules must provide a mechanism that is grant exemptions to the rules where a 4. Description of Projected Reporting, simple and easy to use for activating the petitioner has shown that compliance is Recordkeeping, and Other Compliance secondary audio stream to access not achievable (i.e., cannot be Requirements for Small Entities audible emergency information on accomplished with reasonable effort or 186 58. The Second Report and Order (i) covered apparatus. The provisions for expense). We note that two of the concludes that MVPDs must pass achievability, purpose-based waiver, four statutory factors that the through a secondary audio stream and exemptions in Section 79.105 of the Commission will consider in containing audible emergency Commission’s rules apply to the determining achievability are information in accordance with Section requirement that covered apparatus particularly relevant to small entities: 79.2 of the Commission’s rules when provide a simple and easy to use The nature and cost of the steps needed they permit consumers to access linear activation mechanism for the secondary to meet the requirements, and the programming on tablets, smartphones, audio stream.184 technical and economic impact on the laptops, and similar devices over the 61. No commenter provided specific entity’s operations. In addition, MVPD’s network as part of their MVPD information about the costs and apparatus designed to receive and play services, and (ii) adopts new administrative burdens associated with back video programming transmitted requirements applicable to the rules adopted in the Second Report simultaneously with sound must manufacturers of apparatus covered by and Order. However, we note that the comply with Section 203 requirements Section 79.105 of the Commission’s rule we adopt pursuant to Section 203 only to the extent they are ‘‘technically 187 rules pursuant to the authority in of the CVAA—which requires feasible.’’ Thus, covered Section 203 of the CVAA. manufacturers of apparatus subject to manufactures, including small entities, 59. With respect to the first issue, the Section 79.105 of the Commission’s may raise technical infeasibility as a Second Report and Order does not rules to provide a mechanism that is defense when faced with a complaint adopt a new regulatory regime, but simple and easy to use for activating the alleging a violation of the apparatus secondary audio stream to access requirements adopted herein, or to file 179 Id. audible emergency information—affords a request for a ruling under Section 1.41 180 U.S. Census Bureau, 2012 NAICS Definitions, covered entities flexibility in how they of the Commission’s rules as to ‘‘334310 Audio and Video Equipment implement this requirement. technical feasibility before Manufacturing’’ at http://www.census.gov/cgi-bin/ manufacturing or importing the sssd/naics/naicsrch. 5. Steps Taken To Minimize the product.188 As an additional means of 181 13 CFR 121.201; 2012 NAICS code 334310. Significant Economic Impact on Small 182 U.S. Census Bureau, 2007 Economic Census. reducing the costs of compliance, See U.S. Census Bureau, American FactFinder, Entities and Significant Alternatives apparatus manufacturers may use ‘‘Manufacturing: Summary Series: General Considered alternate means of compliance with the Summary: Industry Statistics for Subsectors and 62. The RFA requires an agency to rules adopted pursuant to Section Industries by Employment Size: 2007—2007 Economic Census,’’ NAICS code 334310, Table describe the steps the agency has taken EC0731SG3; available at http:// 185 5 U.S.C. 604(a)(6). factfinder2.census.gov/faces/nav/jsf/pages/ 184 See 47 CFR 79.105(b)(1) through (2) (exempt 186 See 47 CFR 79.105(b)(3). index.xhtml. apparatus), 79.105(b)(3) (achievability), 79.105(b)(4) 187 See 47 U.S.C. 303(u). 183 Id. (purpose-based waivers). 188 See First Report and Order, para. 66.

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203.189 Under this approach, the pursuant to the Small Business distributors (MVPDs), Satellite Commission will permit an entity that Paperwork Relief Act of 2002.194 television service providers. seeks to use an alternate means to C. Congressional Review Act Federal Communications Commission. comply with the apparatus requirements Marlene H. Dortch, to file a request pursuant to Section 1.41 69. The Commission will send a copy Secretary. of the Commission’s rules for a of the Second Report and Order in a determination that the proposed report to be sent to Congress and the Final Rules alternative satisfies the statutory Government Accountability Office, For the reasons discussed in the requirements. The Commission will pursuant to the Congressional Review Act.195 preamble, the Federal Communications consider such requests on a case-by-case Commission amends 47 CFR part 79 as basis. Further, the rule also allows for D. Additional Information follows: certain purpose-based waivers and exemptions.190 These processes will 70. For additional information on this PART 79—ACCESSIBILITY OF VIDEO allow the Commission to address the proceeding, contact Maria Mullarkey, PROGRAMMING impact of the rules on individual [email protected], of the Media entities, including smaller entities, on a Bureau, Policy Division, (202) 418– ■ 1. The authority citation for part 79 case-by-case basis and to modify the 2120. continues to read as follows: application of the rules to accommodate V. Ordering Clauses Authority: 47 U.S.C. 151, 152(a), 154(i), individual circumstances, which can 303, 307, 309, 310, 330, 544a, 613, 617. reduce the costs of compliance for these 71. Accordingly, it is ordered that, entities. pursuant to the Twenty-First Century ■ 2. Amend § 79.2 by revising paragraph Communications and Video 66. Overall, we believe we have (b)(2)(ii) and adding paragraph (b)(6) to Accessibility Act of 2010, Public Law read as follows: appropriately considered both the 111–260, 124 Stat. 2751, and the interests of individuals with disabilities authority found in Sections 4(i), 4(j), § 79.2 Accessibility of programming and the interests of the entities who will 303, 330(b), 713, and 716 of the providing emergency information. be subject to the rules, including those Communications Act of 1934, as * * * * * that are smaller entities. The amended, 47 U.S.C. 154(i), 154(j), 303, (b) * * * requirements adopted by the 330(b), 613, and 617, this Second Report Commission today help ensure that the (2) * * * and Order is adopted, effective August (ii) Emergency information that is critical details of an emergency are 10, 2015. made accessible to individuals who are provided visually during programming 72. It is ordered that, pursuant to the that is neither a regularly scheduled blind or visually impaired, thus Twenty-First Century Communications significantly benefiting consumers and newscast, nor a newscast that interrupts and Video Accessibility Act of 2010, regular programming, must be serving the stated public interest goal of Public Law 111–260, 124 Stat. 2751, and the CVAA. accompanied with an aural tone, and the authority found in Sections 4(i), 4(j), beginning May 26, 2015 except as 6. Report to Congress 303, 330(b), 713, and 716 of the provided in paragraph (b)(6) of this Communications Act of 1934, as section, must be made accessible to 67. The Commission will send a copy amended, 47 U.S.C. 154(i), 154(j), 303, individuals who are blind or visually of the Second Report and Order, 330(b), 613, and 617, the Commission’s impaired through the use of a secondary including this FRFA, in a report to be rules are hereby amended as set forth audio stream to provide the emergency sent to Congress pursuant to the herein. 191 information aurally. Emergency Congressional Review Act. In 73. It is further ordered that the information provided aurally on the addition, the Commission will send a Commission’s Consumer and secondary audio stream must be copy of the Second Report and Order, Governmental Affairs Bureau, Reference preceded by an aural tone and must be including this FRFA, to the Chief Information Center, shall send a copy of conveyed in full at least twice. Counsel for Advocacy of the SBA. A this Second Report and Order, Emergency information provided copy of the Second Report Order and including the Final Regulatory through use of text-to-speech (‘‘TTS’’) FRFA (or summaries thereof) will also Flexibility Analysis, to the Chief 192 technologies must be intelligible and be published in the Federal Register. Counsel for Advocacy of the Small must use the correct pronunciation of Business Administration. B. Paperwork Reduction Act relevant information to allow consumers 74. It is further ordered that the to learn about and respond to the 68. The Second Report and Order Commission shall send a copy of this emergency, including, but not limited does not contain any new or modified Second Report and Order in a report to to, the names of shelters, school information collection requirements be sent to Congress and the Government districts, streets, districts, and proper subject to the Paperwork Reduction Act Accountability Office pursuant to the names noted in the visual information. of 1995 (PRA).193 In addition, therefore, Congressional Review Act, see 5 U.S.C. The video programming distributor or it does not contain any information 801(a)(1)(A). video programming provider that collection burden for small business List of Subjects in 47 CFR Part 79 creates the visual emergency concerns with fewer than 25 employees, information content and adds it to the Cable television operators, programming stream is responsible for Communications equipment, 189 See id., para. 75. providing an aural representation of the 190 See 47 CFR 79.105(b)(1) through (2), Multichannel video programming information on a secondary audio 79.105(b)(4). stream, accompanied by an aural tone. 191 See 5 U.S.C. 801(a)(1)(A). 194 The Small Business Paperwork Relief Act of Video programming distributors are 192 See id. 604(b). 2002 (SBPRA), Public Law 107–198, 116 Stat 729 193 The Paperwork Reduction Act of 1995 (PRA), (2002) (codified in Chapter 35 of title 44 U.S.C.); see responsible for ensuring that the aural Public Law 104–13, 109 Stat 163 (1995) (codified 44 U.S.C. 3506(c)(4). representation of the emergency in Chapter 35 of title 44 U.S.C.). 195 See 5 U.S.C. 801(a)(1)(A). information (including the

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accompanying aural tone) gets passed temporary rule. NMFS projects for greater amberjack is also closed, as through to consumers. commercial landings for greater specified in 50 CFR 622.34(c), and * * * * * amberjack, will reach the commercial during this recreational closure, the bag (6) Beginning July 10, 2017, ACT (commercial quota) by July 19, and possession limits for greater multichannel video programming 2015. Therefore, NMFS closes the amberjack in or from the Gulf EEZ are distributors must ensure that any commercial sector for greater amberjack zero. During the commercial closure, the application or plug-in that they provide in the Gulf on July 19, 2015, and it will sale or purchase of greater amberjack to consumers to access linear remain closed until the start of the next taken from the EEZ is prohibited. The programming on tablets, smartphones, fishing season on January 1, 2016. This prohibition on sale or purchase does not laptops, and similar devices over the closure is necessary to protect the Gulf apply to the sale or purchase of greater MVPD’s network as part of their greater amberjack resource. amberjack that were harvested, landed multichannel video programming DATES: This rule is effective 12:01 a.m., ashore, and sold prior to 12:01 a.m., distributor services is capable of passing local time, July 19, 2015, until 12:01 local time, July 19, 2015, and were held through to consumers an aural a.m., local time, January 1, 2016. in cold storage by a dealer or processor. representation of the emergency FOR FURTHER INFORMATION CONTACT: Rich The commercial sector for greater information (including the Malinowski, NMFS Southeast Regional amberjack will reopen on January 1, accompanying aural tone) on a Office, telephone: 727–824–5305, or 2016, the beginning of the 2016 secondary audio stream. email: [email protected]. commercial fishing season. * * * * * SUPPLEMENTARY INFORMATION: NMFS Classification ■ 3. Amend § 79.105 by adding manages the reef fish fishery of the Gulf, The Regional Administrator, paragraph (d) and a note to paragraph which includes greater amberjack, Southeast Region, NMFS, has (d) to read as follows: under the Fishery Management Plan for determined this temporary rule is the Reef Fish Resources of the Gulf necessary for the conservation and § 79.105 Video description and emergency (FMP). The Gulf of Mexico Fishery management of the Gulf greater information accessibility requirements for Management Council (Council) all apparatus. amberjack component of the Gulf reef prepared the FMP and NMFS fish fishery and is consistent with the * * * * * implements the FMP under the Magnuson-Stevens Act and other (d) Beginning December 20, 2016, all authority of the Magnuson-Stevens apparatus subject to this section must applicable laws. Fishery Conservation and Management This action is taken under 50 CFR provide a simple and easy to use Act (Magnuson-Stevens Act) by 622.41(a)(1) and is exempt from review mechanism for activating the secondary regulations at 50 CFR part 622. All under Executive Order 12866. audio stream for audible emergency greater amberjack weights discussed in These measures are exempt from the information. this temporary rule are in round weight. procedures of the Regulatory Flexibility Note To Paragraph (d): This paragraph The commercial annual catch limit Act, because the temporary rule is places no restrictions on the importing, (ACL) for Gulf greater amberjack is issued without opportunity for prior shipping, or sale of navigation devices that 481,000 lb (218,178 kg), as specified in notice and comment. were manufactured before December 20, 50 CFR 622.41(a)(1), and the This action responds to the best 2016. commercial ACT (equivalent to the scientific information available. The [FR Doc. 2015–16324 Filed 7–9–15; 8:45 am] commercial quota) is 409,000 lb Assistant Administrator for Fisheries, BILLING CODE 6712–01–P (185,519 kg), as specified in 50 CFR NOAA (AA), finds that the need to 622.39(a)(1)(v). immediately implement this action to Under 50 CFR 622.41(a)(1)(i), NMFS close the commercial sector for greater DEPARTMENT OF COMMERCE is required to close the commercial amberjack constitutes good cause to sector for greater amberjack when the waive the requirements to provide prior National Oceanic and Atmospheric commercial ACT (commercial quota) is notice and opportunity for public Administration reached, or is projected to be reached, comment pursuant to the authority set by filing a notification to that effect with forth in 5 U.S.C. 553(b)(B), as such 50 CFR Part 622 the Office of the Federal Register. NMFS procedures would be unnecessary and [Docket No. 1206013412–2517–02] has determined the commercial ACT contrary to the public interest. Such (commercial quota) will be reached by procedures are unnecessary because the RIN 0648–XE028 July 19, 2015. Accordingly, the rule establishing the closure provisions commercial sector for Gulf greater was subject to notice and comment, and Fisheries of the Caribbean, Gulf of amberjack is closed effective 12:01 a.m., all that remains is to notify the public Mexico, and South Atlantic; 2015 local time, July 19, 2015, until 12:01 of the closure. Such procedures are Commercial Accountability Measure a.m., local time, January 1, 2016. contrary to the public interest because and Closure for Gulf of Mexico Greater The operator of a vessel with a valid of the need to immediately implement Amberjack commercial vessel permit for Gulf reef this action to protect greater amberjack. AGENCY: National Marine Fisheries fish with greater amberjack on board The capacity of the commercial sector Service (NMFS), National Oceanic and must have landed, bartered, traded, or allows for rapid harvest of the Atmospheric Administration (NOAA), sold such greater amberjack prior to commercial ACT (commercial quota), Commerce. 12:01 a.m., local time, July 19, 2015. and prior notice and opportunity for ACTION: Temporary rule; closure. During the commercial closure, the bag public comment would require time and and possession limits specified in 50 would potentially result in harvest SUMMARY: NMFS implements CFR 622.38(b)(1), apply to all harvest or exceeding the commercial ACT accountability measures (AMs) for possession of greater amberjack in or (commercial quota) and commercial commercial greater amberjack in the from the Gulf exclusive economic zone ACL. Gulf of Mexico (Gulf) reef fish fishery (EEZ). However, from June 1 through For the aforementioned reasons, the for the 2015 fishing year through this July 31 each year, the recreational sector AA also finds good cause to waive the

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30-day delay in the effectiveness of this without change. All personal identifying Friday through Tuesday, with a landing action under 5 U.S.C. 553(d)(3). information (e.g., name, address, etc.), and possession limit of 40 Chinook Authority: 16 U.S.C. 1801 et seq. confidential business information, or salmon per vessel per open period. otherwise sensitive information Inseason action #7 superseded inseason Dated: July 6, 2015. submitted voluntarily by the sender will action #6 (80 FR 36725, June 26, 2015), Emily H. Menashes, be publicly accessible. NMFS will which temporarily closed this fishery on Acting Director, Office of Sustainable accept anonymous comments (enter ‘‘N/ May 29, 2015. Fisheries, National Marine Fisheries Service. A’’ in the required fields if you wish to Effective dates: Inseason action #7 [FR Doc. 2015–16863 Filed 7–7–15; 4:15 pm] remain anonymous). took effect on June 5, 2015, and BILLING CODE 3510–22–P FOR FURTHER INFORMATION CONTACT: remained in effect until superseded by Peggy Mundy at 206–526–4323. inseason action #8 on June 19, 2015. SUPPLEMENTARY INFORMATION: DEPARTMENT OF COMMERCE Reason and authorization for the Background action: After consideration of Chinook National Oceanic and Atmospheric In the 2015 annual management salmon landings to date and fishery Administration measures for ocean salmon fisheries (80 effort, the Regional Administrator (RA) FR 25611, May 5, 2015), NMFS determined that sufficient quota 50 CFR Part 660 announced the commercial and remained to reopen this fishery with a [Docket No. 150316270–5270–01] recreational fisheries in the area from 5-day open period and a landing and possession limit of 40 Chinook salmon RIN 0648–XE020 the U.S./Canada border to the U.S./ Mexico border, beginning May 1, 2015, per vessel per opening, to avoid exceeding the quota. This action was Fisheries Off West Coast States; and 2016 salmon seasons opening taken to allow access to available Modifications of the West Coast earlier than May 1, 2016. NMFS is Chinook salmon quota, without Commercial Salmon Fisheries; authorized to implement inseason exceeding the quota that was set Inseason Actions #7 Through #13 management actions to modify fishing seasons and quotas as necessary to preseason. Inseason action to modify AGENCY: National Marine Fisheries provide fishing opportunity while quotas and/or fishing seasons is Service (NMFS), National Oceanic and meeting management objectives for the authorized by 50 CFR 660.409(b)(1)(i). Atmospheric Administration (NOAA), affected species (50 CFR 660.409). Consultation date and participants: Commerce. Inseason actions in the salmon fishery Consultation on inseason action #7 ACTION: Modification of fishing seasons; may be taken directly by NMFS (50 CFR occurred on June 4, 2015. Participants request for comments. 660.409(a)—Fixed inseason in this consultation were staff from management provisions) or upon NMFS, Council, WDFW, and ODFW. SUMMARY: NMFS announces seven consultation with the Pacific Fishery Inseason Action #8 inseason actions in the ocean salmon Management Council (Council) and the fisheries. These inseason actions appropriate State Directors (50 CFR Description of action: Inseason action modified the commercial salmon 660.409(b)—Flexible inseason fisheries in the area from the U.S./ #8 adjusted the landing and possession management provisions). The state limit in the commercial salmon fishery Canada border to the U.S./Mexico management agencies that participated border. from Leadbetter Point, WA, to Cape in the consultations described in this Falcon, OR, from 40 Chinook salmon DATES: The effective dates for the document were: Oregon Department of per vessel per open period (see inseason inseason actions are set out in this Fish and Wildlife (ODFW) and action #7) to 80 Chinook salmon per document under the heading Inseason Washington Department of Fish and vessel per open period. Inseason action Actions. Comments will be accepted Wildlife (WDFW). #8 superseded inseason action #7. through July 27, 2015. Management of the salmon fisheries is generally divided into two geographic Effective dates: Inseason action #8 ADDRESSES: You may submit comments, took effect on June 19, 2015, and identified by NOAA–NMFS–2015–0001, areas: North of Cape Falcon (U.S./ Canada border to Cape Falcon, OR) and remained in effect until superseded by by any one of the following methods: inseason action #12 on June 26, 2015. • Electronic Submissions: Submit all south of Cape Falcon (Cape Falcon, OR, electronic public comments via the to the U.S./Mexico border). The Reason and authorization for the Federal eRulemaking Portal. Go to inseason actions reported in this action: The states provided information www.regulations.gov/ document affect fisheries north and that poor weather conditions had #!docketDetail;D=NOAA-NMFS-2015- south of Cape Falcon. Within the south restricted fishing opportunities in the 0001, click the ‘‘Comment Now!’’ icon, of Cape Falcon area, the Klamath affected area. After consideration of complete the required fields, and enter Management Zone (KMZ) extends from Chinook salmon landings to date and or attach your comments. Humbug Mountain, OR, to Humboldt fishery effort, the RA determined that • Mail: William W. Stelle, Jr., South Jetty, CA, and is divided at the sufficient quota remained to increase Regional Administrator, West Coast Oregon/California border into the the landing and possession limit to Region, NMFS, 7600 Sand Point Way Oregon KMZ to the north and California allow access to the remaining quota NE., Seattle, WA 98115–6349. KMZ to the south. All times mentioned without exceeding the quota that was Instructions: Comments sent by any refer to Pacific daylight time. set preseason. Inseason action to modify quotas and/or fishing seasons is other method, to any other address or Inseason Actions individual, or received after the end of authorized by 50 CFR 660.409(b)(1)(i). the comment period, may not be Inseason Action #7 Consultation date and participants: considered by NMFS. All comments Description of action: Inseason action Consultation on inseason action #8 received are a part of the public record #7 reopened the commercial salmon occurred on June 18, 2015. Participants and will generally be posted for public fishery from Leadbetter Point, WA, to in this consultation were staff from viewing on www.regulations.gov Cape Falcon, OR, on June 5, 2015; NMFS, Council, WDFW, and ODFW.

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Inseason Action #9 exceeding the quota that was set Inseason Action #13 Description of action: Inseason action preseason. Inseason action to modify quotas and/or fishing seasons is Description of action: Inseason action #9 extended retention of Pacific halibut #13 modified the commercial salmon caught incidental to commercial salmon authorized by 50 CFR 660.409(b)(1)(i). Consultation date and participants: fishery from Humbug Mountain, OR, to fishing (U.S./Canada border to U.S./ Consultation on inseason action #10 the OR/CA border (Oregon KMZ) in Mexico border) beyond the June 30, occurred on June 25, 2015. Participants June and July. Inseason action #13 2015 deadline announced preseason. in this consultation were staff from closed the fishery at 11:59 p.m., June 26, Pacific halibut retention will continue NMFS, Council, WDFW, and ODFW. 2015; reopened the fishery July 1–2, without any changes to landing and 2015 with a landing and possession possession requirements until further Inseason Action #11 limit of 15 Chinook salmon per vessel notice. Description of action: Inseason action per day; closed the fishery July 3–4, Effective dates: Inseason action #9 #11 closed the commercial salmon 2015; and reopened the fishery daily, took effect on July 1, 2015, and remains fishery from Queets River to Leadbetter beginning July 5, 2015 with a landing in effect until superseded by inseason point at 11:59 p.m., June 25, 2015. and possession limit of 25 Chinook action. Effective dates: Inseason action #11 salmon per vessel per day. Reason and authorization for the took effect on June 25, 2015, and Effective dates: Inseason action #13 action: The International Pacific Halibut remained in effect through the end of Commission (IPHC) establishes an took effect on June 26, 2015, and the spring salmon season, June 30, 2015. remains in effect until superseded by annual allocation of Pacific halibut that Reason and authorization for the can be retained when caught incidental inseason action or the end of the July action: After consideration of Chinook fishery, on July 31, 2015. to commercial salmon fishing by fishers salmon landings to date and fishery who possess the necessary IPHC license. effort, the RA determined that Reason and authorization for the The annual ocean salmon management insufficient quota remained to continue action: The commercial salmon fishery measures (80 FR 25611, May 5, 2015) this fishery under the schedule set in the Oregon KMZ operates under authorized halibut retention only during preseason and that the fishery was monthly quotas for Chinook salmon in April, May, and June of the 2015 troll likely to exceed the quota if allowed to June, July, and August. After seasons and after June 30 in 2015 if remain open. This action was taken to consideration of Chinook salmon quota remains. The RA considered avoid exceeding the quota that was set landings to date and fishery effort, the Pacific halibut and Chinook salmon preseason. Inseason action to modify RA determined that insufficient quota landings to date, and fishery effort, and quotas and/or fishing seasons is remained to continue fishing in June determined that sufficient halibut authorized by 50 CFR 660.409(b)(1)(i). and that modifying the July opening allocation remained to allow retention Consultation date and participants: would allow access to available Chinook to continue for the foreseeable future. Consultation on inseason action #11 salmon quota, without exceeding the Consultation date and participants: occurred on June 25, 2015. Participants quota that was set preseason. Inseason Consultation on inseason action #9 in this consultation were staff from action to modify quotas and/or fishing occurred on June 25, 2015. Participants NMFS, Council, WDFW, and ODFW. seasons is authorized by 50 CFR in this consultation were staff from 660.409(b)(1)(i). Inseason Action #12 NMFS, Council, WDFW, and ODFW. Consultation date and participants: Description of action: Inseason action Inseason Action #10 Consultation on inseason action #13 #12 closed the commercial salmon occurred on June 25, 2015. Participants Description of action: Inseason action fishery from Leadbetter Point, WA, to in this consultation were staff from #10 modified the commercial salmon Cape Falcon, OR, by cancelling the 5- NMFS, Council, WDFW, and ODFW. fishery from the U.S./Canada border to day opening scheduled to begin Friday, All other restrictions and regulations Cape Alava, WA. Inseason action #10 June 26, 2015, superseding inseason remain in effect as announced for the set a 2-day opening for this fishery, June action #8. 26–27, 2015, with a landing and Effective dates: Inseason action #12 2015 ocean salmon fisheries and 2016 possession limit of 12 Chinook salmon took effect on June 26, 2015, and fisheries opening prior to May 1, 2016 per vessel for the opening. This remained in effect through the end of (80 FR 25611, May 5, 2015). superseded the 5-day opening and 20 the spring salmon season, June 30, 2015. The RA determined that the best Chinook landing and possession limit Reason and authorization for the available information indicated that established by inseason action #4 (80 FR action: After consideration of Chinook Chinook salmon and Pacific halibut 36725, June 26, 2015). salmon landings to date and fishery catch to date and fishery effort Effective dates: Inseason action #10 effort, the RA determined that supported the above inseason actions took effect on June 26, 2015, and insufficient quota remained to continue recommended by the states of remained in effect through the end of this fishery under the schedule and Washington and Oregon. The states the spring salmon season, June 30, 2015. landing limits set by inseason action #8 manage the fisheries in state waters Reason and authorization for the and cancelled the opening that was adjacent to the areas of the U.S. action: After consideration of Chinook scheduled to begin June 26, 2015. This exclusive economic zone in accordance salmon landings to date and fishery action was taken to avoid exceeding the with these Federal actions. As provided effort, the RA determined that quota that was set preseason. Inseason by the inseason notice procedures of 50 insufficient quota remained to continue action to modify quotas and/or fishing CFR 660.411, actual notice of the this fishery under the schedule and seasons is authorized by 50 CFR described regulatory actions was given, landing limits set by inseason action #4. 660.409(b)(1)(i). prior to the time the action was Therefore, the fishery was restricted to Consultation date and participants: effective, by telephone hotline numbers a 2-day opening with a reduced landing Consultation on inseason action #12 206–526–6667 and 800–662–9825, and and possession limit. This action was occurred on June 25, 2015. Participants by U.S. Coast Guard Notice to Mariners taken to allow access to available in this consultation were staff from broadcasts on Channel 16 VHF–FM and Chinook salmon quota, without NMFS, Council, WDFW, and ODFW. 2182 kHz.

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Classification FMP, 50 CFR 660.409 and 660.411. Prior effectiveness required under 5 U.S.C. The Assistant Administrator for notice and opportunity for public 553(d)(3), as a delay in effectiveness of Fisheries, NOAA (AA), finds that good comment was impracticable because these actions would allow fishing at cause exists for this notification to be NMFS and the state agencies had levels inconsistent with the goals of the issued without affording prior notice insufficient time to provide for prior Salmon FMP and the current and opportunity for public comment notice and the opportunity for public management measures. under 5 U.S.C. 553(b)(B) because such comment between the time Chinook These actions are authorized by 50 notification would be impracticable. As salmon catch and effort assessments and CFR 660.409 and 660.411 and are previously noted, actual notice of the projections were developed and exempt from review under Executive regulatory actions was provided to fisheries impacts were calculated, and Order 12866. the time the fishery modifications had fishers through telephone hotline and Authority: 16 U.S.C. 1801 et seq. radio notification. These actions comply to be implemented in order to ensure with the requirements of the annual that fisheries are managed based on the Dated: July 6, 2015. management measures for ocean salmon best available scientific information, Emily H. Menashes, fisheries (80 FR 25611, May 5, 2015), ensuring that conservation objectives Acting Director, Office of Sustainable the West Coast Salmon Fishery and ESA consultation standards are not Fisheries, National Marine Fisheries Service. Management Plan (Salmon FMP), and exceeded. The AA also finds good cause [FR Doc. 2015–16829 Filed 7–9–15; 8:45 am] regulations implementing the Salmon to waive the 30-day delay in BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 80, No. 132

Friday, July 10, 2015

This section of the FEDERAL REGISTER Notice of Technical Conference GENERAL SERVICES contains notices to the public of the proposed ADMINISTRATION issuance of rules and regulations. The On April 20, 2015, the Liquids purpose of these notices is to give interested Shippers Group, Airlines for America 41 CFR Part 102–77 persons an opportunity to participate in the and the National Propane Gas [FMR Case 2015–102–3; Docket No. 2015– rule making prior to the adoption of the final Association (Joint Petitioners) filed a rules. 0007; Sequence No. 1] petition for rulemaking requesting that the Commission issue a Notice of RIN 3090–AJ60 Proposed Rulemaking (NOPR) requiring DEPARTMENT OF ENERGY Federal Management Regulation; Art- changes to the FERC Form No. 6 in-Architecture Federal Energy Regulatory (Annual Report of Oil Pipeline Commission Companies), Page 700. AGENCY: Office of Government-wide The Joint Petitioners request that the Policy (OGP), General Services 18 CFR Part 284 Commission issue a NOPR in which it Administration (GSA). [Docket No. RM15–19–000] proposes to revise Form No. 6, Page 700 ACTION: Proposed rule. by (1) requiring a pipeline that (i) files SUMMARY: GSA is proposing to amend Petition for a Rulemaking of the a single Form No. 6 report for both Liquids Shippers Group, Airlines for the Federal Management Regulation crude oil and petroleum product (FMR) by revising its coverage of Art-in- America, and the National Propane systems, and/or (ii) has multiple Gas Association Architecture. This proposed rule established and recognized segments provides clarification to the policies that AGENCY: Federal Energy Regulatory which correspond to how the pipeline’s support the efforts to collect, manage, Commission, Energy. rates are established or designed, to file fund and commission fine art in Federal ACTION: Notice of technical conference. a separate Page 700 for each individual buildings. system or segment rather than reporting DATES: Interested parties should submit SUMMARY: In this notice, the Federal aggregated cost and revenue data on a written comments to the Regulatory Energy Regulatory Commission single Page 700; and (2) revising the Secretariat at one of the addresses (Commission) plans to hold a technical Page 700 instructions to require crude shown below on or before September 8, conference on July 30, 2015, to discuss oil and petroleum product pipelines to 2015 to be considered in the formation issues raised by the petition for make their workpapers available to of the final rule. rulemaking. The petition for rulemaking shippers and interested persons upon ADDRESSESS: Submit comments in is requesting that the Commission issue request, not just to the Commission and response to FMR Case 2015–102–3 by a Notice of Proposed Rulemaking its Staff. any of the following methods: (NOPR) requiring changes to the FERC • Regulations.gov: http:// Take notice that the Commission Form No. 6 (Annual Report of Oil www.regulations.gov. Submit comments plans to hold a technical conference on Pipeline Companies), Page 700. via the Federal eRulemaking Portal by DATES: The technical conference will be July 30, 2015, to discuss issues raised by searching for ‘‘FMR Case 2015–102–3.’’ held on July 30, 2015. the petition for rulemaking. Select the link ‘‘Comment Now’’ that FOR FURTHER INFORMATION CONTACT: The Commission will issue a corresponds with ‘‘FMR Case 2015– subsequent notice organizing the 102–3.’’ Follow the instructions Technical Contact conference. The Commission provided at the ‘‘Comment Now’’ Adrianne Cook, Office of Energy contemplates utilizing panels to work screen. Please include your name, Market Regulation, Federal Energy through the issues presented. Those company name (if any), and ‘‘FMR Case Regulatory Commission, 888 First Street interested in serving on panels are asked 2015–102–3 on your attached NE., Washington, DC 20426, to submit a short notice of intent in the document. • [email protected], (202) 502– instant docket, along with the specific Mail: General Services 8849. issues they plan to address on or before Administration, Regulatory Secretariat (MVCB), ATTN: Ms. Flowers, 1800 F Legal Contacts July 10, 2015. Due to time constraints, we may not be able to accommodate all Street NW., 2nd. Floor, Washington, DC David Faerberg, Office of the General 20405. those interested in speaking. Counsel, Federal Energy Regulatory Instructions: Please submit comments Commission, 888 First Street NE., Dated: June 30, 2015. only and cite FMR Case 2015–102–3, in Washington, DC 20426, Nathaniel J. Davis, Sr., all correspondence related to this case. [email protected], (202) 502– Deputy Secretary. All comments received will be posted 8275. [FR Doc. 2015–16880 Filed 7–9–15; 8:45 am] without change to http:// Rekha Chandrasekher, Office of the www.regulations.gov, including any General Counsel, Federal Energy BILLING CODE 6717–01–P personal and/or business confidential Regulatory Commission, 888 First information provided. Street NE., Washington, DC 20426, FOR FURTHER INFORMATION CONTACT: Ms. [email protected], (202) Aluanda Drain, Office of Government- 502–8865. wide Policy, Office of Asset and SUPPLEMENTARY INFORMATION: Transportation Management (MA), at

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202–501–1624, or by email at proposed rule is also exempt from the create significant civic-scaled artwork of [email protected]. For information Administrative Procedure Act per 5 outstanding quality and value. Federal pertaining to status or publication U.S.C. 553 (a)(2) because it applies to agencies should work collaboratively schedules, contact the Regulatory agency management or personnel. with the artist, community, and art and Secretariat, at 202–501–4755. Please cite design professionals to produce works D. Paperwork Reduction Act FMR Case 2015–102–3. of art that reflect the cultural, SUPPLEMENTARY INFORMATION: The Paperwork Reduction Act does intellectual, and historic interests of the not apply because the proposed changes nation and the community. Federal A. Background to the FMR do not impose agencies should commission artwork As part of its regular cycle to review recordkeeping or information collection that is diverse in style and media. and update its real property policies, requirements, or the collection of ■ 4. Revise § 102–77.25 to read as GSA is proposing to revise its policy on information from offerors, contractors, follows: Art-in-Architecture that is located in or members of the public that require FMR part 102–77 (41 CFR part 102–77). the approval of the Office of § 102–77.25 Do Federal agencies have Management and Budget under 44 responsibilities to provide national visibility This part was last revised on November for Art-in-Architecture? 8, 2005 at 70 FR 67847. U.S.C. 3501, et seq. Yes, Federal agencies should Proposed Changes E. Small Business Regulatory implement these Art-in-Architecture The proposed changes to FMR part Enforcement Fairness Act policies in a manner that receives 102–77 reflect an internal as well as an This proposed rule is exempt from appropriate national and local visibility interagency collaborative effort. Major Congressional review prescribed by 5 to facilitate participation by a large and proposed changes include the following: U.S.C. 801 since it relates to agency diverse group of American artists Section 102–77.10 recommends the management and personnel. representing a wide variety of types of practice of commissioning artwork and artwork. List of Subjects in 41 CFR Part 102–77 also requires that the art be the work of [FR Doc. 2015–16902 Filed 7–9–15; 8:45 am] Arts and Crafts. living American artists. BILLING CODE 6820–14–P Section 102–77.20 proposes that to Dated: May 7, 2015. the maximum extent possible, agencies Giancarlo Brizzi, should collaborate with representatives Acting Associate Administrator. of the client agency and with others DEPARTMENT OF HEALTH AND who are tied to the project to For the reasons set forth in the HUMAN SERVICES commission the nation’s most talented preamble, GSA proposes to amend 41 42 CFR Part 88 artists. CFR part 102–77 as follows: Section 102–77.25 calls for agencies to PART 102–77—ART-IN- [NIOSH Docket 094] implement the Art-in-Architecture ARCHITECTURE policies in a manner that receives World Trade Center Health Program; national and local visibility to facilitate ■ 1. The authority continues to read as Petition 008—Autoimmune Diseases; participation by a large and diverse follows: Finding of Insufficient Evidence group of American artists. Authority: 40 U.S.C. 121 and 3306. AGENCY: Centers for Disease Control and B. Executive Orders 12866 and 13563 ■ 2. Revise § 102–77.10 to read as Prevention, HHS. Executive Orders (E.O.S.) 12866 and follows: ACTION: Denial of petition for addition of 13563 direct agencies to assess all costs § 102–77.10 What basic Art-in-Architecture a health condition. and benefits of available regulatory policy governs Federal agencies? SUMMARY: On May 11, 2015, the alternatives and, if regulation is Federal agencies must incorporate Administrator of the World Trade necessary, to select regulatory fine arts as an integral part of the total Center (WTC) Health Program received approaches that maximize net benefits building concept when designing new a petition (Petition 008) to add (including potential economic, Federal buildings, and when making autoimmune diseases to the List of environmental, public health and safety substantial repairs and alterations to WTC-Related Health Conditions (List). effects, distributive impacts, and existing Federal buildings, as Upon reviewing the information equity). E.O. 13563 emphasizes the appropriate. The commissioned provided by the petitioner, the importance of quantifying both costs artworks—including painting, sculpture Administrator has determined that and benefits, of reducing costs, of and various other media—must reflect Petition 008 is not substantially harmonizing rules, and of promoting the national cultural heritage and be the different from Petition 007, which also flexibility. This is not a significant work of living American artists (citizens requested the addition of autoimmune regulatory action, and therefore was not or permanent residents of the United diseases. The Administrator recently subject to review under Section 6(b) of States). published a response to Petition 007 in E.O. 12866, Regulatory Planning and ■ 3. Revise § 102–77.20 to read as the Federal Register and has Review, dated September 30, 1993. This follows: rule is not a major rule under 5 U.S.C. determined that Petition 008 does not 804. § 102–77.20 With whom should Federal provide additional evidence of a causal agencies collaborate when commissioning relationship between 9/11 exposures C. Regulatory Flexibility Act and selecting art for Federal buildings? and autoimmune diseases. Accordingly, While these revisions are substantive, To the maximum extent practicable, the Administrator finds that insufficient this proposed rule would not have a Federal agencies should collaborate evidence exists to request a significant economic impact on a with representatives of the client agency recommendation of the WTC Health substantial number of small entities and the local community, the designer, Program Scientific/Technical Advisory within the meaning of the Regulatory and arts professionals to commission Committee (STAC), to publish a Flexibility Act, 5 U.S.C. 601, et seq. This the nation’s most talented artists to proposed rule, or to publish a

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determination not to publish a proposed (iii) publish in the Federal Register the the autoimmune diseases studied by rule. Administrator’s determination not to Webber et al. No other evidence was DATES: The Administrator of the WTC publish such a proposed rule and the provided in Petition 008 to support the Health Program is denying this petition basis for such determination; or (iv) addition of encephalitis to the List; for the addition of a health condition as publish in the Federal Register a therefore, encephalitis is not addressed of July 10, 2015. determination that insufficient evidence in this action. exists to take action under (i) through FOR FURTHER INFORMATION CONTACT: C. Administrator’s Determination on (iii) above. However, in accordance with Rachel Weiss, Program Analyst, 1090 Petition 008 42 CFR 88.17(a)(4), the Administrator is Tusculum Avenue, MS: C–46, required to consider a new petition for The Administrator has established a Cincinnati, OH 45226; telephone (855) a previously-evaluated health condition methodology for evaluating whether to 818–1629 (this is a toll-free number); determined not to qualify for addition to add non-cancer health conditions to the email [email protected]. the List only if the new petition presents List of WTC-Related Health Conditions, SUPPLEMENTARY INFORMATION: a new medical basis—evidence not published online in the Policies and Table of Contents previously reviewed by the Procedures section of the WTC Health Administrator—for the association Program Web site.5 However, the A. WTC Health Program Statutory Authority between 9/11 exposures and the Administrator has determined that the B. Petition 008 condition to be added. methodology is not triggered in this case C. Administrator’s Determination on Petition because Petition 008 requested the 008 B. Petition 008 addition of a health condition that was A. WTC Health Program Statutory On May 11, 2015, the Administrator previously reviewed by the Program, Authority received a petition to add ‘‘autoimmune and presented no new evidence of a disease—encephalitis of the brain’’ to causal association between 9/11 Title I of the James Zadroga 9/11 the List (Petition 008).2 This is the exposures and autoimmune diseases. In Health and Compensation Act of 2010 second petition to the Administrator a response to Petition 007, which also (Pub. L. 111–347), amended the Public requesting the addition of autoimmune requested the addition of autoimmune Health Service Act (PHS Act) to add diseases to the List; the first diseases, published in the Federal Title XXXIII 1 establishing the WTC autoimmune disease petition, Petition Register on June 8, 2015 (80 FR 32333), Health Program within the Department 007, was denied due to insufficient the Administrator reviewed the findings of Health and Human Services (HHS). evidence as described in a Federal presented in the Webber study and The WTC Health Program provides Register notice published on June 8, determined that insufficient evidence medical monitoring and treatment 2015 (80 FR 32333). Petition 008, which exists to take any of the following benefits to eligible firefighters and is addressed in this notice, was actions: Propose the addition of related personnel, law enforcement submitted by a WTC Health Program autoimmune diseases to the List officers, and rescue, recovery, and member who responded to the (pursuant to PHS Act, section cleanup workers who responded to the September 11, 2001, terrorist attacks in 3312(a)(6)(B)(ii) and 42 CFR September 11, 2001, terrorist attacks in New York City. The petitioner indicated 88.17(a)(2)(ii)); publish a determination New York City, at the Pentagon, and in that she has been diagnosed with not to publish a proposed rule in the Shanksville, Pennsylvania (responders), encephalitis as well as two WTC-related Federal Register (pursuant to PHS Act, and to eligible persons who were health conditions. The petition section 3312(a)(6)(B)(iii) and 42 CFR present in the dust or dust cloud on presented as evidence several 88.17(a)(2)(iii)); or request a September 11, 2001 or who worked, newspaper articles referencing a study recommendation from the STAC resided, or attended school, childcare, recently published in the Journal of (pursuant to PHS Act, section or adult daycare in the New York City Arthritis and Rheumatology by Webber 3312(a)(6)(B)(i) and 42 CFR disaster area (survivors). 3 et al. [2015], which was designed to 88.17(a)(2)(i)). Because the All references to the Administrator of test the hypothesis that acute and Administrator recently evaluated the the WTC Health Program chronic 9/11 work-related exposures Webber study, presented as evidence for (Administrator) in this notice mean the were associated with the risk of certain the addition of autoimmune conditions Director of the National Institute for new-onset systemic autoimmune in Petition 007, there is no need to Occupational Safety and Health diseases. reevaluate the same evidence again in (NIOSH) or his or her designee. Although Petition 008 specifically response to the request to add Pursuant to section 3312(a)(6)(B) of requested the addition of ‘‘autoimmune autoimmune diseases in Petition 008, the PHS Act, interested parties may disease—encephalitis of the brain,’’ the which also presented the Webber study petition the Administrator to add a Administrator determined that the as evidence of a causal association health condition to the List in 42 CFR scope of the petition properly includes between 9/11 exposures and 88.1. Within 60 calendar days after only the autoimmune diseases autoimmune diseases. receipt of a petition to add a condition identified in Webber et al., cited as Accordingly, with regard to Petition to the List, the Administrator must take evidence in both Petition 007 and 008, the Administrator has determined 4 one of the following four actions Petition 008. Encephalitis is not among that insufficient evidence exists to take described in section 3312(a)(6)(B) and further action, including either 2 42 CFR 88.17: (i) Request a See Petition 008. WTC Health Program: Petitions proposing the addition of autoimmune recommendation of the STAC; (ii) Received. http://www.cdc.gov/wtc/received.html. publish a proposed rule in the Federal 3 Webber MP, Moir W, Zeig-Owens R, Glaser MS, Jaber N, Hall C, Berman J, Qayyum B, Loupasakis finding of insufficient evidence. 80 FR 32333, June Register to add such health condition; K, Kelly K, and Prezant DJ [20015]. Nested case- 8, 2015. control study of selected systemic autoimmune 5 ‘‘Policy and Procedures for Adding Non-Cancer 1 Title XXXIII of the PHS Act is codified at 42 diseases in World Trade Center rescue/recovery Conditions to the List of WTC-Related Health U.S.C. 300mm to 300mm–61. Those portions of the workers. Journal of Arthritis & Rheumatology Conditions,’’ John Howard MD, Administrator of Zadroga Act found in Titles II and III of Public Law 67(5):1369–1376. the WTC Health Program, October 21, 2014. http:// 111–347 do not pertain to the WTC Health Program 4 This determination is consistent with the www.cdc.gov/wtc/pdfs/WTCHP_PP_Adding_ and are codified elsewhere. Administrator’s reasoning in the Petition 007 NonCancers_21_Oct_2014.pdf.

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diseases to the List (pursuant to PHS that the devices and applications they fjallfoss.fcc.gov/ecfs2/. (Documents will Act, section 3312(a)(6)(B)(ii) and 42 CFR provide to subscribers include a simple be available electronically in ASCII, 88.17(a)(2)(ii)) or publishing a and easy to use activation mechanism Microsoft Word, and/or Adobe Acrobat.) determination not to publish a proposed for accessing audible emergency This document is also available for rule in the Federal Register (pursuant to information on the secondary audio public inspection and copying during PHS Act, section 3312(a)(6)(B)(iii) and stream. regular business hours in the FCC 42 CFR 88.17(a)(2)(iii)). The DATES: Comments are due on or before Reference Information Center, Federal Administrator has also determined that August 10, 2015; reply comments are Communications Commission, 445 12th requesting a recommendation from the due on or before September 8, 2015. Street SW., CY–A257, Washington, DC, STAC (pursuant to PHS Act, section ADDRESSES: You may submit comments, 20554. The complete text may be 3312(a)(6)(B)(i) and 42 CFR identified by MB Docket No. 12–107, by purchased from the Commission’s copy 88.17(a)(2)(i)) is unwarranted. any of the following methods: contractor, 445 12th Street SW., Room For the reasons discussed above, the • Federal Communications CY–B402, Washington, DC 20554. request made in Petition 008 to add Commission (FCC) Electronic Comment Alternative formats are available for autoimmune diseases to the List of Filing System (ECFS) Web site: http:// people with disabilities (Braille, large WTC-Related Health Conditions is fjallfoss.fcc.gov/ecfs2/. Follow the print, electronic files, audio format), by denied. instructions for submitting comments. sending an email to [email protected] or The Administrator is aware that • Mail: U.S. Postal Service first-class, calling the Commission’s Consumer and another study of autoimmune diseases Express, and Priority mail must be Governmental Affairs Bureau at (202) among WTC Health Program members is addressed to the FCC Secretary, Office 418–0530 (voice), (202) 418–0432 being conducted by the WTC Health of the Secretary, Federal (TTY). Registry; however, results from this Communications Commission, 445 12th I. Introduction study are not yet available in the Street SW., Washington, DC 20554. scientific literature. The Administrator Commercial overnight mail (other than 1. In this Second Further Notice of will monitor the scientific literature for U.S. Postal Service Express Mail and Proposed Rulemaking (‘‘Second Further publication of the results of this study Priority Mail) must be sent to 9300 East Notice’’), we seek comment on three and any other studies that address Hampton Drive, Capitol Heights, MD issues: (i) whether we should adopt autoimmune diseases among 9/11- 20743. rules regarding how covered entities exposed populations. • Hand or Messenger Delivery: All should prioritize emergency information Dated: July 1, 2015. hand-delivered or messenger-delivered conveyed aurally on the secondary John Howard, paper filings for the FCC Secretary must audio stream when more than one Administrator, World Trade Center Health be delivered to FCC Headquarters at 445 source of visual emergency information Program and Director, National Institute for 12th Street SW., Room TW–A325, is presented on-screen at the same time; Occupational Safety and Health, Centers for Washington, DC 20554. (ii) whether we should reconsider the • Disease Control and Prevention, Department People with Disabilities: Contact the Commission’s requirement for ‘‘school of Health and Human Services. FCC to request reasonable closings and changes in school bus [FR Doc. 2015–16942 Filed 7–9–15; 8:45 am] accommodations (accessible format schedules’’ resulting from emergency BILLING CODE 4163–18–P documents, sign language interpreters, situations to be conveyed aurally on the CART, etc.) by email: [email protected] secondary audio stream, considering the or phone: 202–418–0530; or TTY: 202– length of such information and the FEDERAL COMMUNICATIONS 418–0432. limits of the secondary audio stream; For detailed instructions for COMMISSION and (iii) whether we should require submitting comments and additional MVPDs to ensure that the navigation 47 CFR Part 79 information on the rulemaking process, devices that they provide to subscribers see the section IV. ‘‘Procedural Matters’’ include a simple and easy to use [MB Docket No. 12–107; FCC 15–56] heading of the SUPPLEMENTARY activation mechanism for accessing INFORMATION section of this document. Accessible Emergency Information, audible emergency information on the FOR FURTHER INFORMATION CONTACT: and Apparatus Requirements for secondary audio stream, and to provide Evan Baranoff, [email protected], Emergency Information and Video a simple and easy to use mechanism to of the Media Bureau, Policy Division, Description activate the secondary audio stream for (202) 418–2120. emergency information when they AGENCY: Federal Communications SUPPLEMENTARY INFORMATION: This is a permit subscribers to view linear Commission. summary of the Commission’s Second programming on mobile and other ACTION: Proposed rule. Further Notice of Proposed Rulemaking devices as part of their MVPD services. (Second Further Notice), FCC 15–56, SUMMARY: In this document, the adopted on May 21, 2015, and released II. Discussion Commission seeks comments on issues on May 28, 2015. For background, see A. Prioritization of Emergency related to making emergency the summary of the Second Report and Information on the Secondary Audio information audibly accessible to Order (Second Report and Order) Stream individuals who are blind or visually accompanying the Second Further impaired. Specifically, this document Notice published in this issue of the 2. We seek comment on how video seeks comment on: How to prioritize Federal Register. The full text of this programming providers and video aural emergency information on the document is available electronically via programming distributors should secondary audio stream; whether to the FCC’s Electronic Document prioritize emergency information continue to require school closing Management System (EDOCS) Web site conveyed aurally on the secondary information to be included aurally on at http://fjallfoss.fcc.gov/edocs_public/ audio stream when more than one the secondary audio stream; and or via the FCC’s Electronic Comment source of visual emergency information whether to require MVPDs to ensure Filing System (ECFS) Web site at http:// is presented on-screen at the same time.

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3. Section 79.2(b)(2)(ii) of the seek comment on this issue. To what broadcaster to determine what Commission’s rules requires that extent do broadcasters show more than information qualifies as the highest emergency information provided one crawl or a crawl and a graphic priority? We seek comment on any other visually during programming that is conveying visual emergency potential solutions or issues related to neither a regularly scheduled newscast, information at the same time? In this the prioritization of emergency nor a newscast that interrupts regular scenario, do the crawls and graphics information on the secondary audio programming, must be made accessible being shown simultaneously typically stream, including how determinations to individuals who are blind or visually convey information about the same of what is a higher or lower priority impaired through the use of a secondary emergency situation? should be made. 5. Currently, our rule requires that the audio stream to provide such B. Inclusion of School Closing information aurally.1 In the First Report critical details about an emergency and how to respond to it must be conveyed Information on the Secondary Audio and Order, the Commission specified Stream that it would not require a verbatim aurally on the secondary stream to the aural translation of textual emergency same extent that this information is 7. We also seek comment on whether information, but that the information conveyed visually. If more than one the Commission should reconsider its presented aurally must accurately and crawl or a crawl and a graphic are requirement for ‘‘school closings and effectively communicate to consumers shown on-screen at the same time, how changes in school bus schedules’’ who are blind or visually impaired the can covered entities ensure that all of resulting from emergency situations to critical details about a current the critical details about the emergency be conveyed aurally on the secondary emergency and how to respond to it to and how to respond are conveyed audio stream, considering the length of the same extent that this information is aurally? Should we adopt rules that such information and the limits of the conveyed textually.2 In addition, the provide guidance to covered entities on secondary audio stream. 8. ‘‘Emergency information’’ is Commission concluded that if visual but how to prioritize emergency information currently defined in the Commission’s non-textual emergency information is conveyed aurally on the secondary rules as ‘‘[i]nformation, about a current shown during non-newscast audio stream when graphics or multiple emergency, that is intended to further programming, the aural description of crawls are used? For example, should the protection of life, health, safety, and this information must accurately and we indicate that certain categories of property, i.e., critical details regarding effectively convey the critical details emergency information should be the emergency and how to respond to regarding the emergency and how to prioritized based on the severity and the emergency,’’ and examples of the respond to the emergency.3 proximity of the emergency and the types of emergencies covered include 4. In its recently-filed petition for potential impact on life, health, safety, ‘‘tornadoes, hurricanes, floods, tidal temporary waiver of the emergency and property? If multiple critical details waves, earthquakes, icing conditions, information rules, the National about an emergency are broadcast heavy snows, widespread fires, Association of Broadcasters (‘‘NAB’’) simultaneously, should we prioritize discharge of toxic gases, widespread indicated that ‘‘maps and other graphics them with respect to the requirement to power failures, industrial explosions, almost always share the screen with provide audio information about their civil disorders, school closings and other crawls’’ and, thus, broadcasters content (e.g., if a graphic or one crawl changes in school bus schedules may encounter an issue with how to is providing information about areas resulting from such conditions, and prioritize these sources of emergency affected by an emergency while another crawl is providing information about warnings and watches of impending information on the secondary audio evacuation orders or shelter-in-place changes in weather.’’ 5 In the First stream to ‘‘ensur[e] that the most critical instructions), and if so, how? Or are Report and Order, the Commission audible crawl reaches the public.’’ 4 We these fact-specific judgements better left declined to revise this definition of 6 1 47 CFR 79.2(b)(2)(ii). for broadcasters to make on a case-by- emergency information. In particular, 2 Accessible Emergency Information; Apparatus case basis? the Commission declined to adopt Requirements for Emergency Information and Video 6. Given the time-sensitive nature of NAB’s recommendation to delete Description: Implementation of the Twenty-First emergency information, as well as ‘‘school closings and changes in school Century Communications and Video Accessibility quick-changing developments that may bus schedules resulting from such Act of 2010, MB Docket Nos. 12–107, 11–43, Report occur during the course of an emergency and Order, FCC 13–45, 78 FR 31770, para. 23 (2013) conditions, and warnings and watches (‘‘First Report and Order’’). ‘‘Critical details situation, should we require that only of impending changes in weather’’ from include, but are not limited to, specific details the highest priority emergency the examples of emergency information, regarding the areas that will be affected by the information needs to be conveyed when finding that it would be inappropriate emergency, evacuation orders, detailed descriptions there are multiple sources of emergency of areas to be evacuated, specific evacuation routes, ‘‘to narrow the definition in the interest approved shelters or the way to take shelter in one’s information being shown on-screen at of lessening the impact on other services home, instructions on how to secure personal the same time? Or should any provided on the secondary audio property, road closures, and how to obtain relief prioritization rules assume that all stream, given the higher priority of assistance.’’ Note to 47 CFR 79.2(a)(2). emergency information shown 7 3 emergency information.’’ Thus, First Report and Order, para. 24 (further noting simultaneously must be conveyed that, even if a broadcaster employs text-to-speech (‘‘TTS’’) technologies, the critical details of aurally and, therefore, require that the 5 47 CFR 79.2(a)(2). emergency information conveyed in a graphic highest priority emergency information 6 First Report and Order, para. 29. display can be included in the text that will be should be conveyed before any lesser 7 See id. Although the Commission did not converted to speech before the TTS conversion priority emergency information on the modify the definition of emergency information to takes place). delete school closings and school bus schedule 4 National Association of Broadcasters, Petition secondary audio stream? Should we rely changes that result from a current emergency from for Temporary Partial Exemption and Limited on the good faith judgment of the the list of examples, it found that covered entities Waiver, MB Docket No. 12–107, at 10, n.11 (filed have the option to air a brief audio message on the Mar. 27, 2015) (‘‘NAB Waiver Petition’’). See also newscast programming with [ ] critical, potentially secondary audio stream at the start of the crawl id. at 13 (stating that ‘‘it is common for broadcasters life-saving information, . . . [b]ut, with currently- indicating that this information will be aired at the to run a crawl of school closings, during both available technology, the station would have no conclusion of video-described programming, and to newscasts and non-newscast programming’’ and to way of prioritizing the vital information . . . over subsequently provide this information aurally on also ‘‘run a second crawl on the screen during non- the ongoing audible crawl of the school closings’’). Continued

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covered entities are required by the rule sources, including email, text messages, the CVAA. Manufacturers must provide to ensure that visual emergency radio, and Internet Web sites.13 this functionality on covered apparatus information regarding school closings 10. We seek comment on NAB’s by December 20, 2016. Although and school bus schedule changes assertions. Given NAB’s arguments, covered apparatus, including navigation resulting from emergency situations should the Commission revise its rule to devices, will be required to have a aired during non-newscast programming provide that ‘‘school closings and simple and easy to use mechanism for is conveyed aurally on a secondary changes in school bus schedules’’ activating the secondary audio stream audio stream.8 resulting from emergency situations are by December 20, 2016, we want to not required to be conveyed aurally on ensure that compliant devices make it 9. In its waiver petition, NAB requests the secondary audio stream? Or should into the hands of MVPD customers a limited waiver of the requirement to we revise the rule to indicate that such promptly. Under section 202 of the include school closings in the audible information must be provided on the CVAA, the Commission has authority to crawl pending identification of an secondary audio stream only if no other promulgate regulations that require alternative solution by all interested emergency information is being video programming distributors, stakeholders.9 NAB suggests that this conveyed audibly on the secondary including MVPDs,15 ‘‘to convey [ ] issue should be referred to the audio stream at the same time? Should emergency information in a manner Commission’s Disability Advisory we revise the rule to provide that such accessible to individuals who are blind Committee’s (‘‘DAC’’) Video information need only be conveyed or visually impaired.’’ 16 We believe this Programming subcommittee to develop once in full, rather than twice as 10 provision gives us authority to require an alternative solution. According to currently required, given the potential MVPDs to provide devices with a NAB, ‘‘an audible crawl of school lengthiness of the crawl? In addition, we simple and easy to use activation closings will be prolonged and seek comment on the benefits of mechanism because conveying audible inefficient’’ and could last hours, providing information about school emergency information on the particularly given the vast number of closings and changes in school bus secondary stream would not be schools typically within a station’s schedules on the secondary audio ‘‘accessible to individuals who are blind viewing area, as well as the stream for individuals who are blind or or visually impaired’’ if those Commission’s requirement that the visually impaired, and whether the individuals cannot readily access it. We 11 crawl be repeated. Further, NAB availability of other sources of this seek comment on that view, as well as argues that currently there is no way for information is adequate. Although we whether any other statutory provisions broadcasters to prioritize ‘‘immediately seek comment on this issue, we grant the Commission authority to adopt impactful emergency information—such encourage broadcasters and the such a requirement. Should MVPDs be as a hurricane warning—over a disability community to work toward a required to provide navigation devices prolonged reading of school closings,’’ mutually agreeable resolution in the with a simple and easy to use activation and the school closing information interim through the DAC.14 mechanism for the secondary audio could ‘‘interfere with the dissemination C. Activation Mechanism for Emergency stream only upon request by a customer of more critical emergency or should MVPDs be required to provide information.’’ 12 NAB also contends that Information on the Secondary Audio Stream—MVPD Obligations devices with this functionality to all viewers expect emergency information customers? What time frame would be on the secondary audio stream to be 11. We seek comment on whether we appropriate for requiring MVPDs to ‘‘succinct and targeted’’ since they have should require MVPDs to provide their provide navigation devices with a to switch from the main program audio customers with navigation devices that simple and easy to use activation to hear it, and that information on contain a simple and easy to use mechanism for the secondary audio school closings is available from other activation mechanism for accessing stream? We seek comment on these or emergency information on the any other issues related to the secondary audio stream at the conclusion of the secondary audio stream. In the Second implementation of such a requirement. video-described programming. Id. at para. 31. Report and Order, we conclude that 12. In addition, we seek comment on 8 See id. The Commission left it to the good faith manufacturers of apparatus covered by whether we should require MVPDs to judgment of the broadcaster or other covered entity section 79.105 of the Commission’s to decide whether school closings and school bus provide a simple and easy to use schedule changes result from a situation that is a rules must provide a mechanism that is mechanism to activate the secondary current emergency based on its severity and simple and easy to use, such as one that audio stream for emergency information potential to threaten life, health, safety, and is reasonably comparable to a button, when they permit subscribers to view property and indicated that it would not sanction key, or icon, for activating the secondary broadcasters or other covered entities for a linear programming on mobile and other reasonable exercise of their judgment in this regard. audio stream for audible emergency devices as part of their MVPD services. Id. at para. 31 & n.136. But see NAB Waiver Petition information pursuant to section 203 of In the Second Report and Order, we at 11, n.14 (‘‘Rather than risking an investigation adopt rules requiring MVPDs to pass and potential fine, however, NAB respectfully 13 Id. at 13. through a secondary audio stream submits that most broadcasters would err on the 14 We note that since adoption of the Second side of caution in determining whether a given containing audible emergency Report and Order the Media Bureau granted NAB’s school closing falls under the Audible Crawl information when they permit request that the Commission temporarily waive the Rule.’’). requirement to aurally convey school closing consumers to access linear programming 9 See NAB Waiver Petition at 11–14. information on the secondary audio stream in the on tablets, smartphones, laptops, and 10 Id. at 11 & n.15. context of the NAB Waiver Petition. See Accessible similar devices over the MVPD’s 11 Id. at 12. Section 79.2(b)(2)(ii) of the Emergency Information, and Apparatus network as part of their MVPD services. Commission’s rules requires that emergency Requirements for Emergency Information and Video information provided aurally on the secondary Description: Implementation of the Twenty-First In particular, we conclude that MVPDs audio stream be conveyed in full at least twice to Century Communications and Video Accessibility must ensure that any application or ensure that consumers are able to hear all of the Act of 2010, Video Description: Implementation of plug-in that they provide to consumers information after they switch from the main the Twenty-First Century Communications and to access such programming is capable program audio to the secondary audio stream. See Video Accessibility Act of 2010, Petitions for 47 CFR 79.2(b)(2)(ii); First Report and Order, para. Waiver, MB Docket Nos. 12–107, 11–43; 25. Memorandum Opinion and Order, DA 15–632, 15 See 47 CFR 79.1(a)(11). 12 NAB Waiver Petition at 12–13. para. 18 (MB rel. May 26, 2015). 16 47 U.S.C. 613(g)(2).

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of passing through audible emergency Flexibility Analysis (‘‘IRFA’’) 3. Description and Estimate of the information on a secondary audio concerning the possible economic Number of Small Entities to Which the stream. Given that the record developed impact on small entities by the policies Proposed Rules Will Apply in this proceeding demonstrates that and rules proposed in the Second MVPDs control the ability of consumers Further Notice. Written public 16. The RFA directs the Commission to select and receive the secondary comments are requested on this IRFA. to provide a description of and, where audio stream for linear programming Comments must be identified as feasible, an estimate of the number of provided through an MVPD application responses to the IRFA and must be filed small entities that will be affected by the on mobile and other devices, should we by the deadlines for comments as rules adopted in the Second Report and 22 require MVPDs to provide a simple and specified in the Second Further Notice. Order. The RFA generally defines the easy to use mechanism to activate the The Commission will send a copy of the term ‘‘small entity’’ as having the same secondary audio stream for emergency meaning as the terms ‘‘small business,’’ Second Further Notice, including this information on MVPD applications and ‘‘small organization,’’ and ‘‘small IRFA, to the Chief Counsel for Advocacy plug-ins that allow consumers to view governmental jurisdiction.’’ 23 In of the Small Business Administration linear programming on mobile and other addition, the term ‘‘small business’’ has (‘‘SBA’’).20 In addition, the Second devices? As noted above, section 202 of the same meaning as the term ‘‘small Further Notice and this IRFA (or the CVAA directs the Commission to business concern’’ under the Small summaries thereof) will be published in promulgate regulations that require Business Act.24 A ‘‘small business the Federal Register.21 video programming distributors, concern’’ is one which: (1) Is including MVPDs,17 ‘‘to convey [ ] 1. Need for, and Objectives of, the independently owned and operated; (2) emergency information in a manner Proposed Rule Changes is not dominant in its field of operation; accessible to individuals who are blind and (3) satisfies any additional criteria 18 or visually impaired.’’ We believe this 14. In the Second Further Notice, the established by the SBA.25 Small entities provision gives us authority to require Commission seeks comment on three that are directly affected by the rules MVPDs to provide a simple and easy to issues: (i) whether to adopt rules adopted in the Second Report and Order use activation mechanism on MVPD regarding how covered entities should include video programming providers applications and plug-ins that allow prioritize emergency information and video programming distributors consumers to view linear programming conveyed aurally on the secondary covered by section 79.2 of the on mobile and other devices because audio stream when more than one Commission’s rules. conveying audible emergency source of visual emergency information 17. Cable Television Distribution information on the secondary stream is presented on-screen at the same time; Services. Since 2007, these services would not be ‘‘accessible to individuals (ii) whether to reconsider the who are blind or visually impaired’’ if have been defined within the broad Commission’s requirement for ‘‘school those individuals cannot readily access economic census category of Wired closings and changes in school bus it. We seek comment on that view, as Telecommunications Carriers, which schedules’’ resulting from emergency well as whether any other statutory was developed for small wireline provisions grant the Commission situations to be conveyed aurally on the businesses. This category is defined as authority to adopt such a requirement. secondary audio stream, considering the follows: ‘‘This industry comprises What time frame would be appropriate length of such information and the establishments primarily engaged in for requiring MVPDs to comply? In the limits of the secondary audio stream; operating and/or providing access to Second Report and Order, we adopt a and (iii) whether to require MVPDs to transmission facilities and infrastructure compliance deadline of two years after ensure that the navigation devices that that they own and/or lease for the publication in the Federal Register for they provide to subscribers include a transmission of voice, data, text, sound, MVPDs to pass through a secondary simple and easy to use activation and video using wired audio stream with audible emergency mechanism for accessing audible telecommunications networks. information for linear programming on emergency information on the Transmission facilities may be based on tablets, smartphones, laptops, and secondary audio stream, and to provide a single technology or a combination of similar devices. Should that deadline a simple and easy to use mechanism to technologies. Establishments in this apply to the requirement for MVPDs to activate the secondary audio stream for industry use the wired provide a simple and easy to use emergency information when they telecommunications network facilities activation mechanism for the secondary permit subscribers to view linear that they operate to provide a variety of audio stream? We seek comment on programming on mobile and other services, such as wired telephony these or any other issues related to devices as part of their MVPD services. services, including VoIP services; wired implementation of such a requirement. 2. Legal Basis (cable) audio and video programming III. Procedural Matters distribution; and wired broadband A. Initial Regulatory Flexibility Act 15. The proposed action is authorized pursuant to the Twenty-First Century 22 5 U.S.C. 603(b)(3). 13. As required by the Regulatory Communications and Video 23 Id. 601(6). Flexibility Act of 1980, as amended Accessibility Act of 2010, Public Law 24 Id. 601(3) (incorporating by reference the 19 definition of ‘‘small-business concern’’ in the Small (‘‘RFA’’), the Commission has 111–260, 124 Stat. 2751, and Sections prepared this present Initial Regulatory Business Act, 15 U.S.C. 632). Pursuant to 5 U.S.C. 4(i), 4(j), 303, 330(b), 713, and 716 of the 601(3), the statutory definition of a small business Communications Act of 1934, as applies ‘‘unless an agency, after consultation with 17 See 47 CFR 79.1(a)(11). the Office of Advocacy of the Small Business 18 47 U.S.C. 613(g)(2). amended, 47 U.S.C. 154(i), 154(j), 303, Administration and after opportunity for public 19 See 5 U.S.C. 603. The RFA, see 5 U.S.C. 601– 330(b), 613, and 617. comment, establishes one or more definitions of 612, has been amended by the Small Business such term which are appropriate to the activities of Regulatory Enforcement Fairness Act of 1996 the agency and publishes such definition(s) in the (‘‘SBREFA’’), Public Law 104–121, Title II, 110 Stat. 20 See 5 U.S.C. 603(a). Federal Register.’’ 857 (1996). 21 See id. 25 15 U.S.C. 632.

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Internet services.’’ 26 In this category, under the Commission’s rate regulation system operators are affiliated with the SBA deems a wired rules, a ‘‘small system’’ is a cable system entities whose gross annual revenues telecommunications carrier to be small serving 15,000 or fewer subscribers.32 exceed $250,000,000, we are unable at if it has 1,500 or fewer employees.27 Current Commission records show 4,945 this time to estimate with greater Census data for 2007 shows 3,188 firms cable systems nationwide.33 Of this precision the number of cable system in this category.28 Of these 3,188 firms, total, 4,380 cable systems have less than operators that would qualify as small only 44 had 1,000 or more employees. 20,000 subscribers, and 565 systems cable operators under the definition in While we could not find precise Census have 20,000 subscribers or more, based the Communications Act. data on the number of firms with in the on the same records. Thus, under this 20. Direct Broadcast Satellite (DBS) group with 1,500 or fewer employees, it standard, we estimate that most cable Service. DBS service is a nationally is clear that at least 3,144 firms with systems are small. distributed subscription service that fewer than 1,000 employees would be in 19. Cable System Operators (Telecom delivers video and audio programming that group. Therefore, under this size Act Standard). The Communications via satellite to a small parabolic ‘‘dish’’ standard, we estimate that the majority Act of 1934, as amended, also contains antenna at the subscriber’s location. of businesses can be considered small a size standard for small cable system DBS, by exception, is now included in entities. operators, which is ‘‘a cable operator the SBA’s broad economic census 18. Cable Companies and Systems. that, directly or through an affiliate, category, Wired Telecommunications The Commission has also developed its serves in the aggregate fewer than 1 Carriers,39 which was developed for own small business size standards for percent of all subscribers in the United small wireline businesses. In this the purpose of cable rate regulation. States and is not affiliated with any category, the SBA deems a wired Under the Commission’s rules, a ‘‘small entity or entities whose gross annual telecommunications carrier to be small cable company’’ is one serving 400,000 revenues in the aggregate exceed if it has 1,500 or fewer employees.40 or fewer subscribers nationwide.29 $250,000,000.’’ 34 There are Census data for 2007 shows 3,188 firms Industry data shows that there were approximately 56.4 million incumbent in this category.41 Of these 3,188 firms, 1,141 cable companies at the end of cable video subscribers in the United only 44 had 1,000 or more employees. June 2012.30 Of this total, all but 10 States today.35 Accordingly, an operator While we could not find precise Census incumbent cable companies are small serving fewer than 564,000 subscribers data on the number of firms with in the under this size standard.31 In addition, shall be deemed a small operator, if its group with 1,500 or fewer employees, it annual revenues, when combined with is clear that at least 3,144 firms with 26 U.S. Census Bureau, 2012 NAICS Definitions, the total annual revenues of all its fewer than 1,000 employees would be in ‘‘517110 Wired Telecommunications Carriers’’ affiliates, do not exceed $250 million in that group. Therefore, under this size (partial definition) at http://www.census.gov/cgi- 36 bin/sssd/naics/naicsrch. Examples of this category the aggregate. Based on available data, standard, the majority of such are: broadband Internet service providers (e.g., we find that all but 10 incumbent cable businesses can be considered small. cable, DSL); local telephone carriers (wired); cable operators are small under this size However, the data we have available as television distribution services; long-distance standard.37 We note that the a basis for estimating the number of telephone carriers (wired); closed circuit television (‘‘CCTV’’) services; VoIP service providers, using Commission neither requests nor such small entities were gathered under own operated wired telecommunications collects information on whether cable a superseded SBA small business size infrastructure; direct-to-home satellite system system operators are affiliated with standard formerly titled ‘‘Cable and (‘‘DTH’’) services; telecommunications carriers entities whose gross annual revenues Other Program Distribution.’’ The (wired); satellite television distribution systems; 38 and multichannel multipoint distribution services exceed $250 million. Although it definition of Cable and Other Program (‘‘MMDS’’). seems certain that some of these cable Distribution provided that a small entity 27 13 CFR 121.201; NAICS Code 517110. is one with $12.5 million or less in 28 http://factfinder.census.gov/servlet/IBQTable?_ Commission applied this size standard to MVPD annual receipts.42 Currently, only two bm=y&-geo_id=&-_skip=600&-ds_name=EC0751 operators in its implementation of the CALM Act. entities provide DBS service, which SSSZ5&-_lang=en. See Implementation of the Commercial 29 47 CFR 76.901(e). The Commission determined Advertisement Loudness Mitigation (CALM) Act, that this size standard equates approximately to a MB Docket No. 11–93, Report and Order, FCC 11– 39 See 13 CFR 121.201; 2012 NAICS code 517110. size standard of $100 million or less in annual 182, 77 FR 40276, para. 37 (2011) (‘‘CALM Act This category of Wired Telecommunications revenues. Implementation of Sections of the Cable Report and Order’’) (defining a smaller MVPD Carriers is defined as follows: ‘‘This industry Television Consumer Protection And Competition operator as one serving 400,000 or fewer subscribers comprises establishments primarily engaged in Act of 1992: Rate Regulation, MM Docket No. 92– nationwide, as of December 31, 2011). operating and/or providing access to transmission 266, MM Docket No. 93–215, Sixth Report and 32 47 CFR 76.901(c). facilities and infrastructure that they own and/or Order and Eleventh Order on Reconsideration, FCC 33 The number of active, registered cable systems lease for the transmission of voice, data, text, 95–196, 60 FR 35854 (1995). comes from the Commission’s Cable Operations and sound, and video using wired telecommunications 30 NCTA, Industry Data, Number of Cable Licensing System (COALS) database on Aug. 28, networks. Transmission facilities may be based on Operating Companies (June 2012), http:// 2013. A cable system is a physical system integrated a single technology or a combination of www.ncta.com/Statistics.aspx (visited Sept. 28, to a principal headend. technologies. Establishments in this industry use 2012). Depending upon the number of homes and 34 47 U.S.C. 543(m)(2); see 47 CFR 76.901(f) & nn. the wired telecommunications network facilities the size of the geographic area served, cable 1–3. that they operate to provide a variety of services, operators use one or more cable systems to provide 35 See NCTA, Industry Data, Cable Video such as wired telephony services, including VoIP video service. See Annual Assessment of the Status Customers (2012), http://www.ncta.com/industry- services; wired (cable) audio and video of Competition in the Market for Delivery of Video data (visited Aug. 30, 2013). programming distribution; and wired broadband Programming, MB Docket No. 12–203, Fifteenth 36 47 CFR 76.901(f); see Public Notice, FCC Internet services. By exception, establishments Report, FCC 13–99 at para. 24 (rel. July 22, 2013) Announces New Subscriber Count for the providing satellite television distribution services (‘‘15th Annual Competition Report’’). Definition of Small Cable Operator, DA 01–158 using facilities and infrastructure that they operate 31 See SNL Kagan, ‘‘Top Cable MSOs—12/12 Q’’; (Cable Services Bureau, Jan. 24, 2001). are included in this industry.’’ (Emphasis added to available at http://www.snl.com/InteractiveX/Top 37 See NCTA, Industry Data, Top 25 Multichannel text relevant to satellite services.) U.S. Census CableMSOs.aspx?period=2012Q4&sort Video Service Customers (2012), http:// Bureau, 2012 NAICS Definitions, ‘‘517110 Wired col=subscribersbasic&sortorder=desc. We note that, www.ncta.com/industry-data (visited Aug. 30, Telecommunications Carriers’’ at http:// when applied to an MVPD operator, under this size 2013). www.census.gov/cgi-bin/sssd/naics/naicsrch. 40 standard (i.e., 400,000 or fewer subscribers) all but 38 The Commission does receive such information 13 CFR 121.201; NAICS Code 517110. 14 MVPD operators would be considered small. See on a case-by-case basis if a cable operator appeals 41 http://factfinder.census.gov/servlet/IBQTable?_ NCTA, Industry Data, Top 25 Multichannel Video a local franchise authority’s finding that the bm=y&-geo_id=&-_skip=600&-ds_name=EC075 Service Customers (2012), http://www.ncta.com/ operator does not qualify as a small cable operator 1SSSZ5&-_lang=en. industry-data (visited Aug. 30, 2013). The pursuant to 47 CFR 76.901(f). 42 13 CFR 121.201; NAICS code 517510 (2002).

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requires a great investment of capital for group with 1,500 or fewer employees, it The OVS framework provides operation: DIRECTV and DISH is clear that at least 3,144 firms with opportunities for the distribution of Network.43 Each currently offer fewer than 1,000 employees would be in video programming other than through subscription services. DIRECTV and that group. Therefore, under this size cable systems. Because OVS operators DISH Network each report annual standard, the majority of such provide subscription services,51 OVS revenues that are in excess of the businesses can be considered small. falls within the SBA small business size threshold for a small business. Because 22. Home Satellite Dish (HSD) standard covering cable services, which DBS service requires significant capital, Service. HSD or the large dish segment is Wired Telecommunications we believe it is unlikely that a small of the satellite industry is the original Carriers.52 In this category, the SBA entity as defined by the SBA would satellite-to-home service offered to deems a wired telecommunications have the financial wherewithal to consumers, and involves the home carrier to be small if it has 1,500 or become a DBS service provider. reception of signals transmitted by fewer employees.53 Census data for 2007 21. Satellite Master Antenna satellites operating generally in the C- shows 3,188 firms in this category.54 Of Television (SMATV) Systems, also band frequency. Unlike DBS, which these 3,188 firms, only 44 had 1,000 or known as Private Cable Operators uses small dishes, HSD antennas are more employees. While we could not (PCOs). SMATV systems or PCOs are between four and eight feet in diameter find precise Census data on the number video distribution facilities that use and can receive a wide range of of firms with in the group with 1,500 or closed transmission paths without using unscrambled (free) programming and fewer employees, it is clear that at least any public right-of-way. They acquire scrambled programming purchased from 3,144 firms with fewer than 1,000 video programming and distribute it via program packagers that are licensed to employees would be in that group. terrestrial wiring in urban and suburban facilitate subscribers’ receipt of video Therefore, under this size standard, we multiple dwelling units such as programming. Because HSD provides estimate that the majority of businesses apartments and condominiums, and subscription services, HSD falls within can be considered small entities. In commercial multiple tenant units such the SBA-recognized definition of Wired addition, we note that the Commission as hotels and office buildings. SMATV Telecommunications Carriers.47 In this has certified some OVS operators, with systems or PCOs are now included in category, the SBA deems a wired some now providing service.55 the SBA’s broad economic census telecommunications carrier to be small Broadband service providers (‘‘BSPs’’) category, Wired Telecommunications if it has 1,500 or fewer employees.48 are currently the only significant Carriers,44 which was developed for Census data for 2007 shows 3,188 firms holders of OVS certifications or local small wireline businesses. In this in this category.49 Of these 3,188 firms, OVS franchises.56 The Commission does category, the SBA deems a wired only 44 had 1,000 or more employees. not have financial or employment telecommunications carrier to be small While we could not find precise Census information regarding the entities if it has 1,500 or fewer employees.45 data on the number of firms with in the authorized to provide OVS, some of Census data for 2007 shows 3,188 firms group with 1,500 or fewer employees, it which may not yet be operational. Thus, in this category.46 Of these 3,188 firms, is clear that at least 3,144 firms with again, at least some of the OVS only 44 had 1,000 or more employees. fewer than 1,000 employees would be in operators may qualify as small entities. While we could not find precise Census that group. Therefore, under this size 24. Wireless cable systems— data on the number of firms with in the standard, we estimate that the majority Broadband Radio Service and of businesses can be considered small 43 See 15th Annual Competition Report, at para. Market for the Delivery of Video Programming, MB entities. Docket No. 06–189, Thirteenth Annual Report, FCC 27. As of June 2012, DIRECTV is the largest DBS 23. Open Video Services. The open operator and the second largest MVPD in the United 07–206, 74 FR 11102, para. 135 (2009) (‘‘Thirteenth States, serving approximately 19.9 million video system (OVS) framework was Annual Cable Competition Report’’). subscribers. DISH Network is the second largest established in 1996, and is one of four 51 See 47 U.S.C. 573. DBS operator and the third largest MVPD, serving statutorily recognized options for the 52 See 13 CFR 121.201; 2012 NAICS code 517110. approximately 14.1 million subscribers. Id. para. 27, This category of Wired Telecommunications provision of video programming Carriers is defined in part as follows: ‘‘This industry 110–11. 50 44 See 13 CFR 121.201; 2012 NAICS code 517110. services by local exchange carriers. comprises establishments primarily engaged in This category of Wired Telecommunications operating and/or providing access to transmission Carriers is defined as follows: ‘‘This industry 47 See 13 CFR 121.201; 2012 NAICS code 517110. facilities and infrastructure that they own and/or comprises establishments primarily engaged in This category of Wired Telecommunications lease for the transmission of voice, data, text, operating and/or providing access to transmission Carriers is defined in part as follows: ‘‘This industry sound, and video using wired telecommunications facilities and infrastructure that they own and/or comprises establishments primarily engaged in networks. Transmission facilities may be based on lease for the transmission of voice, data, text, operating and/or providing access to transmission a single technology or a combination of sound, and video using wired telecommunications facilities and infrastructure that they own and/or technologies. Establishments in this industry use networks. Transmission facilities may be based on lease for the transmission of voice, data, text, the wired telecommunications network facilities a single technology or a combination of sound, and video using wired telecommunications that they operate to provide a variety of services, technologies. Establishments in this industry use networks. Transmission facilities may be based on such as wired telephony services, including VoIP the wired telecommunications network facilities a single technology or a combination of services; wired (cable) audio and video that they operate to provide a variety of services, technologies. Establishments in this industry use programming distribution; and wired broadband such as wired telephony services, including VoIP the wired telecommunications network facilities Internet services.’’ U.S. Census Bureau, 2012 NAICS services; wired (cable) audio and video that they operate to provide a variety of services, Definitions, ‘‘517110 Wired Telecommunications programming distribution; and wired broadband such as wired telephony services, including VoIP Carriers’’ at http://www.census.gov/cgi-bin/sssd/ Internet services. By exception, establishments services; wired (cable) audio and video naics/naicsrch. providing satellite television distribution services programming distribution; and wired broadband 53 13 CFR 121.201; NAICS Code 517110. using facilities and infrastructure that they operate Internet services.’’ U.S. Census Bureau, 2012 NAICS 54 http://factfinder.census.gov/servlet/IBQTable?_ are included in this industry.’’ (Emphasis added to Definitions, ‘‘517110 Wired Telecommunications bm=y&-geo_id=&-_skip=600&-ds_ text relevant to satellite services.) U.S. Census Carriers’’ at http://www.census.gov/cgi-bin/sssd/ name=EC0751SSSZ5&-_lang=en. Bureau, 2012 NAICS Definitions, ‘‘517110 Wired naics/naicsrch. 55 A list of OVS certifications may be found at Telecommunications Carriers’’ at http:// 48 13 CFR 121.201; NAICS Code 517110. http://www.fcc.gov/mb/ovs/csovscer.html. www.census.gov/cgi-bin/sssd/naics/naicsrch. 49 http://factfinder.census.gov/servlet/IBQTable?_ 56 See Thirteenth Annual Cable Competition 45 13 CFR 121.201; NAICS Code 517110. bm=y&-geo_id=&-_skip=600&-ds_ Report, para. 135. BSPs are newer businesses that 46 http://factfinder.census.gov/servlet/IBQTable?_ name=EC0751SSSZ5&-_lang=en. are building state-of-the-art, facilities-based bm=y&-geo_id=&-_skip=600&-ds_ 50 47 U.S.C. 571(a)(3) through (4). See Annual networks to provide video, voice, and data services name=EC0751SSSZ5&-_lang=en. Assessment of the Status of Competition in the over a single network.

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Educational Broadband Service. annual gross revenues that exceed $3 if it has 1,500 or fewer employees.65 Wireless cable systems use the million and do not exceed $15 million Census data for 2007 shows 3,188 firms Broadband Radio Service (BRS) 57 and for the preceding three years (very small in this category.66 Of these 3,188 firms, Educational Broadband Service (EBS) 58 business) received a 25 percent discount only 44 had 1,000 or more employees. to transmit video programming to on its winning bid; and (iii) a bidder While we could not find precise Census subscribers. In connection with the 1996 with attributed average annual gross data on the number of firms with in the BRS auction, the Commission revenues that do not exceed $3 million group with 1,500 or fewer employees, it established a small business size for the preceding three years is clear that at least 3,144 firms with standard as an entity that had annual (entrepreneur) received a 35 percent fewer than 1,000 employees would be in average gross revenues of no more than discount on its winning bid.62 Auction that group. Therefore, under this size $40 million in the previous three 86 concluded in 2009 with the sale of standard, we estimate that the majority calendar years.59 The BRS auctions 61 licenses.63 Of the 10 winning of businesses can be considered small resulted in 67 successful bidders bidders, two bidders that claimed small entities. In addition to Census data, the obtaining licensing opportunities for business status won four licenses; one Commission’s internal records indicate 493 Basic Trading Areas (BTAs). Of the bidder that claimed very small business that as of September 2012, there are 67 auction winners, 61 met the status won three licenses; and two 2,241 active EBS licenses.67 The definition of a small business. BRS also bidders that claimed entrepreneur status Commission estimates that of these includes licensees of stations authorized won six licenses. 2,241 licenses, the majority are held by prior to the auction. At this time, we 25. In addition, the SBA’s placement non-profit educational institutions and estimate that of the 61 small business of Cable Television Distribution school districts, which are by statute BRS auction winners, 48 remain small Services in the category of Wired defined as small businesses.68 business licensees. In addition to the 48 Telecommunications Carriers is 26. Incumbent Local Exchange small businesses that hold BTA applicable to cable-based Educational Carriers (ILECs). Neither the authorizations, there are approximately Broadcasting Services. Since 2007, these Commission nor the SBA has developed 392 incumbent BRS licensees that are services have been defined within the a small business size standard considered small entities.60 After broad economic census category of specifically for incumbent local adding the number of small business Wired Telecommunications Carriers, exchange services. ILECs are included auction licensees to the number of which was developed for small wireline in the SBA’s economic census category, incumbent licensees not already businesses. This category is defined as Wired Telecommunications Carriers.69 counted, we find that there are currently follows: ‘‘This industry comprises In this category, the SBA deems a wired approximately 440 BRS licensees that establishments primarily engaged in telecommunications carrier to be small are defined as small businesses under operating and/or providing access to if it has 1,500 or fewer employees.70 either the SBA or the Commission’s transmission facilities and infrastructure Census data for 2007 shows 3,188 firms rules. In 2009, the Commission that they own and/or lease for the in this category.71 Of these 3,188 firms, conducted Auction 86, the sale of 78 transmission of voice, data, text, sound, only 44 had 1,000 or more employees. licenses in the BRS areas.61 The and video using wired Commission offered three levels of telecommunications networks. 65 13 CFR 121.201; NAICS Code 517110. bidding credits: (i) A bidder with Transmission facilities may be based on 66 http://factfinder.census.gov/servlet/IBQTable?_ _ _ _ a single technology or a combination of bm=y&-geo id=&- skip=600&-ds attributed average annual gross revenues name=EC0751SSSZ5&-_lang=en. that exceed $15 million and do not technologies. Establishments in this 67 http://wireless2.fcc.gov/UlsApp/UlsSearch/ exceed $40 million for the preceding industry use the wired results.jsp. three years (small business) received a telecommunications network facilities 68 The term ‘‘small entity’’ within SBREFA 15 percent discount on its winning bid; that they operate to provide a variety of applies to small organizations (non-profits) and to services, such as wired telephony small governmental jurisdictions (cities, counties, (ii) a bidder with attributed average towns, townships, villages, school districts, and services, including VoIP services; wired special districts with populations of less than 57 BRS was previously referred to as Multipoint (cable) audio and video programming 50,000). 5 U.S.C. 601(4) through (6). Distribution Service (MDS) and Multichannel distribution; and wired broadband 69 See 13 CFR 121.201; 2012 NAICS code 517110. Multipoint Distribution Service (MMDS). See Internet services.’’ 64 In this category, This category of Wired Telecommunications Amendment of Parts 21 and 74 of the Commission’s Carriers is defined as follows: ‘‘This industry Rules with Regard to Filing Procedures in the the SBA deems a wired comprises establishments primarily engaged in Multipoint Distribution Service and in the telecommunications carrier to be small operating and/or providing access to transmission Instructional Television Fixed Service and facilities and infrastructure that they own and/or Implementation of Section 309(j) of the 62 Id. lease for the transmission of voice, data, text, Communications Act—Competitive Bidding, MM 63 Auction of Broadband Radio Service Licenses sound, and video using wired telecommunications Docket No. 94–131, PP Docket No. 93–253, Report Closes, Winning Bidders Announced for Auction 86, networks. Transmission facilities may be based on and Order, FCC 95–230, 60 FR 36524, para. 7 Down Payments Due November 23, 2009, Final a single technology or a combination of (1995). technologies. Establishments in this industry use 58 Payments Due December 8, 2009, Ten-Day Petition EBS was previously referred to as the to Deny Period, Public Notice, DA 09–2378 (WTB the wired telecommunications network facilities Instructional Television Fixed Service (ITFS). See rel. Nov. 6, 2009). that they operate to provide a variety of services, id. 64 U.S. Census Bureau, 2012 NAICS Definitions, such as wired telephony services, including VoIP 59 47 CFR 21.961(b)(1). ‘‘517110 Wired Telecommunications Carriers’’ services; wired (cable) audio and video 60 47 U.S.C. 309(j). Hundreds of stations were (partial definition) at http://www.census.gov/cgi- programming distribution; and wired broadband licensed to incumbent MDS licensees prior to bin/sssd/naics/naicsrch. Examples of this category Internet services. By exception, establishments implementation of Section 309(j) of the are: Broadband Internet service providers (e.g., providing satellite television distribution services Communications Act of 1934, 47 U.S.C. 309(j). For cable, DSL); local telephone carriers (wired); cable using facilities and infrastructure that they operate these pre-auction licenses, the applicable standard television distribution services; long-distance are included in this industry.’’ (Emphasis added to is SBA’s small business size standard of 1,500 or telephone carriers (wired); closed circuit television text relevant to satellite services.) U.S. Census fewer employees. (‘‘CCTV’’) services; VoIP service providers, using Bureau, 2012 NAICS Definitions, ‘‘517110 Wired 61 Auction of Broadband Radio Service (BRS) own operated wired telecommunications Telecommunications Carriers’’ at http:// Licenses, Scheduled for October 27, 2009, Notice infrastructure; direct-to-home satellite system www.census.gov/cgi-bin/sssd/naics/naicsrch. and Filing Requirements, Minimum Opening Bids, (‘‘DTH’’) services; telecommunications carriers 70 13 CFR 121.201; NAICS Code 517110. Upfront Payments, and Other Procedures for (wired); satellite television distribution systems; 71 http://factfinder.census.gov/servlet/IBQTable?_ Auction 86, Public Notice, DA 09–1376 (WTB rel. and multichannel multipoint distribution services bm=y&-geo_id=&-_skip=600&-ds_ Jun. 26, 2009). (‘‘MMDS’’). name=EC0751SSSZ5&-_lang=en.

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While we could not find precise Census category, the SBA deems a wired reporting or recordkeeping requirements data on the number of firms with in the telecommunications carrier to be small proposed. There will, however, be group with 1,500 or fewer employees, it if it has 1,500 or fewer employees.75 compliance requirements for video is clear that at least 3,144 firms with Census data for 2007 shows 3,188 firms programming providers and video fewer than 1,000 employees would be in in this category.76 Of these 3,188 firms, programming distributors, including that group. Therefore, under this size only 44 had 1,000 or more employees. small entities. Specifically, covered standard, the majority of such While we could not find precise Census entities will need to comply with any businesses can be considered small. data on the number of firms with in the rules that govern how to prioritize 27. Small Incumbent Local Exchange group with 1,500 or fewer employees, it emergency information conveyed Carriers. We have included small is clear that at least 3,144 firms with aurally on the secondary audio stream incumbent local exchange carriers in fewer than 1,000 employees would be in when more than one source of visual this present RFA analysis. A ‘‘small that group. Therefore, under this size emergency information is presented on- business’’ under the RFA is one that, standard, the majority of such screen at the same time. inter alia, meets the pertinent small businesses can be considered small. 32. With respect to the second issue, business size standard (e.g., a telephone the Second Further Notice seeks communications business having 1,500 4. Description of Projected Reporting, comment on whether the Commission or fewer employees), and ‘‘is not Recordkeeping, and Other Compliance should reconsider the requirement for dominant in its field of operation.’’ 72 Requirements ‘‘school closings and changes in school The SBA’s Office of Advocacy contends 29. In this section, we describe the bus schedules’’ resulting from that, for RFA purposes, small incumbent reporting, recordkeeping, and other emergency situations to be conveyed local exchange carriers are not dominant compliance requirements proposed in aurally on the secondary audio stream, in their field of operation because any the Second Further Notice and consider considering the length of such such dominance is not ‘‘national’’ in whether small entities are affected information and the limits of the scope.73 We have therefore included disproportionately by any such secondary audio stream. There are no small incumbent local exchange carriers requirements. new reporting, recordkeeping, or in this RFA analysis, although we 30. In the Second Further Notice, the compliance requirements proposed. emphasize that this RFA action has no Commission seeks comment on three 33. With respect to the third issue, the effect on Commission analyses and issues: (i) Whether to adopt rules Second Further Notice asks whether the determinations in other, non-RFA regarding how covered entities should Commission should require MVPDs to contexts. prioritize emergency information ensure that the navigation devices that 28. Competitive Local Exchange conveyed aurally on the secondary they provide to subscribers include a Carriers (CLECs), Competitive Access audio stream when more than one simple and easy to use activation Providers (CAPs), Shared-Tenant source of visual emergency information mechanism for accessing audible Service Providers, and Other Local is presented on-screen at the same time; emergency information on the Service Providers. Neither the (ii) whether to reconsider the secondary audio stream, and to provide Commission nor the SBA has developed Commission’s requirement for ‘‘school a simple and easy to use mechanism to a small business size standard closings and changes in school bus activate the secondary audio stream for specifically for these service providers. schedules’’ resulting from emergency emergency information when they These entities are included in the SBA’s situations to be conveyed aurally on the permit subscribers to view linear economic census category, Wired secondary audio stream, considering the programming on mobile and other Telecommunications Carriers.74 In this length of such information and the devices as part of their MVPD services. limits of the secondary audio stream; This would impose compliance 72 15 U.S.C. 632. and (iii) whether to require MVPDs to requirements on MVPDs, including 73 Letter from Jere W. Glover, Chief Counsel for ensure that the navigation devices that small MVPDs. In addition, there may be Advocacy, SBA, to William E. Kennard, Chairman, they provide to subscribers include a reporting or recordkeeping obligations. FCC (May 27, 1999). The Small Business Act contains a definition of ‘‘small-business concern,’’ simple and easy to use activation For example, the Commission may which the RFA incorporates into its own definition mechanism for accessing audible decide to impose a notification of ‘‘small business.’’ See 15 U.S.C. 632(a) (Small emergency information on the requirement so that consumers are Business Act); 5 U.S.C. 601(3) (RFA). SBA secondary audio stream, and to provide aware of the availability of accessible regulations interpret ‘‘small business concern’’ to a simple and easy to use mechanism to include the concept of dominance on a national navigation devices that include a simple basis. See 13 CFR 121.102(b). activate the secondary audio stream for and easy to use activation mechanism 74 See 13 CFR 121.201; 2012 NAICS code 517110. emergency information when they for the secondary audio stream. This category of Wired Telecommunications permit subscribers to view linear Carriers is defined as follows: ‘‘This industry programming on mobile and other 5. Steps Taken To Minimize Significant comprises establishments primarily engaged in devices as part of their MVPD services. Impact on Small Entities and Significant operating and/or providing access to transmission Alternatives Considered facilities and infrastructure that they own and/or 31. With respect to the first issue, the lease for the transmission of voice, data, text, Second Further Notice asks whether the 34. The RFA requires an agency to sound, and video using wired telecommunications Commission should adopt rules to describe any significant alternatives that networks. Transmission facilities may be based on provide clarity to covered entities on a single technology or a combination of it has considered in reaching its technologies. Establishments in this industry use how to prioritize emergency information proposed approach, which may include the wired telecommunications network facilities on the secondary audio stream when the following four alternatives (among that they operate to provide a variety of services, complying with the requirements in others): (1) The establishment of such as wired telephony services, including VoIP Section 79.2. There are no new services; wired (cable) audio and video differing compliance or reporting programming distribution; and wired broadband requirements or timetables that take into Internet services. By exception, establishments Telecommunications Carriers’’ at http:// account the resources available to small providing satellite television distribution services www.census.gov/cgi-bin/sssd/naics/naicsrch. entities; (2) the clarification, using facilities and infrastructure that they operate 75 13 CFR 121.201; NAICS Code 517110. are included in this industry.’’ (Emphasis added to 76 http://factfinder.census.gov/servlet/IBQTable?_ consolidation, or simplification of text relevant to satellite services.) U.S. Census bm=y&-geo_id=&-_skip=600&-ds_ compliance and reporting requirements Bureau, 2012 NAICS Definitions, ‘‘517110 Wired name=EC0751SSSZ5&-_lang=en. under the rule for small entities; (3) the

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use of performance, rather than design, equipment and better access video rule 1.49(f) or for which the standards; and (4) an exemption from programming.’’ 78 Commission has made available a method of electronic filing, written ex coverage of the rule, or any part thereof, 6. Federal Rules That May Duplicate, 77 parte presentations and memoranda for small entities. Overlap, or Conflict With the Proposed summarizing oral ex parte 35. Two of the rule changes Rule presentations, and all attachments contemplated by the Second Further 38. None. thereto, must be filed through the Notice would not impose a significant electronic comment filing system impact on small entities. The B. Paperwork Reduction Act available for that proceeding, and must Commission is considering a rule that 39. This document does not contain be filed in their native format (e.g., .doc, would provide guidance to covered proposed information collection .xml, .ppt, searchable .pdf). Participants entities on how to prioritize emergency requirements subject to the Paperwork in this proceeding should familiarize 79 information on the secondary audio Reduction Act of 1995 (PRA). In themselves with the Commission’s ex stream when there are multiple sources addition, therefore, it does not contain parte rules. of visual emergency information shown any proposed information collection on-screen during non-newscast burden for small business concerns with D. Filing Requirements programming, and the costs and fewer than 25 employees, pursuant to 41. Pursuant to sections 1.415 and burdens associated with such a rule are the Small Business Paperwork Relief 1.419 of the Commission’s rules,82 expected to be de minimis or non- Act of 2002.80 interested parties may file comments existent. Further, the Commission is C. Ex Parte Rules and reply comments on or before the considering whether to reconsider the dates indicated on the first page of this requirement for ‘‘school closings and 40. We remind interested parties that document. All comments are to changes in school bus schedules’’ this proceeding is treated as a ‘‘permit- reference MB Docket No. 12–107 and but-disclose’’ proceeding in accordance resulting from emergency situations to may be filed using: (1) The with the Commission’s ex parte rules.81 be conveyed aurally on the secondary Commission’s Electronic Comment Persons making ex parte presentations audio stream. Such a rule change would Filing System (ECFS) or (2) by filing must file a copy of any written paper copies.83 minimize the costs and burdens on presentation or a memorandum regulated entities of all sizes. D Electronic Filers: Comments may be summarizing any oral presentation filed electronically using the Internet by 36. The Commission is also seeking within two business days after the accessing the ECFS: http:// comment on whether to require MVPDs presentation (unless a different deadline fjallfoss.fcc.gov/ecfs2/. to ensure that the navigation devices applicable to the Sunshine period D Paper Filers: Parties who choose to that they provide to subscribers include applies). Persons making oral ex parte file by paper must file an original and a simple and easy to use activation presentations are reminded that one copy of each filing. If more than one mechanism for accessing audible memoranda summarizing the docket or rulemaking number appears in emergency information on the presentation must (1) list all persons the caption of this proceeding, filers secondary audio stream, and to provide attending or otherwise participating in must submit two additional copies for a simple and easy to use mechanism to the meeting at which the ex parte each additional docket or rulemaking activate the secondary audio stream for presentation was made, and (2) number. emergency information when they summarize all data presented and Filings can be sent by hand or permit subscribers to view linear arguments made during the messenger delivery, by commercial programming on mobile and other presentation. If the presentation overnight courier, or by first-class or devices as part of their MVPD services. consisted in whole or in part of the overnight U.S. Postal Service mail. All This proposed rule may have an presentation of data or arguments filings must be addressed to the economic impact in some cases, and already reflected in the presenter’s Commission’s Secretary, Office of the that impact may affect small entities. written comments, memoranda, or other Secretary, Federal Communications Although the Commission has filings in the proceeding, the presenter Commission. may provide citations to such data or D considered alternatives where possible, All hand-delivered or messenger- arguments in his or her prior comments, as directed by the RFA, to minimize delivered paper filings for the memoranda, or other filings (specifying Commission’s Secretary must be economic impact on small entities, we the relevant page and/or paragraph delivered to FCC Headquarters at 445 emphasize that our action is governed numbers where such data or arguments 12th St. SW., Room TW–A325, by the congressional mandate contained can be found) in lieu of summarizing Washington, DC 20554. The filing hours in section 202 of the CVAA. them in the memorandum. Documents are 8:00 a.m. to 7:00 p.m. All hand 37. Based on these considerations, we shown or given to Commission staff deliveries must be held together with believe that, in proposing additional during ex parte meetings are deemed to rubber bands or fasteners. Any rules in the Second Further Notice, we be written ex parte presentations and envelopes and boxes must be disposed have appropriately considered both the must be filed consistent with rule of before entering the building. interests of blind or visually impaired 1.1206(b). In proceedings governed by D Commercial overnight mail (other individuals and the interests of the than U.S. Postal Service Express Mail entities who will be subject to the rules, 78 H.R. Rep. No. 111–563, 111th Cong., 2d Sess. and Priority Mail) must be sent to 9300 including those that are smaller entities, at 19 (2010); S. Rep. No. 111–386, 111th Cong., 2d East Hampton Drive, Capitol Heights, Sess. at 1 (2010). MD 20743. consistent with Congress’ goal to 79 The Paperwork Reduction Act of 1995 (PRA), D U.S. Postal Service first-class, ‘‘update the communications laws to Public Law 104–13, 109 Stat 163 (1995) (codified help ensure that individuals with in Chapter 35 of title 44 U.S.C.). Express, and Priority mail must be disabilities are able to fully utilize 80 The Small Business Paperwork Relief Act of communications services and 2002 (SBPRA), Public Law 107–198, 116 Stat 729 82 See 47 CFR 1.415, 1419. (2002) (codified in Chapter 35 of title 44 U.S.C.); see 83 See Electronic Filing of Documents in 44 U.S.C. 3506(c)(4). Rulemaking Proceedings, GC Docket No. 97–113, 77 5 U.S.C. 603(c)(1) through (c)(4). 81 47 CFR 1.1200 et seq. Report and Order, FCC 98–56, 63 FR 24121 (1998).

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addressed to 445 12th Street SW., DEPARTMENT OF COMMERCE biological catch (ABC) limit; and (2) Washington, DC 20554. limit catch, including discards, to the National Oceanic and Atmospheric 42. People with Disabilities: To level that achieves the fishing mortality Administration request materials in accessible formats that meets rebuilding requirements for people with disabilities (braille, (Frebuild), in accordance with 50 CFR Part 648 large print, electronic files, audio Amendment 16 to the Northeast format), send an email to RIN 0648–XE008 Multispecies Fishery Management Plan mailto:[email protected] or call the (FMP). We are denying the Petition for Consumer & Governmental Affairs Magnuson-Stevens Fishery Conservation and Management Act Rulemaking. The measures in Bureau at 202–418–0530 (voice), 202– Framework Adjustment 53 to the FMP 418–0432 (tty). Provisions; Fisheries of the Northeastern United States; Northeast (80 FR 25110; May 1, 2015), combined 43. Availability of Documents. Groundfish Fishery; Denial of Petition with other conservation and Comments and reply comments will be for Rulemaking for Gulf of Maine Cod management measures we implemented publically available online via ECFS.84 for the recreational fishery (80 FR These documents will also be available AGENCY: National Marine Fisheries 25160; May 1, 2015), are expected to for public inspection during regular Service (NMFS), National Oceanic and prevent catch from exceeding the ABC, business hours in the FCC Reference Atmospheric Administration (NOAA), prevent overfishing, and rebuild the Information Center, which is located in Commerce. GOM cod stock within the rebuilding Room CY–A257 at FCC Headquarters, ACTION: Notice of agency decision. period. Further, we intend to carefully 445 12th Street SW., Washington, DC monitor updated stock assessment SUMMARY: In response to the most recent 20554. The Reference Information information, which will be available stock assessment for Gulf of Maine cod, Center is open to the public Monday later this year, and will adjust measures, which indicated that the stock is at through Thursday from 8:00 a.m. to 4:30 if necessary, to address any changes to historically low abundance levels, a p.m. and Friday from 8:00 a.m. to 11:30 stock condition. We carefully group of environmental organizations a.m. considered the available information have requested that NMFS initiate and determined that all of the E. Additional Information rulemaking to make the following management measures implemented in changes: prohibit commercial and the Framework 53 final rule, along with 44. For additional information on this recreational fishing for Gulf of Maine corresponding recreational measures, proceeding, contact Maria Mullarkey, cod until the incidental fishing and our continued close monitoring of [email protected], of the Media mortality does not exceed the acceptable the stock’s condition, will provide Bureau, Policy Division, (202) 418– biological catch limit; and limit catch, sufficient protection for GOM cod to 2120. including discards, to the level that prevent overfishing and contribute to achieves the fishing mortality that meets IV. Ordering Clauses rebuilding consistent with the rebuilding requirements, in accordance requirements of the Magnuson-Stevens 45. Accordingly, it is ordered that, with Amendment 16 to the Northeast Fishery Conservation and Management pursuant to the Twenty-First Century Multispecies Fishery Management Plan. Act. These measures balance Magnuson- Communications and Video After reviewing the petition and Stevens Act objectives, including Accessibility Act of 2010, Public Law considering recent management achieving optimum yield and taking 111–260, 124 Stat. 2751, and the measures we have implemented to into account the needs of fishing authority found in Sections 4(i), 4(j), prevent overfishing of Gulf of Maine cod communities, without compromising 303, 330(b), 713, and 716 of the and promote Gulf of Maine cod conservation objectives to prevent Communications Act of 1934, as rebuilding efforts, we are denying the overfishing and rebuild the stock. In amended, 47 U.S.C. 154(i), 154(j), 303, Petition for Rulemaking request. effect, therefore, Framework 53, 330(b), 613, and 617, this Second DATES: The petition for rulemaking was combined with the other recreational Further Notice of Proposed Rulemaking denied on June 4, 2015. measures, achieves exactly what the is adopted. FOR FURTHER INFORMATION CONTACT: petition for rulemaking seeks. Moreover, William Whitmore, Fishery Policy 46. It is further ordered that the Framework 53 was developed and Analyst, phone: 978–281–9182; email: Commission’s Consumer and implemented through the preferred [email protected]. Governmental Affairs Bureau, Reference Regional Fishery Management Council Information Center, shall send a copy of SUPPLEMENTARY INFORMATION: A group of process as intended by the Magnuson- Stevens Act. Accordingly, as described this Second Further Notice of Proposed environmental organizations, including in more detail below, neither a Rulemaking in MB Docket No. 12–107, The Center for Biological Diversity, Secretarial amendment nor an including the Initial Regulatory Greenpeace, SandyHook Life emergency action is necessary or Flexibility Analysis, to the Chief Foundation, and The Turtle Island warranted to further limit GOM cod Counsel for Advocacy of the Small Restoration Network, have requested mortality at this time. Business Administration. that NMFS initiate rulemaking under the Administrative Procedure Act. The Background Federal Communications Commission. petitioners request that, because the Marlene H. Dortch, most recent stock assessment for Gulf of Petition Request Secretary. Maine (GOM) cod indicates that the In August 2014, the Northeast [FR Doc. 2015–16323 Filed 7–9–15; 8:45 am] stock is at historically low abundance Fisheries Science Center updated the BILLING CODE 6712–01–P levels, NMFS initiate rulemaking to 2012 benchmark GOM cod stock make the following changes: (1) Prohibit assessment. The assessment found that 84 Documents will generally be available commercial and recreational fishing for the GOM cod stock is overfished, electronically in ASCII, Microsoft Word, and/or GOM cod until the incidental fishing subject to overfishing, and that the Adobe Acrobat. mortality does not exceed the acceptable condition of the stock had declined

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further from the 2012 assessment that (i.e., 200 mt, the level of catch necessary economic loss or to preserve economic was used as a basis for the revised to achieve a fishing mortality equal to opportunity when the emergency results rebuilding plan established in Frebuild), and is unlikely to allow the from recent, unforeseen events or Framework 51. The 2014 assessment stock to rebuild by 2024. recently discovered circumstances. An showed historically low abundance and To remedy the situation, the interim rule allows for measures that estimated that GOM cod was at only 3 petitioners request that we prohibit reduce overfishing for a limited time. percent of its rebuilding target. In commercial and recreational fishing for The benefits of using the abbreviated response, on November 13, 2014, we GOM cod until incidental fishing rulemaking procedures associated with issued interim measures (79 FR 67362) mortality does not exceed the ABC, and emergency rulemaking and interim to limit cod mortality for the duration of limit catch, including discards, to the measures must outweigh the value of the 2014 fishing year (which ended on level that achieves a fishing mortality advance notice, public comment, and April 30, 2015). rate that meets rebuilding requirements deliberative consideration of the We received a petition for rulemaking (Frebuild). In addition, the petitioners impacts on participants to the same on March 3, 2015, largely in response to suggest that because proper accounting extent as expected under the normal the results of the most recent GOM cod for dead discards may be one reason Council and full notice-and-comment stock assessment, the interim measures that cod failed to rebuild from 2004– rulemaking process. to reduce GOM cod mortality, and the 2014, NMFS should increase observer Rulemaking is not appropriate in this Council’s recommended measures for coverage for the commercial fleet to 100 instance because it would unnecessarily long-term GOM cod protection in percent to ensure that mortality of GOM replace the measures established in Framework 53. The petitioners cod is monitored and counted toward Framework 53 and the recreational requested that NMFS initiate catch limits. measures put in place through the rulemaking to limit GOM fishing Council process. These measures Framework 53 mortality consistent with the achieve what the petition for specifications of the default ABC control While we were developing the GOM rulemaking seeks. These measures rule implemented in Amendment 16. In cod interim measures, the New England balance Magnuson-Stevens Act support of their request, the petitioners Fishery Management Council developed objectives, including achieving contend that historic overfishing and measures to end overfishing in the 2015 optimum yield and taking into account mismanagement of the GOM cod stock fishing year (beginning May 1, 2015) the needs of fishing communities, have led to declines in landings and and for long-term measures to rebuild without compromising conservation stock abundance, and resulted in the GOM cod stock, consistent with the objectives to prevent overfishing and changes to the stock’s age structure (i.e., revised rebuilding program, as part of rebuild the stock. Therefore, neither a reduced the number of big, old, fat, Framework 53. Framework 53, which Secretarial amendment nor an fertile female fish), spawning locations, was implemented May 1, 2015, includes emergency action is necessary or migratory behavior, and prey. They a 75-percent reduction to the GOM cod warranted at this time to further limit assert that because past GOM cod catch limit compared to 2014, a GOM cod mortality. assessments have consistently prohibition on recreational possession 2004 Rebuilding Plan overestimated cod spawning stock of GOM cod, and seasonal area closures biomass and underestimated fishing intended to protect spawning and We do not agree with the petitioner’s mortality, managers should consider reduce fishing mortality on GOM cod. statements that the Council- larger uncertainty buffers. Framework 53 also includes measures recommended catch levels for GOM cod The petitioners claim that the ongoing consistent with the goals of a revised 10- during the 2004 rebuilding program management regime for GOM cod has year rebuilding plan for GOM cod that were intended to maximize economic not successfully ended overfishing or was established in Framework 51 (79 FR gain at the expense of the health of the promoted rebuilding of the GOM cod 22421; April 22, 2014). The 10-year stock. A 2008 stock assessment stock, and that the management rebuilding program is intended to reviewed progress under the plan and measures proposed in Framework 53 account for past performance of concluded that the stock was not will not support rebuilding by the end groundfish rebuilding programs and overfished but overfishing was of the revised rebuilding plan deadline uncertainties in long-term catch occurring, and, based in part on a strong in 2024. Specifically, they claimed: projections by setting conservative catch 2005 year class, the stock was expected • The 2004 GOM cod rebuilding plan levels in the early years of the program. to rebuild by 2014. failed because the Council set catch This timeframe also provides flexibility We notified the Council about the limits to maximize fishing opportunity to better address the needs of fishing lack of progress under the 2004 rather than promote stock conservation, communities compared to rebuilding rebuilding plan following the 2012 and because the Council prolonged programs that target an earlier end date. GOM cod benchmark assessment. We overfishing by choosing the maximum determined that inadequate progress Basis for Denial rebuilding timeline possible. under the 2004 rebuilding plan was due • The 2014 GOM cod interim Section 304 of the Magnuson-Stevens to a revised understanding of the measures did not temporarily address Act provides the Secretary of Commerce condition of the stock since the 2008 overfishing or allow for stock with the authority to prepare and GOM cod assessment. In response to the rebuilding, and were only projected to implement a fishery management plan if new understanding of the status of the result in a 33-percent reduction in the Council fails to develop and submit GOM cod stock, we worked with the fishing mortality in spite of advice from a plan or amendment after a reasonable Council to implement measures to the Council’s Scientific and Statistical period of time that meets necessary reduce overfishing and revise the Committee (SSC) that a 75-percent conservation and management rebuilding plan as swiftly as possible reduction in fishing limits was objectives. Or, the agency may put in though a 2012 interim action, and necessary. place emergency regulations or interim Frameworks 50 and 51. These actions • The 386-mt GOM cod ABC measures to address an emergency or incorporated new information and recommended by the Council in overfishing. An emergency rulemaking lessons from past management Framework 53 is above the legal limit allows actions to prevent overfishing or approaches. Our review of the Council’s

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revised 2014 GOM cod rebuilding plan We will continue to carefully consider misreport catch. If misreporting occurs, adopted in Framework 51 indicated that management measures to promote it could reduce the accuracy of catch the Council addressed past rebuilding timely rebuilding of the GOM cod stock. apportionment. Information indicates performance and accelerated the In an effort to closely monitor stock that this incentive increases as the GOM rebuilding timeline by setting more indicators, we reviewed the recent fall cod catch limit is further reduced. To conservative catch limits in the early 2014 NEFSC bottom trawl survey help ensure correct catch apportionment portion of the rebuilding program. indices. The fall survey indicated a and compliance with the GOM cod ACL small increase compared to 2012 and adopted in Framework 53, we also 2014 Interim Action 2013; however, the general trend of implemented an additional daily We reject the petitioners claim that survey indices, as well as recruitment, reporting requirement for common pool the 2014 interim action insufficiently remains very low. While the updated and sector vessels fishing in multiple addressed the information provided in survey information may provide an broad stock areas on the same trip. This the updated assessment. One of our initial, and potentially positive, requirement is intended to help ensure primary objectives of the interim action indication of improvement, it is difficult accurate catch attribution and reduce was to reduce overfishing by reducing to anticipate the results of the full 2015 the incentive for vessels to misreport. GOM cod commercial and recreational assessment. In any event, we plan to We do not share the petitioners’ view catch. Given the mixed nature of the make necessary adjustments for the that 100-percent observer coverage is groundfish fishery and its interaction 2016 fishing year based on the necessary to monitor GOM cod fishing with other fisheries, this objective was upcoming 2015 stock assessment. mortality. Rather, we apply at-sea analyzed in the context of not closing monitoring coverage levels that we down the entire GOM, but to allow Incidental Fishing Mortality determine are necessary to monitor and some harvesting of other groundfish The petitioners request prohibiting enforce catch levels, or increase buffers stocks. We wanted to reduce GOM cod fishing mortality until incidental to account for uncertainty in catch as mortality while the Council developed mortality does not exceed the ABC. An part of the biennial quota-setting more permanent measures in ABC of 386 mt is expected to have process. We have received similar Framework 53. We determined it was substantial adverse economic impacts comments on prior groundfish unnecessary to try to prevent all fishing on groundfish vessels, and is below the rulemakings requesting high levels of mortality for the remainder of the 2014 estimate of incidental catch of GOM cod observer coverage for the commercial fishing year as the stock can rebuild that occurred in the 2013 fishing year. fishery since the implementation of even if subject to overfishing in 2014 as In the 2013 fishing year, when the ACL Amendment 16. For the most part, long as measures would be in place to was reduced by 80 percent, incidental commenters have generally asserted that prevent overfishing beginning in 2015. catch was estimated to be approximately the levels of monitoring we have Achieving zero fishing mortality would 500–600 mt. Beginning in the 2013 implemented are inadequate without have required closing all GOM fisheries, fishing year, sectors primarily used their providing any specific justification or including those that do not target GOM cod allocation to access other information to support their assertion. groundfish. The impacts of such groundfish stocks. Multiple sources of For sector trips, we have determined measures would be substantial and information indicate a marked decline that 24-percent observer coverage is impracticable. Such a closure was in directed fishing for GOM cod. With sufficient this fishing year, to the extent unwarranted to ensure effective cod an additional 75-percent reduction practicable in light of Magnuson- conservation. beginning in the 2015 fishing year, the Stevens Act requirements, to reliably incentive to target GOM cod is virtually estimate catch for purposes of Framework 53 GOM Cod ABC eliminated, and the fishery will be, in monitoring ACLs for groundfish stocks. Most recently, we considered public effect, a ‘‘bycatch-only’’ fishery. This level of coverage is achieved comment on and supporting analysis for Incidental catch is largely a function of through a combination of groundfish at- Framework 53 and the 2015 recreational the overall ACLs on other stocks. At sea monitoring coverage and observer measures, and the best scientific such a low GOM cod catch limit, fishery coverage furnished by the Northeast information available in making the operations will be greatly restricted, and Fisheries Observer Program. determination that an ABC of 386 mt in some cases eliminated. In addition, Amendment 16 specified that at-sea was appropriate and consistent with the the recreational fishery will be monitoring coverage levels should be requirements of the Magnuson-Stevens prohibited from possessing any GOM less than 100 percent, which requires Act and its National Standards. In light cod. Under this incidental catch estimations of the discard portion of of current stock conditions, the 386 mt scenario, the GOM cod ABC is expected catch and thus total catch. Amendment ABC is a 75-percent catch limit to severely restrict catch of other 16 also specified that the at-sea reduction compared to 2014, which is in groundfish stocks, particularly GOM monitoring coverage levels should addition to the 80-percent reduction haddock, pollock, redfish, and some achieve a 30-percent coefficient of implemented for the 2013–2014 fishing flatfish. Based on this information, the variation (CV). The level of observer years. In total, the GOM cod catch limit 386-mt ABC balances Magnuson- coverage, ultimately, should provide has been reduced by 95 percent over the Stevens Act requirements of confidence that the overall catch last 5 years. Further, new recreational conservation and achieving optimum estimate is sufficiently accurate to measures prohibit recreational yield. ensure that sector fishing activities are fishermen from retaining any GOM cod. consistent with National Standard 1 This is the first zero-retention Monitoring and Catch Accounting requirements to prevent overfishing prohibition on GOM cod for recreational The petitioners raised a concern that while achieving optimum yield. To that fishermen. Detailed information that inaccurate accounting for catch could end, significant additional uncertainty addresses the petitioners concerns about undermine conservation objectives for buffers are established when setting the GOM cod ABC and further justifies GOM cod. We share their concern, and ACLs that mitigate any lack of absolute our decision to approve an ABC of 386 available analyses suggest that an precision and accuracy in estimating mt can be found in the Framework 53 extremely low catch limit for GOM cod overall catch by sector vessels. final rule (see pages 25125–25127). may create an economic incentive to Collectively, the current level of sector

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observer coverage is providing more Atmospheric Administration (NOAA), Specifications Final Environmental data for quota management and Commerce. Impact Statement (Final EIS), assessment science than was available ACTION: Proposed rule; request for Supplementary Information Report (SIR) to NMFS prior to implementation of comments. to the Final EIS, and the Initial Amendment 16. Regulatory Flexibility Analysis (IRFA) On February 18, 2014, in Oceana, Inc. SUMMARY: NMFS proposes regulations to for the Gulf of Alaska Groundfish v. Pritzker, 1:13–cv–00770 (D.D.C. reduce the maximum retainable amount Harvest Specifications for 2015 and 2014), the Court upheld our use of a 30- (MRA) of skates using groundfish and 2016 (Harvest Specifications IRFA) percent CV standard to set sector halibut as basis species in the Gulf of prepared for this action are available observer coverage levels. In addition to Alaska (GOA) from 20 percent to 5 from http://www.regulations.gov or from upholding our determination of percent. Reducing skate MRAs is the NMFS Alaska Region Web site at sufficient coverage levels, the Court necessary to decrease the incentive for http://alaskafisheries.noaa.gov. noted that the current sector observer fishermen to target skates and slow the FOR FURTHER INFORMATION CONTACT: coverage is not the sole method of catch rate of skates in these fisheries. Peggy Murphy, 907–586–7228. monitoring compliance with ACLs, This proposed rule would enhance SUPPLEMENTARY INFORMATION: there are many reporting requirements conservation and management of skates that vessels adhere to, and there are and minimize skate discards in GOA Authority for Action strong incentives for vessels to report groundfish and halibut fisheries. This NMFS manages the groundfish accurately because each sector is held proposed rule is intended to promote fisheries in the exclusive economic zone jointly and severally liable for overages the goals and objectives of the of the GOA under the Fishery and misreporting of catch and bycatch. Magnuson-Stevens Fishery Management Plan for Groundfish of the Conservation and Management Act, the Conclusion Gulf of Alaska (FMP). The North Pacific Northern Pacific Halibut Act of 1982, Fishery Management Council (Council) We remain concerned about the status the Fishery Management Plan for of GOM cod, but have determined that prepared the FMP under the authority of Groundfish of the Gulf of Alaska, and the Magnuson-Stevens Fishery the current FMP, as adjusted by other applicable laws. Framework 53, along with recreational Conservation and Management Act DATES: Comments must be received no (Magnuson-Stevens Act), 16 U.S.C. 1801 measures and planned future Council later than August 10, 2015. and agency actions, provide the et seq. Regulations governing groundfish ADDRESSES: You may submit comments appropriate regulatory mechanisms for fishing in the GOA and implementing on this document, identified by NOAA– addressing the concerns regarding this the FMP appear at 50 CFR parts 600 and NMFS–2015–0015, by any of the stock that were raised in the petition for 679. The Council and NMFS manage following methods: rulemaking. We will continue to skates (Raja and Bathyraja species) as a • Electronic Submission: Submit all carefully monitor stock indicators groundfish species under the FMP. electronic public comments via the leading into the 2015 assessment to Federal e-Rulemaking Portal. Go to Background fully inform our re-evaluation of the www.regulations.gov/ NMFS proposes to modify regulations GOM cod catch limit, and the need to #!docketDetail;D=NOAA-NMFS-2015- that specify the MRA for skates in the balance conservation and management 0015, click the ‘‘Comment Now!’’ icon, GOA. An MRA is the maximum amount objectives. Therefore, we are denying complete the required fields, and enter of a species closed to directed fishing this petition; no other rulemaking is or attach your comments. (i.e., skate species) that may be retained necessary in response to the petition for • Mail: Submit written comments to onboard a vessel. MRAs are calculated rulemaking. Glenn Merrill, Assistant Regional as a percentage of the weight of catch of Authority: 16 U.S.C. 1801 et seq. Administrator, Sustainable Fisheries each groundfish species or halibut open Dated: July 6, 2015. Division, Alaska Region NMFS, Attn: to directed fishing (the basis species) Samuel D. Rauch III, Ellen Sebastian. Mail comments to P.O. that is retained onboard the vessel. Deputy Assistant Administrator for Box 21668, Juneau, AK 99802–1668. MRAs assist in limiting catch of a Regulatory Programs, National Marine Instructions: Comments sent by any species within its annual total allowable Fisheries Service. other method, to any other address or catch (TAC). Once the TAC for a species [FR Doc. 2015–16891 Filed 7–9–15; 8:45 am] individual, or received after the end of is reached, retention of that species BILLING CODE 3510–22–P the comment period, may not be becomes prohibited and all catch of that considered by NMFS. All comments species must be discarded. NMFS closes received are a part of the public record a species to directed fishing before the DEPARTMENT OF COMMERCE and will generally be posted for public entire TAC is taken to leave sufficient viewing on www.regulations.gov amounts of the TAC available for National Oceanic and Atmospheric without change. All personal identifying incidental catch. The amount of the Administration information (e.g., name, address), TAC remaining available for incidental confidential business information, or catch is managed by a species-specific 50 CFR Part 679 otherwise sensitive information MRA. MRAs are a management tool to [Docket No. 150126078–5078–01] submitted voluntarily by the sender will slow down the rate of harvest and be publicly accessible. NMFS will reduce the incentive for targeting a RIN 0648–BE85 accept anonymous comments (enter ‘‘N/ species closed to directed fishing. Fisheries of the Exclusive Economic A’’ in the required fields if you wish to NMFS has established a single MRA Zone Off Alaska; Revise Maximum remain anonymous). percentage for big skate (Raja Retainable Amounts for Skates in the Electronic copies of the draft binoculata), longnose skate (Raja rhina), Gulf of Alaska Environmental Assessment/Regulatory and for all remaining skate species Impact Review/Initial Regulatory (Bathyraja spp.). The skate MRA in the AGENCY: National Marine Fisheries Flexibility Analysis (collectively the GOA is set at 20 percent. The proposed Service (NMFS), National Oceanic and ‘‘Analysis’’), Alaska Groundfish Harvest rule would reduce the MRA for skates

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in the GOA from 20 percent to 5 individual skate species that were ability of managers to constrain catch so percent. The reduced MRA would apply inadvertently removed by a previous the annual catch limit is not exceeded, to all vessels directed fishing for rule making. and uncertainty in quantifying the true groundfish species or halibut in the The following sections describe (1) catch amount). Section 3.2.3.4.1 of the GOA. Under the proposed rule, the management of skates in the GOA and FMP requires that the TAC must be set round weight of the retained skate the fisheries that would be affected by lower than or equal to the ABC. Section species could be no more than 5 percent the rule; (2) the need for the proposed 3.2.3.4.3.2 of the FMP clarifies that of the round weight of the basis species. rule; and (3) the proposed rule. TACs can be apportioned by regulatory The Council recommended and area. There are three regulatory areas NMFS proposes to reduce the skate Management of Skates in the GOA and specified in the GOA management area: MRA to decrease the incentive for the Fisheries Affected by the Proposed Western GOA, Central GOA, and fishermen to target skates while directed Rule Eastern GOA. fishing for groundfish and halibut, and Management of Skates in the GOA Big skate and longnose skate have to slow the harvest rate of skates in GOA OFLs and ABCs defined for the GOA In the GOA, the Council and NMFS groundfish and halibut fisheries. management area. The ABCs for big manage skates as a groundfish species Information from recent years of skate skate and longnose skate are under the FMP. Management of skates catch in directed groundfish and halibut apportioned to each of the regulatory fisheries indicates that some fishermen in the GOA is described in Section 3.1.2 areas in the GOA management area have maximized their retention of skates of the Analysis. Big skate and longnose according to the proportion of the early in the year by deliberately skate are managed as single species, and biomass estimated in each regulatory targeting them while directed fishing for all other skate species are managed in area. NMFS specifies TACs for big skate other species. Over a period of years, the the ‘‘other skates’’ species group. and longnose skate for the Western TAC of big skate and longnose skate has GOA skate catches are managed GOA, Central GOA, and Eastern GOA been exceeded in the Central GOA and subject to annual limits on the amounts equal to the ABC for each of these Western GOA, respectively. In response, of each species of skate, or group of regulatory areas. All other species of NMFS has prohibited retention of skates skate species, that may be taken. The skates are assigned to the ‘‘other skates’’ earlier in the year to reduce incentives annual limits are defined in the FMP species group. The other skates species to target skates and maintain catch at or and referred to as ‘‘harvest group has an OFL and ABC, and TAC below the TACs established for skate specifications.’’ The overfishing limits specified for the GOA management area species in specific GOA regulatory (OFLs), acceptable biological catch (i.e., NMFS does not establish separate areas. A prohibition on retention results (ABCs), and TACs for skates are ABCs or TACs for the Western GOA, in mandatory discard of all skate catch specified through the annual ‘‘harvest Central GOA, and Eastern GOA). NMFS for the remainder of the year. specification process.’’ The FMP does not establish regulatory area- This proposed rule would limit the requires that the Council recommend specific ABCs or TACs for other skates amount of skates that could be retained and NMFS specify these annual limits because harvest is generally more while directed fishing for other for each species or species group of broadly dispersed throughout the entire groundfish and halibut. The proposed groundfish on an annual basis. A GOA, and they are not generally rule would slow the harvest rate of detailed description of the annual retained. All retained and discarded skates and would enhance NMFS’ harvest specification process is catch of skates accrues to the TACs, ability to limit the catch of skates to the provided in the Final EIS, the SIR, and ABCs, and OFLs specified for the skate TACs. In addition, the proposed the final 2015 and 2016 harvest species. Additional detail on skate rule is expected to minimize discards of specifications for groundfish of the GOA biomass and harvest specifications is skates by reducing the likelihood that (80 FR 10250, February 25, 2015) and is available in Section 3.1.1 and 3.1.2 of NMFS would need to prohibit retention briefly summarized here. the Analysis, respectively. of a skate species in a GOA management Section 3.2.1 of the FMP defines the NMFS ensures that OFLs, ABCs, and area during the year to maintain skate OFL as the annual amount of catch that TACs are not exceeded by requiring catch at or below its TAC. results whenever a stock or stock vessel operators participating in This proposed rule would make four complex is subjected to a level of fishing groundfish fisheries in the GOA to amendments to regulations. First, this mortality or annual total catch that comply with a range of restrictions, proposed rule would amend regulations jeopardizes the capacity of a stock or such as area, time, gear, and operation- to reduce the skate MRA for all vessels stock complex to produce maximum specific fishery closures. Regulations at fishing for groundfish and halibut in the sustainable yield on a continuing basis. § 679.20(d)(1), (d)(2), and (d)(3) describe GOA. This proposed rule would amend The OFL is the catch level above which the range of management measures that regulations that establish a skate MRA overfishing is occurring. NMFS manages NMFS uses to maintain total catch at or for all groundfish and halibut basis fisheries to ensure that no OFLs are below the TAC. species in Table 10 to 50 CFR part 679 exceeded in any year. Regulations at § 679.20(d)(1)(i) specify and for the fisheries under the Central Section 3.2.1 of the FMP defines the that NMFS may establish a directed GOA Rockfish Program in Table 30 to 50 ABC as the level of a stock or stock fishing allowance (DFA) for a species or CFR part 679. Second, this proposed complex’s annual catch that accounts species group when any allocation or rule would make minor clarifications in for the scientific uncertainty in the apportionment of a target species or MRA regulations applicable to the estimate of OFL and any other scientific species group allocated or apportioned Central GOA Rockfish Program. Third, uncertainty. The ABC is set below the to a fishery will be reached. Regulations this proposed rule would make minor OFL. at § 679.20(d)(1)(ii)(B) specify that corrections to incorrect cross references Section 3.2.1 of the FMP defines the NMFS must also consider the amount of in regulations in §§ 679.7 and 679.28. TAC as the annual catch target for a a species or species group closed to Finally, this proposed rule would revise stock or stock complex, derived from directed fishing that will be taken in Table 2a to 50 CFR part 679 by adding the ABC by considering social and directed fishing for other species when whiteblotched, Alaska, and Aleutian economic factors and management establishing a DFA. NMFS implements skates as well as the scientific names for uncertainty (i.e., uncertainty in the this provision through the annual

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harvest specifications process by species) retained onboard a vessel. For groundfish and halibut with hook-and- subtracting the estimated amount of example, a vessel operator fishing line gear. Very limited amounts of incidental catch of a species or species Pacific cod, a basis species open to skates are also caught by vessels using group taken in directed fishing for other directed fishing, may retain big, pelagic trawl, pot, and jig gear in species from the TAC of that species or longnose, and other skates in an amount directed groundfish fisheries in the species group. If an insufficient amount up to 20 percent of the round weight GOA. Section 3.1.1 of the Analysis of TAC is available for a directed fishery equivalent of Pacific cod that is onboard presents detailed information on GOA for that species or species group, NMFS the vessel at any point in time during a skate catch by species, management establishes the DFA for that species or fishing trip. area, gear, and target fishery for two species group as zero metric tons (mt) Amounts of skates onboard the vessel time periods: From 2008 through 2012, and, in accordance with that are below or equal to the MRA may and in 2013 and 2014. This information § 679.20(d)(1)(iii), prohibits directed be retained. Amounts of skates in excess is briefly summarized below. fishing for that species or species group. of the MRA must be discarded. An MRA Catch data are divided into these two Directed fishing for groundfish in the applies at all times and to all areas for periods, because the individual fishing GOA is defined at § 679.2 as any fishing the duration of a fishing trip (see quota (IFQ) halibut and small catcher activity that results in the retention of § 679.20(e)(3)). Vessel operators may vessel hook-and-line Pacific cod an amount of a species or species group retain incidental catch species while fisheries were largely unobserved before onboard a vessel that is greater than the directed fishing for other groundfish 2013. Data on the incidental catch of MRA for that species or species group. species or halibut up to the MRA skate species from these fisheries prior Therefore, when directed fishing for a percentage of the basis species retained to 2013 is limited or not available. In species or species group is prohibited, catch until the TAC for the incidental 2013, the North Pacific Groundfish retention of the species or species group catch species is met. Observer Program was restructured is limited to an MRA. These species are Regulations at § 679.20(d)(2) specify (Restructured Observer Program) and referred to as incidental catch species. that if the TAC for the incidental catch observers were deployed in the IFQ NMFS established MRAs to allow vessel species is met, NMFS will prohibit halibut fishery and on smaller vessels operators fishing for species or species retention of the incidental catch species (77 FR 70062, November 21, 2012). As groups open to directed fishing to retain for the remainder of the year. a result, new observer data on skate a specified amount of incidental catch Regulations at § 679.21(b) specify that if catch were included in NMFS’ catch species. retention of a species is prohibited, the accounting system. The improved NMFS has determined that the TACs operator of each vessel engaged in observer data since 2013, and specified for all skate species in the directed fishing for groundfish in the information on the amount of at-sea GOA are needed to support incidental GOA must return the prohibited species discards of skates from the IFQ halibut catch of skates in other groundfish and to the sea immediately, with a minimum fishery and smaller hook-and-line halibut fisheries. As a result, there are of injury, regardless of its condition. vessels, show that an increased insufficient TACs for these species to Therefore, when NMFS prohibits proportion of skate catch occurs on support directed fisheries, the DFA for retention of an incidental catch species, vessels using hook-and-line gear. skates is set to zero mt, and directed such as skates, vessel operators must Based upon NMFS’ catch accounting fishing for skates is prohibited at the discard all catch of that species. The system, big skate catch occurs primarily beginning of the fishing year. When primary purpose of requiring discards is in the Central GOA. Less than one tenth directed fishing for skates is prohibited, to remove any incentive for vessel of the catch comes from the Western the catch of skates is limited by an operators to increase incidental catch of GOA or the Eastern GOA. NMFS data MRA. the species as a portion of other show that from 2008 through 2012, an The skate MRA is specified by basis fisheries and to minimize the catch of average of 67 percent of the big skate species in Table 10 and Table 30 to 50 that species. catch was caught by vessels using non- CFR part 679. The skate MRA is not Although MRAs limit the incentive to pelagic trawl gear and 32 percent was specified by skate species. Instead, the target on an incidental catch species, caught by vessels using hook-and-line skate MRA is based on the combined fishermen can ‘‘top off’’ their retained gear. During 2013 and 2104, the round weight of all skate species groundfish and halibut catch with proportion of big skate catch by vessels retained onboard a vessel. A single MRA incidental catch species up to the using non-pelagic trawl gear decreased for all skates was established because maximum permitted under the MRA. to 54 percent, and the proportion caught fishermen and processors may have Fishermen are top-off fishing when they by vessels using hook-and-line gear difficulty identifying skate species and deliberately target and retain incidental increased to 46 percent. Big skate catch may not be able to easily determine if catch species up to the MRA instead of by vessels using non-pelagic trawl gear they have reached an MRA for a specific harvesting the species incidentally. occurs predominantly in the arrowtooth skate species. Therefore, a separate Thus, MRAs reflect a balance between flounder directed fishery. Big skate MRA for each species would be difficult NMFS’ need to limit the harvest rate of catch by vessels using hook-and-line to manage and enforce. Additional incidental catch species and minimize gear occurs predominantly in the Pacific detail on the designation of a single regulatory discards of the incidental cod and halibut directed fisheries. Less skate MRA is provided in Section 4.1 of catch species while providing fishermen than 1 percent of the big skate catch was the Analysis. an opportunity to harvest available caught by vessels using other types of Currently, the skate MRA for all basis incidental species TAC through limited gear. species in the GOA is 20 percent of the retention. The analysis indicates that basis species round weight retained congregations of big skate in the spring onboard a vessel. This means the Fisheries That Would Be Affected by the enable catcher vessel operators using maximum amount of big, longnose, and Proposed Rule non-pelagic trawl gear and hook-and- other skate species that may be retained Skates are caught in the GOA line gear to engage in top-off fishing. onboard a vessel must not exceed 20 primarily by vessels directed fishing for NMFS groundfish landings data on big percent of the round weight of other groundfish with non-pelagic trawl gear skate confirm that specific areas have groundfish species and halibut (basis and by vessels directed fishing for higher retention of big skate when

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compared to other areas (see Section TAC in the Western GOA in 2009, 2010, prohibited were a reasonable estimate of 3.1.3 of the Analysis). and 2013. The catch of other skates has the likely incidental catch rate of big Longnose skate are caught not exceeded the TACs established for skate. predominantly in the Central GOA, with the GOA management area; however, in The Analysis examined big skate more limited catch in the Eastern GOA, 2013 and 2014, the catch of other skates catch rates because they are the most and the least amount of catch in the was estimated at 93 percent and 98 abundant skates in the GOA and Western GOA. NMFS data show that percent of the 2013 and 2014 TACs, significant proportions of big skate from 2008 through 2012, an average of respectively. catches are retained compared to the 53 percent of the longnose skate catch When fishery managers estimated the catch of longnose and other skates. The was caught by vessels using hook-and- big or longnose skate TACs would be 2013 and 2014 period was selected for line gear and 44 percent was caught by exceeded, NMFS prohibited retention of analysis because NMFS prohibited vessels using non-pelagic trawl gear. big or longnose skates in the directed retention of big skates in the Central During 2013 and 2014, the proportion of fisheries for groundfish and halibut and GOA during these years, allowing a longnose skate catch by vessels using required discard of all big or longnose clear comparison of changes in catch hook-and-line gear increased to 67 skate catch for the remainder of the rates after retention was prohibited. percent, and the proportion of catch by calendar year. The earlier in the year NMFS also has more complete data on vessels using non-pelagic trawl gear that big or longnose skate retention is big skate catch rates after 2013 due to decreased to 31 percent. Longnose skate prohibited, the more regulatory discards the Restructured Observer Program. catch by vessels using hook-and-line of big or longnose skate can occur since Results from the analysis of big skate gear occurs predominantly in Pacific groundfish and halibut fisheries will harvest rates indicate that after big skate cod, halibut, and sablefish directed continue to catch these skates retention was prohibited the harvest rate fisheries. Longnose skate catch by incidentally. for big skate dropped from as much as vessels using non-pelagic trawl gear The Council determined and NMFS 8.6 percent of the total groundfish and occurs predominantly in the arrowtooth agrees that reducing the skate MRA halibut catch to a harvest rate that flounder and flatfish directed fisheries. would decrease the incentive for ranged from 6.3 percent to 0.1 percent Approximately 2 percent of the fishermen to engage in top-off fishing of the total groundfish and halibut catch longnose skate catch was caught by for skates and slow the harvest rate of depending on the year, gear type, and vessels using other types of gear. skates to levels that more accurately target fishery. These data indicate that Other skates are caught primarily in reflect the rate of incidental catch of participants in various target fisheries the Central GOA. From 2008 through skates in the directed groundfish and could avoid the incidental catch of big 2012, an average of 78 percent of the halibut fisheries in the GOA. Reducing skate when there was not an incentive other skate catch was caught by vessels the skate MRA would slow the skate to retain big skates. using hook-and-line gear, and 20 harvest rate and accrual of skate catch Second, the Analysis used a model of percent was caught by vessels using against the TAC. A slower harvest rate retained skate catch of all skate species, non-pelagic trawl gear. During 2013 and may reduce the potential that NMFS in all areas and by vessels using all gear 2014, the proportion of catch of other will have to prohibit skate retention to types under a range of hypothetical skate catch by vessels using hook-and- avoid exceeding a skate species’ TAC. In MRAs ranging from one percent to 20 line gear increased to 90 percent and the addition, a slower harvest rate could percent of the basis species. The model proportion of catch by vessels using extend skate retention throughout the allowed the Council and NMFS to non-pelagic trawl gear decreased to 10 year and result in lower regulatory compare the amount of retained skate percent. Other skate catch by vessels discards of skates. catch that would be likely under these using hook-and-line gear occurs This proposed rule would help ensure alternative MRAs (see Section 4.5.1.4 of predominantly in the Pacific cod, that skate catch in the future does not the Analysis). halibut, and sablefish directed fisheries. exceed a TAC, ABC, or OFL. The Results from the model indicate that Other skate catch by vessels using non- Council and NMFS analyzed four as the MRA becomes more restrictive, pelagic trawl gear occurs predominantly alternative MRAs to reduce the the incentive for vessel operators to in the arrowtooth and deep-water incentive for fishermen to pursue top-off engage in top-off fishing is reduced and flatfish target fisheries. Less than 1 fishing for skates and slow the rate of overall skate catch may be reduced as percent of the other skate catch was skate harvest. In addition to the status fishermen avoid areas where skates are caught by vessels using other types of quo of an MRA of 20 percent, the encountered. The model estimated that gear. Council and NMFS evaluated a reduction in the skate MRA ranging alternatives to reduce skate MRAs to 15, from 20 percent to 10 percent would Need for the Proposed Rule 10, and 5 percent. To estimate impacts have relatively limited impacts on the In December 2013, the Council of the alternative MRAs, the Analysis amount of GOA skates that are retained received public testimony that the considered two metrics. relative to the current 20 percent MRA. current MRA for skates in the GOA First, the Analysis examined the rate Therefore, NMFS expects reducing the allows fishermen to deliberately target of big skate catch relative to groundfish MRA to 15 or 10 percent would not skates while ostensibly directed fishing catch by directed fishery before and result in a significantly lower catch rate for other groundfish or halibut. This after big skate retention was prohibited of GOA skates. The model indicates that ‘‘topping-off’’ pattern of maximizing in 2013 and 2014 (see Section 4.5.1.1 of reducing the skate MRA below 10 skate catch up to the MRA limit of 20 the Analysis). The Analysis assumed percent would be expected to result in percent of the basis species onboard a that once big skate retention was more limited top-off fishing and lower vessel has increased the harvest rate of prohibited by regulation, a vessel overall catch of skates. The model skates. In recent years, skate catch has operator would not be engaging in top- indicates that a 5 percent MRA would exceeded the TAC in some areas. The off fishing for big skates if they were best ensure that NMFS did not have to estimated catch of big skate exceeded encountered while directed fishing for prohibit the retention of skates and that the TAC in the Central GOA in 2010, groundfish or halibut. Thus, the skate TACs would not be exceeded. 2011, 2012, and 2013, and the estimated Analysis assumed that the relative catch In December 2014, following public catch of longnose skates exceeded the rates of big skate after retention was comment and input from its advisory

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bodies, the Council unanimously where, from 2008 through 2014, 87 as CQ up to the MRA for that species as recommended reducing the MRA for percent to 93 percent of skates retained established in Table 30 to 50 CFR part skates from 20 percent to 5 percent for by catcher vessels were delivered. 679. This proposed rule would remove all basis species in the GOA. Overall, Kodiak accounted for between 84 the last sentence in regulations at reducing the skate MRA would percent and 91 percent of the first § 679.20(f)(2), because the sentence primarily affect vessel operators who wholesale value of shoreside skate makes an incorrect statement. The retained big skate at an amount greater processing in Alaska, which ranged heading in the last column in Table 30 than 5 percent of their basis species in between $3.2 and $5.1 million annually. correctly states that the MRA for vessels the Central GOA. Reducing the skate Skates accounted for between 0.98 fishing under the Rockfish Program is MRA to 5 percent would have the percent and 1.38 percent of the first calculated as ‘‘a percentage of total greatest effect on vessels retaining big wholesale value of production at retained rockfish primary species and skates in the Central GOA because big Kodiak. rockfish secondary species’’. This skate catches have consistently Although this proposed rule could proposed rule would correct this exceeded the big skate TAC in the limit the total amount of skates discrepancy by removing the last Central GOA, and data indicate that delivered, it is also possible that skate sentence of § 679.20(f)(2). The current vessel operators can and do engage in deliveries would continue under the 5 regulations at § 679.81(h)(4)(i) and (h)(5) topping-off for big skates. This proposed percent MRA, but would be distributed use the term ‘‘incidental catch species’’ rule would have a relatively limited throughout the year provided a TAC in the calculation of an MRA to refer to impact on vessel retention of longnose limit is not reached. Therefore, the ‘‘groundfish species not allocated as and other skates given these species impact on total landings on any cooperative quota (CQ).’’ This proposed have not been found to congregate like community may be limited. rule would add the referenced text to big skates and are not currently subject Communities in the State of Alaska § 679.81(h)(4)(i) and (h)(5) to ensure to the same patterns of top-off fishing. where skates and processed skate consistent use of terminology in the This proposed rule is not likely to have products are landed may realize lower regulations. tax revenues from the State of Alaska significant impacts on the conservation Fourth, this proposed rule would Fisheries Business Tax and Fishery or management of groundfish or halibut revise Table 2a to 50 CFR part 679 to Resource Landing Tax, but only if total in the GOA because this proposed rule add whiteblotched, Alaska, and skate landings decline. would only limit the amount of skates Aleutian skates, as well as the scientific that may be retained. Proposed Rule names for individual skate species. This proposed rule would affect all Adding these individual skate species catcher vessels and catcher/processors This proposed rule would make four and the scientific names would facilitate directed fishing for groundfish and changes to the regulations. First, this the reporting of individual skate species halibut in the GOA that may harvest any proposed rule would revise skate MRAs taken during groundfish harvest and species of skate. Section 4.6.1.1 of the in Table 10 to 50 CFR part 679, Gulf of Analysis estimates the annual revenue Alaska Retainable Percentages, and in provides more detailed information at risk for all catcher vessels and Table 30 to 50 CFR part 679, Rockfish regarding skate harvests for stock catcher/processors that could be Program Retainable Percentages. NMFS assessments and fisheries management. affected by this proposed rule at $2.4 would reduce the incidental catch This revision would support managing million. However, the impact relative to species MRAs for skates for each basis skates as a target species group or as each vessel that retains skates in the species listed in Tables 10 and 30 from individual target species. These skate GOA is quite small. Analysis of the 20 percent to 5 percent. NMFS notes the species and scientific names were added gross revenue data for vessels that basis species termed ‘‘Aggregated to Table 2a in final regulations retained GOA skates indicates that from amount of non-groundfish species’’ implementing changes to groundfish 2008 through 2013 the average includes all legally retained IFQ halibut management in the BSAI and GOA on percentage of annual gross revenue as explained in footnote 12 to Table 10. October 6, 2010 (75 FR 61639). derived from skate catch by catcher If the proposed reductions in skate Subsequent regulations published on vessels ranged between 0.7 percent and MRAs are approved, then skate MRAs July 11, 2011 (76 FR 40628), amended 1.28 percent of their total annual gross would be set equal to 5 percent in Table 2a to 50 CFR part 679 and that revenue; the average percentage of Tables 10 and 30 on the effective date revision inadvertently removed the annual gross revenue derived from skate of the final rule. skate species codes implemented on catch by catcher/processors ranged Second, this proposed rule would October 6, 2010. The proposed addition between 0.26 percent and 0.77 percent correct two regulatory cross-reference of these skate species and scientific of their total annual gross revenue (see errors. These errors resulted from names would correct this error that was Section 4.6.1.1 of the Analysis). In reorganizing and renumbering the noticed during the preparation of this general, vessels that catch and retain Federal Fisheries Permit requirements proposed rule. The proposed addition of skates show relatively little dependence in § 679.4(b) and were implemented in species codes does not change the on GOA skates for their gross revenues. a final rule published on October 21, management of skates or the other The actual impact on gross revenue for 2014 (79 FR 62885). Current regulations provisions of this proposed rule. a specific vessel may vary from year to at § 679.7(a)(18) and § 679.28(f)(6)(i) Classification year depending on the total abundance incorrectly refer to the FFP of skates, total catch of skates, market requirements at § 679.4(b)(5)(vi), a Pursuant to sections 304 (b)(1)(A) and conditions, and ex-vessel price. Section paragraph that no longer exists. This 305(d) of the Magnuson-Stevens Act, the 4.5.1.4 of the Analysis describes the proposed rule would correct those cross NMFS Assistant Administrator has effect of the 5 percent MRA on specific references to § 679.4(b). determined that this proposed rule is vessel operations in greater detail. Third, this proposed rule would consistent with the FMP, other The impact of this proposed rule on modify regulatory text to clarify that a provisions of the Magnuson-Stevens communities is discussed in Section vessel fishing under a Rockfish Program Act, and other applicable law, subject to 4.6.2 of the Analysis. Impacts would be cooperative quota (CQ) permit may further consideration after public most pronounced on Kodiak, AK, harvest groundfish species not allocated comment.

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This proposed rule has been An IRFA should include a description (VMS) and complies with the determined to be not significant for of any significant alternatives to the requirements in § 679.28(f). purposes of Executive Order 12866. proposed rule that accomplish the * * * * * stated objectives, are consistent with Initial Regulatory Flexibility Analysis ■ 3. In § 679.20, revise paragraph (f)(2) applicable statutes, and that would to read as follows: NMFS prepared an Initial Regulatory minimize the significant economic Flexibility Analysis (IRFA) as required impact of the proposed rule on small § 679.20 General limitations. by section 603 of the Regulatory entities. * * * * * Flexibility Act (RFA). The IRFA The Council and NMFS considered (f) * * * describes the economic impact this four alternatives in the development of (2) Retainable amounts. Any proposed rule, if adopted, would have this proposed rule. This proposed rule groundfish species for which directed on small entities. A copy of the Analysis would implement Alternative 4, a 5 fishing is closed may not be used to is available from NMFS (see percent skate MRA. The significant calculate retainable amounts of other ADDRESSES). A summary of the IRFA alternatives to this proposed rule are groundfish species. Only fish harvested follows. A description of the proposed Alternatives 1, 2, and 3, a 20 percent, 15 under the CDQ Program may be used to rule, why it is being considered, and the percent, and 10 percent skate MRA, calculate retainable amounts of other legal basis for this proposed rule are respectively. As discussed in Section CDQ species. contained elsewhere in the preamble, 4.7 and 4.8 of the Analysis, these * * * * * and are not repeated here. proposed alternatives are not expected ■ This proposed rule, a reduction in 4. In § 679.28, revise paragraph to reduce the incentive for fishermen to (f)(6)(i) to read as follows: GOA skate MRAs, directly regulates all target and retain skates and thus, would entities fishing for groundfish and not accomplish the objectives of this § 679.28 Equipment and operational halibut in the GOA that have the proposed rule—to slow the harvest rate requirements. potential to catch any species of skate. of skates that may be incidentally * * * * * These entities operate vessels that are retained to ensure that the TACs for (f) * * * directly regulated by the GOA skate species are not exceeded. The (6) * * * groundfish harvest specifications. Analysis did not identify any other (i) You operate a vessel in any On June 12, 2014, the Small Business alternatives that would more effectively reporting area (see definitions at § 679.2) Administration issued an interim final meet the RFA criteria to minimize off Alaska while any fishery requiring rule revising the small business size adverse economic impacts on directly VMS, for which the vessel has a species standards for several industries effective regulated small entities. and gear endorsement on its Federal July 14, 2014 (79 FR 33647, June 12, Fisheries Permit under § 679.4(b), is 2014). The rule increased the size List of Subjects in 50 CFR Part 679 open. standard for Finfish Fishing from $19.0 Alaska, Fisheries. million to $20.5 million. The new size * * * * * Dated: July 7, 2015. ■ standards were used to prepare the 5. In § 679.81, revise paragraphs IRFA for this proposed rule. Samuel D. Rauch III, (h)(4)(i) and (h)(5) introductory text to The IRFA estimates that this proposed Deputy Assistant Administrator for read as follows: Regulatory Programs, National Marine rule would directly regulate 1,153 small § 679.81 Rockfish Program annual entities. Of these small entities, the Fisheries Service. For the reasons set out in the harvester privileges. IRFA estimates that this proposed rule * * * * * would directly regulate 1,073 small preamble, NMFS proposes to amend 50 CFR part 679 as follows: (h) * * * catcher vessels fishing with hook-and- (4) * * * line gear (including jig gear), 116 small PART 679—FISHERIES OF THE (i) The MRA for groundfish species catcher vessels fishing with pot gear, EXCLUSIVE ECONOMIC ZONE OFF not allocated as CQ (incidental catch and 32 small catcher vessels fishing ALASKA species) for vessels fishing under the with trawl gear. In addition, this authority of a CQ permit is calculated as ■ proposed rule would directly regulate 2 1. The authority citation for part 679 a proportion of the total allocated small catcher/processors fishing with continues to read as follows: rockfish primary species and rockfish hook-and-line gear, and one small Authority: 16 U.S.C. 773 et seq.; 1801 et secondary species on board the vessel in catcher/processor fishing with trawl seq.; 3631 et seq.; Pub. L. 108–447; Pub. L. round weight equivalents using the gear. Specific revenue data for these 111–281. retainable percentage in Table 30 to this small catcher/processors are ■ 2. In § 679.7, revise paragraph (a)(18) part; except that— confidential but are less than $20.5 to read as follows: million annually. The IRFA estimates * * * * * that the average gross revenues for 2013 § 679.7 Prohibitions. (5) Maximum retainable amount (the most recent year of complete * * * * * (MRA) calculation and limits—catcher/ revenue data) are $380,000 for small (a) * * * processor vessels. The MRA for hook-and-line catcher vessels, $960,000 (18) Pollock, Pacific Cod, and Atka groundfish species not allocated as CQ for small pot catcher vessels, and $2.8 Mackerel Directed Fishing and VMS. (incidental catch species) for vessels million for small trawl catcher vessels. Operate a vessel in any Federal fishing under the authority of a CQ This proposed rule does not create reporting area when a vessel is permit is calculated as a proportion of new recordkeeping and reporting authorized under § 679.4(b) to the total allocated rockfish primary requirements, or alter existing participate in the Atka mackerel, Pacific species and rockfish secondary species requirements. cod, or pollock directed fisheries and on board the vessel in round weight The IRFA prepared for this proposed the vessel’s authorized species and gear equivalents using the retainable rule has not identified Federal rules that type is open to directed fishing, unless percentage in Table 30 to this part as duplicate, overlap, or conflict with the the vessel carries an operable NMFS- determined under § 679.20(e)(3)(iv). preferred alternative (a 5 percent MRA). approved Vessel Monitoring System * * * * *

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■ 6. Revise Table 2a to part 679 to read TABLE 2ATOPART 679—SPECIES TABLE 2ATOPART 679—SPECIES as follows: CODES: FMP GROUNDFISH—Contin- CODES: FMP GROUNDFISH—Contin- ued ued TABLE 2ATOPART 679—SPECIES CODES: FMP GROUNDFISH Species description Code Species description Code

Species description Code Northern (S. polyspinis) ...... 136 Pacific sleeper ...... 692 Pacific Ocean Perch (S. alutus) ..... 141 Salmon ...... 690 Atka mackerel (greenling) ...... 193 Pygmy (S. wilsoni) ...... 179 Spiny dogfish ...... 691 Flatfish, miscellaneous (flatfish spe- Quillback (S. maliger) ...... 147 SKATES: cies without separate codes) ...... 120 Redbanded (S. babcocki) ...... 153 Whiteblotched (Bathyraja maculata) 705 FLOUNDER: Redstripe (S. proriger) ...... 158 Aleutian (B. aleutica) ...... 704 Alaska plaice ...... 133 Rosethorn (S. helvomaculatus) ...... 150 Alaska (B. parmifera) ...... 703 Arrowtooth ...... 121 Rougheye (S. aleutianus) ...... 151 Big (Raja binoculata) ...... 702 Bering ...... 116 Sharpchin (S. zacentrus) ...... 166 Longnose (R. rhina) ...... 701 Kamchatka ...... 117 Shortbelly (S. jordani) ...... 181 Other (if Whiteblotched, Aleutian, Starry ...... 129 Shortraker (S. borealis) ...... 152 Alaska, Big or Longnose skate— Octopus, North Pacific ...... 870 Silvergray (S. brevispinis) ...... 157 use specific species code listed Pacific cod ...... 110 Splitnose (S. diploproa) ...... 182 above) ...... 700 Pollock ...... 270 Stripetail (S. saxicola) ...... 183 SOLE: ROCKFISH: Thornyhead (all Sebastolobus spe- Butter ...... 126 Aurora (Sebastes aurora) ...... 185 cies) ...... 143 Dover ...... 124 Black (BSAI) (S. melanops) ...... 142 Tiger (S. nigrocinctus) ...... 148 English ...... 128 Blackgill (S. melanostomus) ...... 177 Vermilion (S. miniatus) ...... 184 Flathead ...... 122 Blue (BSAI) (S. mystinus) ...... 167 Widow (S. entomelas) ...... 156 Petrale ...... 131 Bocaccio (S. paucispinis) ...... 137 Yelloweye (S. ruberrimus) ...... 145 Rex ...... 125 Canary (S. pinniger) ...... 146 Yellowmouth (S. reedi) ...... 175 Rock ...... 123 Chilipepper (S. goodei) ...... 178 Yellowtail (S. flavidus) ...... 155 Sand ...... 132 China (S. nebulosus) ...... 149 Sablefish (blackcod) ...... 710 Yellowfin ...... 127 Copper (S. caurinus) ...... 138 Sculpins ...... 160 Squid, majestic ...... 875 Darkblotched (S. crameri) ...... 159 SHARKS: Turbot, Greenland ...... 134 Dusky (S. variabilis) ...... 172 Other (if salmon, spiny dogfish or Greenstriped (S. elongatus) ...... 135 Pacific sleeper shark—use spe- ■ 7. Revise Table 10 to part 679 to read Harlequin (S. variegatus) ...... 176 cific species code) ...... 689 as follows:

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VerDate Sep<11>2014 17:25 Jul 09, 2015 Jkt 235001 PO 00000 Frm 00023 Fmt 4702 Sfmt 4725 E:\FR\FM\10JYP1.SGM 10JYP1 mstockstill on DSK4VPTVN1PROD with PROPOSALS EP10JY15.009 39742 Federal Register / Vol. 80, No. 132 / Friday, July 10, 2015 / Proposed Rules percentage percentage (yelloweye) (silvergrey) numerical (splitnose) (vermilion) a (stripetail) numerical (yellowtail) 679.20(i)). (northern) a (yellowmouth) with Squid and§ with I ruberrimus brevi~pinis diploproa saxicola miniarus reedi flavidus S. S. S. S. S. S. S. polvspinis marked S. marked Rockfish 679.7(b)(4) § species species flounder includes rockfish those also those for Aggregated shelf rockfish (SEO)(see for arrowtooth rockfish under or Slope Sharks category I District demersal (ERA). category sole, Slope and included Area rex (rosethorn) separate Outside is only, a separate (tiger) sole, a is (harlequin) (widow) rockfish rockfish (sharpchin) is (redbanded) (redstripe) (pygmy) (quillback) GOA (shortbelly) SR/RE in: Regulatory sole SouUteast of slope slope SR/RE DSR flathead Eastern entomelas zacentrus wilsoni malizer nigrocinctus variegates hahcocki helvomaculatus prori~er jordani inlhe except Eastern means means Octopus S. S. S. S. S. S. where where S. S. S. S. the deep-sea flatfish, the percentage In 679.2 and in rockfish at~ shelf turbot, deep-water retainable rockfish Area 151) (152) Area Area ( defined District District the (blackgill) as (bocaccio) District (china) (greenstriped) (dusky) Greenland including (copper) (canary) rockfish (darkblotch) =Demersal rockfish Outside Outside (aurora) (chilipepper) Regulatory not Rcgulatorv Regulatory indicated, rockfish sole, Yakutat not crameri caurinus elongatus paucispinis pinnizer melanoswmus nebulosus variabilis aurora ~oodei is Central Southeast Southeast Shorlraker Shortraker/rougheye Sculpins Western West S. S. S. S. S. Rougheye Flatfish Means Dover DSR-SEO Eastern S. S. S. S. S. 679 rockfish ERA percentage Part flatfish to rockfish rockfish flatfish SR/RE SR/RE 10 shelf (DSR) shelf numerical rockfish species Table to Shortraker/rougheye Shallow-water rockfish Aggregated Where Other Other Pelagic Demersal Deep-water l 3 5 8 Notes 4 2 7 6

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■ 8. Revise Table 30 to part 679 to read as follows:

TABLE 30 TO PART 679—ROCKFISH PROGRAM RETAINABLE PERCENTAGES [In round wt. equivalent]

MRA as a percentage of total retained rockfish Fishery Incidental catch species Sector primary species and rockfish secondary species

Rockfish Cooperative Vessels fishing under a Pacific cod ...... Catcher/Processor ...... 4.0 CQ permit. Shortraker/Rougheye ag- Catcher Vessel ...... 2.0 gregate catch.

See rockfish non-allocated species for ‘‘other species’’

Rockfish non-allocated Species for Rockfish Co- Pollock ...... Catcher/Processor and Catcher Vessel ...... 20.0 operative vessels fishing under a Rockfish CQ Deep-water flatfish ...... Catcher/Processor and Catcher Vessel ...... 20.0 permit. Rex sole ...... Catcher/Processor and Catcher Vessel ...... 20.0 Flathead sole ...... Catcher/Processor and Catcher Vessel ...... 20.0 Shallow-water flatfish ...... Catcher/Processor and Catcher Vessel ...... 20.0 Arrowtooth flounder ...... Catcher/Processor and Catcher Vessel ...... 35.0 Other rockfish ...... Catcher/Processor and Catcher Vessel ...... 15.0 Atka mackerel ...... Catcher/Processor and Catcher Vessel ...... 20.0 Aggregated forage fish ... Catcher/Processor and Catcher Vessel ...... 2.0 Skates ...... Catcher/Processor and Catcher Vessel ...... 5.0 Other species ...... Catcher/Processor and Catcher Vessel ...... 20.0

Longline gear Rockfish Entry Level Fishery ...... See Table 10 to this part. Opt-out vessels ...... See Table 10 to this part. Rockfish Cooperative Vessels not fishing under See Table 10 to this part. a CQ permit.

[FR Doc. 2015–16935 Filed 7–9–15; 8:45 am] BILLING CODE 3510–22–P

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Notices Federal Register Vol. 80, No. 132

Friday, July 10, 2015

This section of the FEDERAL REGISTER of advising the Secretary regarding the DEPARTMENT OF AGRICULTURE contains documents other than rules or establishment of quality and handling proposed rules that are applicable to the standards for all domestic and imported Agricultural Marketing Service public. Notices of hearings and investigations, peanuts marketed in the United States. [Document No. AMS–ST–15–0024] committee meetings, agency decisions and The 2002 Farm Bill provides that the rulings, delegations of authority, filing of Board’s makeup will include three petitions and applications and agency Plant Variety Protection Board; Open statements of organization and functions are producers and three peanut industry Teleconference Meeting examples of documents appearing in this representatives from states specified in AGENCY: Agricultural Marketing Service, section. each of the following producing regions: Southeast (Alabama, Georgia, and USDA. Florida); Southwest (Texas, Oklahoma, ACTION: Notice of meeting. and New Mexico); and Virginia/Carolina DEPARTMENT OF AGRICULTURE SUMMARY: Pursuant to the Federal (Virginia and North Carolina). Agricultural Marketing Service The term ‘‘peanut industry Advisory Committee Act (FACA), the representatives’’ includes, but is not Agricultural Marketing Service (AMS) is [Doc. No. AMS–FV–15–0025; FV15–996–1] limited to, representatives of shellers, announcing a meeting of the Plant Variety Protection Board (Board). The Peanut Standards Board manufacturers, buying points, and marketing associations and marketing meeting is being held to discuss a AGENCY: Agricultural Marketing Service, cooperatives. The 2002 Farm Bill variety of topics including, but not USDA. exempted the appointment of the Board limited to, work and outreach plans, ACTION: Notice; request for nominations. from the requirements of the Federal subcommittee activities, and proposals Advisory Committee Act. for procedure changes. The meeting is SUMMARY: The Farm Security and Rural USDA invites individuals, open to the public. This notice sets forth Investment Act of 2002 (2002 Farm Bill) organizations, and groups affiliated with the schedule and location for the requires the Secretary of Agriculture to the categories listed above to nominate meeting. establish a Peanut Standards Board individuals for membership on the DATES: Thursday, August 6, 2015, from (Board) for the purpose of advising the Board. Nominees sought by this action 10:00 a.m. to 12:00 p.m. Secretary on quality and handling would fill two positions in the ADDRESSES: The Board meeting will be standards for domestically produced Southeast region, two positions in the held at the United States Department of and imported peanuts. The initial Board Southwest region, and two positions in Agriculture, Room 3543, South was appointed by the Secretary and the Virginia/North Carolina region. Building, 1400 Independence Avenue announced on December 5, 2002. USDA Nominees should complete a Peanut SW., Washington, DC 20250. seeks nominations for individuals to be Standards Board Background FOR FURTHER INFORMATION CONTACT: considered for selection as Board Information form and submit it to Jennie Maria Pratt, Program Analyst, U.S. members for a term of office ending June Varela at the address provided in the Department of Agriculture (USDA), 30, 2018. Selected nominees would ‘‘Addresses’’ section above. Copies of AMS, Science and Technology replace three producers and three this form may be obtained at the Programs, 1400 Independence Avenue industry representatives who currently internet site http://www.ams.usda.gov/ SW., Washington, DC 20250. Telephone: serve on the Board and have terms of PeanutStandardsBoard, or from the (202) 720–1104; Fax: (202) 260–8976, or office that end on June 30, 2015. The Southeast Marketing Field Office. USDA Email: [email protected]. Board consists of 18 members seeks a diverse group of members to representing producers and the represent the peanut industry. SUPPLEMENTARY INFORMATION: Pursuant industry. In an effort to obtain diversity Equal opportunity practices will be to the provisions of section 10(a) of the among candidates, USDA encourages followed in all appointments to the FACA (5 U.S.C., Appendix 2), this the nomination of men and women of Board in accordance with USDA notice informs the public that the Plant all racial and ethnic groups and persons policies. To ensure that the Variety Protection Office (PVPO) is with a disability. recommendations of the Board have having a Board meeting earlier than the 15 day requirement of the FACA. The DATES: Written nominations must be taken into account the needs of the Plant Variety Protection Act (PVPA) (7 received on or before August 24, 2015. diverse groups within the peanut industry, membership shall include, to U.S.C. 2321 et seq.) provides legal ADDRESSES: Nominations should be sent the extent practicable, individuals with protection in the form of intellectual to Jennie M. Varela of the Southeast demonstrated abilities to represent property rights to developers of new Marketing Field Office, Marketing Order minorities, women, persons with varieties of plants, which are and Agreement Division, Fruit and disabilities, and limited resource reproduced sexually by seed or are Vegetable Program, AMS, USDA, 1124 agriculture producers. tuber-propagated. A Certificate of Plant 1st Street South, Winter Haven, FL Variety Protection (PVP) is awarded to Authority: 7 U.S.C. 7958. 33880; Telephone: (863) 324–3375; Fax: an owner of a crop variety after an (863) 291–8614; Email: Jennie.Varela@ Dated: July 7, 2015. examination shows that it is new, ams.usda.gov. Rex A. Barnes, distinct from other varieties, genetically SUPPLEMENTARY INFORMATION: Section Associate Administrator, Agricultural uniform and stable through successive 1308 of the 2002 Farm Bill requires the Marketing Service. generations. The term of protection is 20 Secretary of Agriculture to establish and [FR Doc. 2015–16899 Filed 7–9–15; 8:45 am] years for most crops and 25 years for consult with the Board for the purpose BILLING CODE 3410–02–P trees, shrubs, and vines. The PVPA also

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provides for a statutory Board (7 U.S.C. DEPARTMENT OF AGRICULTURE communication of program information 2327). The PVPA Board is composed of (Braille, large print, audiotape, etc.) 14 individuals who are experts in Rural Business-Cooperative Service should contact USDA’s TARGET Center various areas of development and at (202) 720–2600 (voice and TDD). National Stakeholder Forum— represent the private or seed industry SUPPLEMENTARY INFORMATION: Section Biorefinery, Renewable Chemical, and sector, academia and government. The 9003 of the 2008 Farm Bill authorized Biobased Product Manufacturing the Agency to provide loan guarantees duties of the Board are to: (1) Advise the Assistance Program Secretary concerning the adoption of for the construction of advanced biofuel rules and regulations to facilitate the AGENCY: Rural Business-Cooperative biorefineries under the Biorefinery proper administration of the PVPA; (2) Service, USDA. Assistance Program (often referred to as provide advisory counsel to the ACTION: Notice of a public meeting. the Section 9003 Program). The 2014 Secretary on appeals concerning Farm Bill modified the provisions SUMMARY: The Rural Business- associated with the Section 9003 decisions on applications by the PVP Cooperative Service (RBS), an Agency Program. In response to the 2014 Farm Office and on requests for emergency within USDA Rural Development, is Bill, the Agency published a new public-interest compulsory licenses; and holding a forum to introduce the new interim rule for the program, now (3) advise the Secretary on any other ‘‘Biorefinery, Renewable Chemical, and entitled the Biorefinery, Renewable matters under the Regulations and Rules Biobased Product Manufacturing Chemical, and Biobased Product of Practice and on all questions under Assistance Program’’ (Section 9003 Manufacturing Assistance Program. This Section 44 of the PVPA, ‘‘Public Interest Program), formerly the Biorefinery interim final rule was published in the in Wide Usage’’ (7 U.S.C. 2404). Assistance Program (BAP), as found in Federal Register on June 24, 2015 The purpose of the meeting will be to the new regulation and the Notice of (https://www.federalregister.gov/ discuss the PVPO’s 2015 achievements, Solicitation of Applications (NOSA). articles/2015/06/24/2015–14989/ the electronic application system, the Major changes to the Section 9003 biorefinery-renewable-chemical-and- reports of the subcommittees to change Program include the addition of biobased-product-manufacturing- PVP forms and to evaluate molecular renewable chemicals and biobased assistance-program). In order to familiarize the public with techniques for PVP distinctness product manufacturing to the program the new Section 9003 Program rule, characterization, and PVP cooperation area and a two-phase application representatives from the U.S. with other countries. process to streamline the application process and limit the expense to Department of Agriculture (USDA) are Agenda Items: The agenda will applicants. conducting this National Stakeholder include, welcome and introductions, Speakers from the Agency will Forum. Discussion points will include discussions on program activities that discuss the changes to the 9003 Program the expansion of the program to include encourage the development of new in order to educate applicants on renewable chemicals and biobased plant varieties and also address appeals changes to program eligibility and the product manufacturing and the new to the Secretary. There will be new application process. The National two-phase application process. presentations on 2015 Stakeholder Forum can be attended via Participants will be afforded the accomplishments, the electronic PVP webinar or in person. opportunity to ask questions on the application system, proposed changes to DATES: material in the presentation through the PVP forms, the use of molecular markers National Stakeholder Forum: The webinar software or in person. for PVP applications, and PVP National Stakeholder Forum will be Date: July 16, 2015. Time: 12:30 p.m.–2:30 p.m., Eastern cooperation with other countries. The held on Thursday, July 16, 2015, from 12:30 p.m. to 2:30 p.m. Eastern Daylight Daylight Time. meeting will be open to the public. Location information: USDA Whitten Those wishing to participate are Time. Registration: It is requested that you Building, 1400 Jefferson Drive SW., encouraged to pre-register by July 30, Room 107–A, Washington, DC 20250. 2015 by contacting Maria Pratt, Program register by 12 p.m. Eastern Daylight Analyst; Telephone: (202) 720–1104; Time July 14, 2015, to attend the forum Instructions for Attending the Meeting Email: [email protected]. in person. See the Instructions for Space for attendance at the meeting is Attending the Meeting section of this Meeting Accommodation: If you need limited. Due to USDA headquarters notice for additional information. If you security and space requirements, all a reasonable accommodation to wish to participate via webinar, you participate in this public meeting, persons wishing to attend the forum in must register for the webinar at http:// person must send an email to please notify Maria Pratt at: Email: www.webcaster4.com/Webcast/Page/ [email protected] by 12 [email protected] or (202) 720– 789/9401 prior to or during the webinar. p.m. Eastern Daylight Time July 14, 1104. Determinations for reasonable ADDRESSES: The National Stakeholder 2015, to register the names of those accommodation will be made on a case- Forum will take place in Room 107–A planning to attend. Registrations will be by-case basis. Minutes of the meeting of the Whitten Building on 1400 accepted until maximum room capacity will be available for public review 30 Jefferson Drive SW., located between is reached. Seating will be available on days following the meeting at the 12th and 14th streets SW., in a first come, first serve basis. internet Web site http://www.ams.usda. Washington DC 20250. To register, provide the following gov/PVPO. FOR FURTHER INFORMATION CONTACT: information: Dated: July 7, 2015. Todd Hubbell, Rural Business- • First and Last Names Cooperative Service, Room 6865, 1400 • Rex A. Barnes, Organization Independence Avenue SW., • Title Associate Administrator, Agricultural Washington, DC 20250, Telephone: • Email Marketing Service. (202) 690–2516. Email: Todd.Hubbell@ • City, State [FR Doc. 2015–16900 Filed 7–9–15; 8:45 am] wdc.usda.gov. Persons with disabilities Upon arrival at the USDA Whitten BILLING CODE 3410–02–P who require alternative means for Building, registered persons must

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provide valid photo identification in ACTION: Announcement of meeting. Discuss plan for public meeting on order to enter the building; visitors need police and community relations SUMMARY: Notice is hereby given, to enter the Whitten Building on the Open Comment Adjournment mall side. Please allow extra time to get pursuant to the provisions of the rules through security. and regulations of the U.S. Commission DATES: Wednesday, July 29, 2015 from on Civil Rights (Commission) and the 3 p.m. to 4:30 p.m. PST USDA Non-Discrimination Statement Federal Advisory Committee Act ADDRESSES: The U.S. Department of Agriculture (FACA) that a meeting of the Arizona Chicanos por la Causa, 1242 (USDA) prohibits discrimination in all Advisory Committee (Committee) to the E. Washington Street, Suite 200, its programs and activities on the basis Commission will be held on Phoenix, AZ 85034 of race, color, national origin, age, Wednesday, July 29, 2015. The meeting FOR FURTHER INFORMATION CONTACT: disability, and where applicable, sex, has two purposes: (1) To receive and Peter Minarik, DFO, at (213) 894–3437 marital status, familial status, parental discuss a recommendation from the or [email protected]. status, religion, sexual orientation, education sub-committee regarding genetic information, political beliefs, Committee findings on equity in school Dated: July 7, 2015. reprisal, or because of all or part of an spending, and (2) discuss and plan the David Mussatt, individual’s income is derived from any Committee’s public meeting on police Chief, Regional Programs Coordination Unit. public assistance program. (Not all and community relations. The meeting [FR Doc. 2015–16864 Filed 7–9–15; 8:45 am] prohibited bases apply to all programs.) will be held at Chicanos por la Causa, BILLING CODE 6335–01–P If you wish to file a Civil Rights 1242 E. Washington Street, Suite 200, program complaint of discrimination, Phoenix, AZ 85034. It is scheduled to complete the USDA Program begin at 3:00 p.m. and adjourn at Discrimination Complaint Form, found approximately 4:30 p.m. DEPARTMENT OF COMMERCE online at http://www.ascr.usda.gov/ Members of the public are entitled to complaint_filing_cust.html, or at any make comments in the open period at Foreign-Trade Zones Board USDA office, or call (866) 632–9992 to the end of the meeting. Members of the request the form. You may also write a public may also submit written [S–59–2015] letter containing all of the information comments. The comments must be requested in the form. Send your received in the Western Regional Office Approval of Subzone Status, Syngenta completed complaint form or letter to us of the Commission by July 30, 2015. The Crop Protection LLC, St. Gabriel and by mail at U.S. Department of address is Western Regional Office, U.S. Baton Rouge, Louisiana Agriculture, Director, Office of Commission on Civil Rights, 300 N. Los Adjudication, 1400 Independence Angeles Street, Suite 2010, Los Angeles, On April 27, 2015, the Executive Avenue SW., Washington, DC 20250– CA 90012. Persons wishing to email Secretary of the Foreign-Trade Zones 9410, by fax (202) 690–7442 or email at their comments may do so by sending (FTZ) Board docketed an application [email protected]. them to Angelica Trevino, Civil Rights submitted by the Greater Baton Rouge Individuals who are deaf, hard of Analyst, Western Regional Office, at hearing, or have speech disabilities and Port Commission, grantee of FTZ 154, [email protected]. Persons who desire requesting subzone status subject to the you wish to file a program complaint additional information should contact please contact USDA through the existing activation limit of FTZ 154 on the Western Regional Office, at (213) behalf of Syngenta Crop Protection LLC Federal Relay Service at (800) 877–8339 894–3437, (or for hearing impaired TDD in St. Gabriel and Baton Rouge, or (800) 845–6136 (in Spanish). 913–551–1414), or by email to atrevino@ Persons with disabilities who wish to Louisiana. file a program complaint, please see usccr.gov. Hearing-impaired persons who will attend the meeting and require The application was processed in information above on how to contact us accordance with the FTZ Act and by mail directly or by email. If you the services of a sign language Regulations, including notice in the require alternative means of interpreter should contact the Regional communication for program information Office at least ten (10) working days Federal Register inviting public (e.g., Braille, large print, audiotape, etc.) before the scheduled date of the comment (80 FR 24896, 5/1/2015). The please contact USDA’s TARGET Center meeting. FTZ staff examiner reviewed the at (202) 720–2600 (voice and TDD). Records and documents discussed application and determined that it during the meeting will be available for meets the criteria for approval. Dated: July 2, 2015. public viewing prior to and after the Samuel Rikkers, Pursuant to the authority delegated to meeting at http://facadatabase.gov/ the FTZ Board’s Executive Secretary (15 Acting Administrator, Rural Business- committee/meetings.aspx?cid=235 and CFR Sec. 400.36(f)), the application to Cooperative Service. clicking on the ‘‘Meeting Details’’ and establish Subzone 154B is approved, [FR Doc. 2015–16757 Filed 7–9–15; 8:45 am] ‘‘Documents’’ links. Records generated subject to the FTZ Act and the Board’s BILLING CODE 3410–XX–P from this meeting may also be inspected and reproduced at the Western Regional regulations, including Section 400.13, Office, as they become available, both and further subject to FTZ 154’s 2,000- COMMISSION ON CIVIL RIGHTS before and after the meeting. Persons acre activation limit. interested in the work of this Committee Notice of Public Meeting of the Arizona Dated: July 6, 2015. are directed to the Commission’s Web Advisory Committee To Discuss Andrew McGilvray, site, http://www.usccr.gov, or may Findings Regarding Equity in School Executive Secretary. contact the Western Regional Office at Funding and Plan Police Community [FR Doc. 2015–16928 Filed 7–9–15; 8:45 am] the above email or street address. Relations Public Meeting AGENDA: BILLING CODE 3510–DS–P AGENCY: U.S. Commission on Civil Discuss Committee findings on equity in Rights. public school funding

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DEPARTMENT OF COMMERCE The Department received no substantive Final Results of Sunset Review response from any respondent Pursuant to sections 752(c)(1) and (3) International Trade Administration interested parties. As a result, the of the Act, we determine that revocation [A–570–891] Department conducted an expedited, of the antidumping duty order on hand i.e., 120-day, sunset review of this order trucks from the PRC would be likely to Hand Trucks and Certain Parts Thereof pursuant to section 751(c)(3)(B) of the lead to continuation or recurrence of From the People’s Republic of China: Act and 19 CFR 351.218(e)(1)(ii)(C)(2). dumping at weighted-average margins Final Results of the Expedited Second up to 383.60 percent. Sunset Review of the Antidumping Scope of the Order Notification to Interested Parties Duty Order The merchandise subject to the order This notice serves as the only AGENCY: Enforcement and Compliance, consists of hand trucks manufactured reminder to parties subject to International Trade Administration, from any material, whether assembled administrative protective order (APO) of Department of Commerce. or unassembled, complete or their responsibility concerning the DATES: Effective Date: July 10, 2015. incomplete, suitable for any use, and certain parts thereof, namely the vertical disposition of proprietary information SUMMARY: As a result of this sunset disclosed under APO in accordance frame, the handling area and the review, the Department of Commerce with 19 CFR 351.305(a). Timely written projecting edges or toe plate, and any (Department) finds that revocation of notification of the destruction of APO combination thereof. They are typically the antidumping duty order on hand materials or conversion to judicial trucks and certain parts thereof (hand imported under heading 8716.80.50.10 protective order is hereby requested. trucks) from the People’s Republic of of the Harmonized Tariff Schedule of Failure to comply with the regulations China (PRC) would be likely to lead to the United States (HTSUS), although and terms of an APO is a violation continuation or recurrence of dumping. they may also be imported under which is subject to sanction. The magnitude of the dumping margins heading 8716.80.50.90 and The Department is issuing and likely to prevail is indicated in the 8716.90.50.60. Although the HTSUS publishing these final results and notice ‘‘Final Results of Sunset Review’’ subheadings are provided for in accordance with sections 751(c), section of this notice. convenience and customs purposes, the 752(c), and 777(i)(1) of the Act and 19 FOR FURTHER INFORMATION CONTACT: written product description is CFR 351.218. dispositive. A full description of the Jacqueline Arrowsmith, AD/CVD Dated: June 30, 2015. Operations, Office VII, Enforcement and scope of the order is contained in the Paul Piquado, Compliance, U.S. Department of ‘‘Issues and Decision Memorandum for Commerce, 14th Street and Constitution the Final Results of the Expedited Assistant Secretary for Enforcement and Compliance. Avenue NW., Washington, DC 20230; Second Sunset Review of the [FR Doc. 2015–16932 Filed 7–9–15; 8:45 am] telephone (202) 482–5255. Antidumping Duty Order on Hand BILLING CODE 3510–DS–P SUPPLEMENTARY INFORMATION: Trucks and Certain Parts Thereof from the People’s Republic of China,’’ dated Background concurrently with and hereby adopted DEPARTMENT OF COMMERCE The antidumping duty order on hand by this notice (Decision Memorandum). trucks from the PRC was published on International Trade Administration December 2, 2004.1 On March 2, 2015, Analysis of Comments Received the Department published the notice of All issues raised in this review are Civil Nuclear Trade Advisory initiation of the sunset review of the Committee (CINTAC) Meeting addressed in the Decision antidumping duty order on hand trucks from the PRC pursuant to section 751(c) Memorandum, including the likelihood AGENCY: ITA, DOC. of the Tariff Act of 1930, as amended of continuation or recurrence of ACTION: Notice of Federal Advisory (the Act).2 dumping in the event of revocation, and Committee Meeting. In accordance with 19 CFR the magnitude of dumping margins SUMMARY: 351.218(d)(1)(i) and (ii), the Department likely to prevail if the order was This notice sets forth the received a notice of intent to participate revoked. Parties can find a complete schedule and proposed agenda for a in this sunset review from Gleason discussion of all issues raised in this meeting of the CINTAC. Industrial Products, Inc. and Precision review and the corresponding DATES: The meeting is scheduled for Products, Inc. (collectively, Petitioners), recommendations in the Decision Thursday, July 23, 2015, from 9:00 a.m. within 15 days after the date of Memorandum, which is on file to 4:00 p.m. Eastern Standard Time publication of the Sunset Initiation. electronically via Enforcement and (EST). The public session is from 3:00 Petitioners claimed interested party Compliance’s Antidumping and p.m.–4:00p.m. status under section 771(9)(C) of the Countervailing Duty Centralized ADDRESSES: The meeting will be held in Act, as a domestic producer of the Electronic Service System (ACCESS). Room 4830, U.S. Department of domestic like product. ACCESS is available to registered users Commerce, Herbert Clark Hoover On March 26, 2015, the Department at http://access.trade.gov and is Building, 1401 Constitution Ave. NW., received a complete substantive available to all parties in the Central Washington, DC 20230. response to the notice of initiation from Records Unit in room B8024 of the main FOR FURTHER INFORMATION CONTACT: Mr. Petitioners within the 30-day deadline Commerce building. In addition, a Jonathan Chesebro, Office of Energy & specified in 19 CFR 351.218(d)(3)(i). complete version of the Decision Environmental Industries, ITA, Room Memorandum can be accessed directly 4053, 1401 Constitution Ave. NW., 1 See Notice of Antidumping Duty Order: Hand on the Internet at http://trade.gov/ Washington, DC 20230. (Phone: 202– Trucks and Certain Parts Thereof From the People’s 482–1297; Fax: 202–482–5665; email: Republic of China, 69 FR 70122 (December 2, 2004). enforcement/. The signed and electronic 2 See Initiation of Five-Year (‘‘Sunset’’) Review, 80 versions of the Decision Memorandum [email protected]). FR 11164 (March 2, 2015) (Sunset Initiation). are identical in content. SUPPLEMENTARY INFORMATION:

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Background: The CINTAC was determine the speakers. Speakers are DATES: The public meeting will be held established under the discretionary requested to bring at least 20 copies of on Thursday, July 23, 2015; 1:00 p.m.– authority of the Secretary of Commerce their oral comments for distribution to 3:30 p.m. CDT. The meeting will be and in accordance with the Federal the participants and public at the available via webinar. Please submit Advisory Committee Act (5 U.S.C. meeting. your written questions to Nakita Y. App.), in response to an identified need Any member of the public may Chambers (See FOR FURTHER for consensus advice from U.S. industry submit pertinent written comments INFORMATION CONTACT) no later than July to the U.S. Government regarding the concerning the CINTAC’s affairs at any 10, 2015. time before and after the meeting. development and administration of Dated: July 6, 2015. Comments may be submitted to the programs to expand United States Josephine Arnold, exports of civil nuclear goods and Civil Nuclear Trade Advisory Chief Counsel. services in accordance with applicable Committee, Office of Energy & U.S. laws and regulations, including Environmental Industries, Room 4053, [FR Doc. 2015–16836 Filed 7–9–15; 8:45 am] advice on how U.S. civil nuclear goods 1401 Constitution Ave. NW., BILLING CODE P and services export policies, programs, Washington, DC 20230. For and activities will affect the U.S. civil consideration during the meeting, and DEPARTMENT OF COMMERCE nuclear industry’s competitiveness and to ensure transmission to the Committee prior to the meeting, comments must be ability to participate in the international National Oceanic and Atmospheric received no later than 5:00 p.m. EDT on market. Administration Topics to be considered: The agenda Friday, July 17, 2015. Comments received after that date will be for the Thursday, July 23, 2015 CINTAC RIN 0648–XC014 meeting is as follows: distributed to the members but may not Closed Session (9:00 a.m.–3:00 p.m.) be considered at the meeting. Marine Mammals; File No. 17670 Copies of CINTAC meeting minutes 1. Discussion of matters determined to will be available within 90 days of the AGENCY: be exempt from the provisions of the National Marine Fisheries meeting. Federal Advisory Committee Act Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), relating to public meetings found in 5 Man Cho, Commerce. U.S.C. App. (10)(a)(1) and 10(a)(3). Acting Director, Office of Energy and ACTION: Public Session (3:00 p.m.–4:00 p.m.) Environmental Industries. Notice; receipt of application for 1. International Trade [FR Doc. 2015–16930 Filed 7–9–15; 8:45 am] permit amendment. Administration’s Civil Nuclear Trade BILLING CODE 3510–DR–P SUMMARY: Notice is hereby given that Initiative Update. the NMFS Northeast Fisheries Science 2. Civil Nuclear Trade Promotion DEPARTMENT OF COMMERCE Center, 166 Water Street, Woods Hole, Activities Discussion. MA 02543 (Responsible Party: William 3. Public comment period. Karp, Ph.D.), has applied for an The meeting will be disabled- Minority Business Development Agency amendment to Scientific Research accessible. Public seating is limited and Permit No. 17670–02. available on a first-come, first-served [Docket No: 150623548–5548–01] DATES: basis. Members of the public wishing to Written, telefaxed, or email attend the meeting must notify Mr. Guidance on MBDA Applications for comments must be received on or before Jonathan Chesebro at the contact Federal Funding; Correction August 10, 2015. ADDRESSES: The application and related information below by 5:00 p.m. EDT on AGENCY: Minority Business documents are available for review by Friday, July 17, 2015 in order to pre- Development Agency, Department of written request or by appointment in the register for clearance into the building. Commerce. Please specify any requests for Permits and Conservation Division, ACTION: Notice of public meeting; Office of Protected Resources, NMFS, reasonable accommodation at least five correction. business days in advance of the 1315 East-West Highway, Room 13705, meeting. Last minute requests will be SUMMARY: The Minority Business Silver Spring, MD 20910; phone (301) accepted, but may be impossible to fill. Development Agency (MBDA) 427–8401; fax (301) 713–0376. A limited amount of time will be published a notice in the Federal Written comments on this application available for pertinent brief oral Register of July 1, 2015, a document should be submitted to the Chief, comments from members of the public announcing a public meeting to be held Permits and Conservation Division, at attending the meeting. To accommodate during the MBDA National Training the address listed above. Comments may as many speakers as possible, the time Conference on July 23, 2015 from 1:00 also be submitted by facsimile to (301) for public comments will be limited to p.m. to 3:30 p.m. Eastern Standard Time 713–0376, or by email to NMFS.Pr1 two (2) minutes per person, with a total (EST). The document contained an [email protected]. Please include public comment period of 30 minutes. incorrect time. File No. 17670 in the subject line of the Individuals wishing to reserve speaking FOR FURTHER INFORMATION CONTACT: For email comment. time during the meeting must contact additional information please contact: Those individuals requesting a public Mr. Chesebro and submit a brief Ms. Nakita Y. Chambers, Program hearing should submit a written request statement of the general nature of the Manager, Telephone (202) 482–0065, to the Chief, Permits and Conservation comments and the name and address of email [email protected]. Division at the address listed above. The the proposed participant by 5:00 p.m. request should set forth the specific EDT on Friday, July 17, 2015. If the Correction reasons why a hearing on this number of registrants requesting to In the Federal Register of July 1, 2015 application would be appropriate. make statements is greater than can be in FR Doc. 2015–16188, on page 37597, FOR FURTHER INFORMATION CONTACT: reasonably accommodated during the in the third column, correct the DATES Amy Sloan or Courtney Smith, (301) meeting, ITA may conduct a lottery to caption to read: 427–8401.

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SUPPLEMENTARY INFORMATION: The prepare an environmental assessment or observations, marking, capture and subject amendment to Permit No. environmental impact statement. sampling, instrumentation, 17670–02 is requested under the Concurrent with the publication of translocation, short-term captive authority of the Marine Mammal this notice in the Federal Register, holding, physiology studies, and Protection Act of 1972, as amended (16 NMFS is forwarding copies of this acoustic studies. Research is permitted U.S.C. 1361 et seq.), and the regulations application to the Marine Mammal from California to Washington, but governing the taking and importing of Commission and its Committee of occurs primarily at An˜ o Nuevo. marine mammals (50 CFR part 216). Scientific Advisors. Incidental harassment and mortalities of Permit No. 17670–00 issued on April Dated: July 7, 2015. northern elephant seals, and incidental 11, 2013 (77 FR 64959), authorized the Julia Harrison, harassment of California sea lions (Zalophus californianus), northern fur permit holder to take gray (Halichoerus Chief, Permits and Conservation Division, grypus), harbor (Phoca vitulina),, harp Office of Protected Resources, National seals (Callorhinus ursinus), and Steller (Pagophilus groenlandicus), and hooded Marine Fisheries Service. sea lions (Eumetopias jubatus) of the (Cystophora cristata) seals in waters [FR Doc. 2015–16911 Filed 7–9–15; 8:45 am] Eastern Distinct Population Segment is authorized. The permit expires June 30, within or proximal to the U.S. EEZ from BILLING CODE 3510–22–P North Carolina northward to Maine, 2020. during conduct of stock assessment In compliance with the National research, including estimation of DEPARTMENT OF COMMERCE Environmental Policy Act of 1969 (42 distribution and abundance, U.S.C. 4321 et seq.), a final determination of stock structure, habitat National Oceanic and Atmospheric determination has been made that the requirements, foraging ecology, health Administration activity proposed is categorically assessment and effects of natural and excluded from the requirement to RIN 0648–XD953 anthropogenic factors. Types of take prepare an environmental assessment or include harassment during shipboard, Marine Mammals; File No. 19108 environmental impact statement. skiff, and aircraft transect and photo- Dated: July 7, 2015. AGENCY: National Marine Fisheries identification surveys, and scat Julia Harrison, collection; and, capture with tissue Service (NMFS), National Oceanic and Atmospheric Administration (NOAA), Chief, Permits and Conservation Division, sampling and instrument or tag Office of Protected Resources, National attachment. A limited number of Commerce. Marine Fisheries Service. research-related mortality is also ACTION: Notice; issuance of permit. [FR Doc. 2015–16914 Filed 7–9–15; 8:45 am] allowed, as well as world-wide import BILLING CODE 3510–22–P and export of pinniped samples. The SUMMARY: Notice is hereby given that a permit was amended on two occasions permit has been issued to Daniel P. Costa, Ph.D., University of California at via minor amendments: Permit No. DEPARTMENT OF COMMERCE 17670–01 authorized sampling of Santa Cruz, Long Marine Laboratory, pinniped carcasses aboard commercial 100 Shaffer Road, Santa Cruz, CA National Oceanic and Atmospheric fishing vessels; and, Permit No. 17670– 95064, to conduct research on northern Administration elephant seals (Mirounga angustirostris) 02 authorized nail clipping and fecal RIN 0648–XD939 loop sampling during permitted throughout their range in the U.S. captures. ADDRESSES: The permit and related Marine Mammals; File No. 19526 The permit holder is requesting the documents are available for review permit be amended to include upon written request or by appointment AGENCY: National Marine Fisheries authorization to (1) increase the number in the Permits and Conservation Service (NMFS), National Oceanic and of gray and harbor seals harassed Division, Office of Protected Resources, Atmospheric Administration (NOAA), annually during research; (2) add use of NMFS, 1315 East-West Highway, Room Commerce. unmanned aircraft systems to survey 13705, Silver Spring, MD 20910; phone ACTION: Notice; issuance of permit. seals; (3) increase the number of gray (301) 427–8401; fax (301) 713–0376. SUMMARY: and harbor seals captured and handled FOR FURTHER INFORMATION CONTACT: Notice is hereby given that a for sampling and instrumentation, and Amy Sloan, (301) 427–8401. permit has been issued to Adam White, BBC Natural History Unit, The Limes, increase the frequency of sampling; (4) SUPPLEMENTARY INFORMATION: On May Lea, Malmesbury Wiltshire, SN16 9PG increase the number of biopsy samples 27, 2015, notice was published in the United Kingdom, to conduct (from one to two) taken during Federal Register (80 FR 30212) that a commercial or educational photography sampling; (5) add harassment from request for a permit to conduct research on four species of cetaceans and five photo-identification of gray seals to on the species identified above had been species of pinnipeds. study pup molting; (6) increase the submitted by the above-named number of gray and harbor seal samples applicant. The requested permit has ADDRESSES: The permit and related imported/exported annually; (7) been issued under the authority of the documents are available for review increase unintentional mortality Marine Mammal Protection Act of 1972, upon written request or by appointment including via euthanasia in the event as amended (16 U.S.C. 1361 et seq.), the in the Permits and Conservation sick or injured seals are inadvertently regulations governing the taking and Division, Office of Protected Resources, captured. Take numbers are enumerated importing of marine mammals (50 CFR NMFS, 1315 East-West Highway, Room in the amendment request take tables. part 216). 13705, Silver Spring, MD 20910; phone In compliance with the National Permit No. 19108 authorizes (301) 427–8401; fax (301) 713–0376. Environmental Policy Act of 1969 (42 continued research on northern FOR FURTHER INFORMATION CONTACT: U.S.C. 4321 et seq.), an initial elephant seal population status, Carrie Hubard or Jennifer Skidmore, determination has been made that the reproduction, diving and fasting, (301) 427–8401. activity proposed is categorically physiology, and metabolism. Research SUPPLEMENTARY INFORMATION: On May excluded from the requirement to methods include behavioral 15, 2015, notice was published in the

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Federal Register (80 FR 27928) that a Title: Submission of Conservation DEPARTMENT OF COMMERCE request for a permit to conduct Efforts to Make Listings Unnecessary commercial or educational photography under the Endangered Species Act National Oceanic and Atmospheric on long-beaked common dolphins under the Policy for Evaluation of Administration (Delphinus capensis), short-beaked Conservation Efforts when Making RIN 0648–XD826 common dolphins (Delphinus delphis), Listing Decisions. Risso’s dolphins (Grampus griseus), Marine Mammals; File No. 17967 OMB Control Number: 0648–0466. bottlenose dolphins (Tursiops truncatus), harbor seals (Phoca vitulina), Form Number(s): None. AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and California sea lions (Zalophus Type of Request: Regular (extension of californianus), Northern elephant seals Atmospheric Administration (NOAA), a currently approved information Commerce. (Mirounga angustirostris), Steller sea collection). lions (Eumetopias jubatus), and ACTION: Notice; issuance of permit Northern fur seals (Callorhinus ursinus) Number of Respondents: 3. amendment. Average Hours per Response: 2,500 had been submitted by the above-named SUMMARY: Notice is hereby given that a applicant. The requested permit has hours per agreement or plan; 320 hours permit has been issued to Minnesota been issued under the authority of the to conduct monitoring for successful Zoological Gardens (MZG), 13000 Zoo Marine Mammal Protection Act of 1972, agreements; and 80 hours to prepare a Blvd., Apple Valley, MN 55124, to as amended (16 U.S.C. 1361 et seq.) and report for successful agreements. conduct research on and enhancement the regulations governing the taking and Burden Hours: 3,300. of Hawaiian monk seals (Neomonachus importing of marine mammals (50 CFR Needs and Uses: This request is for schauinslandi) in captivity. part 216). ADDRESSES: The permit and related The permit authorizes filming of extension of a currently approved information collection. documents are available for review marine mammals along the California upon written request or by appointment ˜ coast from Point Ano Nuevo south to On March 28, 2003, the National in the Permits and Conservation the Channel Islands. Cetaceans may be Marine Fisheries Service (NMFS) and Division, Office of Protected Resources, filmed from boats and pole cameras. the U.S. Fish and Wildlife Service NMFS, 1315 East-West Highway, Room Pinnipeds may be filmed from boats, (Services) announced a final policy on 13705, Silver Spring, MD 20910; phone pole cameras, underwater divers, and the criteria the Services will use to (301) 427–8401; fax (301) 713–0376. while hauled out on land. Footage will evaluate conservation efforts by states FOR FURTHER INFORMATION CONTACT: be used for a Big Blue Live television and other non-Federal entities (68 FR Amy Sloan or Jennifer Skidmore, (301) series examining marine issues and 15100). The Services take these efforts 427–8401. conservation successes along the coast into account when making decisions on of California. The permit is valid until SUPPLEMENTARY INFORMATION: On March whether to list a species as threatened September 30, 2015. 23, 2015, notice was published in the In compliance with the National or endangered under the Endangered Federal Register (80 FR 15190) that a Environmental Policy Act of 1969 (42 Species Act. The efforts usually involve request for a permit to maintain the U.S.C. 4321 et seq.), a final the development of a conservation plan species identified for research and determination has been made that the or agreement, procedures for monitoring enhancement purposes had been activity proposed is categorically the effectiveness of the plan or submitted by the above-named excluded from the requirement to agreement, and an annual report. applicant. The requested permit has been issued under the authority of the prepare an environmental assessment or Affected Public: State, local or tribal environmental impact statement. Marine Mammal Protection Act of 1972, government; business or other for-profit as amended (16 U.S.C. 1361 et seq.), the Dated: July 7, 2015. organizations. regulations governing the taking and Julia Harrison, Frequency: On occasion. importing of marine mammals (50 CFR Chief, Permits and Conservation Division, Respondent’s Obligation: Voluntary. part 216), the Endangered Species Act of Office of Protected Resources, National 1973, as amended (ESA; 16 U.S.C. 1531 Marine Fisheries Service. This information collection request et seq.), and the regulations governing [FR Doc. 2015–16913 Filed 7–9–15; 8:45 am] may be viewed at reginfo.gov. Follow the taking, importing, and exporting of BILLING CODE 3510–22–P the instructions to view Department of endangered and threatened species (50 Commerce collections currently under CFR parts 222–226). review by OMB. The permit authorizes MZG to DEPARTMENT OF COMMERCE Written comments and maintain up to eight nonreleasable recommendations for the proposed Hawaiian monk seals in captivity at the National Oceanic and Atmospheric MZG. Permitted research includes: (1) Administration information collection should be sent within 30 days of publication of this Annual blood samples and nasal swabs to be analyzed for presence of West Nile Submission for OMB Review; notice to OIRA_Submission@ virus, canine distemper virus, and Comment Request omb.eop.gov or fax to (202) 395–5806. phocine distemper virus in seals The Department of Commerce will Dated: July 7, 2015. previously vaccinated; and (2) testing submit to the Office of Management and Sarah Brabson, various sedatives to inform use in the Budget (OMB) for clearance the NOAA PRA Clearance Officer. wild population. Seals may be used in following proposal for collection of [FR Doc. 2015–16872 Filed 7–9–15; 8:45 am] research projects authorized under information under the provisions of the separate permits. MZG will continue BILLING CODE 3510–22–P Paperwork Reduction Act (44 U.S.C. public awareness on the status of the Chapter 35). species through education and public Agency: National Oceanic and observation of the seals. The permit Atmospheric Administration (NOAA). expires May 1, 2020.

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In compliance with the National Auditorium, 505 Guana River Road, 13705, Silver Spring, MD 20910; phone Environmental Policy Act of 1969 (42 Ponte Vedra Beach, Florida. (301) 427–8401; fax (301) 713–0376. U.S.C. 4321 et seq.), a final ADDRESSES: Copies of the reserve’s most FOR FURTHER INFORMATION CONTACT: determination has been made that the recent performance report, as well as Jennifer Skidmore or Amy Sloan, (301) activity proposed is categorically OCM’s evaluation notification letter to 427–8401. excluded from the requirement to the state, are available upon request SUPPLEMENTARY INFORMATION: The prepare an environmental assessment or from OCM. Written comments from requested permit has been issued under environmental impact statement. interested parties regarding these the authority of the Endangered Species Dated: July 7, 2015. programs are encouraged and will be Act of 1973, as amended (ESA; 16 Julia Harrison, accepted until September 4, 2015. U.S.C. 1531 et seq.), and the regulations Chief, Permits and Conservation Division, Please direct written comments to Carrie governing the taking, importing, and Office of Protected Resources, National Hall, Evaluator, Planning and exporting of endangered and threatened Marine Fisheries Service. Performance Measurement Program, species (50 CFR parts 222–226). [FR Doc. 2015–16912 Filed 7–9–15; 8:45 am] Office for Coastal Management, NOS/ Additional authorization is provided BILLING CODE 3510–22–P NOAA, 1305 East-West Highway, 11th pursuant to sections 109(h) and 112(c) Floor, N/OCM1, Silver Spring, of the Marine Mammal Protection Act of Maryland 20910, or Carrie.Hall@ 1972 as amended (MMPA; 16 U.S.C. DEPARTMENT OF COMMERCE noaa.gov. 1361 et seq.). FOR FURTHER INFORMATION CONTACT: The original permit (No. 14186), National Oceanic and Atmospheric Carrie Hall, Evaluator, Planning and issued on June 17, 2010 (75 FR 36064) Administration Performance Measurement Program, authorized Sea World LLC to maintain Office for Coastal Management, NOS/ up to six (6) non-releasable stranded Evaluation of National Estuarine Guadalupe fur seals (Arctocephalus Research Reserve NOAA, 1305 East-West Highway, 11th Floor, N/OCM1, Silver Spring, townsendi) through June 30, 2015. The AGENCY: National Oceanic and Maryland 20910, or Carrie.Hall@ minor amendment (No. 14186–01) Atmospheric Administration (NOAA), noaa.gov. authorized the acquisition of an additional non-releasable make Office for Coastal Management, National Federal Domestic Assistance Catalog Ocean Service, Commerce. Guadalupe fur seal (already accounted 11.419 for in the take table) and extends the ACTION: Notice of intent to evaluate and Coastal Zone Management Program duration of the permit through June 30, notice of availability of final findings. Administration 2016, but does not change any other SUMMARY: The NOAA Office for Coastal Dated: July 2, 2015. terms or conditions of the permit. Management (OCM) announces its Christopher C. Cartwright, Dated: July 7, 2015. intent to evaluate the performance of the Associate Assistant Administrator for Julia Harrison, Guana Tolomato Matanzas (GTM) Management and CFO/CAO, Ocean Services Chief, Permits and Conservation Division, National Estuarine Research Reserve. and Coastal Zone Management, National Office of Protected Resources, National The National Estuarine Research Oceanic and Atmospheric Administration. Marine Fisheries Service. Reserve evaluation will be conducted [FR Doc. 2015–16768 Filed 7–9–15; 8:45 am] [FR Doc. 2015–16915 Filed 7–9–15; 8:45 am] pursuant to sections 312 and 315 of the BILLING CODE 3510–08–P BILLING CODE 3510–22–P Coastal Zone Management Act (CZMA) and regulations at 15 CFR part 921, subpart E and part 923, subpart L. DEPARTMENT OF COMMERCE DEPARTMENT OF COMMERCE Evaluation of a National Estuarine National Oceanic and Atmospheric Research Reserve requires findings Patent and Trademark Office Administration concerning the extent to which a state [Docket No.: PTO–P–2015–0027] has met the national objectives, adhered RIN 0648–XM26 to its Reserve final management plan United States Patent and Trademark approved by the Secretary of Commerce, Marine Mammals; File No. 14186 Office and Japan Patent Office Collaborative Search Pilot Program and adhered to the terms of financial AGENCY: National Marine Fisheries assistance awards funded under the Service (NMFS), National Oceanic and AGENCY: United States Patent and CZMA. Atmospheric Administration (NOAA), Trademark Office, Commerce. The evaluation will include a public Commerce. ACTION: meeting, consideration of written and Notice. ACTION: Notice; issuance of permit oral public comments and consultations amendment. SUMMARY: The United States Patent and with interested Federal, state, and local Trademark Office (USPTO) is initiating agencies and members of the public. SUMMARY: Notice is hereby given that a joint Work Sharing Pilot Program with When the evaluation is completed, OCM Sea World LLC, 9205 South Park Center the Japan Patent Office (JPO) to study will place a notice in the Federal Loop, Suite 400, Orlando, FL 32819 whether the exchange of search results Register announcing the availability of [Brad Andrews, Responsible Party] has between offices for corresponding the Final Evaluation Findings. Notice is been issued a minor amendment to counterpart applications improves hereby given of the date, local time, and Enhancement Permit No. 14186. patent quality and facilitates the location of the public meeting. ADDRESSES: The amendment and related examination of patent applications in DATES: The GTM National Estuarine documents are available for review both offices. In the pilot program, each Research Reserve public meeting will be upon written request or by appointment office will conduct a prior art search for held Wednesday, August 26, 2015, at in the Permits and Conservation its corresponding counterpart 6:00 p.m. at the GTM NERR Division, Office of Protected Resources, application and exchange the search Environmental Education Center NMFS, 1315 East-West Highway, Room results with the other office before

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either office issues a communication quality of patent examination. This bifurcates the determination and concerning patentability to the exchange of search results would occur evaluation of a prior art search from the applicant. As a result of this exchange prior to making determinations notice of rejection. See Full First Action of search results, the examiners in both regarding patentability. Work sharing Interview Pilot Program, 1367 Off. Gaz. offices may have a more comprehensive benefits applicants by promoting Pat. Office 42 (June 7, 2011). Under the set of references before them when compact prosecution, reducing FAI pilot program, participants receive making their initial patentability pendency, and supporting patent a Pre-Interview Communication determinations. Each office will accord quality by reducing the likelihood of providing the results of a prior art special status to its counterpart inconsistencies in patentability search conducted by the examiner. application to first action. First Action determinations (not predicated upon Participants then have three options: (1) Interview (FAI) pilot program differences in national patent laws) File a request not to conduct a first procedures will be applied during the between IP offices when considering action interview; (2) submit a reply examination of the U.S. application and corresponding counterpart applications. under 37 CFR 1.111 after reviewing the make the search results of record in the Currently, an application filed in the Pre-Interview Communication; or (3) form of a Pre-Interview Communication. USPTO with a claim of foreign priority conduct an interview with the DATES: Effective date: August 1, 2015. may have a search report and art cited examiner. Participants in the FAI pilot Duration: Under the United States- by the foreign office in the priority program experience many benefits Japan Collaborative Pilot (US-JP CSP) application provided to the applicant including: (1) The ability to advance program, the USPTO and JPO will during the U.S. application’s pendency. prosecution of an application; (2) accept petitions to participate for two After review of the search report and enhanced interaction between applicant years from its effective date. During cited art, the applicant may submit an and the examiner; (3) the opportunity to each year, the pilot program will be Information Disclosure Statement (IDS) resolve patentability issues one-on-one limited to 400 granted petitions, 200 in the U.S. application to provide the with the examiner at the beginning of granted petitions where USPTO information to the USPTO. Often, this the prosecution process; and (4) the performs the first search and JPO submission occurs after examination on opportunity to facilitate possible early performs the second search, and 200 the merits is already underway in the allowance. The US–JP CSP program granted petitions where JPO performs U.S. application. Upon evaluation of the differs from the FAI pilot program the first search and USPTO performs the search report and cited art, the U.S. procedure by requiring a Petition to second search. The offices may extend examiner may determine that the art Make Special for the participating the pilot program (with or without cited by the foreign office is relevant to application, and providing for the modification) for an additional amount patentability and merits further exchange of information with the JPO at of time, if necessary. The offices reserve examination before making a final different stages of prosecution as set the right to terminate the pilot program determination on patentability. The forth in this notice. at any time. delay caused by further examination The USPTO also is initiating a joint results in additional costs to an Work Sharing Pilot Program with the FOR FURTHER INFORMATION CONTACT: applicant and the USPTO that could Korean Intellectual Property Office Daniel Hunter, Director of International have been avoided if the U.S. examiner (KIPO). The JPO and KIPO pilot Work Sharing, Planning, and was in possession of the foreign office’s programs are different in the way that Implementation, Office of International search results before commencing they operate. Thus, while there may be Patent Cooperation, by telephone at examination of the application. applications that are eligible for both 571–272–8050 regarding the handling of Furthermore, in light of the various pilot programs, such applications will any specific application participating in expedited examination programs not be permitted to participate in both the pilot. Any questions concerning this currently in place, the potential exists pilot programs due to the differences in notice may be directed to Joseph Weiss, that a U.S. application may reach final work sharing procedures of these two Senior Legal Advisor, Office of Patent disposition before an applicant is in different programs. More information Legal Administration, by phone 571– receipt of a foreign office’s search about the US–JP CSP program can be 272–7759. Any inquiries regarding this report. Work sharing between found on the USPTO’s Internet Web site pilot program can be emailed to csp@ intellectual Property (IP) offices in the at: http://www.uspto.gov/patents- uspto.gov. form of an exchange of search results getting-started/international-protection/ SUPPLEMENTARY INFORMATION: may increase efficiency and promote collaborative-search-pilot-program-csp. patent examination quality by providing I. Background II. Overview of Pilot Program Structure the examiner with both offices’ search The USPTO is continually looking for results when examination commences. An application must meet all of the ways to improve the quality of issued In order to study the benefits of the requirements set forth in section III of patents and to promote work sharing exchange of search results between this notice, to be accepted into this pilot between other Intellectual Property (IP) offices, current USPTO examination program. An applicant must file via Offices throughout the world. The practice would need to be modified to EFS-Web a Petition to Make Special USPTO has launched several work conduct a search and generate a search using form PTO/SB/437JP in a sharing pilot programs in recent years report, without issuance of an Office published U.S. application. Use of the (e.g., numerous Patent Prosecution action. The U.S. application also would form will assist an applicant in Highway Pilot Programs). In furtherance need to be ‘‘made special’’ pursuant to complying with the pilot program’s of promoting interoffice work sharing, USPTO procedures to ensure that it requirements. Form PTO/SB/437JP is the USPTO and JPO will cooperate in a could be contemporaneously searched available at: http://www.uspto.gov/ study to determine whether work with its corresponding counterpart patents-getting-started/international- sharing between IP offices by application. protection/collaborative-search-pilot- exchanging search results, where one The USPTO is using the First Action program-csp. Use of this form allows the office will have the benefit of the other Interview Pilot Program (FAI) in this USPTO to quickly identify participating office’s search results before conducting search results work sharing pilot applications, facilitates timely a search, increases the efficiency and program, because its procedure processing in accordance with this

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notice, and simplifies petition III. Requirements for Participation in participation, ensuring that the preparation and submission for an the US–JP CSP Program respective corresponding counterpart applicant. The collection of information The following requirements must be applications can comply with each involved in this pilot program has been satisfied for a petition under the US–JP office’s requirements. submitted to OMB. The collection will CSP program to be granted: (6) The petition submission must be available at the OMB’s Information (1) The application must be a include a claims correspondence table Collection Review Web site published, non-reissue, non-provisional that notes which independent claims (www.reginfo.gov/public/do/PRAMain). utility application filed under 35 U.S.C. between the pending U.S. and JPO No fee is required for submission of 111(a), or an international application applications have a substantially petitions using Form PTO/SB/437JP. that has entered the national stage in corresponding scope to each other. The fee (currently $140.00) for a petition compliance with 35 U.S.C. 371(c) with Claims are considered to have under 37 CFR 1.102 (other than those an effective filing date no earlier than ‘‘substantially corresponding scope’’ enumerated in 37 CFR 1.102(c)) is March 16, 2013. The U.S. application where, after accounting for differences hereby sua sponte waived for petitions and the corresponding JPO counterpart due to claim format requirements, the to make special based upon the application must have a common scope of the corresponding independent procedure specified in this notice. earliest priority date that is no earlier claims in the corresponding counterpart The offices will search the than March 16, 2013. applications would either anticipate or corresponding counterpart applications (2) A completed petition form PTO/ render obvious the subject matter participating in the pilot program SB/437JP must be filed in the recited under U.S. law. Additionally, sequentially. The office of first search application via EFS-Web after the U.S. claims in the corresponding U.S. will be set based upon which application has published. Form PTO/ counterpart application that introduce a participating counterpart application, SB/437JP is available at: http://www. new/different category of claims than the JPO or the U.S. application, has the uspto.gov/patents-getting-started/ those presented in the corresponding earlier filing date. In the event that international-protection/collaborative- JPO counterpart application(s) are not corresponding counterpart applications search-pilot-program-csp. An applicant considered to substantially correspond. were filed on the same day, then the may request early publication in For example, where a corresponding office of first search will be determined accordance with 37 CFR 1.219 to JPO counterpart application contains as agreed to by the offices. Each office expedite the filing of the petition. only claims relating to a process of may reevaluate the workload and (3) The petition submission must manufacturing a product, then any resources needed to administer the pilot include an express written consent product claims in the corresponding program at any time. The USPTO will under 35 U.S.C. 122(c) for the USPTO U.S. counterpart application are not provide notice of any substantive to receive prior art references and considered to substantially correspond, changes to the program (including early comments from the JPO that will be even if the product claims are termination of the program) at least considered during the examination of dependent on process claims, which thirty (30) days prior to implementation the U.S. application participating in the substantially correspond to claims in of any changes. US–JP CSP Program. Form PTO/SB/ each corresponding counterpart New patent applications are normally 437JP includes language compliant with application. Applicants may file a taken up for examination in the order of the consent requirements for this pilot preliminary amendment in compliance their U.S. filing date. Applications program. with 37 CFR 1.121 to amend the claims accepted into this pilot program will (4) The petition must be filed at least of the corresponding U.S. counterpart receive expedited processing by being one day before a first Office action on application to satisfy this requirement granted special status and taken out of the merits of the application appears in when attempting to make the U.S. turn until issuance of a Pre-Interview the Patent Application Information application eligible for the program. Communication, or first-action Notice of Retrieval (PAIR) system (i.e., at least one (7) The application must contain three Allowability but will not maintain day prior to the date when a first Office or fewer independent claims and twenty special status thereafter. While JPO and action on the merits, notice of or fewer total claims. The application USPTO will be sharing search results, allowability or allowance, or action must not contain any multiple the possibility exists that there may be under Ex parte Quayle, 1935 Dec. dependent claims. For an application differences in the listing of references Comm’r Pat. 11 (1935), appears in the that contains more than three made of record by the USPTO versus PAIR system). An applicant should independent claims or twenty total those made of record in the check the status of the application using claims, or any multiple dependent corresponding JPO counterpart the PAIR system prior to submitting the claims, applicants must file a application. Participants in the US–JP petition to ensure that this requirement preliminary amendment in compliance CSP program should review the is met. with 37 CFR 1.121 to cancel the excess references cited in each office’s (5) The petition for participation filed claims and/or the multiple dependent communication. If any JPO in the corresponding JPO counterpart claims to make the application eligible communication to an applicant cites application for the US–JPO CSP for the program. references that are not already of record program must be granted or have been (8) The claims must be directed to a in the USPTO application and the granted by JPO. The USPTO and JPO single invention. If the Office applicant wants the examiner to petitions should be filed within fifteen determines that the claims are directed consider the references, the applicant days of each other. Both the JPO and the to multiple inventions (e.g., in a should promptly file an Information USPTO petitions must be granted before restriction requirement), the applicant Disclosure Statement (IDS) that includes either application can be treated under must make a telephonic election a copy of the JPO communication along the US–JP CSP program. As the without traverse in accordance with the with copies of the newly cited requirements of each office’s pilot procedures outlined in section V of this references in accordance with 37 CFR programs may differ, applicants should notice. An applicant is responsible to 1.98 and MPEP § 609.04(a)–(b). See also review the requirements for both pilot ensure the same invention is elected in MPEP §§ 609 and 2001.06(a). programs when considering both the U.S. and JPO corresponding

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counterpart applications for concurrent of a Pre-Interview Communication, an V. Requirement for Restriction treatment in the US–JP CSP program. applicant may still submit preliminary If the examiner determines that not all (9) All submissions for the amendments to the specification that do the claims presented are directed to a participating application while being not affect the claims. If either office single invention, the telephone treated under the US–JP CSP program’s determines that the petition must be restriction practice set forth in MPEP examination procedure must be filed via denied, then the other office will be § 812.01 will be followed. An applicant EFS-Web. informed of the denial determination, must make an election without traverse (10) The petition must include a and both offices will issue decisions during the telephonic interview in statement that the applicant agrees not denying the petition. accordance with the procedures to file a request for a refund of the search fee and any excess claim fees B. Petition Dismissal: If an applicant outlined in sections V.A. or V.B. of this paid in the application after the mailing files an incomplete Form PTO/SB/ notice. When a telephonic election is or notification date of the Pre-Interview 437JP, or if an application accompanied made, the examiner will provide a Communication. See Form PTO/SB/ by Form PTO/SB/437JP does not complete record of the telephone 413C. Any petition for express comply with the requirements set forth interview, including the restriction or abandonment under 37 CFR 1.138(d) to in this notice, the USPTO will notify the lack of unity requirement and the obtain a refund of the search fee, and applicant of the deficiency by issuing a applicant’s election, as an attachment to excess claims fee filed after the mailing dismissal decision and the applicant the Pre-Interview Communication. or notification date of a Pre-Interview will be given a single opportunity to Applicants are strongly encouraged to Communication will not be granted. correct the deficiency. If the applicant ensure that applications submitted for still wishes to participate in the US–JP the pilot are written such that they IV. Decision on Petition To Make CSP Program, the applicant must make claim a single, independent, and Special Under the US–JP Collaborative appropriate corrections within one distinct invention. An applicant is Search Pilot Program (Form PTO/SB/ month or thirty days of the mailing date responsible to ensure the same 437JP) of the dismissal decision, whichever is invention is elected in both the U.S. and An applicant must file a Petition to longer. The time period for reply is not JPO corresponding counterpart Make Special using Form PTO/SB/437JP extendable under 37 CFR 1.136(a). If the applications for concurrent treatment in in an eligible U.S. application for entry applicant does not timely file a response the US–JP CSP program. into the US–JP CSP program after the to the dismissal decision or timely files A. USPTO Office of First Search: If application has published. An applicant a response that fails to correct all of the the USPTO determines a restriction is may request early publication in noted deficiencies, the petition will be required, applicant must make an accordance with 37 CFR 1.219 to denied. In both cases, USPTO will election without traverse during the expedite the filing of the petition. An notify JPO of the denial and then both telephonic interview in response to a applicant also must file the appropriate offices will issue a denial decision in restriction or lack of unity requirement. petition paper in the corresponding JPO each application, resulting in neither If the applicant refuses to make an counterpart application for participation application participating in the pilot election without traverse, or if the in the US–JP CSP program. Once both program. The U.S. application will then examiner cannot reach the applicant petitions are granted, the corresponding be examined in accordance with after a reasonable effort (i.e., three U.S. counterpart application will standard examination procedures, business days), the examiner will treat receive expedited processing by being unless designated special in accordance the first claimed invention (the group of placed on the examiner’s special docket with another established procedure claim 1) as constructively elected without traverse for examination. The for examination in accordance with (e.g., Prioritized Examination, Special examiner will record the circumstances sections V–IX of this notice. Based on Applicant’s Age, etc.). If the A. Petition Decision Making: An for the constructive election in the next applicant timely files a response to the applicant must file appropriate petition Office communication (Pre-Interview dismissal decision correcting all noted papers in the USPTO and JPO Communication or Notice of deficiencies and does not introduce new corresponding counterpart applications Allowability). If the restriction deficiencies, the USPTO will issue a within fifteen days of each other. If the requirement claim groups have decision granting the petition. petitions are not filed within fifteen substantially corresponding scope to days of each other, an applicant runs the C. Withdrawal of Petition: An different corresponding JPO counterpart risk of one of the pending applications application can be withdrawn from the applications, upon election of one group being acted upon by an examiner before pilot program only by filing a without traverse, an applicant may file entry into the pilot program, which will withdrawal of the petition to participate a divisional U.S. application(s) and may result in both applications being denied in the pilot program prior to issuance of separately petition to have the entry into the pilot program. Both a decision granting the petition. Once divisional U.S. application(s) participate offices must grant the respective the petition for participation in the pilot in the pilot program. An applicant must petitions in order for the applications to program has been granted (one day include the decisions granting the participate in the pilot program. Once before it appears in PAIR), withdrawal petition from both the parent U.S. decisions granting the petitions have from the pilot program is not permitted. application and from the divisional issued, an applicant will no longer have The USPTO will treat any request for application’s corresponding JPO a right to file a preliminary amendment withdrawal from the pilot program filed counterpart application, to expedite that amends the claims. Any after the mailing or notification of the decision making for the corresponding preliminary amendment filed after petition being granted as a request to not U.S. counterpart divisional application. petition grant and before issuance of a conduct an interview, and subsequent to B. USPTO Office of Second Search: If Pre-Interview Communication the mailing of the Pre-Interview the USPTO is the office of second amending the claims, will not be Communication, the USPTO will issue search, then a restriction or lack of unity entered unless approved by the a First Action Interview Office Action, requirement determination by the examiner. After the decision granting in due course. (See section VIII.B.1. of examiner will first take into the petition issues, and before issuance this notice.) consideration whether only one of the

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restriction claim groups has a art search of the corresponding JPO The examiner may issue a notice of substantially corresponding scope to the counterpart application. The JPO will allowability, or contact the applicant to corresponding JPO counterpart then forward the search results to the conduct an interview in accordance application that was already searched. If USPTO. The USPTO will then issue a with MPEP § 713 to discuss any possible so, then the USPTO will designate that communication in accordance with amendments or submissions to place the group as elected without traverse for section VII of this notice. application in condition for allowance. treatment in accordance with this B. JPO Office of First Search: If the The USPTO will notify JPO of the notice. If more than one of the restricted JPO is the office of first search, the examiner’s determination of claim groups was searched in the USPTO will place a hold on the allowability to include all findings and corresponding JPO counterpart corresponding U.S. counterpart references identified in the notice of applications, the examiner will attempt application to await the JPO initial allowance. The examiner will cite to contact the applicant for a telephonic search results. The corresponding JPO references from the JPO search results in interview in order to provide for the counterpart application will be a Notice of References Cited form PTO– opportunity to elect a claim group docketed to the JPO examiner in 892 when the Notice of Allowability is without traverse. If applicant refuses to accordance with JPO procedures for this issued to applicant. The Notice of make an election without traverse, or if pilot program. The JPO examiner will Allowability with a completed Notice of the examiner cannot reach the applicant review the application, perform an References Cited form PTO–892 also after a reasonable effort (i.e., three evaluation and prior art search, and will be forwarded to JPO for further business days), the examiner will treat communicate the initial search results consideration by the JPO examiner of the first claimed invention of the U.S. to the USPTO. Upon receipt of the JPO record for the corresponding JPO application that was searched in the initial search results, the USPTO will counterpart application. counterpart JPO application as remove the docket hold, and the USPTO B. Pre-Interview Communication: If constructively elected without traverse. examiner will review the application the examiner, after considering both sets If the other restriction requirement and perform a prior art search of the of search results, determines that the groups have substantially corresponding corresponding U.S. counterpart application is not in condition for scope to other different corresponding application. The USPTO will then allowance, then the examiner will JPO counterpart applications, the forward the search results to the JPO prepare and issue a Pre-Interview applicant may file corresponding U.S. and issue a communication to applicant Communication (PTOL–413FP) and a counterpart divisional applications and in accordance with section VII of this Notice of References Cited (PTO–892) may separately petition to have the notice. citing the prior art references, divisional U.S. applications participate C. Exceeding Maximum Search identifying any rejections or objections, in the pilot program. The applicant Results Exchange Hold: If the search and any designation of allowable subject must include the decision granting the results have not been exchanged within matter. The examiner will cite petition from the parent application and 90 days of the mailing date of the references from the JPO search results in from the U.S. divisional application’s decision granting participation in the a Notice of References Cited form PTO– corresponding JPO counterpart program, then each office will 892 when the Pre-Interview application, if any, to expedite decision independently issue search results to Communication is issued to applicant. making for the corresponding U.S. the applicant without the search results The Pre-Interview Communication with counterpart divisional application. from the other office. The USPTO will a completed Notice of References Cited issue the search results in either a form PTO–892 will also be forwarded to VI. Searching Notice of Allowability or a Pre- JPO for further consideration by the JPO The offices will search the Interview Communication as set forth in examiner of record for the corresponding counterpart applications Section VII of this notice, noting that corresponding JPO counterpart participating in the pilot program JPO search results are not included. The application. sequentially. The office of first search Notice of Allowability or Pre-Interview The Pre-Interview Communication will be set based upon which Communication also will note that the issued to an applicant will set forth a participating counterpart application corresponding counterpart applications time period of one month or thirty days, (JPO or U.S.) has the earlier filing date. are being removed from the pilot whichever is longer, for the applicant to In the event that both corresponding program for evaluation purposes only, request or decline an interview. An counterpart applications were filed on and that the corresponding U.S. applicant is responsible for responding the same day, then the office of first counterpart application will continue to to the Pre-Interview Communication in search will be determined as agreed to be treated in accordance with the FAI accordance with the First Action by the offices. pilot program procedures, if necessary. Interview Program procedures discussed A. USPTO Office of First Search: If in Section VIII of this notice. The the USPTO is the office of first search, VII. Post Search Exchange USPTO will permit an applicant to the JPO will place a hold on the Communication extend this time period for reply corresponding JPO counterpart Once all search results are received by pursuant to 37 CFR 1.136(a) for one application to await the USPTO initial the examiner and considered, then additional month in accordance with search results. The corresponding U.S. either a Notice of Allowability or a Pre- the First Action Interview Program, as counterpart application will be Interview Communication may issue. set forth in section VIII, subsection B docketed to the USPTO examiner in A. Notice of Allowability: If the (Applicant’s Options and Reply to Pre- accordance with USPTO procedures for examiner, after considering both sets of Interview Communication) and this program. The USPTO examiner will search results, determines that the subsection C (Failure to Respond to Pre- review the application, perform a prior application is in condition for Interview Communication) of this art search, and communicate the initial allowance or the application could be notice. The examiner’s typical working search results to the JPO. Upon receipt placed in condition for allowance with schedule also will be provided with the of the USPTO initial search results, the minor corrections or a possible Pre-Interview Communication to JPO will remove the docket hold, and amendment or submission, then the indicate the examiner’s availability for the JPO examiner will perform a prior examiner may allow the application. scheduling the interview.

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VIII. Post Pre-Interview and the examiner will provide the First 3. Schedule the First Action Interview: Communication Action Interview Office Action setting If an applicant wants a first action A. Amendments Filed After Pre- forth the requirements, objections, and interview with the examiner, the Interview Communication: Once a Pre- rejections relevant to the claimed applicant must timely file an Applicant Interview Communication has been invention. However, such a request will Initiated Interview Request Form (PTOL entered in an application, an applicant not preclude the examiner from 413A), electronically using EFS-Web, no longer has a right to amend any part contacting the applicant and conducting accompanied by a proposed amendment of the application until the first action a regular interview in accordance with and/or arguments (as an attachment to the request). To ensure that the request interview is conducted and the First MPEP § 713 to discuss any issues or will be processed and recognized Action Interview Office Action is sent. possible amendment to place the timely, the applicant should select the Therefore, any amendments filed after application in condition for allowance. document description ‘‘First Action the Pre-Interview Communication, but To ensure that the request will be Interview—Schedule Interview before the interview and the mailing or processed and recognized timely, an applicant should file the request Request.’’ notification date of a First Action An applicant must designate a Interview Office Action (PTOL–413FA), electronically via EFS-Web, selecting the document description ‘‘Request to proposed date to conduct the interview will not be entered unless approved by to facilitate scheduling of the first action the examiner or in accordance with the Not Have a First Action Interview’’ on the EFS-Web screen. interview. The applicant’s proposed procedure of the Full First Action date to conduct the interview must be Interview Pilot Program as set forth in Once the petition for entry into the pilot has been granted (one day before within two months or sixty days, section VIII, subsection B(2), or section whichever is longer, from the filing of IX, subsection B(3), of this notice. This it appears in PAIR), withdrawal from the program is not permitted. Therefore, the Applicant Initiated Interview is because the examiner has already Request Form. An applicant should devoted a significant amount of time to the USPTO will treat a request for withdrawal from the pilot program filed consult the examiner’s work schedule the preparation of the Pre-Interview provided in the Pre-Interview Communication. See 37 CFR 1.115(b) after the mailing or notification of granting an applicant’s petition to Communication and discuss with the and MPEP § 714.01(e). The USPTO may examiner the best date for conducting enter the amendment if it is clearly participate in the pilot as a request to not conduct an interview, issue a Pre- the interview. limited to: Cancellation of claims; After filing the Applicant Initiated Interview Communication, and adoption of examiner suggestions; Interview Request Form, an applicant subsequently enter a First Action placement of the application in must contact the examiner to confirm Interview-Office Action, in due course. condition for allowance; and/or the interview date. The applicant’s correction of informalities (similar to 2. File a Reply under 37 CFR 1.111, failure to conduct an interview within the treatment of an after-final Waiving the First Action Interview and two months or sixty days, whichever is amendment). Amendments will be First Action Interview Office Action: longer, from the filing of Applicant entered solely at the examiner’s Applicants may file, preferably in Initiated Interview Request Form will be discretion. conjunction with a request to not treated as a failure to respond to the B. Applicant Options and Reply to conduct the interview, a reply in Pre-Interview Communication. See Pre-Interview Communication: Upon compliance with 37 CFR 1.111(b)–(c) to section VIII; subsection C (Failure to receipt of a Pre-Interview address every rejection, objection, and Respond to Pre-Interview Communication, the applicant has three requirement set forth in the Pre- Communication) of this notice. The options: Interview Communication, thereby interview may be in person, telephonic, (1) File a ‘‘Request to Not Have a First waiving the first action interview and or a video-conference. An applicant Action Interview’’; First Action Interview Office Action. must provide written authorization to (2) File a reply under 37 CFR 1.111 The reply under 37 CFR 1.111 must be conduct any Internet email waiving the first action interview and filed within the time period for reply set communications with the examiner. See First Action Interview Office Action— forth in the Pre-Interview MPEP § 502.03 for more information. an applicant is accepting that the Pre- Communication. To ensure that the The proposed amendment or Interview Communication is the first request will be processed and arguments must be clearly labeled as Office action on the merits; or recognized timely, an applicant should ‘‘PROPOSED’’ at the header or footer of (3) Schedule the first action file the request electronically via EFS- each page and filed electronically via interview—an applicant must file an Web, selecting the document EFS-Web as an attachment to the Applicant Initiated Interview Request description ‘‘Reply under 1.111 to Pre- Applicant Initiated Interview Request Form (PTOL–413A) electronically via Interview Communication’’ on the EFS- Form. The proposed amendment or EFS-Web, accompanied by a proposed Web screen. arguments will not be entered as a amendment or arguments, and schedule In this situation, a first action matter of right. The examiner, based the interview to be conducted within interview will not be conducted, and a upon discussions, feedback, and two months or sixty days, whichever is First Action Interview Office Action agreement with an applicant during the longer, from the filing of the Applicant will not be provided to the applicant. interview may at his or her discretion Initiated Interview Request. The Pre-Interview Communication will enter the amendment if found sufficient 1. Request to Not Have a First Action be deemed the first Office action on the to advance prosecution on the merits. Interview: If an applicant wishes not to merits. The examiner will consider the See MPEP §§ 713.01 III and 713.04; see have the first action interview, applicant reply under 37 CFR 1.111 and provide also MPEP §§ 714 and 1302.04. Even if should electronically file a letter an Office action in response to the reply, the examiner denies entry of the requesting to not have a first action in due course. The Office action will be proposed amendment, the proposed interview within the time period set the second Office action on the merits, amendment will be placed in the forth in the Pre-Interview and thus it could be a final Office application file. Communication. In this situation, a first action, a notice of allowability, or other Preparation for the Interview: An action interview will not be conducted, appropriate action. applicant must be prepared to fully

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discuss the prior art of record, any invention patentable, including any applicant has sufficient notice of the relevant interview talking points from proposed amendments to the claims. requirements, objections, and grounds the interview talking points posted at of rejection. To avoid abandonment of B. Three Possible Outcomes of a First- http://www.uspto.gov/web/offices/pac/ the application, the applicant must, Action Interview dapp/opla/preognotice/fai_talking_ within two months or sixty days, points.pdf, and any rejections or 1. An agreement is reached and all whichever is longer, from the mailing or objections, with the intent to clarify and claims are in condition for allowance. If notification date of the First Action resolve all issues with respect to the applicant and the examiner reach Interview Office Action, file a reply in patentability during the interview. An agreement that the application is in compliance with 37 CFR 1.111(b)–(c). applicant also must be prepared to condition for allowance, the examiner This time period for reply is extendable discuss any proposed amendment or must complete an Interview Summary under 37 CFR 1.136(a) for only two arguments previously submitted and (PTOL–413), enter and attach any additional months. The First Action discuss and resolve any relevant issues necessary amendments or arguments Interview Office Action, interview that arise. The interview talking points (e.g., the proposed amendment and/or summary, and a completed Notice of posted at http://www.uspto.gov/web/ an examiner’s amendment), generate a References Cited form PTO–892 listing offices/pac/dapp/opla/preognotice/fai_ notice of allowability (PTOL–37), and any newly cited references also will be talking_points.pdf represent a non- attach a copy of the completed forwarded to JPO for consideration by exhaustive list of potential topics for Applicant Initiated Interview Request the JPO examiner of record for the discussion in a first action interview. Form. If the examiner agrees to enter the corresponding JPO counterpart The talking points are available to the proposed amendment, the examiner application. must annotate the first page of the public and the patent examining corps 3. An agreement as to allowability is proposed amendment (e.g., ‘‘OK to to assist and facilitate comprehensive not reached, and applicant wishes to enter’’). In an in-person interview, a and effective first action interviews. convert the previously submitted courtesy copy of the completed forms Multiple proposed amendments or proposed amendment into a reply under will be given to the applicant at the sets of arguments are not permitted. 37 CFR 1.111(b) and waive receipt of a conclusion of the interview. The Inventor Participation: Inventor First Action Interview Office Action. completed forms will then be promptly participation in the interview process is Applicants may request the USPTO to made of record with a Notice of encouraged, as it may assist in the enter the previously filed proposed resolution of outstanding rejections and/ Allowability and a Notice of Allowance and Fees Due (PTOL 85). The Notice of amendment and/or arguments as a reply or objections. under 37 CFR 1.111 to address every C. Failure to Respond to Pre-Interview Allowability, Notice of Allowance, interview summary, and all rejection, objection, and requirement set Communication: If applicant fails to: (1) forth in the Pre Interview Respond to the Pre-Interview amendments made of record along with a completed Notice of References Cited Communication, waiving a First Action Communication within the time period Interview Office Action, if the proposed for reply or (2) conduct the interview form PTO–892 listing any newly cited references also will be forwarded to JPO amendment and/or arguments comply within two months or sixty days, with the requirements of 37 CFR 1.121 whichever is longer, from the filing of for consideration by the JPO examiner of record for the corresponding JPO and 37 CFR 1.111(b)–(c). If the examiner the Applicant Initiated Interview counterpart application. agrees to enter the proposed amendment Request Form, the Office will enter a 2. An agreement as to allowability is as the reply under 37 CFR 1.111 to the First Action Interview Office Action. not reached. If the applicant and the Pre-Interview Communication, the Therefore, the consequence for failure to examiner do not reach agreement during examiner must annotate the first page of respond to the Pre-Interview the interview, the examiner will set the proposed amendment (e.g., ‘‘OK to Communication is issuance of a First forth any unresolved, maintained, or enter’’) and provide a statement in the Action Interview Office Action without new requirements, objections, and Interview Summary (e.g., ‘‘Applicant the benefit of an interview. rejections in the First Action Interview requested to enter the proposed IX. First-Action Interview and First- Office Action. The examiner will also amendment as a reply under 37 CFR Action Interview Office Action complete an Interview Summary, 1.111 to the Pre-Interview highlighting the basis for any Communication, waiving the First A. First-Action Interview unresolved, maintained, or new Action Interview Office Action’’). The The interview will be conducted in requirements, objections, and rejections applicant cannot file any additional accordance with the procedure provided as well as resolution of any issues that amendment and/or arguments until the in MPEP § 713 except as otherwise occurred during the interview, attaching mailing or notification of the next Office provided in this notice. The interview a copy of the completed Applicant action. should focus on and include: Initiated Interview Request Form and In this situation, a First Action 1. A discussion to assist the examiner any proposed amendments or Interview Office Action will not be in developing a better understanding of arguments. In an in-person interview, a provided to the applicant. The Pre- the invention; courtesy copy of the completed forms Interview Communication and the 2. A discussion to establish the state may be given to the applicant at the interview will be deemed the first Office of the art as of the effective filing date conclusion of the interview. The action on the merits. The examiner will of the claimed invention, including the completed forms will be promptly made enter the proposed amendment and/or prior art references cited by both of record. arguments, consider it as the reply applicant and examiner (as only For this situation, the First Action under 37 CFR 1.111, and provide an applications subject to the First Inventor Interview Office Action is deemed the Office action in response to the reply. to File provisions of the Leahy-Smith first Office action on the merits. Because The Office action will be the second America invents act (AIA) are eligible the requirements, objections, and Office action on the merits, and thus it for this pilot program); and grounds of rejection are provided in the could be a final Office action, a notice 3. A discussion of the features of the Pre-Interview Communication and the of allowability, or other appropriate claimed subject matter which make the First Action Interview Office Action, an action.

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C. Substance of Interview Must Be Made the Federal Government under 41 U.S.C. COMMITTEE FOR PURCHASE FROM of Record 8501–8506 and 41 CFR 51–2.4. PEOPLE WHO ARE BLIND OR SEVERELY DISABLED A complete written statement as to Regulatory Flexibility Act Certification the substance of the interview with Procurement List; Proposed Additions regard to the merits of the application I certify that the following action will and Deletion must be made of record in the not have a significant impact on a application, whether or not an substantial number of small entities. AGENCY: Committee for Purchase from agreement with the examiner was The major factors considered for this People Who are Blind or Severely reached at the interview. It is certification were: Disabled. applicant’s responsibility to make of 1. The action will not result in any ACTION: Proposed additions to and record the substance of an interview, additional reporting, recordkeeping or deletion from the Procurement List. and it is the examiner’s responsibility to other compliance requirements for small see that such a record is made and to SUMMARY: The Committee is proposing entities other than the small correct inaccuracies, including those to add services to the Procurement List which bear directly on the question of organizations that will furnish the that will be provided by nonprofit patentability. See MPEP § 713.04. products to the Government. agencies employing persons who are Date: July 2, 2015. 2. The action will result in blind or have other severe disabilities, and deletes a service previously Michelle K. Lee, authorizing small entities to furnish the products to the Government. provided by such agency. Under Secretary of Commerce for Intellectual Property and Director of the United States 3. There are no known regulatory DATES: Comments must be received on Patent and Trademark Office. alternatives which would accomplish or before: 8/10/2015. [FR Doc. 2015–16846 Filed 7–9–15; 8:45 am] the objectives of the Javits-Wagner- ADDRESSES: Committee for Purchase BILLING CODE 3510–16–P O’Day Act (41 U.S.C. 8501–8506) in From People Who Are Blind or Severely connection with the products proposed Disabled, 1401 S. Clark Street, Suite for addition to the Procurement List. 715, Arlington, Virginia 22202–4149. FOR FURTHER INFORMATION CONTACT: For COMMITTEE FOR PURCHASE FROM End of Certification PEOPLE WHO ARE BLIND OR further information or to submit comments contact Barry S. Lineback, SEVERELY DISABLED Accordingly, the following products Telephone: (703) 603–7740, Fax: (703) are added to the Procurement List: Procurement List; Additions 603–0655, or email CMTEFedReg@ Products AbilityOne.gov. AGENCY: Committee for Purchase From NSN—Product Name: MR 843—Set, Bag SUPPLEMENTARY INFORMATION: People Who Are Blind or Severely This Clip, 5 pc. Disabled. notice is published pursuant to 41 Mandatory Purchase For: Military U.S.C. 8503(a)(2) and 41 CFR 51–2.3. Its ACTION: Additions to the Procurement commissaries and exchanges in purpose is to provide interested persons List. accordance with the Code of Federal an opportunity to submit comments on Regulations, Chapter 51, 51–6.4. SUMMARY: the proposed actions. This action adds products to Mandatory Source of Supply: Industries for the Procurement List that will be the Blind, Inc., West Allis, WI. Additions furnished by nonprofit agencies Contracting Activity: Defense Commissary If the Committee approves the employing persons who are blind or Agency, Fort Lee, VA. proposed additions, the entities of the have other severe disabilities. Distribution: C-List. Federal Government identified in this DATES: Effective 8/10/2015. NSNs—Product Names: notice will be required to procure the ADDRESSES: Committee for Purchase 7530–00–NIB–1158—Label, Address, services listed below from nonprofit From People Who Are Blind or Severely Recycled, Laser and Inkjet, White, 1″ × agencies employing persons who are Disabled, 1401 S. Clark Street, Suite 4″ blind or have other severe disabilities. 715, Arlington, Virginia 22202–4149. 7530–00–NIB–1159—Label, Address, The following services are proposed FOR FURTHER INFORMATION CONTACT: Recycled, Laser and Inkjet, White, 2″ × for addition to the Procurement List for Barry S. Lineback, Telephone: (703) 4″ production by the nonprofit agencies 603–7740, Fax: (703) 603–0655, or email 7530–00–NIB–1160—Label, Address, listed: 1 ″ [email protected]. Recycled, Laser and Inkjet, White, 1 ⁄3 × 4″ Services SUPPLEMENTARY INFORMATION: Mandatory Purchase For: Total Government Service Type: Equipment and Facility Additions Requirement. Support Service Mandatory Source of Supply: North Central Service Mandatory For: U.S. Air Force, On 6/5/2015 (80 FR 32096–32097), Ogden Air Logistics Complex, Hill Air the Committee for Purchase From Sight Services, Inc., Williamsport, PA. Contracting Activity: General Services Force Base, UT People Who Are Blind or Severely Mandatory Source of Supply: Beacon Group Administration, New York, NY. Disabled published notice of proposed SW., Inc., Tucson, AZ Distribution: A-List. additions to the Procurement List. Contracting Activity: FA8224 OL H PZI After consideration of the material Barry S. Lineback, PZIM, Hill Air Force Base, UT Service Type: Document Destruction Service presented to it concerning capability of Director, Business Operations. qualified nonprofit agencies to provide Service Mandatory For: Department of [FR Doc. 2015–16934 Filed 7–9–15; 8:45 am] Veterans Affairs, Veterans Integrated, the products and impact of the BILLING CODE 6353–01–P Service Network (VISN) 10, 3140 additions on the current or most recent Governor’s Place Blvd., Suite 210, contractors, the Committee has Kettering, OH determined that the products listed Mandatory Source of Supply: Greene, Inc., below are suitable for procurement by Xenia, OH

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Contracting Activity: Department of Veterans of automated collection techniques or Number of Respondents: 173,338. Affairs, 552-Dayton, Dayton OH other forms of information technology. Responses per Respondent: 1. Service Type: Janitorial Service DATES: Annual Responses: 173,338. Service Mandatory For: U.S. Coast Guard, Consideration will be given to all comments received by September 8, Average Burden per Response: 10 Transformation Warehouse, 1873 minutes. 2015. Eringhaus Street, Elizabeth City, NC Frequency: On occasion. Mandatory Source of Supply: Skills, Inc., ADDRESSES: You may submit comments, Respondents are DA Civilian Elizabeth City, NC identified by docket number and title, employees and Soldiers. Departing Contracting Activity: Department of by any of the following methods: Soldiers or DA Civilian employees Homeland Security, U.S. Coast Guard, • Aviation Logistics Center (ALC), Federal eRulemaking Portal: http:// complete the DA Form 5434 during Elizabeth City, NC www.regulations.gov. Follow the initial reassignment interview or are instructions for submitting comments. interviewed by a DA Civilian employee Deletions • Mail: Department of Defense, Office following selection notification and of the Deputy Chief Management acceptance of a position. The The following service is proposed for Officer, Directorate of Oversight and automation of the collection action into deletion from the Procurement List: Compliance, Regulatory and Audit the Army Career Tracker (ACT) will Services Matters Office, 9010 Defense Pentagon, help commanders with their basic Service Type: Food Service Attendant Service Washington, DC 20301–9010. responsibility to assist Soldiers, civilian Service Mandatory For: United States Instructions: All submissions received employees, and families successfully Military Academy: Enlisted Dining must include the agency name, docket relocate in and out of their commands. Facility, and Summer Camp, Enlisted number and title for this Federal The form will be hosted into the ACT Dining Facility—Bldg 620, Knox Road, Register document. The general policy system to facilitate the execution of the West Point, NY for comments and other submissions Total Army Sponsorship Program Mandatory Source of Supply: New Dynamics from members of the public is to make (TASP). Corporation, Middletown, NY these submissions available for public Contracting Activity: Dept of the Army, Dated: July 6, 2015. W40M Northern Region Contract Office viewing on the Internet at http:// Aaron Siegel, Fort Belvoir, VA www.regulations.gov as they are Alternate OSD Federal Register, Liaison received without change, including any Officer, Department of Defense. Barry S. Lineback, personal identifiers or contact [FR Doc. 2015–16855 Filed 7–9–15; 8:45 am] Director, Business Operations. information. BILLING CODE 5001–06–P Any associated form(s) for this [FR Doc. 2015–16933 Filed 7–9–15; 8:45 am] collection may be located within this BILLING CODE 6353–01–P same electronic docket and downloaded DEPARTMENT OF DEFENSE for review/testing. Follow the instructions at http:// Office of the Secretary DEPARTMENT OF DEFENSE www.regulations.gov for submitting [Docket ID: DoD–2014–OS–0039] comments. Please submit comments on Department of the Army any given form identified by docket Proposed Collection; Comment [Docket ID USA–2013–0013] number, form number, and title. Request FOR FURTHER INFORMATION CONTACT: To AGENCY: Office of the Under Secretary of Proposed Collection; Comment request more information on this Defense for Personnel & Readiness, DoD. Request proposed information collection or to obtain a copy of the proposal and ACTION: Notice. AGENCY: Department of Defense/ associated collection instruments, Department of the Army/U.S. Army SUMMARY: In compliance with the please write to the Headquarters, U.S. Training and Doctrine Command Paperwork Reduction Act of 1995, the Army Training and Doctrine Command, (TRADOC), DoD. Office of the Under Secretary of Defense Learning Integration, Institute for NCO ACTION: Notice. for Personnel & Readiness announces a Professional Development (ATCG–NCI), proposed public information collection SUMMARY: In compliance with the ATTN: Jeffery J. Colimon, 950 Jefferson and seeks public comment on the Paperwork Reduction Act of 1995, the Avenue, Fort Eustis, Virginia 23604– provisions thereof. Comments are Office of the Assistant Secretary of 5702. invited on: (a) Whether the proposed Defense for the Department of the Army SUPPLEMENTARY INFORMATION: collection of information is necessary announces a proposed public Title; Associated Form; and OMB for the proper performance of the information collection and seeks public Number: Sponsorship Program functions of the agency, including comment on the provisions thereof. Counseling and Information Sheet; DA whether the information shall have Comments are invited on: (a) whether Form 5434; OMB Control Number 0702– practical utility; (b) the accuracy of the the proposed collection of information TBD. agency’s estimate of the burden of the is necessary for the proper performance Needs and Uses: The information proposed information collection; (c) of the functions of the agency, including collection requirement is necessary to ways to enhance the quality, utility, and whether the information shall have obtain and retain sponsorship program clarity of the information to be practical utility; (b) the accuracy of the entitlements, and provide information collected; and (d) ways to minimize the agency’s estimate of the burden of the to gaining battalion or activity of new burden of the information collection on proposed information collection; (c) members. respondents, including through the use ways to enhance the quality, utility, and Affected Public: Individuals or of automated collection techniques or clarity of the information to be Households; Soldiers and Department of other forms of information technology. collected; and (d) ways to minimize the the Army Civilians and their Family DATES: Consideration will be given to all burden of the information collection on Members. comments received by September 8, respondents, including through the use Annual Burden Hours: 28,889. 2015.

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ADDRESSES: You may submit comments, Military Spouses = On occasion. ACTION: Notice of Availability. identified by docket number and title, MSEP Partners = On occasion. by any of the following methods: Companies = Once. SUMMARY: The U.S. Army Corps of • Federal eRulemaking Portal: http:// The Military Spouse Employment Engineers (COE), Wilmington District, www.regulations.gov. Follow the Partnership (MSEP) Career Portal is the Wilmington Regulatory Field Office has instructions for submitting comments. sole web platform utilized to connect received a request for Department of the • Mail: Department of Defense, Office military spouses with companies Army authorization, pursuant to Section of the Deputy Chief Management seeking to hire military spouse 404 of the Clean Water Act and Section Officer, Directorate of Oversight and employees. Participating companies, 10 of the Rivers and Harbors Act, from Compliance, Regulatory and Audit called MSEP Partners, are vetted and Figure Eight Beach Homeowners’ Matters Office, 9010 Defense Pentagon, approved participants in the MSEP Association Inc. (HOA) to install a Washington, DC 20301–9010. Program and have pledged to recruit, terminal groin structure along Rich Inlet Instructions: All submissions received hire, promote and retain military and to conduct a supplemental beach must include the agency name, docket spouses in portable careers. MSEP is a nourishment on approximately 4,500 number and title for this Federal targeted recruitment and employment linear feet of oceanfront beach and 1,400 Register document. The general policy partnership that connects American linear feet of back barrier shoreline to for comments and other submissions businesses with military spouses who protect residential homes and from members of the public is to make possess essential 21st-century workforce infrastructures along the central and these submissions available for public skills and attributes and are seeking northern sections of Figure Eight Island. viewing on the Internet at http:// portable, fulfilling careers. The MSEP The terminal groin structure will be www.regulations.gov as they are program is part of the overall Spouse placed perpendicular on the northern received without change, including any Education and Career Opportunities tip of the island along the shoulder of personal identifiers or contact (SECO) program which falls under the Rich Inlet; and the proposed source of information. auspices of the office of the Deputy the material for the nourishment will be Assistant Secretary of Defense for dredged from an area within Nixon FOR FURTHER INFORMATION CONTACT: To Channel, a back barrier channel, that request more information on this Military Community & Family Policy. This program was developed in has been previously used for past beach proposed information collection or to nourishment projects. In case the obtain a copy of the proposal and compliance with 10 U.S. Code 1784 Employment Opportunities for Military quantity of material from Nixon associated collection instruments, Channel is not sufficient, material please write to the Office of Family Spouses which states: (f) Private-Sector Employment.—The pumped from (3) nearby upland Readiness Policy, ATTN: Program Secretary of Defense— disposal islands will be used to Manager, Spouse Education & Career (1) Shall seek to develop partnerships supplement the nourishment needs. The Opportunities Program, 4800 Mark with firms in the private sector to majority of the material will be disposed Center Drive, Suite 03G15, Alexandria, enhance employment opportunities for within the fillet area, or down shore, of VA 22350–2300. spouses of members of the armed forces the groin. Pending storm events and SUPPLEMENTARY INFORMATION: and to provide for improved job shoreline changes, maintenance, or Title; Associated Form; and OMB portability for such spouses, especially periodic nourishment, of the beach is Number: Military Spouse Employment in the case of the spouse of a member proposed a maximum of once every five Partnership (MSEP) Career Portal; OMB of the armed forces accompanying the years, or potential 6 separate events over Control Number 0704–TBD. member to a new geographical area the 30-year study period. Nixon Needs and Uses: This information because of a change of permanent duty Channel and the upland disposal collection requirement is necessary to station of the member; and islands are the proposed material allow MSEP Partners to search for (2) shall work with the United States sources for the periodic maintenance, or military spouse candidates and for Chamber of Commerce and other renourishment, events. military spouses to directly search for appropriate private-sector entities to DATES: Written comments on the employment opportunities with MSEP facilitate the formation of such Supplemental EIS must be received at Partners. partnerships. (see ADDRESSES) no later than 5 p.m. on Affected Public: Military spouse users Dated: July 7, 2015. August 24, 2015. of the MSEP Career Portal, MSEP Partners, Companies. Aaron Siegel, ADDRESSES: Copies of comments and Annual Burden Hours: Alternate OSD Federal Register Liaison questions regarding the Supplemental Military Spouses = 16,500. Officer, Department of Defense. EIS may be addressed to: U.S. Army MSEP Partners = 125. [FR Doc. 2015–16869 Filed 7–9–15; 8:45 am] Corps of Engineers, Wilmington District, Companies = 38. BILLING CODE 5001–06–P Regulatory Division. ATTN: File TOTAL = 900,163. Number 2006–41158, 69 Darlington Number of Respondents: Avenue, Wilmington, NC 28403. Copies Military Spouses = 22,000 military DEPARTMENT OF DEFENSE of the Supplemental EIS can be spouses. reviewed on the Corps homepage at, Department of the Army; Corps of MSEP Partners = 300 partners. http://www.saw.usace.army.mil/ Engineers Companies = 150 companies. Missions/RegulatoryPermitProgram/ MajorProjects, under Figure Eight Island TOTAL = 1,200,450 respondents. The Release of the Supplemental Responses per Respondent: 1. Terminal Groin: Corps ID #SAW–2006– Environmental Impact Statement for 41158. Average Burden per Response: the Figure Eight Island Shoreline FOR FURTHER INFORMATION CONTACT: Military Spouses = 45 minutes. Management Project, on Figure Eight MSEP Partners = 25 minutes. Island, New Hanover County, NC Questions about the proposed action Companies = 15 minutes. and SEIS and/or to receive CD or TOTAL = 85 minutes. AGENCY: Department of the Army, U.S. written copies of the Supplemental EIS Frequency: Army Corps of Engineers, DoD. can be directed to Mr. Mickey Sugg,

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Wilmington Regulatory Field Office, NAVD on the seaward end. determined that one of those variations, telephone: (910) 251–4811. Approximately 16,000 tons of stone Alternative 5D, would best suit their SUPPLEMENTARY INFORMATION: would be used to construct the terminal needs. Alternative 5D, the applicant’s 1. Project Purpose and Need. Figure groin. The concept design of the preferred alternative, is to install a Eight Beach HOA has addressed the structure is intended to allow littoral terminal groin structure approximately continuing oceanfront erosion problems sand transport to move over, around, 420 feet north of Alternatives 5A and associated with Rich Inlet and Nixon and through the groin once the accretion 5B, to conduct initial supplemental Channel erosion hot-spot on the fillet has completely filled in. beach nourishment, and to implement a Construction of the terminal groin estuarine side of the island over the past periodic beach nourishment plan over a will be kept within a corridor varying in several decades. Past actions to protect 30-year period. the shorelines have provided some width from 50 feet to 200 feet. Within 4. Scoping Process. To date, a public protection, however they are seeking a this corridor, a 40–70 foot wide trench ¥ scoping meeting was held on March 1, longer term solution to handle shoreline will be excavated to a depth of 2.5 feet erosion in order to protect the island’s NAVD in order to construct the 2007; several Project Delivery Team $907,352,900 (based on the 2012 foundation of the landward section. The (PDT) meetings have been held; reappraisal) assessed property tax value. approximate 6,000 cubic yards of comprising of local, state, and federal Their stated needs of the project excavated material will be replaced on government officials, local residents and continue to be the following: (1) Reduce and around the structure once it’s in nonprofit organizations; Draft EIS was place. Material used to build the groin erosion along approximately 2.3 miles released for public comments on May will be barged down the Atlantic of oceanfront and 0.34 miles of back 18, 2012; and a Public Hearing was Intracoastal Waterway (AIWW), through barrier shorelines, (2) Provide conducted on June 7, 2012. Nixon Channel, and either offloaded reasonable short-term protection to onto a temporary loading dock or The COE is consulting with the U.S. residential structures to any directly onto shore. It will then be Fish and Wildlife Service under the unpredicted shoreline change over the transported, via dump trucks, within the Endangered Species Act and the Fish next five years, (3) Provide long-term designated corridor to the construction and Wildlife Coordination Act, and with protection to homes and infrastructure site. the National Marine Fisheries Service over the next 30 years, (4) Maintain the Material used for nourishment will be under the Magnuson-Stevens Act and tax value of homes, properties, and dredged, using a hydraulic cutterhead Endangered Species Act. Additionally, infrastructure, (5) Use beach compatible plant, from a designated borrow site the SEIS assesses the potential water material, (6) Maintain navigation within Nixon Channel, which has been quality impacts pursuant to Section 401 conditions within Rich Inlet and Nixon previously used for beach fill needs. of the Clean Water Act, and is Channel, (7) Maintain recreational Approximately 294,500 cubic yards will coordinated with the North Carolina resources, and (8) Balance the needs of be required for both the oceanfront the human environment with the Division of Coastal Management (DCM) (237,500 cubic yards) and the Nixon to insure the projects consistency with protection of existing natural resources. Channel shoreline (57,000 cubic yards) 2. Proposed Action. Within the the Coastal Zone Management Act. The fill areas under the 2006 and 2012 COE is coordinating closely with DCM Town’s preferred alternative, known as shoreline study conditions. Beach in the development of the SEIS to Alternative 5D, the installation of the compatible material from (3) upland ensure the process complies with State terminal groin is the main component in disposal islands would serve as a the protection of the oceanfront contingency sediment source. Environmental Policy Act (SEPA) shoreline. The location of the structure Engineer modeling results have requirements, as well as the NEPA will be approximately 420 feet north of shown that periodic nourishment will requirements. The Supplemental EIS the initial location described in the be required approximately once every has been designed to consolidate both Draft EIS which was published in the five years to maintain the beach and NEPA and SEPA processes to eliminate Federal Register (77 FR 29618) on May Nixon Channel shorelines. The duplications. 18, 2012. The proposed structure is just combined 5-year estimated maintenance Dated: July 2, 2015. north of the existing homes along the needs for both areas are 320,000 cubic Henry Wicker, shoulder of Rich Inlet. Its total length is yards of material under the 2006 approximately 1,500 feet, which condition and 255,000 cubic yards of Regulatory Division Assistant Chief, approximately 505 feet will project material under 2012 condition, Wilmington District. seaward of the 2007 mean high water equivalent to approximately 58,000 and [FR Doc. 2015–16941 Filed 7–9–15; 8:45 am] shoreline. The landward 995-foot 45,000 cubic yards per year BILLING CODE 3720–58–P anchor section would extend across the respectively. This material will come island and terminate near the Nixon from the designated Nixon Channel Channel Shoreline. This section will be borrow site and the (3) upland disposal constructed of 14,000 to 18,000 square areas. feet of sheet pile with portions of the 3. Alternatives. Several alternatives length wrapped with rock. Although have been identified and evaluated engineering design plans are not through the scoping process, and further finalized, basic construction design of detailed description of all alternatives is the seaward 505-foot part of the disclosed in Section 3.0 of the structure will be in the form of a typical Supplemental EIS. At the time of the rubble (rock) mound feature supported Draft EIS release in 2012, the applicant’s by a 1.5-foot thick stone foundation preferred alternative had been the blanket. Crest height or elevation of this Alternative 5B described in Section 3.0 section is estimated to be + 6.0 feet of the SEIS. However, the Figure Eight NAVD for the first 400 feet and would Beach HOA evaluated two other minor slope to a top elevation of + 3.0 feet variations of this alternative and

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DEPARTMENT OF DEFENSE regulatory framework includes the Rusk County Library, 106 East Main St., establishment of a Regional General Henderson, TX 75652 Department of the Army, Corps of Permit (RGP) and a revised Letter of Sulphur Springs Public Library, 611 Davis St. Engineers Permission (LOP) procedure with North, Sulphur Springs, TX 75482 modifications to aquatic resource Fannie Brown Booth Library, 619 Tenaha Availability of a Draft Regional impact thresholds and a change from Street, Center, TX 75935 Environmental Impact Statement to agency concurrence to agency Rains County Public Library, 150 Doris Analyze Potential Impacts within coordination as compared to the current Briggs Parkway, Emory, TX 75440 Defined Geographic Regions in Texas process. No changes to the criteria for Tyler Public Library, 201 S. College Ave., that may be Affected by Future U.S. Nationwide Permit (NWP) 21 or NWP Tyler, TX 75702 Army Corps of Engineers, Fort Worth 49 are proposed. Mount Pleasant Public Library, 601 North District, Permit Decisions for Future The REIS considers the potential Madison Ave., Mount Pleasant, TX 75455 Surface Coal and Lignite Mine environmental impacts of future mine Palestine Public Library, 2000 S. Loop 256, Expansions or Satellite Mines within expansions or satellite mines in six Ste. 42, Palestine, TX 75801 the District’s area of Responsibility study areas along the coal-bearing Quitman Public Library, 202 East Goode (USACE Project No. SWF–2010–00244) formations in Texas that run from Street, Quitman, TX 75783 southwest Texas to northeast Texas. The Marlin Public Library, 400 Oaks St., Marlin, AGENCY: Department of the Army, U.S. TX 76661 Army Corps of Engineers, DoD. study areas encompass locations within the coal/lignite belt in Texas that were Singletary Memorial Library, 207 E 6th St, ACTION: Notice of availability. determined to be within reasonable Rusk, TX 75785 proximity to existing surface coal and Mary Moody Northen Municipal Library, 350 SUMMARY: The U.S. Army Corps of West Main Street, Fairfield, TX 75840 Engineers (USACE), Fort Worth District, lignite mines with potential for future expansion. Longview Public Library, 222 W. Cotton St., as lead federal agency, is preparing this Longview, TX 75601 Regional Environmental Impact As part of the public involvement process, notice is hereby given by the Clint W. Murchinson Memorial Library, 121 Statement (REIS) to analyze potential S. Prairieville, Athens, TX 75751 impacts within defined geographic USACE Fort Worth District of informal public information meetings (open Marshall Public Library, 300 S. Alamo Blvd., regions in Texas that may be affected by Marshall, TX 75670 house format) and formal Public future USACE, Fort Worth District, Elmer P. & Jewel Ward Memorial Library, 207 Hearings regarding this Draft REIS will permit decisions for future surface coal E St Mary’s St, Centerville, TX 75833 be held August 10–13, 2015, at the and lignite mine expansions or satellite Groesbeck Maffett Public Library, 601 W. following locations: mines within the District’s area of Yeagua St., Groesbeck, TX 76642 August 10, 2015; International Center responsibility. The REIS is being Georgetown Public Library, 402 W. 8th St., for Trade; 3295 Bob Rogers Drive, Eagle prepared in compliance with the Georgetown, TX 78626 Pass, TX 78852. National Environmental Policy Act of Jourdanton Community Library, 1101 August 11, 2015; Pleasanton Country 1969 (NEPA), the Council on Cambell Ave., Jourdanton, TX 78026 Club; 1801 McGuffin Drive, Pleasanton, Environmental Quality (CEQ) Carnegie Library, 315 E. Decherd Street, TX 78064. Regulations for Implementing the August 12, 2015; Bell County Expo Franklin, TX 77856 Procedural Provisions of NEPA (40 Code Center; 301 West Loop 121, Belton, TX Live Oak County Library, 102 Le Roy St, Three Rivers, TX 78071 of Federal Regulations [CFR] 1500– 76513. 1508), and the USACE Procedures for August 13, 2015; Holiday Inn South Van Zandt County Public Library, 317 First Implementing NEPA (33 CFR 230). Broadway; 5701 South Broadway, Tyler, Monday Ln, Canton, TX 75103 DATES: Submit comments no later than TX 75703. Dimmit County Public Library, 200 N. 9th 60 days from the date of publication of Open House meetings will be held Street, Carrizo Springs, TX 78834 this notice in the Federal Register. from 4:30 p.m. to 6:30 p.m. with the Bastrop Public Library, 1100 Church Street, Formal Public Hearings beginning at Bastrop, TX 78602 ADDRESSES: Send written comments and Kinney County Public Library, 510 South 6:30 p.m. at each location. Written suggestions concerning this proposal to Ellen St., Bracketville, TX 78832 comments should be sent to Mr. Darvin Mr. Darvin Messer, Regulatory Project Harrie P. Woodson Memorial Library, 704 W. Messer (see ADDRESSES). The Manager, Regulatory Branch, CESWF– Hwy. 21, Caldwell, TX 77836 DE–R, U.S. Army Corps of Engineers, comments are due no later than 60 days Eagle Pass Main Library, 589 East Main, Fort Worth District, P.O. Box 17300, from the date of publication of this Eagle Pass, TX 78852 Fort Worth, TX 76102–0300 or via notice. Copies of the Draft REIS may be Giddings Public Library, 276 North Orange email: Texas_REIS_Comments@ obtained by contacting USACE Fort St., Giddings, TX 78942 usace.army.mil Worth District Regulatory Branch at Crystal City Memorial Library, 101 E Dimmit, Requests to be placed on the mailing (817) 886–1731 or downloaded/printed Crystal City, TX 78839 list should also be sent to this address. from the Fort Worth District USACE Cameron Public Library, 304 East 3rd Street, Please reference USACE Project No. internet Web site at: http://www.swf. Cameron, TX 76520 SWF–2010–00244 in all usace.army.mil/Missions/Regulatory/ communications. Permitting/REISforLigniteMiningin After the public comment period Texas.aspx ends, the USACE will consider all FOR FURTHER INFORMATION CONTACT: Mr. Copies of the Draft REIS are also comments received by the due date, Darvin Messer, Regulatory Project available for inspection at the locations revise the Draft REIS as appropriate, and Manager at (817) 886–1744 or via email: identified below: issue a Final Regional Environmental [email protected] Impact Statement. Pittsburg-Camp County Public Library, 613 SUPPLEMENTARY INFORMATION: The Quitman Street, Pittsburg, TX 75686 Stephen L Brooks, USACE, Fort Worth District, is Sammy Brown Library, 319 S. Market St., Chief, Regulatory Division. proposing changes to its regulatory Carthage, TX 75633 framework for surface coal and lignite Franklin County Library, 100 Main Street [FR Doc. 2015–16656 Filed 7–9–15; 8:45 am] mines in Texas. The proposed East, Mt. Vernon, TX 75457 BILLING CODE 3720–58–P

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DEPARTMENT OF EDUCATION information collection request (ICR) that DEPARTMENT OF ENERGY is described below. The Department of [Docket No. ED–2015–ICCD–0036] Education is especially interested in Federal Energy Regulatory Commission Agency Information Collection public comment addressing the Activities; Submission to the Office of following issues: (1) Is this collection [Docket No. EL15–83–000] Management and Budget for Review necessary to the proper functions of the and Approval; Comment Request; Department; (2) will this information be Joint Consumer Representatives v. Study on Sustaining the Positive processed and used in a timely manner; PJM Interconnection, L.L.C.; Notice of Effects of Preschool (3) is the estimate of burden accurate; Complaint (4) how might the Department enhance AGENCY: OPEPD, Department of Take notice that on June 30, 2015, the quality, utility, and clarity of the Education (ED). pursuant to sections 206 of the Federal information to be collected; and (5) how Energy Regulatory Commission’s ACTION: Notice. might the Department minimize the (Commission) Rules of Practice and SUMMARY: In accordance with the burden of this collection on the Procedure, 18 CFR 385.206 and sections Paperwork Reduction Act of 1995 (44 respondents, including through the use 206 and 306 of the Federal Power Act, U.S.C. chapter 3501 et seq.), ED is of information technology. Please note 16 U.S.C. 824(e) and 825(e), the Joint proposing a new information collection that written comments received in Consumer Representatives DATES: Interested persons are invited to response to this notice will be (Complainant) filed a formal complaint submit comments on or before August considered public records. against PJM Interconnection, L.L.C, (Respondent) alleging that PJM 10, 2015. Title of Collection: Study on ADDRESSES: Comments submitted in Interconnection, L.L.C. has violated Sustaining the Positive Effects of Federal Power Act Section 206 by response to this notice should be Preschool. submitted electronically through the failing to update its 2015 PJM Region OMB Control Number: 1875—NEW. Federal eRulemaking Portal at http:// Peak Load Forecast values, for purposes www.regulations.gov by selecting Type of Review: A new information of the upcoming Capacity Performance Docket ID number ED–2015–ICCD–0036 collection. Transition Incremental Auctions and or via postal mail, commercial delivery, 2015 Base Residual Auction, to reflect Respondents/Affected Public: State, the impact of recent enhancements to or hand delivery. If the regulations.gov Local or Tribal Governments. site is not available to the public for any PJM’s load forecasting model that reason, ED will temporarily accept Total Estimated Number of Annual results in an enhanced load forecast. The Complainant certify that copies of comments at [email protected]. Responses: 33. the complaint were served on the Please note that comments submitted by Total Estimated Number of Annual contacts for PJM Interconnection, L.L.C. fax or email and those submitted after Burden Hours: 29. as listed on the Commission’s list of the comment period will not be Abstract: The Policy and Program Corporate Officials. accepted; ED will ONLY accept Studies Service (PPSS), within the U.S. Any person desiring to intervene or to comments during the comment period Department of Education’s Office of protest this filing must file in in this mailbox when the regulations.gov Planning, Evaluation and Policy accordance with Rules 211 and 214 of site is not available. Written requests for Development, contracted with the the Commission’s Rules of Practice and information or comments submitted by American Institutes for Research to Procedure (18 CFR 385.211, 385.214). postal mail or delivery should be conduct five case studies on sustaining Protests will be considered by the addressed to the Director of the Commission in determining the Information Collection Clearance the positive effects of preschool. The case studies will provide detailed appropriate action to be taken, but will Division, U.S. Department of Education, not serve to make protestants parties to 400 Maryland Avenue SW., LBJ, descriptions of five programs that help disadvantaged students in K–3 build on the proceeding. Any person wishing to Mailstop L–OM–2–2E319, Room 2E– become a party must file a notice of 103, Washington, DC 20202. the positive effects of preschool or lead to positive cognitive, social-emotional, intervention or motion to intervene, as FOR FURTHER INFORMATION CONTACT: For appropriate. The Respondent’s answer specific questions related to collection and academic outcomes by using policies, programs, and practices related and all interventions, or protests must activities, please contact Erica Lee, (202) be filed on or before the comment date. to two key topic areas: (1) Preschool and 260–1463. The Respondent’s answer, motions to K–3 alignment and (2) differentiated SUPPLEMENTARY INFORMATION: The intervene, and protests must be served instruction. On-site case studies will Department of Education (ED), in on the Complainants. accordance with the Paperwork include interviews with district The Commission encourages Reduction Act of 1995 (PRA) (44 U.S.C. officials, principals, Kindergarten electronic submission of protests and 3506(c)(2)(A)), provides the general teachers, preschool teachers, program interventions in lieu of paper using the public and Federal agencies with an funders, and program evaluators. ‘‘eFiling’’ link at http://www.ferc.gov. opportunity to comment on proposed, Dated: July 7, 2015. Persons unable to file electronically revised, and continuing collections of Stephanie Valentine, should submit an original and 5 copies information. This helps the Department of the protest or intervention to the Acting Director, Information Collection assess the impact of its information Federal Energy Regulatory Commission, Clearance Division, Privacy, Information and collection requirements and minimize Records Management Services, Office of 888 First Street NE., Washington, DC the public’s reporting burden. It also Management. 20426. helps the public understand the This filing is accessible on-line at Department’s information collection [FR Doc. 2015–16890 Filed 7–9–15; 8:45 am] http://www.ferc.gov, using the requirements and provide the requested BILLING CODE 4000–01–P ‘‘eLibrary’’ link and is available for data in the desired format. ED is electronic review in the Commission’s soliciting comments on the proposed Public Reference Room in Washington,

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DC. There is an ‘‘eSubscription’’ link on Filed Date: 6/30/15. Comments Due: 5 p.m. ET 7/13/15. the Web site that enables subscribers to Accession Number: 20150630–5144. Docket Numbers: RP15–1100–000. receive email notification when a Comments Due: 5 p.m. ET 7/13/15. Applicants: National Fuel Gas Supply document is added to a subscribed Docket Numbers: RP15–1093–000. Corporation. docket(s). For assistance with any FERC Applicants: Gulf South Pipeline Description: Section 4(d) Rate Filing: Online service, please email Company, LP. Decoupled Releases to be effective 8/1/ [email protected], or call Description: Section 4(d) Rate Filing: 2015. (866) 208–3676 (toll free). For TTY, call Amendment to Neg Rate Agmt (FPL Filed Date: 6/30/15. (202) 502–8659. 40097–14) to be effective 7/1/2015. Accession Number: 20150630–5262. Comment Date: 5:00 p.m. Eastern Filed Date: 6/30/15. Comments Due: 5 p.m. ET 7/13/15. Time on July 20, 2015. Accession Number: 20150630–5184. Docket Numbers: RP15–1101–000. Dated: July 1, 2015. Comments Due: 5 p.m. ET 7/13/15. Applicants: Big Sandy Pipeline, LLC. Description: Section 4(d) Rate Filing: Nathaniel J. Davis, Sr., Docket Numbers: RP15–1094–000. Big Sandy EPC 2015 to be effective 8/ Deputy Secretary. Applicants: Colorado Interstate Gas Company, L.L.C. 1/2015. [FR Doc. 2015–16889 Filed 7–9–15; 8:45 am] Filed Date: 6/30/15. Description: Section 4(d) Rate Filing: BILLING CODE 6717–01P Accession Number: 20150630–5271. Non-Conforming Agreement Update Comments Due: 5 p.m. ET 7/13/15. Filing to be effective 8/1/2015. Docket Numbers: RP15–1102–000. Filed Date: 6/30/15. DEPARTMENT OF ENERGY Applicants: Texas Eastern Accession Number: 20150630–5190. Transmission, LP. Federal Energy Regulatory Comments Due: 5 p.m. ET 7/13/15. Description: Section 4(d) Rate Filing: Commission Docket Numbers: RP15–1095–000. EPC AUG 2015 FILING to be effective 8/ Applicants: Iroquois Gas Combined Notice of Filings 1/2015. Transmission System, L.P. Filed Date: 6/30/15. Take notice that the Commission has Description: Measurement Variance/ Accession Number: 20150630–5274. received the following Natural Gas Fuel Use Factors of Iroquois Gas Comments Due: 5 p.m. ET 7/13/15. Pipeline Rate and Refund Report filings: Transmission System, L.P. The filings are accessible in the Filed Date: 6/30/15. Filings Instituting Proceedings Commission’s eLibrary system by Accession Number: 20150630–5194. clicking on the links or querying the Docket Numbers: PR15–35–001. Comments Due: 5 p.m. ET 7/13/15. docket number. Applicants: Southcross Alabama Docket Numbers: RP15–1096–000. Any person desiring to intervene or Pipeline LLC. Applicants: Transcontinental Gas protest in any of the above proceedings Description: Submits tariff filing per Pipe Line Company. must file in accordance with Rules 211 284.123(b), (e), (g): Revised Tariff filing Description: Section 4(d) Rate Filing: and 214 of the Commission’s to be effective 5/1/2015; Filing Type: Negotiated Rates—Cherokee AGL— Regulations (18 CFR 385.211 and 1270. Replacement Shippers—Jul 2015 to be 385.214) on or before 5:00 p.m. Eastern Filed Date: 6/30/15. effective 7/1/2015. time on the specified date(s). Protests Accession Number: 20150630–5107. Filed Date: 6/30/15. may be considered, but intervention is Comments Due: 5 p.m. ET 7/21/15. Accession Number: 20150630–5199. necessary to become a party to the 284.123(g) Protests Due: 5 p.m. ET 7/ Comments Due: 5 p.m. ET 7/13/15. proceeding. 21/15. Docket Numbers: RP15–1097–000. eFiling is encouraged. More detailed Docket Numbers: RP15–1090–000. Applicants: Wyoming Interstate information relating to filing Applicants: Monroe Gas Storage Company, L.L.C. requirements, interventions, protests, Company, LLC. Description: Section 4(d) Rate Filing: service, and qualifying facilities filings Description: Compliance filing Non-Conforming Agreement Update to can be found at: http://www.ferc.gov/ Compliance Filing—FERC Order No. be effective 8/1/2015. docs-filing/efiling/filing-req.pdf. For 801 System Maps to be effective 6/30/ Filed Date: 6/30/15. other information, call (866) 208–3676 2015. (toll free). For TTY, call (202) 502–8659. Filed Date: 6/30/15 Accession Number: 20150630–5202. Accession Number: 20150630–5136. Comments Due: 5 p.m. ET 7/13/15. Dated: July 1, 2015. Comments Due: 5 p.m. ET 7/13/15. Docket Numbers: RP15–1098–000. Nathaniel J. Davis, Sr., Docket Numbers: RP15–1091–000. Applicants: Enable Gas Transmission, Deputy Secretary. Applicants: Cadeville Gas Storage LLC. [FR Doc. 2015–16886 Filed 7–9–15; 8:45 am] LLC. Description: Section 4(d) Rate Filing: BILLING CODE 6717–01–P Description: Compliance filing Negotiated Rate Filing—June 30 2015— Compliance Filing—FERC Order No. Entergy 8791 LER 8744 and SWEPCO 801 System Maps to be effective 6/30/ 6888 to be effective 7/1/2015. DEPARTMENT OF ENERGY 2015 Filed Date: 6/30/15. Filed Date: 6/30/15. Accession Number: 20150630–5243. Federal Energy Regulatory Accession Number: 20150630–5141. Comments Due: 5 p.m. ET 7/13/15. Commission Comments Due: 5 p.m. ET 7/13/15. Docket Numbers: RP15–1099–000. Combined Notice of Filings #2 Docket Numbers: RP15–1092–000. Applicants: Rockies Express Pipeline Applicants: Perryville Gas Storage LLC. Take notice that the Commission LLC, Perryville Gas Storage LLC. Description: Section 4(d) Rate Filing: received the following electric rate Description: Compliance filing Neg Rate 2015–06–30 Mieco, Exelon, filings: Compliance Filing—FERC Order No. BP, Tenaska to be effective 7/1/2015. Docket Numbers: ER10–1714–007. 801 System Maps to be effective 6/30/ Filed Date: 6/30/15. Applicants: LG&E Energy Marketing 2015. Accession Number: 20150630–5258. Inc.

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Description: Triennial Market Power Any person desiring to intervene or www.ferc.gov. To facilitate electronic Update for Central Region of LG&E protest in any of the above proceedings service, persons with Internet access Energy Marketing Inc. must file in accordance with Rules 211 who will eFile a document and/or be Filed Date: 6/30/15. and 214 of the Commission’s listed as a contact for an intervenor Accession Number: 20150630–5467. Regulations (18 CFR 385.211 and must create and validate an Comments Due: 5 p.m. ET 8/31/15. 385.214) on or before 5:00 p.m. Eastern eRegistration account using the Docket Numbers: ER10–3110–005; time on the specified comment date. eRegistration link. Select the eFiling ER10–3144–006. Protests may be considered, but link to log on and submit the Applicants: Union Power Partners, intervention is necessary to become a intervention or protests. L.P., Entegra Power Services LLC. party to the proceeding. Persons unable to file electronically Description: Updated Market Power eFiling is encouraged. More detailed should submit an original and 5 copies Analysis for Market-Based Rate information relating to filing of the intervention or protest to the Authority for Central Region of Union requirements, interventions, protests, Federal Energy Regulatory Commission, Power Partners, L.P., et al. service, and qualifying facilities filings 888 First Street NE., Washington, DC Filed Date: 6/30/15. can be found at: http://www.ferc.gov/ 20426. Accession Number: 20150630–5468. docs-filing/efiling/filing-req.pdf. For The filings in the above-referenced Comments Due: 5 p.m. ET 8/31/15. other information, call (866) 208–3676 proceeding are accessible in the Commission’s eLibrary system by Docket Numbers: ER13–1371–002. (toll free). For TTY, call (202) 502–8659. clicking on the appropriate link in the Applicants: GP Big Island, LLC. Dated: July 1, 2015. above list. They are also available for Description: Compliance filing: Nathaniel J. Davis, Sr., electronic review in the Commission’s Compliance filing to 8202018 to be Deputy Secretary. Public Reference Room in Washington, effective 7/2/2015. [FR Doc. 2015–16882 Filed 7–9–15; 8:45 am] DC. There is an eSubscription link on Filed Date: 7/1/15. BILLING CODE 6717–01–P the Web site that enables subscribers to Accession Number: 20150701–5299. receive email notification when a Comments Due: 5 p.m. ET 7/22/15. document is added to a subscribed Docket Numbers: ER13–1653–002. DEPARTMENT OF ENERGY docket(s). For assistance with any FERC Applicants: FirstEnergy Solutions Online service, please email Corp. Federal Energy Regulatory Commission [email protected]. or call Description: Compliance filing: (866) 208–3676 (toll free). For TTY, call Authorization for Affiliate Sales to be [Docket No. ER15–2009–000] (202) 502–8659. effective 6/1/2015. Filed Date: 7/1/15. 2015 ESA Project Company, LLC; Dated: July 1, 2015. Accession Number: 20150701–5165. Supplemental Notice That Initial Nathaniel J. Davis, Sr., Comments Due: 5 p.m. ET 7/22/15. Market-Based Rate Filing Includes Deputy Secretary. Docket Numbers: ER15–1440–001. Request for Blanket Section 204 [FR Doc. 2015–16883 Filed 7–9–15; 8:45 am] Applicants: Midcontinent Authorization BILLING CODE 6717–01–P Independent System Operator, Inc., This is a supplemental notice in the Cleco Power LLC. above-referenced proceeding of 2015 Description: Compliance filing: 2015– DEPARTMENT OF ENERGY ESA Project Company, LLC’s 07–01_Compliance Cleco-COA JPZ application for market-based rate Federal Energy Regulatory Agreement Filing to be effective 12/1/ authority, with an accompanying rate Commission 2014. tariff, noting that such application Filed Date: 7/1/15. includes a request for blanket Combined Notice of Filings Accession Number: 20150701–5200. authorization, under 18 CFR part 34, of Comments Due: 5 p.m. ET 7/22/15. Take notice that the Commission has future issuances of securities and Docket Numbers: ER15–1905–002. received the following Natural Gas assumptions of liability. Pipeline Rate and Refund Report filings: Applicants: AZ721 LLC. Any person desiring to intervene or to Description: Tariff Amendment: protest should file with the Federal Filings Instituting Proceedings Second Amendment to Market Based Energy Regulatory Commission, 888 Docket Numbers: PR15–38–000. Rate Filing to be effective 8/11/2015. First Street NE., Washington, DC 20426, Applicants: SourceGas Distribution Filed Date: 7/1/15. in accordance with Rules 211 and 214 LLC. Accession Number: 20150701–5227. of the Commission’s Rules of Practice Description: Submits tariff filing per Comments Due: 5 p.m. ET 7/22/15. and Procedure (18 CFR 385.211 and 284.123(b)(1) + (g): Third Revised Docket Numbers: ER15–2089–000. 385.214). Anyone filing a motion to Statement of Operating Conditions to be Applicants: PJM Interconnection, intervene or protest must serve a copy effective 6/1/2015; Filing Type: 1300. L.L.C. of that document on the Applicant. Filed Date: 6/30/15. Description: Section 205(d) Rate Notice is hereby given that the Accession Number: 20150630–5334. Filing: Original Service Agreement No. deadline for filing protests with regard Comments Due: 5 p.m. ET 7/21/15. 4158, Queue Position #None to be to the applicant’s request for blanket 284.123(g) Protests Due: 5 p.m. ET 8/ effective 6/1/2015. authorization, under 18 CFR part 34, of 31/15. Filed Date: 7/1/15. future issuances of securities and Docket Numbers: PR14–31–002. Accession Number: 20150701–5188. assumptions of liability, is July 21, Applicants: MDU Resources Group, Comments Due: 5 p.m. ET 7/22/15. 2015. Inc. The filings are accessible in the The Commission encourages Description: Submits tariff filing per Commission’s eLibrary system by electronic submission of protests and 284.123/.224: Statement of Issues to be clicking on the links or querying the interventions in lieu of paper, using the effective 5/20/2015; Filing Type: 790. docket number. FERC Online links at http:// Filed Date: 6/19/15.

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Accession Number: 20150619–5198. The above-referenced meetings will Commission, (202) 502–6474, Comments/Protests Due: 5 p.m. ET 7/ be held at: PJM Conference and Training [email protected]. 10/15. Center, PJM Interconnection, 2750 Dated: July 1, 2015. Docket Numbers: RP10–837–000. Monroe Boulevard, Audubon, PA Nathaniel J. Davis, Sr., Applicants: Dominion Transmission, 19403. Deputy Secretary. Inc. The above-referenced meetings are Description: Report Filing: DTI— open to stakeholders. [FR Doc. 2015–16884 Filed 7–9–15; 8:45 am] Operational Gas Sales Report—2015. Further information may be found at BILLING CODE 6717–01–P Filed Date: 6/30/15. www.pjm.com. Accession Number: 20150630–5273. The discussions at the meetings Comments Due: 5 p.m. ET 7/13/15. described above may address matters at DEPARTMENT OF ENERGY Docket Numbers: RP10–900–000. issue in the following proceedings: Applicants: Dominion Transmission, Federal Energy Regulatory Docket Nos. ER15–738 and ER15–739, Inc. Commission Description: Report Filing: DTI— PJM Interconnection, L.L.C. Combined Notice of Filings #1 Informational Fuel Report 2015. Docket No. ER15–596, PJM Interconnection, L.L.C. Filed Date: 6/30/15. Take notice that the Commission Accession Number: 20150630–5276. Docket Nos. ER15–33, et. al., The Dayton Power and Light Company. received the following electric corporate Comments Due: 5 p.m. ET 7/13/15. filings: The filings are accessible in the Docket No. ER15–994, PJM Docket Numbers: EC15–90–000. Commission’s eLibrary system by Interconnection, L.L.C. Applicants: Lumens Energy Supply clicking on the links or querying the Docket No. ER15–639, PJM LLC, Aequitas Energy, Inc. docket number. Interconnection, L.L.C. Description: Amendment to March 9, Any person desiring to intervene or Docket No. ER15–61, PJM 2015 Joint Application under Section protest in any of the above proceedings Interconnection, L.L.C. and American must file in accordance with Rules 211 Transmission Systems Incorporated. 203 of the Federal Power Act of Lumens and 214 of the Commission’s Docket No. ER14–2867, Baltimore Gas & Energy Supply LLC, et al. Regulations (18 CFR 385.211 and Electric Company, et al., and PJM Filed Date: 7/2/15. Accession Number: 20150702–5263. 385.214) on or before 5:00 p.m. Eastern Interconnection, L.L.C. Comments Due: 5 p.m. ET 7/13/15. time on the specified date(s). Protests Docket Nos. ER14–972 and ER14–1485, may be considered, but intervention is PJM Interconnection, L.L.C. Take notice that the Commission necessary to become a party to the Docket No. ER14–1485, PJM received the following electric rate proceeding. Interconnection, L.L.C. filings: eFiling is encouraged. More detailed Docket No. ER14–2864, PJM Docket Numbers: ER12–2499–013; information relating to filing Interconnection, L.L.C. ER12–2498–013; ER13–764–013; ER11– requirements, interventions, protests, Docket No. ER13–90, Public Service 4055–005; ER12–1566–007; ER14–1548– service, and qualifying facilities filings Electric and Gas Company and PJM 005; ER12–1470–005; ER11–3987–008; can be found at: http://www.ferc.gov/ Interconnection, L.L.C. ER10–1290–006; ER14–474–003; ER14– docs-filing/efiling/filing-req.pdf. For Docket No. ER13–198, PJM 1775–003; ER10–3026–005. other information, call (866) 208–3676 Interconnection, L.L.C. Applicants: Alpaugh North, LLC, (toll free). For TTY, call (202) 502–8659. Docket Nos. ER13–1957, et al., ISO New Alpaugh 50, LLC, CED White River England, Inc. et. al. Solar, LLC, Copper Mountain Solar 1, Dated: July 6, 2015. Docket No. ER13–195, Indicated PJM LLC, Copper Mountain Solar 2, LLC, Nathaniel J. Davis, Sr., Transmission Owners. Copper Mountain Solar 3, LLC, Energia Deputy Secretary. Docket Nos. ER13–1944, et al., PJM Sierra Juarez U.S., LLC, Mesquite Solar [FR Doc. 2015–16888 Filed 7–9–15; 8:45 am] Interconnection, L.L.C. 1, LLC, San Diego Gas & Electric BILLING CODE 6717–01–P Docket No. ER15–1344, PJM Company, Sempra Generation, LLC, SEP Interconnection, L.L.C. II, LLC, Termoelectrica U.S. LLC. Docket No. ER15–1387, PJM Description: Notice of Non-Material DEPARTMENT OF ENERGY Transmission Owners. Change in Status of the SDG&E Sellers. Federal Energy Regulatory Docket No. EL15–40, Public Service Filed Date: 7/2/15. Commission Electric and Gas Company v. PJM Accession Number: 20150702–5267. Interconnection, L.L.C. Comments Due: 5 p.m. ET 7/23/15. Notice of Commission Staff Docket No. EL15–18, Consolidated Docket Numbers: ER15–2104–000. Attendance Edison Company of New York, Inc. v. Applicants: California Independent PJM Interconnection, L.L.C. System Operator Corporation The Federal Energy Regulatory Docket No. EL15–41, Essential Power Description: § 205(d) Rate Filing: Commission (Commission) hereby gives Rock Springs, LLC et. al. v. PJM 2015–07–02 Amendment No. 2 to notice that members of the Interconnection, L.L.C. Riverside MSSA to be effective 9/1/ Commission’s staff may attend the Docket No. ER13–1927, et al., PJM 2015. following meetings related to the Interconnection- SERTP. Filed Date: 7/2/15. transmission planning activities of the For more information, contact the Accession Number: 20150702–5247. PJM Interconnection, L.L.C. (PJM): following: Comments Due: 5 p.m. ET 7/23/15. PJM Planning Committee Jonathan Fernandez, Office of Energy Docket Numbers: ER15–2105–000. July 9, 2015, 9:30 a.m.–12:00 p.m. (EST) Market Regulation, Federal Energy Applicants: DTE Electric Company. Regulatory Commission, (202) 502– Description: § 205(d) Rate Filing: PJM Transmission Expansion Advisory 6604, [email protected]. Triennial Market Power Tariff Update Committee Alina Halay, Office of Energy Market Filing to be effective 7/7/2015. July 9, 2015, 11:00 a.m.–3:00 p.m. (EST) Regulation, Federal Energy Regulatory Filed Date: 7/6/15.

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Accession Number: 20150706–5104. Docket Numbers: ES15–36–000. Docket Numbers: EC15–161–000. Comments Due: 5 p.m. ET 9/4/15. Applicants: Golden Spread Electric Applicants: 65HK 8me LLC. Docket Numbers: ER15–2106–000. Cooperative, Inc. Description: Application for Applicants: DTE Energy Trading, Inc. Description: Amendment to June 19, Authorization Under Section 203 of the Description: § 205(d) Rate Filing: 2015 Application under Section 204 of Federal Power Act, Request for Triennial Market Power Filing Tariff the Federal Power Act for Authorization Expedited Consideration and Update to be effective 7/7/2015. to Issue Securities of Golden Spread Confidential Treatment of 65HK 8me Filed Date: 7/6/15. Electric Cooperative, Inc. LLC. Accession Number: 20150706–5106. Filed Date: 7/2/15. Filed Date: 6/30/15. Comments Due: 5 p.m. ET 9/4/15. Accession Number: 20150702–5262. Accession Number: 20150630–5451. Docket Numbers: ER15–2107–000. Comments Due: 5 p.m. ET 7/16/15. Comments Due: 5 p.m. ET 7/21/15. Applicants: DTE Pontiac North, LLC. Take notice that the Commission Take notice that the Commission Description: § 205(d) Rate Filing: received the following qualifying received the following electric rate Triennial Market Power Tariff Update to facility filings: filings: be effective 7/7/2015. Docket Numbers: QF15–875–000. Docket Numbers: ER10–1276–004; Filed Date: 7/6/15. Applicants: Erving Industries, Inc. ER10–1292–003; ER10–1287–003; Accession Number: 20150706–5109. Description: Form 556 of Erving ER10–1303–003; ER10–1319–005; Comments Due: 5 p.m. ET 9/4/15. Industries, Inc. ER10–1353–005. Docket Numbers: ER15–2108–000. Filed Date: 6/30/15. Applicants: Consumers Energy Applicants: DTE Stoneman, LLC. Accession Number: 20150630–5480. Company, CMS Energy Resource Description: § 205(d) Rate Filing: Comments Due: None Applicable. Management Company, Grayling Triennial Market Power Tariff Updates Docket Numbers: QF15–877–000. Generation Station Limited Partnership, to be effective 7/7/2015. Applicants: Winston-Salem/Forsyth Genesee Power Station Limited Filed Date: 7/6/15. County Utility Commission Partnership, CMS Generation Michigan Accession Number: 20150706–5110. Description: Form 556 of Winston- Power, LLC, Dearborn Industrial Comments Due: 5 p.m. ET 9/4/15. Salem/Forsyth County Utility Generation, L.L.C. Docket Numbers: ER15–2109–000. Commission. Description: Updated Market Power Applicants: St. Paul Cogeneration, Filed Date: 7/2/15. Analysis for the Central Region of LLC. Accession Number: 20150702–5264. Consumer Energy Company, et al. Description: § 205(d) Rate Filing: Comments Due: None Applicable. Filed Date: 6/30/15. Triennial Market Power Tariff Updates The filings are accessible in the Accession Number: 20150630–5450. to be effective 7/7/2015. Commission’s eLibrary system by Comments Due: 5 p.m. ET 8/31/15. Filed Date: 7/6/15. clicking on the links or querying the Docket Numbers: ER10–2042–019; Accession Number: 20150706–5112. docket number. ER10–1938–014; ER10–1934–013; Comments Due: 5 p.m. ET 9/4/15. Any person desiring to intervene or ER10–1893–013; ER10–1874–003; Docket Numbers: ER15–2110–000. protest in any of the above proceedings ER10–1863–004; ER10–1862–013; Applicants: Midcontinent must file in accordance with Rules 211 ER10–1933–003. Independent System Operator, Inc., and 214 of the Commission’s Applicants: Calpine Energy Services, Ameren Illinois Company. Regulations (18 CFR 385.211 and L.P., Calpine Power America—CA, LLC, Description: § 205(d) Rate Filing: § 385.214) on or before 5:00 p.m. Eastern CES Marketing IX, LLC, CES Marketing 2015–07–06_SA 2815 Ameren-Prairie time on the specified comment date. X, LLC, Mankato Energy Center, LLC, Power Construction Agreement (Tolono) Protests may be considered, but Power Contract Financing, L.L.C., to be effective 6/22/2015. intervention is necessary to become a RockGen Energy, LLC, Pine Bluff Filed Date: 7/6/15. party to the proceeding. Energy, LLC. Accession Number: 20150706–5114. eFiling is encouraged. More detailed Description: Updated Market Power Comments Due: 5 p.m. ET 7/27/15. information relating to filing Analysis for Central Region of the Docket Numbers: ER15–2111–000. requirements, interventions, protests, Calpine Central MBR Sellers. Applicants: Midcontinent service, and qualifying facilities filings Filed Date: 6/30/15. Independent System Operator, Inc., can be found at: http://www.ferc.gov/ Accession Number: 20150630–5441. Ameren Illinois Company. docs-filing/efiling/filing-req.pdf. For Comments Due: 5 p.m. ET 8/31/15. Description: § 205(d) Rate Filing: other information, call (866) 208–3676 Docket Numbers: ER10–2130–012. 2015–07–06_SA 2816 Ameren-Praire (toll free). For TTY, call (202) 502–8659. Applicants: Forward Energy LLC. Power Construction Agreement (St. Description: Triennial Report for Dated: July 6, 2015. Joseph) to be effective 6/22/2015. Central Region of Forward Energy LLC. Filed Date: 7/6/15. Nathaniel J. Davis, Sr., Filed Date: 6/30/15. Accession Number: 20150706–5117. Deputy Secretary. Accession Number: 20150630–5439. Comments Due: 5 p.m. ET 7/27/15. [FR Doc. 2015–16879 Filed 7–9–15; 8:45 am] Comments Due: 5 p.m. ET 8/31/15. Docket Numbers: ER15–2112–000. BILLING CODE 6717–01–P Docket Numbers: ER10–2136–010. Applicants: Cobb Electric Applicants: Invenergy Cannon Falls Membership Corporation. LLC. Description: § 205(d) Rate Filing: DEPARTMENT OF ENERGY Description: Triennial Report for Triennial market power update to be Central Region of Invenergy Cannon effective 7/7/2015. Federal Energy Regulatory Falls LLC. Filed Date: 7/6/15. Commission Filed Date: 6/30/15. Accession Number: 20150706–5184. Accession Number: 20150630–5405. Comments Due: 5 p.m. ET 9/4/15. Combined Notice of Filings #1 Comments Due: 5 p.m. ET 8/31/15. Take notice that the Commission Take notice that the Commission Docket Numbers: ER10–2172–025; received the following electric securities received the following electric corporate ER14–2144–004; ER12–2311–012; filings: filings: ER10–1048–022; ER10–2192–024;

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ER15–1537–001; ER15–1539–001; Description: Updated Market Power Docket Numbers: ER15–2088–000. ER10–2178–024; ER13–1536–008; Analysis for the Central Region of Verso Applicants: New England Power Pool ER12–2201–012; ER11–2011–021; MBR Entities. Participants Committee. ER11–2009–021; ER11–3989–017; Filed Date: 6/30/15. Description: Section 205(d) Rate ER10–1143–021. Accession Number: 20150630–5442. Filing: June 30 2015 Membership Filing Applicants: Baltimore Gas and Comments Due: 5 p.m. ET 8/31/15. to be effective 7/1/2015. Electric Company, Beebe 1B Renewable Docket Numbers: ER11–4044–013. Filed Date: 6/30/15. Energy, LLC, Beebe Renewable Energy, Applicants: Gratiot County Wind LLC. Accession Number: 20150630–5345. LLC, Commonwealth Edison Company, Description: Triennial Report for Comments Due: 5 p.m. ET 7/21/15. Constellation Energy Commodities Central Region of Gratiot County Wind Take notice that the Commission Group Maine, LLC, Constellation Energy LLC. received the following electric Services, Inc., Constellation NewEnergy, Filed Date: 6/30/15. reliability filings: Inc., Exelon Generation Company, LLC, Accession Number: 20150630–5440. Docket Numbers: RR15–13–000. Harvest II Wind Farm, LLC, Harvest Comments Due: 5 p.m. ET 8/31/15. Applicants: North American Electric Windfarm, LLC, Michigan Wind 1, LLC, Docket Numbers: ER11–4046–012. Reliability Corporation. Michigan Wind 2, LLC, PECO Energy Applicants: Gratiot County Wind II Description: Petition of North Company, Constellation Energy Services LLC. American Electric Reliability of New York, Inc. Description: Triennial Report for Corporation for Approval of Description: Updated Market Power Central Region of Gratiot County Wind Amendments to the Bylaws of Analysis for the Central Region of the II LLC. Southwest Power Pool, Inc. Exelon Central MBRA Entities. Filed Date: 6/30/15. Filed Date: 6/30/15. Filed Date: 6/30/15. Accession Number: 20150630–5415. Accession Number: 20150630–5356. Accession Number: 20150630–5358. Comments Due: 5 p.m. ET 8/31/15. Comments Due: 5 p.m. ET 7/21/15. Comments Due: 5 p.m. ET 8/31/15. Docket Numbers: ER12–164–011. The filings are accessible in the Docket Numbers: ER10–2738–003. Commission’s eLibrary system by Applicants: The Empire District Applicants: Bishop Hill Energy III LLC. clicking on the links or querying the Electric Company. docket number. Description: Updated Market Power Description: Triennial Report for Central Region of Bishop Hill Energy III Any person desiring to intervene or Analysis of The Empire District Electric protest in any of the above proceedings Company. LLC. Filed Date: 6/30/15. must file in accordance with Rules 211 Filed Date: 6/30/15. and 214 of the Commission’s Accession Number: 20150630–5348. Accession Number: 20150630–5438. Regulations (18 CFR 385.211 and Comments Due: 5 p.m. ET 8/31/15. Comments Due: 5 p.m. ET 8/31/15. 385.214) on or before 5:00 p.m. Eastern Docket Numbers: ER12–645–013. Docket Numbers: ER10–3069–006; time on the specified comment date. Applicants: California Ridge Wind ER10–3070–006. Protests may be considered, but Applicants: Alcoa Power Generating, Energy LLC. intervention is necessary to become a Inc., Alcoa Power Marketing LLC. Description: Triennial Report of party to the proceeding. Description: Updated Market Power California Ridge Wind Energy LLC. eFiling is encouraged. More detailed Analysis for Central Region of Alcoa Filed Date: 6/30/15. information relating to filing Power Generating, Inc. and Alcoa Power Accession Number: 20150630–5437. requirements, interventions, protests, Marketing LLC. Comments Due: 5 p.m. ET 8/31/15. Filed Date: 6/30/15. service, and qualifying facilities filings Docket Numbers: ER15–2085–000. can be found at: http://www.ferc.gov/ Accession Number: 20150630–5377. Applicants: Dow Pipeline Company. Comments Due: 5 p.m. ET 8/31/15. docs-filing/efiling/filing-req.pdf. For Description: Section 205(d) Rate other information, call (866) 208–3676 Docket Numbers: ER10–3097–004. Filing: Revisions to Market-Based Rate (toll free). For TTY, call (202) 502–8659. Applicants: Bruce Power Inc. Tariff to be effective 8/29/2015. Description: Updated Market Power Filed Date: 6/30/15. Dated: July 1, 2015. Analysis for the Central Region of Bruce Accession Number: 20150630–5297. Nathaniel J. Davis, Sr., Power Inc. Comments Due: 5 p.m. ET 7/21/15. Deputy Secretary. Filed Date: 6/30/15. [FR Doc. 2015–16881 Filed 7–9–15; 8:45 am] Accession Number: 20150630–5434. Docket Numbers: ER15–2086–000. Comments Due: 5 p.m. ET 8/31/15. Applicants: California Independent BILLING CODE 6717–01–P Docket Numbers: ER11–2105–001. System Operator Corporation. Description: Section 205(d) Rate Applicants: Oklahoma Gas and DEPARTMENT OF ENERGY Electric Company. Filing: 2015–06–30 CCSF OA—Rate Description: Updated Market Power Schedule No. 64 to be effective 7/1/ Federal Energy Regulatory Analysis for Southwest Power Pool, Inc. 2015. Commission Balancing Area Authority of Oklahoma Filed Date: 6/30/15. Gas and Electric Company. Accession Number: 20150630–5339. [Docket No. RP15–1089–000] Comments Due: 5 p.m. ET 7/21/15. Filed Date: 6/30/15. Rice Energy Marketing LLC; Notice of Accession Number: 20150630–5447. Docket Numbers: ER15–2087–000. Petition for Declaratory Order Comments Due: 5 p.m. ET 8/31/15. Applicants: Consolidated Edison Docket Numbers: ER11–2159–005; Company of New York, Inc. Take notice that on June 29, 2015, ER10–2602–012; ER10–2609–011; Description: Section 205(d) Rate pursuant to Rule 207(a)(2) of the Federal ER10–2606–011. Filing: PASNY Standby Amendment to Energy Regulatory Commission’s Applicants: Verso Maine Energy LLC, be effective 7/1/2015. (Commission) Rules of Practice and NewPage Energy Services LLC, Filed Date: 6/30/15. Procedure, 18 CFR 385.207(a)(2) (2014), Escanaba Paper Company, Consolidated Accession Number: 20150630–5343. Rice Energy Marketing LLC filed a Water Power Company. Comments Due: 5 p.m. ET 7/21/15. petition for a declaratory order seeking

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a declaratory order clarifying that the Filings Instituting Proceedings Description: Compliance filing DTI— Order No. 712 exemption from the buy- Docket Numbers: RP15–1103–000. 2015 Overrun and Penalty Revenue sell prohibition applies to supply-side Applicants: Natural Gas Pipeline Distribution to be effective N/A. asset management agreements (AMAs) Company of America. Filed Date: 7/1/15. on the same basis as delivery-side Description: § 4(d) Rate Filing: Accession Number: 20150701–5197. AMAs, all as more fully explained in Expired Agreements to be effective 8/1/ Comments Due: 5 p.m. ET 7/13/15. the petition. 2015. Any person desiring to intervene or to Filed Date: 7/1/15. Docket Numbers: RP15–1111–000. protest this filing must file in Accession Number: 20150701–5004. Applicants: Gulf South Pipeline accordance with Rules 211 and 214 of Comments Due: 5 p.m. ET 7/13/15. Company, LP. the Commission’s Rules of Practice and Docket Numbers: RP15–1104–000. Procedure (18 CFR 385.211, 385.214). Description: § 4(d) Rate Filing: Applicants: ANR Storage Company. Amendment to Neg Rate Agmt (FPL Protests will be considered by the Description: § 4(d) Rate Filing: United 41618–13) to be effective 7/1/2015. Commission in determining the Energy Trading Agmt to be effective 7/ appropriate action to be taken, but will 1/2015. Filed Date: 7/1/15. not serve to make protestants parties to Filed Date: 7/1/15. Accession Number: 20150701–5201. the proceeding. Any person wishing to Accession Number: 20150701–5051. Comments Due: 5 p.m. ET 7/13/15. become a party must file a notice of Comments Due: 5 p.m. ET 7/13/15. intervention or motion to intervene, as Docket Numbers: RP15–1105–000. Docket Numbers: RP15–1112–000. appropriate. Such notices, motions, or Applicants: WTG Hugoton, LP. Applicants: Enable Gas Transmission, protests must be filed on or before the Description: Compliance filing LLC. comment date. Anyone filing a motion Annual Fuel Retention Percentage Description: § 4(d) Rate Filing: to intervene or protest must serve a copy Filing 2015–2016 to be effective 8/1/ Negotiated Rate Filing—July 2015 of that document on the Petitioner. 2015. Removal of Expired Negotiated Rate The Commission encourages Filed Date: 7/1/15. Contracts to be effective 7/1/2015. Accession Number: 20150701–5117. electronic submission of protests and Filed Date: 7/1/15. interventions in lieu of paper using the Comments Due: 5 p.m. ET 7/13/15. ‘‘eFiling’’ link at http://www.ferc.gov. Docket Numbers: RP15–1106–000. Accession Number: 20150701–5202. Persons unable to file electronically Applicants: Equitrans, L.P. Comments Due: 5 p.m. ET 7/13/15. should submit an original and 5 copies Description: § 4(d) Rate Filing: Docket Numbers: RP15–1113–000. of the protest or intervention to the Negotiated Capacity Release Federal Energy Regulatory Commission, Agreement—7/01/2015 to be effective 7/ Applicants: MIGC LLC. 888 First Street NE., Washington, DC 1/2015. Description: § 4(d) Rate Filing: Annual 20426. Filed Date: 7/1/15. Fuel Retention Percentage Tracker to be This filing is accessible on-line at Accession Number: 20150701–5124. effective 8/1/2015. http://www.ferc.gov, using the Comments Due: 5 p.m. ET 7/13/15. Filed Date: 7/1/15. ‘‘eLibrary’’ link and is available for Docket Numbers: RP15–1107–000. Accession Number: 20150701–5251. review in the Commission’s Public Applicants: Trailblazer Pipeline Reference Room in Washington, DC. Company LLC. Comments Due: 5 p.m. ET 7/13/15. There is an ‘‘eSubscription’’ link on the Description: § 4(d) Rate Filing: 2015– The filings are accessible in the Web site that enables subscribers to 07–01 Perm Rel of existing NRA (to Commission’s eLibrary system by receive email notification when a Twin Eagle) to be effective 7/1/2015. clicking on the links or querying the document is added to a subscribed Filed Date: 7/1/15. docket number. Accession Number: 20150701–5156. docket(s). For assistance with any FERC Any person desiring to intervene or Comments Due: 5 p.m. ET 7/13/15. Online service, please email protest in any of the above proceedings [email protected], or call Docket Numbers: RP15–1108–000. must file in accordance with Rules 211 (866) 208–3676 (toll free). For TTY, call Applicants: Gulf South Pipeline and 214 of the Commission’s (202) 502–8659. Company, LP. Regulations (18 CFR 385.211 and Comment Date: 5:00 p.m. Eastern time Description: § 4(d) Rate Filing: 385.214) on or before 5:00 p.m. Eastern on July 29, 2015. Remove Expired Agreements and time on the specified comment date. References to be effective 7/1/2015. Protests may be considered, but Dated: July 1, 2015. Filed Date: 7/1/15. Nathaniel J. Davis, Sr., intervention is necessary to become a Accession Number: 20150701–5181. party to the proceeding. Deputy Secretary. Comments Due: 5 p.m. ET 7/13/15. eFiling is encouraged. More detailed [FR Doc. 2015–16885 Filed 7–9–15; 8:45 am] Docket Numbers: RP15–1109–000. BILLING CODE 6717–01–P information relating to filing Applicants: Gulf South Pipeline requirements, interventions, protests, Company, LP. service, and qualifying facilities filings Description: § 4(d) Rate Filing: Cap DEPARTMENT OF ENERGY can be found at: http://www.ferc.gov/ Rel Neg Rate Agmts (Atlanta 8438 to docs-filing/efiling/filing-req.pdf. For Federal Energy Regulatory various eff 7/1/15) to be effective 7/1/ other information, call (866) 208–3676 Commission 2015. (toll free). For TTY, call (202) 502–8659. Filed Date: 7/1/15. Combined Notice of Filings Accession Number: 20150701–5182. Dated: July 2, 2015. Comments Due: 5 p.m. ET 7/13/15. Nathaniel J. Davis, Sr., Take notice that the Commission has Docket Numbers: RP15–1110–000. Deputy Secretary. received the following Natural Gas Applicants: Dominion Transmission, [FR Doc. 2015–16887 Filed 7–9–15; 8:45 am] Pipeline Rate and Refund Report filings: Inc. BILLING CODE 6717–01–P

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ENVIRONMENTAL PROTECTION EIS No. 20150109, Draft, STB, MT, view. Also, written comments should be AGENCY Tongue River Railroad, Comment submitted electronically to Period Ends: 08/24/2015, Contact: [email protected]. Please contact [ER–FRL–9021–8] Ken Blodgett 1–866–622–4355 the Designated Federal Officer (DFO) at Revision to FR Notice Published 04/ the number listed below to schedule a Environmental Impact Statements; 24/2015; Extending Comment Period time on the agenda. Time will be Notice of Availability from 06/23/2015 to 08/24/2015. allotted on a first-come first-serve basis, Responsible Agency: Office of Federal EIS No. 20150151, Draft, USFS, CO, and the total period for comments may Activities, General Information (202) Spruce Beetle Epidemic and Aspen be extended if the number of requests 564–7146 or http://www2.epa.gov/nepa. Decline Management Response, for appearances requires it. Weekly receipt of Environmental Impact Comment Period Ends: 07/31/2015, ADDRESSES: The Small Communities Statements (EISs) Contact: Scott Williams 760–382– Advisory Subcommittee meetings will Filed 06/29/2015 Through 07/03/2015 7371 Revision to FR Notice Published be held at the U.S. Environmental Pursuant to 40 CFR 1506.9. 05/29/2015; Extending Comment Protection Agency, Conference Room Period from 07/14/2015 to 07/31/ William Jefferson Clinton Building Notice 2015. North, Room 6045, 1200 Pennsylvania Section 309(a) of the Clean Air Act Dated: July 7, 2015. Ave. NW., Washington, DC 20460. The requires that EPA make public its Karin Leff, Local Government Advisory Committee comments on EISs issued by other Acting Director, NEPA Compliance Division, meetings will be held at the U.S. Federal agencies. EPA’s comment letters Office of Federal Activities. Environmental Protection Agency, on EISs are available at: https:// [FR Doc. 2015–16938 Filed 7–9–15; 8:45 am] William Jefferson Clinton Building North, Room 6045, 1200 Pennsylvania cdxnodengn.epa.gov/cdx-enepa-public/ BILLING CODE 6560–50–P action/eis/search. Ave. NW., Washington, DC 20460. EIS No. 20150182, Final, VA, CA, San Meeting summaries will be available Francisco Veterans Affairs Medical ENVIRONMENTAL PROTECTION after the meeting online at _ _ Center Long Range Development Plan, AGENCY www.epa.gov/ocir/scas lgac/lgac Review Period Ends: 08/09/2015, index.htm and can be obtained by Contact: Robin Flanagan 415–750– [FRL–9930–39–OA] written request to the DFO. 2049. Meetings of the Local Government FOR FURTHER INFORMATION CONTACT: EIS No. 20150183, Final, HUD, CA, Advisory Committee and the Small Local Government Advisory Committee Sunnydale-Velasco HOPE SF Master Communities Advisory Subcommittee (LGAC) and Small Communities Plan Project, Review Period Ends: 08/ Advisory Subcommittee (SCAS), contact 10/2015, Contact: Eugene Flannery AGENCY: Environmental Protection Frances Eargle, Designated Federal 415–701–5598. Agency. Officer, at (202) 564–3115 or email at EIS No. 20150184, Draft, USFS, MT, ACTION: Notice. [email protected]. Telegraph Vegetation Project, Information on Services for Those Comment Period Ends: 08/24/2015, SUMMARY: The Small Communities With Disabilities: For information on Contact: Allen Byrd 406–449–5201. Advisory Subcommittee (SCAS) will access or services for individuals with EIS No. 20150185, Draft Supplement, meet in Washington, DC, on Friday, July disabilities, please contact Frances USACE, NC, Figure Eight Island 31, 2015, 8:00 a.m.–9:00 a.m. (EDT). The Eargle at (202) 564–3115 or email at Shoreline Management Project Subcommittee will discuss rural [email protected]. To request Comment Period Ends: 08/24/2015, strategy; E-Enterprise; and other issues accommodation of a disability, please Contact: Mickey Sugg 910–251–4811. and recommendations to the request it 10 days prior to the meeting, EIS No. 20150186, Draft, USACE, CA, Administrator regarding environmental to give EPA as much time as possible to Redwood City Harbor Navigation issues affecting small communities. The process your request. Improvement, Comment Period Ends: Local Government Advisory Committee Dated: June 27, 2015. (LGAC) will meet in Washington, DC, 08/24/2015, Contact: Eric Jolliffe 415– Frances Eargle, 503–6869. on Thursday, July 30, 2015, 8:15 a.m.– 5:30 p.m. (EDT), and Friday, July 31, Designated Federal Officer, Local Government EIS No. 20150187, Final, USFS, CA, Advisory Committee. Master Special Use Permit and Permit 2015, 9:15 a.m.–12:40 p.m. (EDT). The [FR Doc. 2015–16923 Filed 7–9–15; 8:45 am] to Construct Power Line Replacement focus of the Committee meeting will be Projects, Review Period Ends: 08/24/ on issues pertaining to protecting BILLING CODE 6560–50–P 2015, Contact: Jeff Heys 858–674– America’s waters; hydrofracturing; cleaning up our communities; air, 2959. ENVIRONMENTAL PROTECTION climate and energy; and climate change EIS No. 20150188, Final, USACE, SC, AGENCY Charleston Harbor Post 45, Review resiliency and sustainability. Period Ends: 08/10/2015, Contact: These are open meetings, and all [FRL–9929–19-Region-10] Bret Walters 843–329–8050. interested persons are invited to participate. The SCAS will hear Clean Air Act Operating Permit Amended Notices comments from the public between 8:35 Program; Petitions for Objection to EIS No. 20150061, Draft, CALTRANS, a.m. and 8:45 a.m. on Friday, July 31, State Operating Permit for the U.S. CA, SR 710 North Improvements, 2015, and the LGAC will hear comments Department of Energy-Hanford Comment Period Ends: 08/05/2015, from the public between 9:30 a.m. and Operations, Benton County, Contact: Garrett Damrath 213–897– 9:45 a.m. on Friday, July 31, 2015. Washington 0357 Revision to FR Notice Published Individuals or organizations wishing to AGENCY: Environmental Protection 03/13/2015; Extending Comment address the Subcommittee or the Agency (EPA). Period from 07/06/2015 to 08/05/ Committee will be allowed a maximum ACTION: Notice of final action. 2015. of five minutes to present their point of

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SUMMARY: Pursuant to Clean Air Act provide Ecology the authority to issue a collection techniques or other forms of (CAA) Section 505(b)(2) and 40 CFR permit that assures compliance with all information technology; and ways to 70.8(d), the Environmental Protection applicable requirements, in particular, further reduce the information Agency (EPA) Administrator signed an 40 CFR part 61, subpart H (Subpart H) collection burden on small business Order, dated May 29, 2015, partially relating to radionuclide air emissions concerns with fewer than 25 employees. granting and partially denying two (radionuclides); (2) the structure of the The FCC may not conduct or sponsor a petitions filed by Bill Green of Richland, Hanford Title V Permit does not provide collection of information unless it Washington (dated April 23, 2013, and Ecology with authority to enforce the displays a currently valid OMB control April 21, 2014) asking the EPA to object portions of the Hanford Title V Permit number. No person shall be subject to to the title V operating permit (Permit relating to Subpart H; (3) Ecology did any penalty for failing to comply with No. 00–05–006, Renewal 2 and Permit not comply with the requirements for a collection of information subject to the No. 00–05–006, Renewal 2, Revision A) public participation in issuing the PRA that does not display a valid OMB issued by the Washington State Hanford Title V Permit; (4) the permit control number. Department of Ecology (Ecology) to the issuance procedures for the Hanford DATES: Written comments should be U.S. Department of Energy-Hanford Title V Permit prevent access to judicial submitted on or before August 10, 2015. Operations (DOE) relating to the review; (5) the statement of basis for the If you anticipate that you will be Hanford site located in south central Hanford Title V Permit related to submitting comments, but find it Washington. Sections 307(b) and radionuclides is inadequate; and (6) the difficult to do so within the period of 505(b)(2) of the CAA provide that a Hanford Title V Permit does not include time allowed by this notice, you should petitioner may ask for judicial review by all applicable CAA Section 112 advise the contacts below as soon as the United States Court of Appeals for requirements for radionuclides. possible. the appropriate circuit of those portions The EPA’s rationale for partially of the Order that denies objections granting and partially denying the ADDRESSES: Direct all PRA comments to raised in the petitions. claims raised in the petitions is Nicholas A. Fraser, OMB, via email _ _ DATES: Petitions for review of this Order described in the Order. Nicholas A. [email protected]; and to Nicole Ongele, FCC, via email PRA@ must be filed by September 8, 2015, Dated: June 22, 2015. pursuant to section 307(b) of the CAA. fcc.gov and to [email protected]. Dennis J. McLerran, ADDRESSES: Include in the comments the OMB You may review copies of Regional Administrator, EPA Region 10. the final Order, the petitions, and other control number as shown in the supporting information during normal [FR Doc. 2015–16920 Filed 7–9–15; 8:45 am] SUPPLEMENTARY INFORMATION section business hours at EPA Region 10, 1200 BILLING CODE 6560–50–P below. Sixth Avenue, Seattle, Washington. If FOR FURTHER INFORMATION CONTACT: For you wish to examine these documents, additional information or copies of the you should make an appointment at FEDERAL COMMUNICATIONS information collection, contact Nicole least 24 hours before the visiting day. COMMISSION Ongele at (202) 418–2991. Additionally, the final Order is available [3060–1200] To view a copy of this information electronically at: http://www.epa.gov/ collection request (ICR) submitted to region07/air/title5/petitiondb/petitions/ Information Collection Being OMB: (1) Go to the Web page http:// hanford_response2014.pdf. Submitted for Review and Approval to www.reginfo.gov/public/do/PRAMain, FOR FURTHER INFORMATION CONTACT: Don the Office of Management and Budget (2) look for the section of the Web page Dossett at telephone number: (206) 553– called ‘‘Currently Under Review,’’ (3) AGENCY: Federal Communications 1783, email address: dossett.donald@ Commission. click on the downward-pointing arrow epa.gov, or the above EPA Region 10 in the ‘‘Select Agency’’ box below the ACTION: address. Notice and request for ‘‘Currently Under Review’’ heading, (4) comments. SUPPLEMENTARY INFORMATION: The CAA select ‘‘Federal Communications affords the EPA a 45-day period to SUMMARY: As part of its continuing effort Commission’’ from the list of agencies review, and object to, as appropriate, a to reduce paperwork burdens, and as presented in the ‘‘Select Agency’’ box, title V operating permit proposed by a required by the Paperwork Reduction (5) click the ‘‘Submit’’ button to the state permitting authority. Section Act (PRA) of 1995 (44 U.S.C. 3501– right of the ‘‘Select Agency’’ box, (6) 505(b)(2) of the CAA authorizes any 3520), the Federal Communications when the list of FCC ICRs currently person to petition the EPA Commission (FCC or Commission) under review appears, look for the OMB Administrator, within 60 days after the invites the general public and other control number of this ICR and then expiration of this review period, to Federal agencies to take this click on the ICR Reference Number. A object to a title V operating permit if the opportunity to comment on the copy of the FCC submission to OMB EPA has not done so. Petitions must be following information collections. will be displayed. based only on objections to the permit Comments are requested concerning: SUPPLEMENTARY INFORMATION: that were raised with reasonable Whether the proposed collection of OMB Control Number: 3060–1200. specificity during the public comment information is necessary for the proper Title: Rural Broadband Experiments period provided by the state, unless the performance of the functions of the and Post-Selection Review of Rural petitioner demonstrates that it was Commission, including whether the Broadband Experiment Winning impracticable to raise these issues information shall have practical utility; Bidders. during the comment period or that the the accuracy of the Commission’s Form Number: FCC Form 5620. grounds for the objection or other issues burden estimate; ways to enhance the Type of Review: Revision of a arose after this period. quality, utility, and clarity of the currently approved collection. The claims are described in detail in information collected; ways to minimize Respondents: Business or other for- Section IV of the Order. In summary, the the burden of the collection of profit, and not-for-profit institutions. issues raised are that: (1) The structure information on the respondents, Number of Respondents: 47 of the Hanford Title V Permit does not including the use of automated respondents; 135 responses.

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Estimated Time per Response: 2 to 20 been hired, permits have been obtained, Federal Communications Commission. hours. and construction has begun), and Marlene H. Dortch, Frequency of Response: One-time and include evidence demonstrating which Secretary. occasional reporting requirements; locations if any the recipient has built [FR Doc. 2015–16854 Filed 7–9–15; 8:45 am] annual recordkeeping requirements. out to in its project areas and evidence BILLING CODE 6712–01–P Obligation to Respond: Required to demonstrating that the recipient is obtain or retain benefits. Statutory meeting the public service obligations authority for this information collection for the relevant experiment category, FEDERAL COMMUNICATIONS is contained in 47 U.S.C. 151–154 and including a certification that COMMISSION 254. demonstrates the service the recipient [OMB 3060-xxxx, 3060–0349, 3060–0214, Total Annual Burden: 1,834 hours. offers complies with the Commission’s Total Annual Cost: No cost(s). 3060–0113, 3060–0922, 3060–1065] Privacy Act Impact Assessment: No latency requirements. Rural broadband impact(s). experiment recipients will also be Information Collections Being Nature and Extent of Confidentiality: required to certify that they have met Reviewed by the Federal Information collected in FCC Form 5620 the build-out milestones adopted in the Communications Commission will be confidential. Information Rural Broadband Experiments Order. AGENCY: Federal Communications reported in the November interim These certifications will be due for all Commission. progress report and the build-out recipients by the end of the third year milestone certifications will be made and fifth year of support. Recipients that ACTION: Notice and request for publicly available. have chosen to receive 30 percent of comments. Needs and Uses: On January 31, 2014, their support upfront will also be SUMMARY: As part of its continuing effort the Commission released the Tech required to submit a build-out milestone to reduce paperwork burdens, and as Transitions et al., GN Docket No. 13–5 certification within 15 months of their required by the Paperwork Reduction et al., 29 FCC Rcd 1433 (2014) (Tech first disbursement. Recipients that are Act (PRA) of 1995 (44 U.S.C. 3501– Transitions Order), that adopted determined to not be in compliance 3520), the Federal Communications targeted experiments to explore the with the terms and conditions of the Commission (FCC or Commission) impact of technology transitions on rural broadband experiments during invites the general public and other rural Americans, including those living their support term will also be required Federal agencies to take this on Tribal lands. On July 14, 2014, the to submit a certification to demonstrate opportunity to comment on the Commission released Connect America that they have come into compliance. following information collections. Fund et al., WC Docket No. 10–90 et al., All of these certifications must be Comments are requested concerning: Report and Order and Further Notice of accompanied by the same types of whether the proposed collection of Proposed Rulemaking, FCC 14–98 (rel. evidence required for the November information is necessary for the proper July 14, 2014) (Rural Broadband interim progress report. This report and performance of the functions of the Experiments Order), which established certifications will enable the Commission, including whether the certain parameters and requirements for Commission to monitor the progress of information shall have practical utility; the rural broadband experiments the rural broadband experiments and the accuracy of the Commission’s adopted by the Commission in the Tech ensure that the support is being used for burden estimate; ways to enhance the Transitions Order. its intended purposes. Finally, rural This information collection addresses broadband experiment recipients will be quality, utility, and clarity of the requirements to carry out the rural subject to a 10-year record retention information collected; ways to minimize broadband experiments the Commission requirement and must make those the burden of the collection of adopted in the Tech Transitions Order documents and records available to the information on the respondents, and the Rural Broadband Experiments Commission, any of its Bureaus or including the use of automated Order. The Commission has received Offices, the Universal Service collection techniques or other forms of OMB approval for most of the Administrative Company, and their information technology; and ways to information collections required by the respective auditors to aid these entities further reduce the information orders. At a later date, the Commission in overseeing the recipients’ compliance collection burden on small business plans to submit additional revisions to with the terms and conditions of rural concerns with fewer than 25 employees. a separate information collection for broadband experiment support. The The FCC may not conduct or sponsor a OMB’s review to address other reporting Commission also proposes to eliminate collection of information unless it requirements adopted in the Rural FCC Form 5610 that is a part of this displays a currently valid OMB control Broadband Experiments Order. For this information collection. The deadline to number. No person shall be subject to revision, subject to OMB approval, the file FCC Form 5610 with the any penalty for failing to comply with Commission proposes to incorporate the Commission was November 7, 2014. a collection of information subject to the November interim progress report, Because the Commission does not PRA that does not display a valid OMB build-out milestone certifications, and anticipate holding another round of control number. recordkeeping requirements that the bidding, no additional entities will be DATES: Written PRA comments should Commission adopted in the Rural required to file FCC Form 5610. There be submitted on or before September 8, Broadband Experiments Order. If are no proposed changes to the 2015. If you anticipate that you will be approved, recipients of the rural currently approved FCC Form 5620 submitting comments, but find it broadband experiments will be required which is also a part of this information difficult to do so within the period of to submit a one-time report on collection. However, the Commission time allowed by this notice, you should November 1st after they begin receiving proposes to increase the number of advise the contact listed below as soon support. This report must describe the respondents involved in the post- as possible. status of the recipient’s experiment as of selection review because more winning ADDRESSES: Direct all PRA comments to September 30th immediately preceding bidders were provisionally selected than Cathy Williams, FCC, via email to PRA@ the report (i.e., whether vendors have the Commission anticipated. fcc.gov and to [email protected].

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FOR FURTHER INFORMATION CONTACT: For also calculate the lowest unit charge and religion, national origin or sex. Section additional information about the are required to review their advertising 73.2080 requires that each broadcast information collection, contact Cathy records throughout the election period station employment unit with 5 or more Williams at (202) 418–2918. to determine whether compliance with full-time employees shall establish, SUPPLEMENTARY INFORMATION: this rule section requires that candidates maintain and carry out a program to OMB Control Number: 3060-xxxx. receive rebates or credits. See 47 CFR assure equal opportunity in every aspect Title: SDARS Political Broadcasting Section 73.1942. of a broadcast station’s policy and Requirements. Political file: Similar to broadcasters, practice. These same requirements also Form Number: N/A. SDARS licensees must also keep and apply to Satellite Digital Audio Radio Type of Review: New collection. permit public inspection of a complete Service (‘‘SDARS’’) licensees. Respondents: Business or other for- record (political file) of all requests for Revised Information Collection profit entities. SDARS origination time made by or on Requirement: Number of Respondents and behalf of candidates for public office, In 1997, the Commission determined Responses: 1 respondent; 1 response. together with an appropriate notation that SDARS licensees must comply with Estimated Time per Response: 10 showing the disposition made by the the Commission’s EEO requirements. hours. system of such requests, and the charges See Establishment of Rules and Policies Frequency of Response: made, if any, if the request is granted. for the Digital Audio Radio Satellite Recordkeeping requirement; On The disposition includes the schedule Service in the 2310–2360 MHz occasion reporting requirements; Third of time purchased, when the spots Frequency Band, 12 FCC Rcd 5754, party disclosure requirement. actually aired, the rates charged, and the 5791, ¶ 91 (1997) (‘‘1997 SDARS Obligation to Respond: Required to classes of time purchased. Also, when Order’’), FCC 97–70. In 2008, the obtain or retain benefits. The statutory free time is provided for use by or on Commission clarified that SDARS authority which covers this information behalf of candidates, a record of the free licensees must comply with the collection is contained in 47 U.S.C. time provided is to be placed in the Commission’s EEO broadcast rules and 309(a) and 307(a) of the political file as soon as possible and policies, including the same Communications Act of 1934, as maintained for a period of two years. recruitment, outreach, public file, Web amended. See 47 CFR 73.1943. site posting, record-keeping, reporting, Total Annual Burden: 20 hours. OMB Control Number: 3060–0349. and self-assessment obligations required Total Annual Cost: No cost. Title: Equal Employment Opportunity of broadcast licensees, consistent with Nature and Extent of Confidentiality: (‘‘EEO’’) Policy, 47 CFR Sections 47 CFR 73.2080, as well as any other Although the Commission does not 73.2080, 76.73, 76.75, 76.79 and Commission EEO policies. See believe that any confidential 76.1702. Applications for Consent to the Transfer information will need to be disclosed in Form Number: N/A. of Control of Licenses, SM Satellite order to comply with the information Type of Review: Revision of a Radio Holdings Inc., Transferor, to collection requirements, applicants are currently approved collection. Sirius Satellite Radio Inc., Transferee, free to request that materials or Respondents: Business or other for- 23 FCC Rcd 12348, 12426, ¶ 174, and information submitted to the profit entities; not for profit institutions. note 551 (2008) (‘‘XM-Sirius Merger Commission be withheld from public Number of Respondents and Order’’). inspection. (See 47 CFR 0.459 of the Responses: 14,179 respondents; 14,179 The Commission is making this Commission’s Rules). responses. submission to the Office of Management Privacy Impact Assessment: No Estimated Time per Response: 42 and Budget for approval to add SDARS impact(s). hours. licensees to this information collection. Needs and Uses: In 1997, the Frequency of Response: OMB Control Number: 3060–0214. Commission imposed political Recordkeeping requirement; annual Title: Sections 73.3526 and 73.3527, broadcasting requirements on Satellite reporting requirement; five year Local Public Inspection Files; Sections Digital Audio Broadcasting Service reporting requirement. 76.1701 and 73.1943, Political Files. (‘‘SDARS’’) licensees. See Establishment Obligation to Respond: Required to Form Number: N/A. of Rules and Policies for the Digital obtain or retain benefits. The statutory Type of Review: Revision of a Audio Radio Satellite Service in the authority which covers this information currently approved collection. 2310–2360 MHz Frequency Band, 12 collection is contained in Section 154(i) Respondents: Business or other for- FCC Rcd 5754, 5792, para. 92 (1997) and 303 of the Communications Act of profit entities; not for profit institutions; (‘‘1997 SDARS Order’’), FCC 97–70. The 1934, as amended, and Section 634 of individuals or households. Commission stated that SDARS the Cable Communications Policy Act of Number of Respondents and licensees should comply with the same 1984. Responses: 24,559 respondents; 63,235 substantive political debate provisions Total Annual Burden: 595,518 hours. responses. as broadcasters: the federal candidate Total Annual Cost: No cost. Estimated Time per Response: 1—104 access provision (47 U.S.C. Section Nature and Extent of Confidentiality: hours 312(a)(7)) and the equal opportunities There is no need for confidentiality with Frequency of Response: provision (47 U.S.C. Section 315). The this collection of information. Recordkeeping requirement; on 1997 SDARS Order imposes the Privacy Impact Assessment: No occasion reporting requirements; Third following requirements on SDARS impact(s). party disclosure requirement. licensees: Needs and Uses: 47 CFR Section Obligation to Respond: Required to Lowest unit charge: Similar to 73.2080 provides that equal opportunity obtain or retain benefits. The statutory broadcasters, SDARS licensees must in employment shall be afforded by all authority which covers this information disclose any practices offered to broadcast stations to all qualified collection is contained in Sections 151, commercial advertisers that enhance the persons and no person shall be 152, 154(i), 303, 307 and 308 of the value of advertising spots and different discriminated against in employment by Communications Act of 1934, as classes of time. SDARS licensees must such stations because of race, color, amended.

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Total Annual Burden: 2,375,337 Obligation to Respond: Required to Number of Respondents and hours. obtain or retain benefits. The statutory Responses: 1,181 respondents; 1,181 Total Annual Cost: $882,631. authority which covers this information responses. Nature and Extent of Confidentiality: collection is contained in Section 154(i) Estimated Time per Response: 0.5 Most of the documents comprising the and 303 of the Communications Act of hours. public file consist of materials that are 1934, as amended. Frequency of Response: Mid-point not of a confidential nature. Total Annual Burden: 3,002 hours. reporting requirement. Respondents complying with the Total Annual Cost: $300,300. Obligation to Respond: Required to information collection requirements Nature and Extent of Confidentiality: obtain or retain benefits. The statutory may request that the information they There is no need for confidentiality with authority which covers this information submit be withheld from disclosure. If this collection of information. collection is contained in Sections confidentiality is requested, such Privacy Impact Assessment: No 154(i) and 303 of the Communications requests will be processed in impact(s). Act, as amended. accordance with the Commission’s Needs and Uses: The Broadcast Equal Total Annual Burden: 591 hours. Employment Opportunity (EEO) rules, 47 CFR 0.459. Total Annual Cost: No cost. Program Report, FCC Form 396, is a Privacy Impact Assessment: Should Nature and Extent of Confidentiality: device that is used to evaluate a respondents submit any PII as part of There is no need for confidentiality with broadcaster’s EEO program to ensure the information collection requirements, this collection of information. that satisfactory efforts are being made the FCC has an existing system of Privacy Impact Assessment: No to comply with FCC’s EEO records, FCC/MB–1, ‘‘Ownership of impact(s). requirements. FCC Form 396 is required Commercial Broadcast Stations,’’ that Needs and Uses: The Broadcast Mid- to be filed at the time of renewal of may partially cover this PII. In addition, Term Report (FCC Form 397) is required license by all AM, FM, TV, Low Power the Commission has prepared a second to be filed by each broadcast television TV and International stations. Licensees system of records notice, FCC/MB–2, station that is part of an employment in the Satellite Digital Audio Radio ‘‘Broadcast Station Public Inspection unit with five or more full-time Service (‘‘SDARS’’) also must file FCC Files,’’ that will cover the PII contained employees and each broadcast radio Form 396. in the broadcast station public station that is part of an employment inspection files to be located on the The recordkeeping requirements for FCC Form 396 are covered under OMB unit with more than ten full-time Commission’s Web site. The employees. It is a data collection device Commission is also drafting a PIA for control number 3060–0214. Revised Collection Requirement: used to assess broadcast compliance the records covered by this SORN. In 1997, the Commission determined with EEO outreach requirements in the Needs and Uses: Satellite Radio (also that SDARS licensees must comply with middle of license terms that are eight referred to as ‘‘Satellite Digital Audio the Commission’s EEO requirements. years in duration. FCC Form 397 must Radio Services’’ or ‘‘SDARS’’) licensees See Establishment of Rules and Policies also be filed by Satellite Digital Audio are required to comply with the for the Digital Audio Radio Satellite Radio Services (SDARS) licensees to Commission’s EEO broadcast rules and Service in the 2310–2360 MHz assess compliance with EEO outreach policies, including public file Frequency Band, 12 FCC Rcd 5754, requirements. obligations and periodic submissions to 5791, ¶ 91 (1997) (‘‘1997 SDARS Revised Information Collection the Commission. See Applications for Order’’), FCC 97–70. In 2008, the Requirements Which Require Approval Consent to the Transfer of Control of Commission clarified that SDARS and Review by the Office of Licenses, XM Satellite Radio Holdings licensees must comply with the Management and Budget (OMB): Inc., Transferor, to Sirius Satellite Radio Commission’s EEO broadcast rules and Satellite Radio (also referred to as Inc., Transferee, 23 FCC Rcd 12348, policies, including the same ‘‘Satellite Digital Audio Radio Services’’ 12426, ¶ 174, and note 551 (2008) (‘‘XM- recruitment, outreach, public file, Web or ‘‘SDARS’’) licensees are required to Sirius Merger Order’’). See also site posting, record-keeping, reporting, comply with the Commission’s EEO Establishment of Rules and Policies for and self-assessment obligations required broadcast rules and policies. They must the Digital Audio Radio Satellite Service of broadcast licensees, consistent with engage in the same recruitment, in the 2310–2360 MHz Frequency Band, 47 CFR 73.2080, as well as any other outreach, public file, Web site posting, 12 FCC Rcd 5754, 5791–92, ¶¶ 91–92 Commission EEO policies. See record-keeping, reporting, and self- (1997) (‘‘SDARS Order’’), FCC 97–70. Applications for Consent to the Transfer assessment obligations required of This collection is being revised to reflect of Control of Licenses, SM Satellite broadcast licensees, consistent with 47 the burden associated with the EEO Radio Holdings Inc., Transferor, to CFR 73.2080, and are subject to the public file requirements. Sirius Satellite Radio Inc., Transferee, same EEO policies. See Applications for OMB Control Number: 3060–0113. 23 FCC Rcd 12348, 12426, ¶ 174, and Consent to the Transfer of Control of Title: Broadcast EEO Program Report, note 551 (2008) (‘‘XM-Sirius Merger Licenses, XM Satellite Radio Holdings FCC Form 396. Order’’). Inc., Transferor, to Sirius Satellite Radio Form Number: FCC Form 396. The Commission is making this Inc., Transferee, 23 FCC Rcd 12348, Type of Review: Revision of a submission to the Office of Management 12426, ¶ 174, and note 551 (2008) (‘‘XM- currently approved collection. and Budget for approval to add SDARS Sirius Merger Order’’). See also Respondents: Business or other for- licensees to this information collection. Establishment of Rules and Policies for profit entities; not for profit institutions. OMB Control Number: 3060–0922. the Digital Audio Radio Satellite Service Number of Respondents and Title: Broadcast Mid-Term Report, in the 2310–2360 MHz Frequency Band, Responses: 2,001 respondents; 2,001 FCC Form 397. 12 FCC Rcd 5754, 5791–92, ¶¶ 91–92 responses. Form Number: FCC Form 397. (1997) (‘‘SDARS Order’’), FCC 97–70. Estimated Time per Response: 1.5 Type of Review: Revision of a This collection is being revised to reflect hours. currently approved collection. the burden associated with filing FCC Frequency of Response: On renewal Respondents: Business or other for- Form 397 by SDARS licensees. reporting requirement. profit entities; not-profit institutions. Therefore, these respondents are being

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added as respondents to this collection. benefits associated with each class and political file and shall prominently The form is not being revised. are not based solely upon price or disclose the physical location of the file, OMB Control Number: 3060–1065. identity of the advertiser. Such and the telephonic and electronic means Title: Section 25.701 of the demonstrable benefits include, but are to access the file. Commission’s Rules, Direct Broadcast not limited to, varying levels of (1) The political file shall contain, at Satellite Public Interest Obligations. preemption protection, scheduling a minimum: Form Number: N/A. flexibility, or associated privileges, such (i) A record of all requests for DBS Type of Review: Reinstatement of a as guaranteed time sensitive make origination time, the disposition of previously approved collection. goods. DBS providers may not use class those requests, and the charges made, if Respondents: Business or other for- distinctions to defeat the purpose of the any, if the request is granted. The profit entities. lowest unit charge requirement. All ‘‘disposition’’ includes the schedule of Number of Respondents and classes must be fully disclosed and time purchased, when spots actually Responses: 2 respondents; 2 responses. made available to candidates. aired, the rates charged, and the classes Estimated Time per Response: 1–10 47 CFR 25.701(c)(1)(i)(D) states DBS of time purchased; and hours. providers may establish reasonable (ii) A record of the free time provided Frequency of Response: classes of preemptible with notice time if free time is provided for use by or on Recordkeeping requirement; on so long as they clearly define all such behalf of candidates. occasion reporting requirement; one classes, fully disclose them and make (2) DBS providers shall place all time reporting requirement; annual them available to candidates. records required by this section in a file reporting requirement; Third party 47 CFR 25.701(c)(1)(i)(E) states DBS available to the public as soon as disclosure requirement. providers may treat non preemptible possible and shall be retained for a Obligation to Respond: Required to and fixed position as distinct classes of period of four years until December 31, obtain or retain benefits. The statutory time provided that they articulate 2006, and thereafter for a period of two authority which covers this information clearly the differences between such years. collection is contained in Section 335 of classes, fully disclose them, and make 47 CFR 25.701(e)(3) requires DBS the Communications Act of 1934, as them available to candidates. providers airing children’s programming amended. 47 CFR 25.701(c)(1)(i)(I) states DBS must maintain records sufficient to Total Annual Burden: 50 hours. providers shall review their advertising verify compliance with this rule and Total Annual Cost: No cost. records periodically throughout the make such records available to the Nature and Extent of Confidentiality: election period to determine whether public. Such records must be Although the Commission does not compliance with this section requires maintained for a period sufficient to believe that any confidential that candidates receive rebates or cover the limitations period specified in information will need to be disclosed in credits. Where necessary, DBS providers 47 U.S.C. 503(b)(6)(B). order to comply with the information shall issue such rebates or credits 47 CFR 25.701(f)(6) states that each collection requirements, applicants are promptly. DBS provider shall keep and permit free to request that materials or 47 CFR 25.701(c)(1)(i)(M) states DBS public inspection of a complete and information submitted to the providers must disclose and make orderly record of: Commission be withheld from public available to candidates any make good (A) Quarterly measurements of inspection. (See 47 CFR 0.459 of the policies provided to commercial channel capacity and yearly average Commission’s Rules). advertisers. If a DBS provider places a calculations on which it bases its four Privacy Impact Assessment: No make good for any commercial percent reservation, as well as its impact(s). advertiser or other candidate in a more response to any capacity changes; Needs and Uses: The Commission valuable program or daypart, the value (B) A record of entities to whom vacated an Order on Reconsideration, In of such make good must be included in noncommercial capacity is being the Matter of Implementation Of Section the calculation of the lowest unit charge provided, the amount of capacity being 25 Of The Cable Television Consumer for that program or daypart. provided to each entity, the conditions Protection And Competition Act Of 47 CFR 25.701(c)(1)(ii) states at any under which it is being provided and 1992, Direct Broadcast Satellite Public time other than the respective periods the rates, if any, being paid by the Interest Obligations, MM No. Docket set forth in paragraph (c)(1)(i) of this entity; 93–25 FCC 03–78, adopted April 9, 2003 section, DBS providers may charge (C) A record of entities that have and adopted in its place, in the same legally qualified candidates for public requested capacity, disposition of those proceeding, a Second Order on office no more than the charges made requests and reasons for the disposition. Reconsideration of the First Report and for comparable use of the facility by (ii) All records required by this Order, Sua Sponte Order on commercial advertisers. The rates, if paragraph shall be placed in a file Reconsideration (‘‘Second Order’’) and any, charged all such candidates for the available to the public as soon as accompanying rules FCC 04–44, same office shall be uniform and shall possible and shall be retained for a released March 25, 2004. The Second not be rebated by any means, direct or period of two years. Order differs from the Order on indirect. A candidate shall be charged The statutory authority which covers Reconsideration with respect to two no more than the rate the DBS provider this information collection is contained issues: (1) The political broadcasting would charge for comparable in 47 U.S.C. 335 of the Communications requirements, and (2) the guidelines commercial advertising. All discount Act of 1934, as amended. concerning commercialization of privileges otherwise offered by a DBS Revised Information Collection children’s programming. provider to commercial advertisers must Requirements: 47 CFR 25.701(c)(1)(i)(C) states DBS be disclosed and made available upon The Commission is reinstating this providers may establish and define their equal terms to all candidates for public collection into the Office of own reasonable classes of immediately office. Management and Budget’s (OMB’s) preemptible time so long as the 47 CFR 25.701(d) states each DBS inventory because after further differences between such classes are provider shall keep and permit public evaluation the Commission has based on one or more demonstrable inspection of a complete and orderly determined that this collection is still

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needed by the Commission because DBS FOR FURTHER INFORMATION CONTACT: Gary exception by regulation or by order. The providers make up the majority of their A. Kuiper or John W. Popeo, at the FDIC FDIC’s implementing regulation for universe of respondents. Since this is address above. section 24 is 12 CFR part 362. This the case, OMB approval is still need for SUPPLEMENTARY INFORMATION: Proposal regulation details the activities that this collection. to renew the following currently- insured state nonmember banks or their Federal Communications Commission. approved collections of information: subsidiaries may engage in, under Marlene H. Dortch, 1. Title: Public Disclosure by Banks. certain criteria and conditions, and identifies the information that banks Secretary, Office of the Secretary. OMB Number: 3064–0090. Affected Public: Insured state must furnish to the FDIC in order to [FR Doc. 2015–16853 Filed 7–9–15; 8:45 am] nonmember banks. obtain the FDIC’s approval or BILLING CODE 6712–01–P Frequency of Response: Annually. nonobjection. Estimated Number of Respondents: 3. Title: Privacy of Consumer 4,084. Financial Information. FEDERAL DEPOSIT INSURANCE Estimated Time per Response: 0.5 OMB Number: 3064–0136. CORPORATION Total Annual Burden: 2,042 hours. Form Numbers: None. General Description: 12 CFR part 350 Frequency of Response: On occasion. Agency Information Collection requires a bank to notify the general Affected Public: Insured state Activities: Proposed Collection public, and in some instances nonmember banks and consumers. Renewals; Comment Request (3064– shareholders, that financial disclosure Estimated Number of Respondents: 0090, 3064–0111, 3064–0136, 3064– statements are available by request. Initial notice, 208; annual notice and 0138 & 3064–0171) Required disclosures consist of financial change in terms 4,084; opt-out notice, reports for the current and preceding 866; consumer opt-out/status update, AGENCY: Federal Deposit Insurance year, which can be photocopied directly 212,432. Corporation (FDIC). Estimated Number of Responses: from the year-end call reports. The FDIC 217,590. ACTION: Notice and request for comment. may also require, on a case-by-case Total Annual Burden: 162,456 hours. basis, that descriptions of enforcement SUMMARY: The FDIC, as part of its General Description: The elements of continuing effort to reduce paperwork actions be included in disclosure this collection are required under and respondent burden, invites the statements. This regulation allows, but section 504 of the Gramm-Leach-Bliley general public and other Federal does not require, the inclusion of Act, Public Law 106–102. Thecollection agencies to take this opportunity to management discussion and analysis. mandates notice requirements and comment on the renewal of existing 2. Title: Activities and Investments of restrictions on a financial institution’s information collections, as required by Insured State Banks. ability to disclose nonpublic personal the Paperwork Reduction Act of 1995. OMB Number: 3064–0111. information about consumers to Currently, the FDIC is soliciting Form Numbers: None. nonaffiliated third parties. comment on the renewal of the Frequency of Response: On occasion. 4. Title: Applicant Background information collections described Affected Public: Insured state Questionnaire. below. nonmember banks. OMB Number: 3064–0138. Estimated Number of Respondents: Form Number: FDIC 2100/14. DATES: Comments must be submitted on 110. Frequency of Response: On occasion. or before September 8, 2015. Estimated Time per Response: 8 Affected Public: FDIC job applicants ADDRESSES: Interested parties are hours. who are not current FDIC employees. invited to submit written comments to Total Annual Burden: 880 hours. Estimated Number of Respondents: the FDIC by any of the following General Description: Section 24 of the 30,000. methods: Federal Deposit Insurance Act (FDI Act), Estimated Time per Response: 3 • http://www.FDIC.gov/regulations/ 12 U.S.C. 1831a, limits investments and minutes. laws/federal/. other activities in which state banks Total Annual Burden: 1,500 hours. • Email: [email protected]. Include may engage as principal to those General Description: The FDIC the name and number of the collection permissible for national banks and those Applicant Background Questionnaire is in the subject line of the message. approved by the FDIC under procedures voluntarily completed by prospective • Mail: Gary A. Kuiper set forth in Part 362 of the FDIC’s Rules FDIC job applicants who are not current (202.898.3877), Counsel, John W. Popeo and Regulations, 12 CFR part 362. With employees. Responses to survey (202.898.6923), Counsel MB–3007, certain exceptions, section 24 of the FDI questions provide information regarding Federal Deposit Insurance Corporation, Act limits the direct equity investments gender, age, disability, race, and 550 17th Street NW., Washington, DC of state chartered banks to equity national origin. Additional survey 20429. investments that are permissible for questions address the applicant’s source • Hand Delivery: Comments may be national banks. In addition, the statute of vacancy announcement information. hand-delivered to the guard station at prohibits an insured state bank from Data is used by the FDIC Office of the rear of the 17th Street Building directly engaging, as a principal, in any Minority and Women Inclusion and the (located on F Street), on business days activity that is not permissible for a FDIC Human Resources Branch to between 7:00 a.m. and 5:00 p.m. national bank, or indirectly through a evaluate the efficacy of various FDIC All comments should refer to the subsidiary in an activity that is not recruitment methods used to ensure that relevant OMB control number. A copy permissible for a subsidiary of a the agency meets workforce diversity of the comments may also be submitted national bank, unless such bank meets objectives. to the OMB desk officer for the FDIC: its minimum capital requirements and 5. Title: Registration of Mortgage Loan Office of Information and Regulatory the FDIC determines that the activity Originators. Affairs, Office of Management and does not pose significant risk to the OMB Number: 3064–0171. Budget, New Executive Office Building, Deposit Insurance Fund. The FDIC can Total Estimated Annual Burden: Washington, DC 20503. make such a determination for 608,867, which is comprised of:

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A. Financial Institution Policies and Frequency of Response: Annually. FEDERAL RESERVE SYSTEM Procedures for Ensuring Employee- Estimated Time per Response: 4 Mortgage Loan Originator hours. Agency Information Collection Compliance with S.A.F.E. Act Estimated Annual Burden: 16,320 Activities: Notice; Amendment Requirements Affected Public. hours. Affected Public: FDIC-supervised G. Mortgage Loan Originator Initial and AGENCY: Board of Governors of the institutions. Annual Renewal Registration Federal Reserve System. Estimated Number of Respondents: Reporting and Authorization SUMMARY: 4,080. Requirements. On June 29, 2015, the Board Frequency of Response: Annually. Affected Public: Employee Mortgage published a notice of final approval of Estimated Time per Response: 20 Loan Originators. proposed information collections by the hours. Estimated Number of Respondents: Board of Governors of the Federal Estimated Annual Burden: 81,600 59,592. Reserve System (Board) under OMB hours. Frequency of Response: Annually. delegated authority. The Board did not B. Financial Institution Procedures to Estimated Time per Response: 15 include in the June 2015 notice Track and Monitor Compliance minutes. information related to the public with S.A.F.E. Act. Estimated Annual Burden: 14,898 comment period. Accordingly, this Estimated Number of Respondents: hours. notice supplements the June 2015 notice 4,080. H. Mortgage Loan Originator providing information related to the Frequency of Response: Annually. Registration Updates Upon Change public comment period for Estimated Time per Response: 60 in Circumstances. transparency. hours. Affected Public: Employee Mortgage Estimated Annual Burden: 244,800 Loan Originators. FOR FURTHER INFORMATION CONTACT: hours. Estimated Number of Respondents: Federal Reserve Board Clearance C. Financial Institution Procedures for 29,646. Officer—Nuha Elmaghrabi—Office of the Collection and Maintenance of Frequency of Response: On occasion. the Chief Data Officer, Board of Employee Mortgage Loan Estimated Time per Response: 15 Governors of the Federal Reserve Originators Criminal History minutes. System, Washington, DC 20551 (202) Background Reports. Estimated Annual Burden: 7,412 452–3829. Telecommunications Device Affected Public: FDIC-supervised hours. for the Deaf (TDD) users may contact institutions. I. Mortgage Loan Originator Procedures (202) 263–4869, Board of Governors of Estimated Number of Respondents: for Disclosure to Consumers of the Federal Reserve System, 4,080. Unique Identifier. Washington, DC 20551. Frequency of Response: Annually. Affected Public: Employee Mortgage Estimated Time per Response: 20 Loan Originators. SUPPLEMENTARY INFORMATION: The hours. Estimated Number of Respondents: following information was not included Estimated Annual Burden: 81,600 59,292. in the June 2015 notice. hours. Frequency of Response: Annually. On April 14, 2015, the Federal D. Financial Institution Procedures for Estimated Time per Response: 1 hour. Reserve published a notice in the Public Disclosure of Mortgage Loan Estimated Annual Burden: 59,292 Federal Register (80 FR 19986) Originator’s Unique Identifier. hours. Affected Public: FDIC-supervised requesting public comment for 60 days institutions. Request for Comment on the extension, without revision, of Estimated Number of Respondents: Comments are invited on: (a) Whether the Requirements Associated with 4,080. the collections of information are Changes in Foreign Investments (Made Frequency of Response: Annually. necessary for the proper performance of Pursuant to Regulation K (FR 2064)), Estimated Time per Response: 25 the FDIC’s functions, including whether Microeconomic Survey (FR 3051), and hours. the information has practical utility; (b) Recordkeeping and Disclosure Estimated Annual Burden: 102,000 the accuracy of the estimates of the Provisions associated with Stress hours. burden of the collections of information, Testing Guidance. The comment period E. Financial Institution Information including the validity of the for this notice expired on June 15, 2015. Reporting to Registry. methodology and assumptions used; (c) The Federal Reserve did not receive any Affected Public: FDIC-supervised ways to enhance the quality, utility, and comments. institutions. clarity of the information to be Board of Governors of the Federal Reserve Estimated Number of Respondents: collected; and (d) ways to minimize the System, July 1, 2015. 4,080. burden of the collections of information Frequency of Response: Annually. on respondents, including through the Robert de V. Frierson, Estimated Time per Response: 15 use of automated collection techniques Secretary of the Board. minutes. or other forms of information [FR Doc. 2015–16719 Filed 7–9–15; 8:45 am] Estimated Annual Burden: 1,020 technology. All comments will become BILLING CODE 6210–01–P hours. a matter of public record. F. Financial Institution Procedures for the Collection of Employee Dated at Washington, DC, this 7th day of July 2015. Mortgage Loan Originator’s Fingerprints. Federal Deposit Insurance Corporation. Affected Public: FDIC-supervised Robert E. Feldman, institutions. Executive Secretary. Estimated Number of Respondents: [FR Doc. 2015–16910 Filed 7–9–15; 8:45 am] 4,080. BILLING CODE 6714–01–P

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DEPARTMENT OF HEALTH AND SUPPLEMENTARY INFORMATION: Under the Background and Brief Description HUMAN SERVICES Paperwork Reduction Act of 1995 (PRA) The mission of the National Institute (44 U.S.C. 3501–3520), Federal agencies for Occupational Safety and Health Centers for Disease Control and must obtain approval from the Office of (NIOSH) is to promote safety and health Prevention Management and Budget (OMB) for each at work for all people through research [60Day-15–15ASI; Docket No. CDC–2015– collection of information they conduct and prevention. The Occupational 0051] or sponsor. In addition, the PRA also Safety and Health Act, 91 (section 20[a] requires Federal agencies to provide a [1]), authorizes NIOSH to conduct Proposed Data Collection Submitted 60-day notice in the Federal Register research to advance the health and for Public Comment and concerning each proposed collection of safety of workers. NIOSH is proposing a Recommendations information, including each new three year study to conduct a survey AGENCY: Centers for Disease Control and proposed collection, each proposed questionnaire of 500 land-based oil and Prevention (CDC), Department of Health extension of existing collection of gas (O&G) extraction workers in 3 U.S. and Human Services (HHS). information, and each reinstatement of states (Texas, North Dakota, and a state ACTION: Notice with comment period. previously approved information in the Appalachian Basin) to examine collection before submitting the safety and health issues and concerns of SUMMARY: The Centers for Disease collection to OMB for approval. To this workforce. Workers who drive as a Control and Prevention (CDC), as part of comply with this requirement, we are part of their work duties will be asked its continuing efforts to reduce public publishing this notice of a proposed to complete an additional set of burden and maximize the utility of data collection as described below. questions about their driving government information, invites the environment and behaviors. We expect Comments are invited on: (a) Whether general public and other Federal a response rate of 80%, so it is estimated agencies to take this opportunity to the proposed collection of information that we will approach 625 workers in comment on proposed and/or is necessary for the proper performance order to have 500 workers complete the continuing information collections, as of the functions of the agency, including survey. required by the Paperwork Reduction whether the information shall have The goals of this study are (1) To Act of 1995. This notice invites practical utility; (b) the accuracy of the determine on-duty and off-duty factors comment on a proposed field survey to agency’s estimate of the burden of the that contribute to motor vehicle crashes, assess safety and health hazards to proposed collection of information; (c) injuries and illness among U.S. land- workers in oil and gas (O&G) extraction. ways to enhance the quality, utility, and based O&G extraction workers and (2) DATES: Written comments must be clarity of the information to be To identify other safety and health received on or before September 8, collected; (d) ways to minimize the needs and concerns of U.S. land-based 2015. burden of the collection of information O&G extraction workers, a largely non- on respondents, including through the unionized workforce. The results of this ADDRESSES: You may submit comments, use of automated collection techniques study will guide the development of identified by Docket No. CDC–2015– or other forms of information evidence-based and priority 0051 by any of the following methods: technology; and (e) estimates of capital interventions and future research in the Federal eRulemaking Portal: O&G extraction industry that will Regulation.gov. Follow the instructions or start-up costs and costs of operation, improve the safety and health of O&G for submitting comments. maintenance, and purchase of services workers. Mail: Leroy A. Richardson, to provide information. Burden means Administration of the survey Information Collection Review Office, the total time, effort, or financial questionnaire will occur at temporary Centers for Disease Control and resources expended by persons to modular lodging facilities (‘man Prevention, 1600 Clifton Road, NE., generate, maintain, retain, disclose or camps’), training centers, equipment/ MS–D74, Atlanta, Georgia 30329. provide information to or for a Federal trucking yards, well sites, and Instructions: All submissions received agency. This includes the time needed community centers in oilfield towns. A must include the agency name and to review instructions; to develop, screening questionnaire, ‘‘Module 1: Docket Number. All relevant comments acquire, install and utilize technology Screening’’ will be administered to 313 received will be posted without change and systems for the purpose of workers per year (for 2 years) to to Regulations.gov, including any collecting, validating and verifying determine that the worker is eligible for personal information provided. For information, processing and the survey. This questionnaire will take access to the docket to read background maintaining information, and disclosing about 5 minutes. NIOSH anticipates that documents or comments received, go to and providing information; to train up to 63 workers per year (20% of Regulations.gov. personnel and to be able to respond to screened workers) will be eligible but a collection of information, to search Please note: All public comment should be not interested in participating in this data sources, to complete and review submitted through the Federal eRulemaking study. These workers will be asked to the collection of information; and to portal (Regulations.gov) or by U.S. mail to the complete a brief, 6-question ‘‘Non- address listed above. transmit or otherwise disclose the Respondent Questionnaire’’, which will information. FOR FURTHER INFORMATION CONTACT: To take about 5 minutes. Approximately request more information on the Proposed Project 250 workers per year (for 2 years) will proposed project or to obtain a copy of be eligible and agree to participate in the information collection plan and Assessing Safety and Health Hazards the study (80% response rate). These instruments, contact the Information to Workers in Oil and Gas Extraction: A workers will complete ‘‘Module 2: Collection Review Office, Centers for Survey—New—Information Collection General,’’ ‘‘Module 3: Well-site work,’’ Disease Control and Prevention, 1600 Request—National Institute for and ‘‘Module 5: Closing Questions’’ Clifton Road NE., MS–D74, Atlanta, Occupational Safety and Health (approximately 225 workers will use the Georgia 30329; phone: 404–639–7570; (NIOSH), Centers for Disease Control tablet version and 25 will opt to use the Email: [email protected]. and Prevention (CDC). hardcopy version). ‘‘Module 5: Closing

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Questions’’ includes a brief interview be asked to complete ‘‘Module 4: Motor workers per year), or 20 minutes for with program staff. The questionnaire Vehicle.’’ An estimated 75% of the those completing the hardcopy version and interview will take approximately workers will complete the driving (19 workers per year). 40 minutes to complete for workers portion of the survey (187 workers). The total estimated burden hours are using the tablet, or 50 minutes for those This module will take approximately 10 236. There is no cost to respondents using the hardcopy version. Workers additional minutes to complete for those other than their time. who drive a company vehicle will also using the tablet (approximately 168

ESTIMATED ANNUALIZED BURDEN HOURS

Number of Number of responses Avg. burden Total burden Type of respondents Form name respondents per per response (in hrs.) respondent (in hrs.)

Presumed O&G Extraction Workers ..... Module 1: Screening ...... 313 1 5/60 26 O&G Extraction Workers ...... Non Respondent Questionnaire ...... 63 1 5/60 5 O&G Extraction Workers ...... Tablet Version ...... 225 1 40/60 150 Modules 2: General Module 3: Well Site Work, and Module 5: Closing Questions. O&G Extraction Workers ...... Hardcopy ...... 25 1 50/60 21 Version ...... Modules 2: General Module 3: Well Site Work, and Module 5: Closing Questions. O&G Extraction Workers who drive at Tablet Version ...... 168 1 10/60 28 work. Module 4: Motor Vehicle ...... O&G Extraction Workers who drive at Hardcopy Version ...... 19 1 20/60 6 work. Module 4: Motor Vehicle ......

Total ...... 236

Leroy A. Richardson, necessary for the proper performance of 0978, Expires 8/31/2016), National Chief, Information Collection Review Office, the functions of the agency, including Center for Emerging and Zoonotic Office of Scientific Integrity, Office of the whether the information will have Infectious Diseases (NCEZID), Centers Associate Director for Science, Office of the practical utility; (b) Evaluate the for Disease Control and Prevention Director, Centers for Disease Control and accuracy of the agencies estimate of the (CDC). Prevention. burden of the proposed collection of Background and Brief Description [FR Doc. 2015–16894 Filed 7–9–15; 8:45 am] information, including the validity of BILLING CODE 4163–18–P the methodology and assumptions used; The Emerging Infections Programs (c) Enhance the quality, utility, and (EIPs) are population-based centers of clarity of the information to be excellence established through a DEPARTMENT OF HEALTH AND collected; (d) Minimize the burden of network of state health departments HUMAN SERVICES the collection of information on those collaborating with academic who are to respond, including through institutions; local health departments; Centers for Disease Control and public health and clinical laboratories; Prevention the use of appropriate automated, electronic, mechanical, or other infection control professionals; and healthcare providers. EIPs assist in [30Day–15–0978] technological collection techniques or other forms of information technology, local, state, and national efforts to Agency Forms Undergoing Paperwork e.g., permitting electronic submission of prevent, control, and monitor the public Reduction Act Review responses; and (e) Assess information health impact of infectious diseases. collection costs. Various parts of the EIP have received The Centers for Disease Control and To request additional information on separate Office of Management and Prevention (CDC) has submitted the the proposed project or to obtain a copy Budget (OMB) clearances (Active following information collection request of the information collection plan and Bacterial Core Surveillance [ABCs]— to the Office of Management and Budget instruments, call (404) 639–7570 or OMB Control Number 0920–0802 and (OMB) for review and approval in send an email to [email protected]. Written All Age Influenza Hospitalization accordance with the Paperwork comments and/or suggestions regarding Surveillance—OMB Control Number Reduction Act of 1995. The notice for the items contained in this notice 0920–0852). the proposed information collection is should be directed to the Attention: In this revision package we wish to published to obtain comments from the CDC Desk Officer, Office of Management seek OMB clearance to add Healthcare public and affected agencies. and Budget, Washington, DC 20503 or Associated Infections—Community Written comments and suggestions by fax to (202) 395–5806. Written Interface (HAIC): active population- from the public and affected agencies comments should be received within 30 based surveillance for healthcare concerning the proposed collection of days of this notice. associated pathogens and infections information are encouraged. Your (including Clostridium difficile comments should address any of the Proposed Project infection). There are no other changes following: (a) Evaluate whether the Emerging Infections Program— included in this revision request; proposed collection of information is Revision—(OMB Control No. 0920– therefore, no changes are being made to

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the ABC, FoodNet, and Influenza is particularly suited to investigate; (2) following: academic institutions, local portions of the EIP. maintain sufficient flexibility for health departments, public health and Activities of the EIPs fall into the emergency response and new problems clinical laboratories, infection control following general categories: (1) Active as they arise; (3) develop and evaluate professionals, and healthcare providers. surveillance; (2) applied public health public health interventions to inform Frequency of reporting will be epidemiologic and laboratory activities; public health policy and treatment determined as cases arise. (3) implementation and evaluation of guidelines; (4) incorporate training as a pilot prevention/intervention projects; key function; and (5) prioritize projects The addition of HAIC to the EIP and (4) flexible response to public that lead directly to the prevention of increases the total estimated burden by health emergencies. disease. Proposed respondents will 10,300 hours to 22, 755 hours. There is Activities of the EIPs are designed to: include state health departments who no cost to respondents other than their (1) Address issues that the EIP network may collaborate with one or more of the time.

ESTIMATED ANNUALIZED BURDEN HOURS

Number of Type of Number of responses Avg. burden respondent Form name respondents per per response respondent (in hours)

State Health Department ...... ABCs Case Report Form ...... 10 809 20/60 Invasive Methicillin-resistant Staphylococcus aureus ABCs 10 609 20/60 Case Report Form. ABCs Invasive Pneumococcal Disease in Children Case 10 22 10/60 Report Form. ABCs Non-Bacteremic Pneumococcal Disease Case Report 10 100 10/60 Form. Neonatal Infection Expanded Tracking Form ...... 10 37 20/60 ABCs Legionellosis Case Report Form ...... 10 100 20/60 Campylobacter ...... 10 637 20/60 Cryptosporidium ...... 10 130 10/60 Cyclospora ...... 10 3 10/60 Listeria monocytogenes ...... 10 13 20/60 Salmonella ...... 10 827 20/60 Shiga toxin producing E. coli ...... 10 90 20/60 Shigella ...... 10 178 10/60 Vibrio ...... 10 20 10/60 Yersinia ...... 10 16 10/60 Hemolytic Uremic Syndrome ...... 10 10 1 Influenza Hospitalization Surveillance Project Case Report 10 400 15/60 Form. Influenza Hospitalization Surveillance Project Vaccination 10 100 5/60 Telephone Survey. Influenza Hospitalization Surveillance Project Vaccination 10 100 5/60 Telephone Survey Consent Form. EIP site ...... CDI Case Report Form ...... 10 1650 20/60 CDI Treatment Form ...... 10 1650 10/60 Resistant Gram-Negative Bacilli Case Report Form ...... 10 500 20/60 Person in the community in- Screening Form ...... 600 1 5/60 fected with C. difficile (CDI Cases). Telephone interview ...... 500 1 40/60 Total

Leroy A. Richardson, DEPARTMENT OF HEALTH AND SUMMARY: The Centers for Disease Chief, Information Collection Review Office, HUMAN SERVICES Control and Prevention (CDC), as part of Office of Scientific Integrity, Office of the its continuing efforts to reduce public Associate Director for Science, Office of the Centers for Disease Control and burden and maximize the utility of Director, Centers for Disease Control and Prevention government information, invites the Prevention. general public and other Federal [FR Doc. 2015–16893 Filed 7–9–15; 8:45 am] [60Day–15–0949; Docket No. CDC–2015– agencies to take this opportunity to BILLING CODE 4163–18–P 0053] comment on proposed and/or continuing information collections, as Proposed Data Collection Submitted required by the Paperwork Reduction for Public Comment and Act of 1995. This notice invites Recommendations comment on the proposed extension of AGENCY: Centers for Disease Control and the information collection entitled Prevention (CDC), Department of Health Evaluating the Effectiveness of and Human Services (HHS). Occupational Safety and Health Program Elements in the Wholesale ACTION: Notice with comment period. Retail Trade Sector. The National

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Institute for Occupational Safety and whether the information shall have in the United States in 2009 to be $50 Health seeks to continue its scientific practical utility; (b) the accuracy of the billion. The WRT industry sector intervention effectiveness research to agency’s estimate of the burden of the employs over 21 million workers or support the evidenced based prevention proposed collection of information; (c) 19% of the workforce in private of occupational injuries and illnesses in ways to enhance the quality, utility, and industry. In 2007, the majority of non- the wholesale/retail sector. clarity of the information to be fatal injuries and illnesses involving DATES: Written comments must be collected; (d) ways to minimize the days away from work in the WRT sector received on or before September 8, burden of the collection of information involved musculoskeletal disorders 2015. on respondents, including through the (MSDs, 29%) or slip/trip/falls (STFs, use of automated collection techniques 22%). For this reason, major strategic ADDRESSES: You may submit comments, or other forms of information NIOSH goals in the WRT sector are to identified by Docket No. CDC–2015– technology; and (e) estimates of capital reduce MSDs, STFs and other injuries/ 0053 by any of the following methods: or start-up costs and costs of operation, illnesses in part by assessing the Federal eRulemaking Portal: maintenance, and purchase of services effectiveness of occupational safety and Regulation.gov. Follow the instructions to provide information. Burden means health (OSH) programs designed to for submitting comments. the total time, effort, or financial prevent these outcomes. There is some Mail: Leroy A. Richardson, resources expended by persons to evidence that OSH prevention programs Information Collection Review Office, generate, maintain, retain, disclose or built on key elements (management Centers for Disease Control and provide information to or for a Federal leadership, employee participation, Prevention, 1600 Clifton Road NE., MS– agency. This includes the time needed hazard identification and control, D74, Atlanta, Georgia 30329. to review instructions; to develop, medical management, training, and Instructions: All submissions received acquire, install and utilize technology program evaluation) reduce losses. must include the agency name and and systems for the purpose of However, little evidence exists on the Docket Number. All relevant comments collecting, validating and verifying relative effectiveness of program received will be posted without change information, processing and elements compared to each other. There to Regulations.gov, including any maintaining information, and disclosing is a need for research to develop reliable personal information provided. For and providing information; to train OSH program metrics and determine access to the docket to read background personnel and to be able to respond to which elements have the greatest impact documents or comments received, go to a collection of information, to search on injuries, illnesses and work Regulations.gov. data sources, to complete and review disability. A renewed partnership Please note: All public comment should be the collection of information; and to between NIOSH and the Ohio Bureau of submitted through the Federal eRulemaking transmit or otherwise disclose the Workers Compensation (OBWC) a portal (Regulations.gov) or by U.S. mail to the information. timely opportunity to conduct such address listed above. research in a relevant and efficient Proposed Project FOR FURTHER INFORMATION CONTACT: To manner. Evaluating the Effectiveness of A collaborative study involving request more information on the Occupational Safety and Health NIOSH and the OBWC will examine the proposed project or to obtain a copy of Program Elements in the Wholesale association between survey-assessed the information collection plan and Retail Trade Sector OMB No. 0920– OSH program elements (organizational instruments, contact the Information 0949, expires 10/31/2015)—Extension— policies, procedures, practices) and Collection Review Office, Centers for National Institute for Occupational workers compensation (WC) injury/ Disease Control and Prevention, 1600 Safety and Health (NIOSH), Centers for illness outcomes in a stratified sample Clifton Road, NE., MS–D74, Atlanta, Disease Control and Prevention (CDC). of OBWC-insured wholesale/retail trade Georgia 30329; phone: 404–639–7570; (WRT) firms. Crucial OSH program Background and Brief Description Email: [email protected]. elements with particularly high impact SUPPLEMENTARY INFORMATION: Under the The mission of the National Institute on WC losses will be identified in this Paperwork Reduction Act of 1995 (PRA) for Occupational Safety and Health study and disseminated to the WRT (44 U.S.C. 3501–3520), Federal agencies (NIOSH) is to promote safety and health sector. This study will provide must obtain approval from the Office of at work for all people through research important information that is not Management and Budget (OMB) for each and prevention. Under Public Law 91– currently available elsewhere on the collection of information they conduct 596, sections 20 and 22 (Section 20–22, effectiveness of OSH programs for the or sponsor. In addition, the PRA also Occupational Safety and Health Act of WRT sector. This project fits the requires Federal agencies to provide a 1970), NIOSH has the responsibility to mission of CDC–NIOSH to conduct 60-day notice in the Federal Register conduct research to advance the health scientific intervention effectiveness concerning each proposed collection of and safety of workers. In this capacity, research to support the evidenced based information, including each new NIOSH proposes to conduct a study to prevention of occupational injuries and proposed collection, each proposed assess the effectiveness of occupational illnesses. extension of existing collection of safety and health (OSH) program For this study, the target population information, and each reinstatement of elements in the wholesale/retail trade includes United States WRT firms previously approved information (WRT) sector. An extension is being (North American Industry Classification collection before submitting the requested in order to allow for System codes 42, 44, 45, 45). The collection to OMB for approval. To additional time to complete the study. sampling frame includes OBWC-insured comply with this requirement, we are Data has already been collected for the WRT firms in Ohio. The study sample publishing this notice of a proposed first year of the study. Additional time includes OBWC-insured WRT firms data collection as described below. is being requested in order to collect the who volunteer to participate in the Comments are invited on: (a) Whether remaining data for the second and third OBWC–NIOSH research project. the proposed collection of information year. The proposed research involves a is necessary for the proper performance Liberty Mutual has estimated direct firm-level survey of a series of of the functions of the agency, including workers compensation costs to industry organizational metrics considered to be

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potential predictors of injury and illness be linked to five years of retrospective whether a significant relationship exists WC claim rates and duration in a injury and illness WC claims data and between self-reported firm OSH stratified sample of OBWC-insured WRT two years of prospective injury and elements and firm WC outcomes while firms in Ohio. There are expected to be illness WC claims data from OBWC to controlling for covariates. Once the up to 4,404 participants per year; determine which organizational metrics study is completed, benchmarking surveys will administered twice to the are related to firm-level injury and reports about OSH elements that have same firms in successive years (e.g. from illness WC claim rates. A nested study the highest impact on WC losses in the January–December 2014 and again from will ask multiple respondents at a WRT sector will be made available January–December 2015). subset of 60 firms to participate by through the NIOSH–OBWC internet An individual responsible for the completing surveys. A five-minute sites and peer-reviewed publications. OSH program at each firm will be asked interview will be conducted with a 10% In summary, this study will determine to complete survey that include a sample of non-responders (up to 792 the effectiveness of OSH program background section related to individuals). elements in the WRT sector and enable respondent and company demographics In order to maximize efficiency and evidence-based prevention practices to and a main section where individuals reduce burden, a web-based survey is be shared with the greatest audience will be asked to evaluate organizational proposed for the majority (95%) of possible. NIOSH expects to complete metrics related to their firm’s OSH survey data collection. Collected data collection in 2015. There is no cost program. The firm-level survey data will information will be used to determine to respondents other than their time.

ESTIMATED ANNUALIZED BURDEN HOURS

Number of Average Type of Number of responses per burden per Total burden respondent Form name respondents response (in hours) respondent (in hours)

Safety and Health Managers in Occupational Safety and Health 4,404 1 20/60 1,468 Wholesale/Retail Trade (WRT) Program Survey. Firms in Ohio. Informed Consent Form ...... 4,404 1 2/60 147 Non Responder Interview ...... 792 1 5/60 66

Total Hours ...... 1,681

Leroy A. Richardson, a notice in the Federal Register, FR CORE MENTAL HEALTH (GEOGRAPHIC Chief, Information Collection Review Office, 2015–00398 (January 14, 2015), which HIGH NEED AND POPULATION)— Office of Scientific Integrity, Office of the sets forth revised criteria for Continued Associate Director for Science, Office of the determining mental health HPSAs with Director, Centers for Disease Control and the greatest shortage. Ratio Score Prevention. FOR FURTHER INFORMATION CONTACT: Kae [FR Doc. 2015–16895 Filed 7–9–15; 8:45 am] ≥ Brickerd, Chief, Shortage Designation 24K:1 ...... 7 BILLING CODE 4163–18–P Branch, Bureau of Health Workforce, Division of Policy and Shortage Dated: July 1, 2015. DEPARTMENT OF HEALTH AND Designation, Health Resources and James Macrae, HUMAN SERVICES Services Administration, 11W14 Acting Administrator. Parklawn Building, 5600 Fishers Lane, [FR Doc. 2015–16964 Filed 7–9–15; 8:45 am] Health Resources and Services Rockville, MD 20857, 301 945–0828, BILLING CODE 4165–15–P Administration [email protected]. Correction: Determining Mental Health In the Federal Register, FR 2015– DEPARTMENT OF HEALTH AND Professional Shortage Areas of 00398 (January 14, 2015), please make HUMAN SERVICES Greatest Need; Correction the following corrections: Office of the Secretary AGENCY: Health Resources and Services In the section For Geographic High Administration, HHS. Need and Population HPSAs, the table [Document Identifier: HHS–OS–0990–0281– for Core Mental Health (Geographic 60D] ACTION: Notice; correction. High Need and Population), should read Agency Information Collection SUMMARY: In accordance with the as follows below. requirements of section 333A(b)(1) of Activities; Proposed Collection; Public the Public Health Service (PHS) Act, as CORE MENTAL HEALTH (GEOGRAPHIC Comment Request amended by the Health Care Safety Net HIGH NEED AND POPULATION) AGENCY: Office of the Secretary, HHS. Amendments of 2002, 42 U.S.C. 254f– ACTION: Notice. 1(b)(1), the Secretary of HHS shall Ratio Score SUMMARY: In compliance with section establish the criteria which she will use ≥6K and <7.5K:1 ...... 1 to make determinations under section ≥7.5K and <9K:1 ...... 2 3506(c)(2)(A) of the Paperwork 333A(a)(1)(A) of the Health Professional ≥9Kand <12K:1 ...... 3 Reduction Act of 1995, the Office of the Shortage Areas (HPSAs) with the ≥12K and <15K:1 ...... 4 Secretary (OS), Department of Health greatest shortages. The Health Resources ≥15K and <18K:1 ...... 5 and Human Services, announces plans and Services Administration published ≥18K and <24K:1 ...... 6 to submit an Information Collection

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Request (ICR), described below, to the the public. ODPHP faces increasingly include in-depth interviews, focus Office of Management and Budget urgent interest in finding effective ways groups, web-based surveys, card sorting, (OMB). The ICR is for a revision to the to communicate health information to and various forms of usability testing of use of the approved information America’s diverse population. As a materials and interactive tools to assess collection assigned OMB control federal government agency, ODPHP the public’s understanding of disease number 0990–0281, which expires on strives to be responsive to the needs of prevention and health promotion November 30, 2015. Prior to submitting America’s diverse audiences while content, responses to prototype the ICR to OMB, OS seeks comments simultaneously serving all Americans materials, and barriers to effective use. from the public regarding the burden across a range of channels, from print The research methods outlined in this estimate, below, or any other aspect of through new communication supporting statement have five major the ICR. technologies. To carry out its prevention purposes: DATES: Comments on the ICR must be information efforts, ODPHP is 1. To obtain useful target audience received on or before September 8, committed to conducting formative and information for the formation of 2015. usability research to provide guidance on the development and messages and materials ADDRESSES: Submit your comments to implementation of its disease 2. To further explore messages and Information.CollectionClearance@ prevention and health promotion materials in contexts that would be hhs.gov or by calling 202–690–6162. communication and education efforts. most beneficial for target audiences FOR FURTHER INFORMATION CONTACT: The information collected will be 3. To identify and verify audience Information Collection Clearance staff, used by ODPHP to improve its segmentation strategies for Information.CollectionClearance@ communication, products, and services providing disease prevention and hhs.gov or 202–690–6162. that support key office activities health promotion information SUPPLEMENTARY INFORMATION: When including: Healthy People, Dietary 4. To inform the development and submitting comments or requesting Guidelines for Americans, Physical refinement of user-friendly Web information, please include the Activity Guidelines for Americans, sites and other interactive tools document identifier HHS–OS–0990– healthfinder.gov, and increasing health 5. To identify user challenges and 0281–60D or reference. care quality and patient safety. ODPHP obstacles to accessing health Information Collection Request Title: communicates through its Web sites information to guide Web site, Prevention Communication Formative (www.healthfinder.gov, material, and interactive tool Research—Revision—OMB No. 0990– www.HealthyPeople.gov, development and refinement 0281—Office of Disease Prevention and www.health.gov) and through other Health Promotion. channels including social media, print The program is requesting a 3-year Abstract: The Office of Disease materials, interactive training modules, clearance. Prevention and Health Promotion’s and reports. Likely Respondents: Respondents are (ODPHP) focus includes developing and The primary methods of data likely to be either consumers or health disseminating prevention information to collection will be qualitative and may professionals.

TOTAL ESTIMATED ANNUALIZED BURDEN HOURS

Average Total Number of Number of burden/ response Data collection task Instrument/form name respondents responses/ response burden respondent (in hours) (in hours)

In-depth interviews ...... Screener ...... 135 1 10/60 22 .5 Interview ...... 45 1 1 45 Focus groups ...... Screener ...... 240 1 10/60 40 Focus Group ...... 80 1 1.5 120 Web-based surveys ...... Screener ...... 6000 1 5/60 500 Survey ...... 2000 1 15/60 500 Card sorting ...... Screener ...... 180 1 10/60 180 Card Sort ...... 60 1 1 60 Usability and prototype testing of Screener ...... 360 1 10/60 60 materials (print and Web). Usability Test ...... 120 1 1 120

Total ...... 1,647 .50

Darius Taylor, DEPARTMENT OF HEALTH AND Paperwork Reduction Act of 1995, the Information Collection Clearance Officer. HUMAN SERVICES Office of the Secretary (OS), Department [FR Doc. 2015–16870 Filed 7–9–15; 8:45 am] of Health and Human Services, is BILLING CODE 4150–32–P [Document Identifier: OS–0990–XXXX] publishing the following summary of a proposed information collection request Agency Information Collection for public comment. Interested persons Request; 60-Day Public Comment are invited to send comments regarding Request this burden estimate or any other aspect AGENCY: Office of the Secretary, HHS. of this collection of information, In compliance with the requirement including any of the following subjects: of section 3506(c)(2)(A) of the (1) The necessity and utility of the

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proposed information collection for the Proposed Project: Examining this study will offer a wide-ranging view proper performance of the agency’s Consumer and Producer Responses to of the consumer and producer response functions; (2) the accuracy of the Restaurant Menu Labeling to menu labeling requirements. estimated burden; (3) ways to enhance Requirements: Survey Protocol—OMB ASPE is requesting comment on the the quality, utility, and clarity of the No. 0990–XXXX—New—Office of the burden for this study aimed at information to be collected; and (4) the Assistant Secretary for Planning and understanding the impact that the new use of automated collection techniques Evaluation (ASPE). or other forms of information Abstract: The Office of the Assistant FDA rule on calorie labeling will have technology to minimize the information Secretary for Planning and Evaluation on consumer choice when ordering from collection burden. (ASPE) is requesting approval on a new a restaurant. The goal of developing this To obtain copies of the supporting information collection request from the activity is to examine consumer and statement and any related forms for the Office of Management and Budget producer responses to restaurant menu proposed paperwork collections (OMB) for purposes of conducting a labeling requirements recently enacted referenced above, email your request, study about calorie labeling on by the FDA. The participants will including your address, phone number, restaurant menus. include members of the RAND OMB number, and OS document Previous research demonstrates that American Life Panel (ALP) which identifier, to Sherette.funncoleman@ consumers respond both to information includes participants from several hhs.gov, or call the Reports Clearance about their options and the way those sources, including the University of Office at (202) 690–6162. Written options are presented. Accordingly, Michigan Monthly Survey, the National comments and recommendations for the restaurants can utilize presentation Survey Project cohort, and several proposed information collections must effects on menus and menu boards to specific recruitment methods to add be directed to the OS Paperwork influence consumer perceptions and specific populations (e.g. active Clearance Officer at the above email choices. By analyzing the consumer recruitment for vulnerable populations). address within 60 days. response to menu options and design,

ESTIMATED ANNUALIZED BURDEN TABLE

Number of Average Number of responses burden per Total burden Type of respondent respondents per response hours respondent (in hours)

ALP Panel Member ...... 2,100 1 20/60 700

Totals ...... 700

Darius Taylor, 0124, or by email at jason.green@ made by the Social Security Paperwork Reduction Act Reports Clearance hhs.gov. Administration (SSA). Officer. SUPPLEMENTARY INFORMATION: The Medicare claim, organization and [FR Doc. 2015–16871 Filed 7–9–15; 8:45 am] coverage determination appeals BILLING CODE 4150–05–P I. Background processes consist of four levels of The Office of Medicare Hearings and administrative review, and a fifth level of review with the Federal district DEPARTMENT OF HEALTH AND Appeals (OMHA), a staff division within courts after administrative remedies HUMAN SERVICES the Office of the Secretary of the U.S. Department of Health and Human under HHS regulations have been [OMHA–1501–N] Services (HHS), administers the exhausted. The first two levels of review nationwide Administrative Law Judge are administered by the Centers for Medicare Program; Administrative Law hearing program for Medicare claim, Medicare & Medicaid Services (CMS) Judge Hearing Program for Medicare organization and coverage and conducted by Medicare contractors Claim and Entitlement Appeals; determination, and entitlement appeals for claim appeals, by MAOs and an Quarterly Listing of Program under sections 1869, 1155, independent review entity for Part C Issuances—March Through June 2015 1876(c)(5)(B), 1852(g)(5), and 1860D– organization determination appeals, or AGENCY: Office of Medicare Hearings 4(h) of the Social Security Act (the Act). by PDPSs and an independent review and Appeals (OMHA), HHS. OMHA ensures that Medicare entity for Part D coverage determination ACTION: Notice. beneficiaries and the providers and appeals. The third level of review is suppliers that furnish items or services administered by OMHA and conducted SUMMARY: This notice announces the to Medicare beneficiaries, as well as by Administrative Law Judges. The implementation of the OMHA Case Medicare Advantage Organizations fourth level of review is administered by Processing Manual (OCPM). This (MAOs) and Medicaid State Agencies, the HHS Departmental Appeals Board manual standardizes the day-to-day have a fair and impartial forum to (DAB) and conducted by the Medicare procedures for carrying out adjudicative address disagreements with Medicare Appeals Council. In addition, OMHA functions, in accordance with coverage and payment determinations and the DAB administer the second and applicable statutes, regulations and made by Medicare contractors, MAOs, third levels of appeal, respectively, for OMHA directives, and gives OMHA or Part D Plan Sponsors (PDPSs), and Medicare eligibility, entitlement, Part B staff direction for processing appeals at determinations related to Medicare late enrollment penalty, and IRMAA the OMHA level of adjudication. eligibility and entitlement, Part B late reconsiderations made by SSA; a fourth FOR FURTHER INFORMATION CONTACT: enrollment penalty, and income-related level of review with the Federal district Jason Green, by telephone at (703) 235– monthly adjustment amounts (IRMAA) courts is available after administrative

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remedies within SSA and HHS have III. How To Use the Notice OCPM Division IV: Part D Coverage been exhausted. Determinations Sections 1869, 1155, 1876(c)(5)(B), This notice lists the OCPM chapters and subjects published during the Chapter 3, Procedural Screening. This 1852(g)(5), and 1860D–4(h) of the Act new chapter describes the review are implemented through the quarter covered by the notice so the reader may determine whether any are process for new requests for hearing on regulations at 42 CFR part 405 subparts Medicare Part D reconsiderations issued I and J; part 417, subpart Q; part 422, of particular interest. We expect this notice to be used in concert with future by an Independent Review Entity. The subpart M; part 423, subparts M and U; review process helps ensure requests are and part 478, subpart B. As noted above, published notices. The OCPM can be accessed at http://www.hhs.gov/omha/ complete and jurisdictional OMHA administers the nationwide _ _ _ requirements are met. Administrative Law Judge hearing OMHA Case Processing Manual/ program in accordance with these index.html. OCPM Division V: SSA Determinations statutes and applicable regulations. As IV. OCPM Releases for March Through Chapter 3, Procedural Screening. This part of that effort, OMHA is establishing June 2015 new chapter describes the review a manual, the OMHA Case Processing process for new requests for hearing on Manual (OCPM). Through the OCPM, The OCPM is used by OMHA reconsiderations of Medicare eligibility the OMHA Chief Administrative Law adjudicators and staff to administer the and entitlement, Part B late enrollment Judge establishes the day-to-day OMHA program. It offers day-to-day penalties, and Part B and Part D procedures for carrying out adjudicative operating instructions, policies, and IRMAAs issued by SSA. The review functions, in accordance with procedures based on statutes and process helps ensure requests are applicable statutes, regulations and regulations, and OMHA directives. complete and jurisdictional OMHA directives. The OCPM provides The following is a list and description requirements are met. direction for processing appeals at the of new OCPM provisions and the Dated: June 30, 2015. OMHA level of adjudication for subject matter. For future quarterly Nancy J. Griswold, Medicare Part A and B claims; Part C notices, we will list only the specific Chief Administrative Law Judge, Office of organization determinations; Part D updates to the list of manual provisions Medicare Hearings and Appeals. coverage determinations; and SSA that have occurred in the covered 3- [FR Doc. 2015–16824 Filed 7–9–15; 8:45 am] eligibility and entitlement, Part B late month period. This information is BILLING CODE 4152–01–P enrollment penalty, and IRMAA available on our Web site at http://www. determinations. hhs.gov/omha/OMHA_Case_Processing_ Section 1871(c) of the Act requires Manual/index.html. DEPARTMENT OF HEALTH AND that we publish a list of all Medicare HUMAN SERVICES manual instructions, interpretive rules, OCPM Division I: General Matters statements of policy, and guidelines of Chapter 1, Manual Overview, National Institutes of Health general applicability not issued as Definitions, Governance. This new regulations at least every 3 months in Center for Scientific Review; Notice of chapter provides a general overview of Closed Meeting the Federal Register. the OCPM, including the purpose of the II. Format for the Quarterly Issuance manual, how it is organized and used, Pursuant to section 10(d) of the Notices a list of acronyms and abbreviations Federal Advisory Committee Act, as used in the manual, and how manual amended (5 U.S.C. App.), notice is This quarterly notice announces the provisions will be updated. hereby given of the following meeting. publication of the initial OCPM The meeting will be closed to the chapters. A hyperlink to the available OCPM Division II: Part A/B Claim public in accordance with the chapters on the OMHA Web site is Determinations provisions set forth in sections provided below. The OMHA Web site Chapter 3, Procedural Screening. This 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., contains the most current, up-to-date as amended. The grant applications and chapters and revisions to chapters, and new chapter describes the review process for new requests for hearing on the discussions could disclose will be available earlier than we publish confidential trade secrets or commercial our quarterly notice. We believe the Medicare Part A and Part B reconsiderations issued by Qualified property such as patentable material, OMHA Web site list provides more and personal information concerning timely access to the current OCPM Independent Contractors (QICs) and Quality Improvement Organizations individuals associated with the grant chapters for those involved in the applications, the disclosure of which Medicare claim, organization and (QIOs), and escalations of requests for reconsideration by a QIC. The review would constitute a clearly unwarranted coverage determination and entitlement invasion of personal privacy. appeals processes. We also believe the process helps ensure requests are Web site offers the public a more complete and jurisdictional Name of Committee: Center for Scientific requirements are met. Review Special Emphasis Panel; Member convenient tool for real time access to Conflict: Topics in Steroids Regulation and current OCPM provisions. In addition, OCPM Division III: Part C Organization Disease. OMHA has a listserv to which the Determinations Date: July 9, 2015. public can subscribe to receive Time: 1:30 p.m. to 2:30 p.m. immediate notification of any updates to Chapter 3, Procedural Screening. This Agenda: To review and evaluate grant the OMHA Web site. This listserv new chapter describes the review applications. avoids the need to check the OMHA process for new requests for hearing on Place: National Institutes of Health, 6701 Web site, as update notifications are Medicare Part C reconsiderations issued Rockledge Drive, Bethesda, MD 20892 (Telephone Conference Call). sent to subscribers as they occur. If by an Independent Review Entity and Contact Person: Elaine Sierra-Rivera, Ph.D., accessing the OMHA Web site proves to QIOs. The review process helps ensure Scientific Review Officer, Genes, Genomes, be difficult, the contact person listed requests are complete and jurisdictional and Genetics IRG, Center for Scientific above can provide the information. requirements are met. Review, National Institutes of Health, 6701

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Rockledge Drive, Room 2200, MSC 7890, Dated: July 7, 2015. DEPARTMENT OF HEALTH AND Bethesda, MD 20892, 301 435–2514, David Clary, HUMAN SERVICES [email protected]. Program Analyst, Office of Federal Advisory This notice is being published less than 15 National Institutes of Health days prior to the meeting due to the timing Committee Policy. limitations imposed by the review and [FR Doc. 2015–16937 Filed 7–9–15; 8:45 am] Office of the Director; Notice of Charter funding cycle. BILLING CODE 4140–01–P Renewal (Catalogue of Federal Domestic Assistance Program Nos. 93.306, Comparative Medicine; In accordance with Title 41 of the 93.333, Clinical Research, 93.306, 93.333, DEPARTMENT OF HEALTH AND U.S. Code of Federal Regulations, 93.337, 93.393–93.396, 93.837–93.844, HUMAN SERVICES section 102–3.65(a), notice is hereby 93.846–93.878, 93.892, 93.893, National given that the Charter for the Institutes of Health, HHS) National Institutes of Health Recombinant DNA Advisory Committee, Dated: July 2, 2015. National Institutes of Health, was Carolyn Baum, National Institute of Diabetes and renewed for an additional two-year Program Analyst, Office of Federal Advisory Digestive and Kidney Diseases; Notice period on June 30, 2015. Committee Policy. of Closed Meeting It is determined that the Recombinant [FR Doc. 2015–16841 Filed 7–9–15; 8:45 am] DNA Advisory Committee, National Institutes of Health, is in the public BILLING CODE 4140–01–P Pursuant to section 10(d) of the Federal Advisory Committee Act, as interest in connection with the amended (5 U.S.C. App.), notice is performance of duties imposed on the DEPARTMENT OF HEALTH AND hereby given of the following meeting. National Institutes of Health by law, and HUMAN SERVICES that these duties can best be performed The meeting will be closed to the through the advice and counsel of this National Institutes of Health public in accordance with the group. provisions set forth in sections Inquiries may be directed to Jennifer National Institute of Allergy and 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Spaeth, Director, Office of Federal Infectious Diseases: Notice of Closed as amended. The grant applications and Advisory Committee Policy, Office of Meeting the discussions could disclose the Director, National Institutes of confidential trade secrets or commercial Health, 6701 Democracy Boulevard, Pursuant to section 10(d) of the property such as patentable material, Suite 1000, Bethesda, Maryland 20892 Federal Advisory Committee Act, as and personal information concerning (Mail code 4875). Telephone (301) 496– amended (5 U.S.C. App.), notice is individuals associated with the grant 2123, or [email protected]. hereby given of the following meeting. applications, the disclosure of which Dated: July 6, 2015. The meeting will be closed to the would constitute a clearly unwarranted Carolyn A. Baum, public in accordance with the invasion of personal privacy. Program Analyst, Office of Federal Advisory provisions set forth in sections Name of Committee: National Institute of Committee Policy. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Diabetes and Digestive and Kidney Diseases [FR Doc. 2015–16839 Filed 7–9–15; 8:45 am] as amended. The grant applications and Special Emphasis Panel; Diabetes Ancillary BILLING CODE 4140–01–P the discussions could disclose Studies. confidential trade secrets or commercial Date: July 29, 2015. property such as patentable material, Time: 3:00 p.m. to 4:00 p.m. DEPARTMENT OF HEALTH AND and personal information concerning Agenda: To review and evaluate grant HUMAN SERVICES individuals associated with the grant applications. applications, the disclosure of which Place: National Institutes of Health, Two National Institutes of Health would constitute a clearly unwarranted Democracy Plaza, 6707 Democracy Government-Owned Inventions; invasion of personal privacy. Boulevard, Bethesda, MD 20892 (Telephone Availability for Licensing Name of Committee: National Institute of Conference Call). Allergy and Infectious Diseases Special Contact Person: Carol J. Goter-Robinson, AGENCY: National Institutes of Health, Emphasis Panel; Opportunities for Ph.D., Scientific Review Officer, Review HHS. Collaborative Research at the NIH Clinical Branch, DEA, NIDDK, National Institutes of ACTION: Notice. Center (U01). Health, Room 748, 6707 Democracy Date: August 14, 2015. Boulevard, Bethesda, MD 20892–5452, (301) SUMMARY: The inventions listed below Time: 11:00 a.m. to 6:00 p.m. 594–7791, goterrobinsonc@ are owned by an agency of the U.S. Agenda: To review and evaluate grant applications. extra.niddk.nih.gov. Government and are available for Place: National Institutes of Health, (Catalogue of Federal Domestic Assistance licensing in the U.S. in accordance with Conference Room 3F100, 5601 Fishers Lane, Program Nos. 93.847, Diabetes, 35 U.S.C. 209 and 37 CFR part 404 to Rockville, MD 20852, (Telephone Conference Endocrinology and Metabolic Research; achieve expeditious commercialization Call). 93.848, Digestive Diseases and Nutrition of results of federally-funded research Contact Person: Brenda Lange-Gustafson, Research; 93.849, Kidney Diseases, Urology and development. Foreign patent Ph.D., Scientific Review Officer, NIAID/NIH/ and Hematology Research, National Institutes applications are filed on selected DHHS, Scientific Review Program, 5601 of Health, HHS) inventions to extend market coverage Fishers Lane, Room 3G13 Rockville, MD for companies and may also be available 20852, 240–669–5047, bgustafson@ Dated: July 6, 2015. for licensing. niaid.nih.gov. David Clary, FOR FURTHER INFORMATION CONTACT: (Catalogue of Federal Domestic Assistance Program Analyst, Office of Federal Advisory Licensing information and copies of the Program Nos. 93.855, Allergy, Immunology, Committee Policy. and Transplantation Research; 93.856, U.S. patent applications listed below Microbiology and Infectious Diseases [FR Doc. 2015–16840 Filed 7–9–15; 8:45 am] may be obtained by writing to the Research, National Institutes of Health, HHS) BILLING CODE 4140–01–P indicated licensing contact at the Office

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of Technology Transfer, National statements of capability or interest from • In vitro data available. Institutes of Health, 6011 Executive parties interested in collaborative • In vivo data available (animal). Boulevard, Suite 325, Rockville, research to further develop, evaluate or Inventors: Hongquan Wan (FDA), Maryland 20852–3804; telephone: 301– commercialize the combination of Maryna Eichelberger (FDA), Hua Yang 496–7057; fax: 301–402–0220. A signed Vandetanib and Metformin to treat (CDC), James Stevens (CDC), David Confidential Disclosure Agreement will fumarate hydratase-deficient cancer. For Shore (CDC), Rebecca Garten (CDC). be required to receive copies of the collaboration opportunities, please Publication: Wan H, et al. Structural patent applications. contact Michael Pollack, Ph.D. at characterization of a protective epitope spanning A(H1N1)pdm09 influenza SUPPLEMENTARY INFORMATION: [email protected]. Technology descriptions follow. virus neuraminidase monomers. Nat Therapeutic and Prophylactic Anti- Commun. 2015 Feb 10;6:6114. [PMID Method of Treating Fumarate Influenza Virus Neuraminidase 1 (N1) 25668439]. Hydratase-Deficient Kidney Cancer Antibody (CD6) With a Novel Epitope Intellectual Property: HHS Reference That Spans Neuramindase (NA) Dimers Description of Technology: Patients No. E–005–2015/0—US Provisional having germline fumarate hydratase Description of Technology: Influenza Patent Application No. 62/088,388 filed (‘‘FH’’) gene mutation are predisposed virus neuramindase (NA) protein is a December 5, 2014. to develop aggressive kidney cancer surface protein that plays an essential Licensing Contact: Steven M. with few treatment options and poor role in virus replication. Drugs and Ferguson; 301–435–5561; fergusos@ therapeutic outcomes. NCI scientists antibodies that block NA function can mail.nih.gov. Collaborative Research Opportunity: have identified a tyrosine kinase reduce both the symptoms and the The U.S. Food and Drug Administration inhibitor vandetanib that is highly length of illness; however, variants of is seeking statements of capability or cytotoxic to kidney cancer cells both in influenza virus are resistant to NA interest from parties interested in vitro and in vivo. C-Abl activity is inhibitors. The neuramindase 1 (N1) collaborative research to further upregulated in FH-deficient kidney subtype of NA is important because it is develop, evaluate or commercialize this tumors and vandetanib efficacy is a found in the two pandemic H1N1 technology. For collaboration direct consequence of c-Abl inhibition. influenza virus strains (1918 Spanish flu opportunities, please contact Bill It was also found that combining and 2009 swine flu) and the H5N1 avian Ronnenberg at william.ronnenberg@ metformin enhanced the cytotoxic effect influenza virus. Anti-neuramindase fda.hhs.gov or 240–402–4561. of vandetanib by inhibiting NRF2 antibody CD6 is a novel antibody that transcriptional activity in a SIRT1- spans a conserved 30 amino acid Confocal Laser Device and Method for dependent manner. Thus dual epitope across the lateral face of a Evaluating the Optical Properties of inhibition of c-Abl and NRF2 activity neuramindase (NA) dimer. Intraocular Lenses (IOLs) Including with vandetanib and metformin is a The subject technology may offer an Toric IOLs alternative to therapeutic NA inhibitors novel therapeutic approach to target Description of Technology: This currently available. CD6 is a potent glycolytically dependent, oxidatively innovative technology includes a monoclonal antibody against N1 stressed tumors. confocal laser device and methodologies subtypes of NA that inhibits the Potential Commercial Applications: to evaluate the optical properties of enzymatic activity of the NA protein, Therapies for treating FH-deficient spherical and toric Intraocular Lenses including NA variants resistant to NA kidney cancer and glycolytically (IOLs). Spherical and toric IOLs are inhibitors. In a murine model of dependent, oxidatively stressed tumors. implanted in the eye to treat cataracts infection, a single dose of antibody was Competitive Advantages: and other conditions in order to correct • Specificity of mode of action may protective against lethal challenge with vision after surgery. Toric IOLs, in reduce potential side-effects. H1N1 influenza virus. The CD6 addition to correcting spherical • Novel mode of action may increase antibody can potentially be used in aberrations of the eye, correct market competition. combination with other antibodies in an asymmetrical aberrations of the eye • No effective therapy is currently antibody ‘‘cocktail’’ or in conjunction available for patients with advanced FH- such as astigmatism. with other therapeutic agents. This technology includes the confocal deficient kidney cancer. Additionally, this unique anti-NA laser device and methodology for Development Stage: antibody may be useful in combination assessing spherical IOLs with an • In vitro data available. with known neutralizing anti- • In vivo data available (animal). integrated component for assessing toric hemagglutinin (HA) antibodies. IOLs. The IOL market is growing Inventors: William Marston Linehan Potential Commercial Applications: steadily and IOL technology is (NCI), et al. • Prophylactic and therapeutic continually improving to correct Publication: Sourbier C, et al. against influenza virus infections. Targeting ABL1-mediated oxidative • Diagnostic tests for influenza virus complex vision errors. It is estimated stress adaptation in fumarate hydratase- infections. that 3 million IOLs are implanted deficient cancer. Cancer Cell. 2014 Dec • Reagent to measure the potency of annually in the U.S. and 19.7 million 8;26(6):840–50. [PMID 25490448] H1N1 NA in influenza virus vaccines. worldwide. This device can be used to Intellectual Property: HHS Reference Competitive Advantages: precisely assess IOL key properties such No. E–104–2014/0— • Monoclonal antibody demonstrated as dioptric power, cylinder power, • US Patent Application No. 62/ to be effective against circulating H1N1 optical plane orthogonality and IOL 003,319 filed May 27, 2014. influenza viruses. markings used for IOL positioning in the • PCT/US2015/03267 filed May 27, • Monoclonal antibody binds a novel, eye during surgery. Thus, this new 2015. conserved epitope spanning NA dimers. technology provides a simple, Licensing Contact: Whitney Hastings, • Monoclonal antibody is well-suited noninvasive, accurate and objective Ph.D.; 301–451–7337; hastingw@ for an antibody cocktail that includes methodology to evaluate IOL mail.nih.gov. anti-HA antibodies. characteristics with higher accuracy and Collaborative Research Opportunity: Development Stage: repeatability in wider power ranges The National Cancer Institute is seeking • Early-stage. compared to the conventional test

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methods. These IOL test capabilities can Dated: July 6, 2015. Agenda: To review and evaluate grant improve the safety and efficacy of IOL Richard U. Rodriguez, applications. Place: National Institutes of Health, 6701 implants and ultimately lead to better Acting Director, Office of Technology Rockledge Drive, Bethesda, MD 20892, cataract surgery success rates. Transfer, National Institutes of Health. (Telephone Conference Call). Potential Commercial Applications: [FR Doc. 2015–16838 Filed 7–9–15; 8:45 am] • Contact Person: Jose H Guerrier, Ph.D., Development and implementation BILLING CODE 4140–01–P Scientific Review Officer, Center for of novel test devices and independent Scientific Review, National Institutes of methodologies for precise evaluation Health, 6701 Rockledge Drive, Room 5218, and validation of critical IOL DEPARTMENT OF HEALTH AND MSC 7852, Bethesda, MD 20892, 301–435– characteristics. HUMAN SERVICES 1137, [email protected]. • Development and evaluation of Name of Committee: Center for Scientific novel IOL designs. National Institutes of Health Review Special Emphasis Panel; Competitive Advantages: Neuropharmacology. • Higher accuracy. Center for Scientific Review; Notice of Date: August 3, 2015. • Higher repeatability. Closed Meetings Time: 2:00 p.m. to 4:30 p.m. • Larger range of positive and Agenda: To review and evaluate grant Pursuant to section 10(d) of the negative IOL dioptric power applications. Federal Advisory Committee Act, as Place: National Institutes of Health, 6701 measurement. amended (5 U.S.C. App.), notice is Rockledge Drive, Bethesda, MD 20892, Development Stage: (Telephone Conference Call). • In vitro data available. hereby given of the following meetings. The meetings will be closed to the Contact Person: Richard D Crosland, Ph.D., • In situ data available (on-site). Scientific Review Officer, Center for • Prototype. public in accordance with the Scientific Review, National Institutes of Inventors: Ilko Ilev, Bennett Walker, provisions set forth in sections Health, 6701 Rockledge Drive, Room 4190, Robert James, and Don Calogero (all of 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., MSC 7850, Bethesda, MD 20892, 301–435– the FDA). as amended. The grant applications and 1220, [email protected]. Publications: the discussions could disclose Name of Committee: Center for Scientific 1. Walker BN, et al. Assessing the confidential trade secrets or commercial Review Special Emphasis Panel; Member effect of laser beam width on property such as patentable material, Conflict: AIDS and AIDS Related Research. quantitative evaluation of optical and personal information concerning Date: August 4–5, 2015. properties of intraocular lens implants. individuals associated with the grant Time: 10:00 a.m. to 5:00 p.m. Agenda: To review and evaluate grant J Biomed Opt. 2014 May;19(5):055004. applications, the disclosure of which would constitute a clearly unwarranted applications. [PMID 24817618] Place: National Institutes of Health, 6701 2. Walker BN, et al. Impact of invasion of personal privacy. Rockledge Drive, Bethesda, MD 20892, environmental temperature on optical Name of Committee: Center for Scientific (Virtual Meeting). power properties of intraocular lenses. Review Special Emphasis Panel; RFA–EB– Contact Person: Kenneth A Roebuck, Ph.D., Appl Opt. 2014 Jan 20;53(3):453–7. 15–003: Pediatric Research using Integrated Scientific Review Officer, Center for [PMID 24514132] Sensor Monitoring Systems (PRISMS): Scientific Review, National Institutes of 3. Hoffer KJ, et al. Testing the dioptric Informatics Platform Technologies for Health, 6701 Rockledge Drive, Room 5106, power accuracy of exact-power-labeled Asthma (U54). MSC 7852, Bethesda, MD 20892, (301) 435– intraocular lenses. J Cataract Refract Date: July 23, 2015. 1166, [email protected]. Time: 9:00 a.m. to 5:00 p.m. Name of Committee: Center for Scientific Surg. 2009 Nov;35(11):1995–9. [PMID Agenda: To review and evaluate grant 19878834] Review Special Emphasis Panel; RFA–EB– applications. 15–002: PRISMS Sensor Development 4. Ilev IK. A simple confocal fibre- Place: National Institutes of Health, 6701 Projects for Pediatric Asthma (U01). optic laser method for intraocular lens Rockledge Drive, Bethesda, MD 20892. Date: August 6, 2015. power measurement. Eye (Lond). 2007 Contact Person: Peter J Kozel, Ph.D., Time: 10:00 a.m. to 6:00 p.m. Jun;21(6):819–23. [PMID 16710435] Scientific Review Officer, Center for Agenda: To review and evaluate grant Intellectual Property: Scientific Review, National Institutes of applications. • HHS Reference No. E–047–2015/ Health, 6701 Rockledge Drive, Room 3139, Place: National Institutes of Health, 6701 0—US Provisional Application No. 62/ Bethesda, MD 20892, 301–435–1116, kozelp@ Rockledge Drive, Bethesda, MD 20892. 108,795 filed January 28, 2015. mail.nih.gov. Contact Person: Kee Hyang Pyon, Ph.D., • HHS Reference No. E–038–2005/ Name of Committee: Center for Scientific Scientific Review Officer, Center for 0—US Patent No. 8,456,738 issued June Review Special Emphasis Panel; Member Scientific Review, National Institutes of Conflict: Cardiovascular Sciences. Health, 6701 Rockledge Drive, Room 5148, 4, 2013; EP Application 06750250.0. • Date: July 28–30, 2015. MSC 7806, Bethesda, MD 20892, pyonkh2@ HHS Reference No. E–039–2005/ Time: 8:00 a.m. to 4:30 p.m. csr.nih.gov. 0—US Patent No. 7,719,668 issued May Agenda: To review and evaluate grant Name of Committee: Center for Scientific 18, 2010; EP Application 06736741.7. applications. Review Special Emphasis Panel; Member Licensing Contact: Steven M. Place: National Institutes of Health, 6701 Conflict: Pregnancy and Neonatology. Ferguson; 301–435–5561; fergusos@ Rockledge Drive, Bethesda, MD 20892, Date: August 6, 2015. mail.nih.gov. (Virtual Meeting). Time: 2:00 p.m. to 5:00 p.m. Collaborative Research Opportunity: Contact Person: Kimm Hamann, Ph.D., Agenda: To review and evaluate grant The Food and Drug Administration is Scientific Review Officer, Center for applications. seeking statements of capability or Scientific Review, National Institutes of Place: National Institutes of Health, 6701 Health, 6701 Rockledge Drive, Room 4118A, Rockledge Drive, Bethesda, MD 20892, interest from parties interested in MSC 7814, Bethesda, MD 20892, 301–435– collaborative research to further (Telephone Conference Call). 5575, [email protected]. Contact Person: Dianne Hardy, Ph.D., develop, evaluate or commercialize this Name of Committee: Center for Scientific Scientific Review Officer, Center for technology. For collaboration Review Special Emphasis Panel; Scientific Review, National Institutes of opportunities, please contact Bill Implementation Science. Health, 6701 Rockledge Drive, Room 6175, Ronnenberg at william.ronnenberg@ Date: July 31, 2015. MSC 7892, Bethesda, MD 20892, 301–435– fda.hhs.gov or 240–402–4561. Time: 12:30 p.m. to 4:00 p.m. 1154, [email protected].

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(Catalogue of Federal Domestic Assistance via email to CBP Export Manifest at conducting an NCAP test, the Program Nos. 93.306, Comparative Medicine; [email protected]. In the Commissioner of CBP may impose 93.333, Clinical Research, 93.306, 93.333, subject line of the email, please use requirements different from those 93.337, 93.393–93.396, 93.837–93.844, ‘‘Comment on ACE Export Manifest for specified in the CBP regulations. 93.846–93.878, 93.892, 93.893, National Air Cargo Test’’. Institutes of Health, HHS) International Trade Data System (ITDS) FOR FURTHER INFORMATION CONTACT: Dated: July 2, 2015. Robert Rawls, Cargo and Conveyance This test is also in furtherance of the Carolyn Baum, Security, Office of Field Operations, International Trade Data System (ITDS) Program Analyst, Office of Federal Advisory U.S. Customs & Border Protection, via key initiatives, set forth in section 405 Committee Policy. email at [email protected]. of the Security and Accountability for Every Port Act of 2006 (Pub. L. 109–347, [FR Doc. 2015–16842 Filed 7–9–15; 8:45 am] SUPPLEMENTARY INFORMATION: BILLING CODE 4140–01–P 120 Stat. 1884, Oct. 13, 2006) (SAFE Background Port Act) (19 U.S.C. 1411(d)) and The National Customs Automation Executive Order 13659 of February 19, DEPARTMENT OF HOMELAND Program 2014, Streamlining the Export/Import SECURITY Process for America’s Businesses. The The National Customs Automation purpose of ITDS, as stated in section U.S. Customs and Border Protection Program (NCAP) was established in 405 of the SAFE Port Act, is to eliminate Subtitle B of Title VI—Customs redundant information requirements, Automated Commercial Environment Modernization, in the North American efficiently regulate the flow of (ACE) Export Manifest for Air Cargo Free Trade Agreement Implementation commerce, and effectively enforce laws Test Act (Pub. L. 103–182, 107 Stat. 2057, and regulations relating to international Dec. 8, 1993) (Customs Modernization trade, by establishing a single portal AGENCY: U.S. Customs and Border Act) (19 U.S.C. 1411–14). Through system, operated by CBP, for the Protection, DHS. NCAP, the initial thrust of customs collection and distribution of standard ACTION: General notice. modernization was on trade compliance electronic import and export data and the development of the Automated SUMMARY: required by all participating Federal This document announces Commercial Environment (ACE), the that U.S. Customs and Border Protection agencies. CBP is developing ACE as the planned successor to the Automated ‘‘single window’’ for the trade (CBP) plans to conduct the Automated Commercial System (ACS). ACE is an Commercial Environment (ACE) Export community to comply with the ITDS automated and electronic system for requirement established by the SAFE Manifest for Air Cargo Test, a National commercial trade processing which is Customs Automation Program (NCAP) Port Act. intended to streamline business Executive Order 13659 requires that test concerning ACE export manifest processes, facilitate growth in trade, by December 2016, ACE, as the ITDS capability. The ACE Export Manifest for ensure cargo security, and foster single window, have the operational Air Cargo Test is a voluntary test in participation in global commerce, while capabilities to serve as the primary which participants agree to submit ensuring compliance with U.S. laws and means of receiving from users the export manifest data electronically, at regulations and reducing costs for CBP standard set of data and other relevant least 4 hours prior to loading of the and all of its communities of interest. documentation (exclusive of cargo onto the aircraft in preparation for The ability to meet these objectives applications for permits, licenses, or departure from the United States. CBP depends on successfully modernizing certifications) required for the release of regulations require carriers to submit a CBP’s business functions and the imported cargo and clearance of cargo paper manifest for export air shipments information technology that supports for export, and to transition from paper- generally within 4 days after departure. those functions. CBP’s modernization based requirements and procedures to This notice provides a description of the efforts are accomplished through phased faster and more cost-effective electronic test, sets forth eligibility requirements releases of ACE component submissions to, and communications for participation, and invites public functionality designed to replace a with, U.S. government agencies. comment on any aspect of the test. specific legacy ACS or paper function. DATES: The test will begin no earlier Current Air Cargo Export Information Each release begins with a test and ends Requirements than August 10, 2015 and will run for with mandatory use of the new ACE approximately two years. CBP is feature, thus retiring the legacy ACS or Under 19 CFR 122.72, 19 CFR 122.73, accepting applications for participation paper function. Each release builds on 19 CFR 122.74, 19 CFR 122.75, and 19 in this planned test until CBP has previous releases and sets the CFR 192.14, certain information must be received applications from nine parties foundation for subsequent releases. submitted to CBP for aircraft with that meet all test participant export cargo leaving the United States requirements. Comments concerning Authorization for the Test for any foreign area.1 In most cases, the this notice and all aspects of the The Customs Modernization Act announced test may be submitted at any provides the Commissioner of CBP with 1 Section 122.72 requires the filing of a general time during the test period. declaration, an air cargo manifest, and any required the authority to conduct limited test Shipper’s Export Declarations. Shipper’s Export ADDRESSES: Applications to participate programs or procedures designed to Declarations were the Department of Commerce in the ACE Export Manifest for Air evaluate planned components of the paper forms used by the Bureau of the Census Cargo Test must be submitted via email NCAP. The test described in this notice under the Foreign Trade Statistics Regulations to collect information from an entity exporting from to CBP Export Manifest at is authorized pursuant to the Customs the United States. These forms were used for [email protected]. In the Modernization Act and section 101.9(b) compiling the official U.S. export statistics for the subject line of the email, please use of title 19 of the Code of Federal United States and for export control purposes. The ‘‘ACE Export Manifest for Air Cargo Test Regulations (19 CFR 101.9(b)) which Shipper’s Export Declarations became obsolete on October 1, 2008, with the implementation of the Application’’. Written comments provides for the testing of NCAP Foreign Trade Regulations (FTR) and have been concerning program, policy, and programs or procedures. As provided in superseded by the Electronic Export Information technical issues may also be submitted 19 CFR 101.9(b), for purposes of (EEI) filed in AES or through the AESDirect. See 15

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aircraft commander or agent must file a in 19 CFR 4.75. Otherwise, for which the EEI is required, or exemption general declaration on CBP Form 7507 shipments to a foreign country, an legends, covering cargo for which EEI pertaining to the outbound flight. Also, incomplete manifest may be filed with need not be filed. The outbound air the aircraft commander or agent must CBP at the departure airport when carrier then must annotate the air cargo file the air cargo manifest, CBP Form accompanied by the proper bond. For manifest, waybill, or other export 7509, with CBP at each port where shipments on direct flights to Puerto documentation with the applicable AES export cargo is loaded on the aircraft. Rico, an incomplete manifest may be proof of filing, post departure, Under 19 CFR 122.74, the airline must filed with CBP upon arrival in Puerto downtime, exclusion or exemption file the complete air cargo manifest Rico. If the complete manifest will not citations, conforming to the approved generally within 4 days after departure be filed within one business day of data formats found in the Bureau of the of the aircraft. Finally, the U.S. arrival in Puerto Rico, the proper bond Census Foreign Trade Regulations (FTR) Principal Party in Interest (USPPI) must must be filed at that time. (15 CFR part 30). file any required Electronic Export Under the bond accompanying the Description of the ACE Export Manifest Information (EEI) for the cargo on the incomplete manifest, the complete for Air Cargo Test aircraft.2 More details regarding the manifest must be filed with CBP by the manifest requirements, the subject of airline within the appropriate time Purpose period. For shipments to foreign this test, are provided in the next The ACE Export Manifest for Air section. countries, the complete manifest must generally be filed no later than 4 Cargo Test will test the functionality Current Air Cargo Manifest business days post-departure. For regarding the filing of export manifest Requirements shipments between the United States data for air cargo electronically to ACE in furtherance of the ITDS initiatives As indicated in the previous section, and Puerto Rico, the complete manifest described above. CBP has re-engineered the aircraft commander or agent must must be filed no later than 7 business AES to move it to an ACE system file copies of the air cargo manifest on days after arrival into or departure from platform. The re-engineering and CBP Form 7509. CBP Form 7509 Puerto Rico. For shipments between the incorporation of AES into ACE will consists of the following data elements: United States or Puerto Rico and U.S. possessions, the complete manifest must result in the creation of a single (1) Owner/Operator automated export processing platform (2) Marks of nationality and registration be filed no later than 7 business days after departure. for certain export manifest, commodity, (3) Flight number licensing, export control, and export (4) Port of lading Trade Act and the Automated Export targeting transactions. This will reduce (5) Port of unlading System (AES) costs for CBP, partner government (6) Date (7) Consolidator (conditional) Section 343(a) of the Trade Act of agencies, and the trade community and (8) De-consolidator (conditional) 2002, as amended (Trade Act) (19 U.S.C. improve facilitation of export shipments (9) Air waybill type (Master, House, or 2071 note), requires CBP to promulgate through the supply chain. Sub) regulations providing for the mandatory The ACE Export Manifest for Air (10) Air waybill number transmission of electronic cargo Cargo Test will also test the feasibility (11) Number of pieces information by way of a CBP-approved of requiring the manifest information to (12) Weight (kg./lb.) electronic data interchange (EDI) system be filed electronically in ACE within a (13) Number of house air waybills before the cargo is brought into or specified time before the cargo is loaded (14) Shipper name and address departs the United States by any mode on the aircraft. (Under the current (15) Consignee name and address of commercial transportation (sea, air, regulatory requirements, the complete (16) Nature of goods rail, or truck). The required cargo manifest is required to be submitted by (17) Internal Transaction Number (ITN) information is that which is reasonably the airline on paper CBP Form 7509 or AES Exemption Statement 3 necessary to enable high-risk shipments generally after the departure of the The air cargo manifest may be filed in to be identified for purposes of ensuring aircraft). As described in the paragraph complete form or incomplete form (pro cargo safety and security and preventing below, in the test, participants will forma). Under 19 CFR 122.74, the smuggling pursuant to the laws enforced submit export manifest data complete manifest must be filed with and administered by CBP. Section electronically to ACE at least 4 hours CBP before the aircraft will be cleared 192.14 of title 19 of the Code of Federal prior to loading of the cargo. This will to depart during any time covered by a Regulations (19 CFR 192.14) enable CBP to easily link the EEI proclamation of the President that a implements the requirements of the submitted by the USPPI with the export state of war exists between foreign Trade Act with regard to cargo departing manifest information earlier in the nations, or if the aircraft is departing on the United States. process. This capability will better a flight from the United States directly While the air cargo manifest described enable CBP to assess risk and effectively or indirectly to a foreign country listed above must be submitted by the aircraft target and inspect shipments prior to the commander or agent, that is, by the air loading of cargo to ensure compliance CFR 30.1. See also 19 CFR 192.14, regarding carrier, any required EEI must be filed with all U.S. export laws. required EEI. by the USPPI under 19 CFR 192.14. 2 The USPPI is defined in the FTR as the person Using a CBP-approved EDI system, the Procedures or legal entity in the United States that receives the USPPI or its authorized agent must Participants in the ACE Export primary benefit, monetary or otherwise, from the export transaction. Generally, that person or entity transmit and verify system acceptance Manifest for Air Cargo Test agree to is the U.S. seller, manufacturer, or order party, or of this EEI, generally no later than 2 provide export manifest data the foreign entity while in the United States when hours prior to the scheduled departure electronically at least 4 hours prior to purchasing or obtaining the goods for export. 15 time of the aircraft from the last U.S. loading of the cargo onto the aircraft in CFR 30.1. port. The air carrier may not load cargo preparation for departure from the 3 Though not a data element on CBP Form 7509 itself, the carrier must include the ITN or AES without first receiving from the USPPI United States. If the air carrier files this Exemption Statement on the outward manifest or its authorized agent either the related ACE Export Manifest data, the pursuant to 19 CFR 192.14(c)(3). EEI filing citation, covering all cargo for electronic filing is in lieu of the paper

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filing of CBP Form 7509. If a freight ‘‘Nature of goods’’ used on CBP permitted to participate fully in the test. forwarder files the ACE Export Manifest Form 7509) In selecting participants, CBP will take data, the carrier is still required to file (17) AES Internal Transaction Number into consideration the order in which the CBP Form 7509 (or ACE Export (ITN) or AES Exemption Statement/ the applications are received. Manifest data, if the air carrier is also a Exception Classification (per Conditions of Participation test participant). shipment) The ACE Export Manifest data (18) Split air waybill indicator Test participants agree to submit submission will be used to target high- (conditional) export manifest data electronically to risk air cargo. The data should be (19) Hazmat indicator (Yes/No) CBP via an approved EDI at least 4 available to test participants early in the (20) UN Number (conditional) (If the hours prior to the loading of the cargo planning stages of an export air cargo hazmat indicator is yes, the four- onto the aircraft in preparation for transaction. It is anticipated that data digit UN (United Nations) Number departure from the United States. In provided 4 hours prior to loading will assigned to the hazardous material addition, test participants agree to permit adequate time for proper risk must be provided.) establish operational security protocols assessment and identification of (21) In-bond number (conditional) that correspond to CBP hold messages shipments to be inspected early enough (22) Mode of transportation (Air, that mandate the participant to take in the supply chain to enhance security containerized or Air, non- responsive action and respond to CBP while minimizing disruption to the flow containerized) confirming that the requested action of goods. was taken to mitigate any threat Any air cargo identified as potentially There are currently no additional data elements identified for other identified, respond promptly with high-risk will receive a hold until complete and accurate information required additional information related participating U.S. Government Agencies (PGAs) for the ACE Export Manifest for when contacted by CBP with questions to the shipment is submitted to clarify regarding the data submitted, and non-descriptive, inaccurate, or Air Cargo Test. However, CBP may enhance the test in the future with comply with any ‘‘Do Not Load’’ insufficient information, a physical instructions. inspection is performed, or some other additional data or processing capabilities to assist with facilitation of Finally, test participants agree to appropriate action is taken, as specified participate in any teleconferences or by CBP. Once the cargo is cleared for air shipment movements and to be meetings established by CBP, when loading, a release message will be consistent with Executive Order 13659. necessary, to ensure any challenges, or generated and transmitted to the filer. Any such enhancement will be announced in the Federal Register. operational or technical issues regarding Data Elements the test are properly communicated and Eligibility Requirements The ACE Export Manifest for Air addressed. Cargo Test data elements are similar, but CBP is limiting this test to nine Participation in the ACE Export not identical to the data elements stakeholders in the air cargo Manifest for Air Cargo Test does not required on CBP Form 7509. The data environment. Specifically, CBP is impose any legally binding obligations elements are mandatory unless seeking participation from: on either CBP or the participant, and otherwise indicated. Data elements that • At least three, but no more than six, CBP generally does not intend to are indicated as ‘‘conditional’’ must be air carriers currently required to file enforce or levy punitive measures if test transmitted to CBP only if the particular paper export air cargo manifest CBP participants are non-compliant with information pertains to the cargo. The Form 7509 under 19 CFR 122.72 and these conditions of participation during ACE Export Manifest for Air Cargo data 122.73; and the test. • elements are to be submitted at the At least three, but no more than six, Application Process and Acceptance lowest bill level. The data elements freight forwarders. consist of: There are no restrictions with regard Those interested in participating in (1) Exporting Carrier (CBP finds this to organization size, location, or the ACE Export Manifest for Air Cargo term to be clearer than the term commodity type. However, participation Test should submit an email to CBP ‘‘Owner/Operator’’ used on CBP is limited to those parties able to Export Manifest at cbpexportmanifest@ Form 7509) electronically transmit export manifest cbp.dhs.gov, stating their interest and (2) Marks of nationality and registration data in the identified acceptable format. their qualifications based on the above (3) Flight number Prospective ACE Export Manifest for Air eligibility requirements. The email will (4) Port of lading Cargo Test participants must have the serve as an electronic signature of intent (5) Port of unlading technical capability to electronically to participate and must also include a (6) Scheduled date of departure (CBP submit data to CBP and receive response point of contact name and telephone finds this term to be clearer than the message sets via Cargo-IMP, AIR number. Applications will be accepted term ‘‘Date’’ used on CBP Form CAMIR, XML, or Unified XML, and until CBP has received applications 7509) must successfully complete certification from nine parties that meet all test (7) Consolidator (conditional) testing with their client representative. participant requirements. CBP will (8) De-consolidator (conditional) (Unified XML may not be immediately notify applicants whether they have (9) Air waybill type (Master, House, available at the start of the test. been selected to participate in the test. Simple or Sub) However, parties wishing to utilize Applicants will also be notified once (10) Air Waybill number they have successfully completed (11) Number of pieces and unit of Unified XML may be accepted, pending testing and are permitted to participate measure its development and implementation). (12) Weight (kg./lb.) Once parties have applied to participate, fully in the test. (13) Number of house air waybills they must complete a test phase to Test participants will receive (14) Shipper name and address determine if the data transmission is in technical, operational, and policy (15) Consignee name and address the required readable format. Applicants guidance through all stages of test (16) Cargo description (CBP finds this will be notified once they have participation, from planning to term to be clearer than the term successfully completed testing and are implementation, on the necessary steps

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for the transmission of electronic export statutory and regulatory requirements, otherwise fails to comply with all manifest data. including 19 CFR 122.72–122.75, and applicable laws and regulations, then participants will still be subject to the participant may be suspended from Costs to ACE Export Manifest for Air applicable penalties for non- participation in this test and/or Cargo Test Participants compliance. In addition, submission of subjected to penalties, liquidated ACE Export Manifest for Air Cargo data under the pilot does not exempt the damages, and/or other administrative or Test participants are responsible for all participant from any CBP or other U.S. judicial sanction. Additionally, CBP has costs incurred as a result of their Government agency program the right to suspend a test participant participation in the test and such costs requirements or any statutory sanctions based on a determination that an will vary, depending on their pre- in the event that a violation of U.S. unacceptable compliance risk exists. existing infrastructures. Costs may be export laws or prohibited articles are If CBP determines that a suspension is offset by a significant reduction in discovered within a shipment/container warranted, CBP will notify the expenses associated with copying, presented for export destined from the participant of this decision, the facts or storing, and courier services for United States on an aircraft owned and/ conduct warranting suspension, and the presenting the paper manifest to CBP. or operated by the participant. date when the suspension will be Benefits to ACE Export Manifest for Air Duration and Evaluation of the ACE effective. In the case of willful Cargo Test Participants Export Manifest for Air Cargo Test misconduct, or where public health interests or safety are concerned, the While the benefits to ACE Export The test will be activated on a case- suspension may be effective Manifest for Air Cargo Test participants by-case basis with each participant and immediately. This decision may be will vary, several advantages of joining may be limited to a single or small appealed in writing to the Assistant may include: number of ports until any operational, • Commissioner, Office of Field Reduction in costs associated with training, or technical issues on either Operations, within 15 days of generating copies, transportation, and the trade or government side are notification. The appeal should address storage of paper manifest established and/or resolved. The test the facts or conduct charges contained documentation; will run for approximately two years • in the notice and state how the Increases in security by leveraging from August 10, 2015. While the test is participant has or will achieve CBP threat model and other data to ongoing, CBP will evaluate the results compliance. CBP will notify the employ a risk-based approach to and determine whether the test will be participant within 30 days of receipt of improve air cargo security and to ensure extended, expanded to include an appeal whether the appeal is granted. compliance with U.S. export laws, rules additional participants, or otherwise If the participant has already been and regulations through targeted modified. CBP will announce any such suspended, CBP will notify the screening; modifications by notice in the Federal participant when their participation in • Gains in efficiencies by automating Register. When sufficient test analysis the test will be reinstated. the identification of high-risk cargo for and evaluation has been conducted, enhanced screening; CBP intends to begin rulemaking to Paperwork Reduction Act • The ability to provide input into require the submission of electronic As noted above, CBP will be accepting CBP efforts to establish, test, and refine export manifest data before the cargo is no more than nine participants in the the interface between government and loaded onto the aircraft for all ACE Export Manifest for Air Cargo Test. industry communication systems for the international shipments destined from This means that fewer than ten persons implementation of the electronic export the United States. The results of the test will be subject to any information manifest; and will help determine the relevant data collections under this test. Accordingly, • Facilitation of corporate elements, the time frame within which collections of information within this preparedness for future mandatory data should be submitted to permit CBP notice are exempted from the implementation of electronic export to effectively target, identify, and requirements of the Paperwork manifest submission requirements. mitigate any risk with the least impact Reduction Act of 1995 (44 U.S.C. 3502 Waiver of Certain Regulatory practicable on trade operations, and any and 3507). other related procedures and policies. Requirements Dated: July 7, 2015. For purposes of this test, the Confidentiality Todd C. Owen, requirement to file a paper CBP Form All data submitted and entered into Assistant Commissioner, Office of Field 7509, as provided in 19 CFR 122.72– ACE is subject to the Trade Secrets Act Operations. 122.75 will be waived for air carrier test (18 U.S.C. 1905) and is considered [FR Doc. 2015–16943 Filed 7–9–15; 8:45 am] participants that submit the ACE Export confidential, except to the extent as BILLING CODE 9111–14–P Manifest for Air Cargo data elements otherwise provided by law. However, electronically as described above. If a participation in this or any ACE test is freight forwarder submits the electronic not confidential and upon a written ACE Export Manifest data, the air carrier Freedom of Information Act (FOIA) DEPARTMENT OF HOUSING AND is still required to file the paper CBP request, the name(s) of an approved URBAN DEVELOPMENT Form 7509 (or the electronic ACE participant(s) will be disclosed by CBP Export Manifest data, if the air carrier is in accordance with 5 U.S.C. 552. [Docket No. FR–5828–N–28] a test participant). The air carrier maintains responsibility for submitting Misconduct Under the Test Federal Property Suitable as Facilities the manifest data to CBP to cover all If a test participant fails to abide by To Assist the Homeless cargo on the aircraft, even if the freight the rules, procedures, or terms and AGENCY: Office of the Assistant forwarder has also submitted manifest conditions of this and all other Secretary for Community Planning and data. Participation in the test does not applicable Federal Register Notices, Development, HUD. alter the participant’s obligations to fails to exercise reasonable care in the ACTION: Notice. comply with any other applicable execution of participant obligations, or

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SUMMARY: This Notice identifies MD 20857, (301)–443–2265 (This is not Washington Navy Yard, 1330 Patterson unutilized, underutilized, excess, and a toll-free number.) HHS will mail to the Ave. SW., Suite 1000, Washington, DC surplus Federal property reviewed by interested provider an application 20374; (202) 685–9426 (These are not HUD for suitability for use to assist the packet, which will include instructions toll-free numbers). homeless. for completing the application. In order Dated: July 2, 2015. to maximize the opportunity to utilize a FOR FURTHER INFORMATION CONTACT: Juanita Perry, Juanita Perry, Department of Housing suitable property, providers should submit their written expressions of SNAPS Specialist/Title V Lead, Office of and Urban Development, 451 Seventh Special Needs Assistance Programs. Street SW., Room 7266, Washington, DC interest as soon as possible. For 20410; telephone (202) 402–3970; TTY complete details concerning the TITLE V, FEDERAL SURPLUS PROPERTY processing of applications, the reader is PROGRAM FEDERAL REGISTER REPORT number for the hearing- and speech- FOR 07/10/2015 impaired (202) 708–2565 (these encouraged to refer to the interim rule telephone numbers are not toll-free), or governing this program, 24 CFR part Suitable/Available Properties 581. call the toll-free Title V information line Building at 800–927–7588. For properties listed as suitable/to be excess, that property may, if Georgia SUPPLEMENTARY INFORMATION: In subsequently accepted as excess by Upper Tanyard Creek Day accordance with 24 CFR part 581 and GSA, be made available for use by the Upper Tanyard Creek section 501 of the Stewart B. McKinney homeless in accordance with applicable Allatoona GA Homeless Assistance Act (42 U.S.C. law, subject to screening for other Landholding Agency: COE 11411), as amended, HUD is publishing Federal use. At the appropriate time, Property Number: 31201520009 this Notice to identify Federal buildings Status: Unutilized HUD will publish the property in a Comments: Off-site removal only; 26+ yrs. and other real property that HUD has Notice showing it as either suitable/ reviewed for suitability for use to assist old; 483 sq. ft.; recreational toilet facility; available or suitable/unavailable. very poor conditions; has been vandalized the homeless. The properties were For properties listed as suitable/ & needs repairs; no future agency need; reviewed using information provided to unavailable, the landholding agency has contact COE for more information. HUD by Federal landholding agencies decided that the property cannot be Nebraska regarding unutilized and underutilized declared excess or made available for Grand Island U.S. Post Office and Courthouse buildings and real property controlled use to assist the homeless, and the by such agencies or by GSA regarding 203 West 2nd Street property will not be available. Grand Island NE 68801 its inventory of excess or surplus Properties listed as unsuitable will Landholding Agency: GSA Federal property. This Notice is also not be made available for any other Property Number: 54201520018 published in order to comply with the purpose for 20 days from the date of this Status: Surplus December 12, 1988 Court Order in Notice. Homeless assistance providers GSA Number: 7G–NE–0519–AA National Coalition for the Homeless v. interested in a review by HUD of the Directions: (RPUID)NE0018ZZ Veterans Administration, No. 88–2503– determination of unsuitability should Comments: 105+ yrs. old; 5,508 sq. ft.; office; OG (D.D.C.). call the toll free information line at 1– good condition; asbestos; sits on 0.53 acres; Properties reviewed are listed in this 800–927–7588 for detailed instructions listed on Nat. Reg. of Historic Place; need Notice according to the following to contact property manager for aces.; or write a letter to Ann Marie Oliva at contact GSA for more info. categories: Suitable/available, suitable/ the address listed at the beginning of unavailable, and suitable/to be excess, this Notice. Included in the request for Land and unsuitable. The properties listed in review should be the property address Hawaii the three suitable categories have been (including zip code), the date of 1.76 Acre Parcel reviewed by the landholding agencies, publication in the Federal Register, the Radford Drive & Kamehameha Hwy and each agency has transmitted to landholding agency, and the property JBPHH Honolulu HI 96860 HUD: (1) Its intention to make the number. Landholding Agency: Navy property available for use to assist the For more information regarding Property Number: 77201520023 homeless, (2) its intention to declare the particular properties identified in this Status: Underutilized property excess to the agency’s needs, or Notice (i.e., acreage, floor plan, existing Comments: 1.76 acres; landscape; because of (3) a statement of the reasons that the sanitary facilities, exact street address), legal constraint it is unlikely the parcel property cannot be declared excess or providers should contact the will be available for one year or more; no future agency need; contact Navy for more made available for use as facilities to appropriate landholding agencies at the information. assist the homeless. following addresses: COE: Mr. Scott Properties listed as suitable/available Whiteford, Army Corps of Engineers, Tennessee will be available exclusively for Real Estate, CEMP–CR, 441 G Street (+/¥) 72 Acre Site homeless use for a period of 60 days NW., Washington, DC 20314; (202) 761– 5722 Integrity Dr. from the date of this Notice. Where 5542; ENERGY: Mr. David Steinau, Millington TN 38054 Landholding Agency: Navy property is described as for ‘‘off-site use Department of Energy, Office of Property Number: 77201520025 only’’ recipients of the property will be Property Management, 1000 Status: Underutilized required to relocate the building to their Independence Ave. SW., Washington, Comments: Current use: Family housing area own site at their own expense. DC 20585 (202) 287–1503; GSA: Mr. (bldgs. demo in 2008); contamination— Homeless assistance providers Flavio Peres, General Services termiticide interested in any such property should Administration, Office of Real Property Unsuitable Properties send a written expression of interest to Utilization and Disposal, 1800 F Street HHS, addressed to: Ms. Theresa M. NW., Room 7040 Washington, DC Building Ritta, Chief Real Property Branch, the 20405, (202) 501–0084; NAVY: Mr. South Carolina Department of Health and Human Steve Matteo, Department of the Navy, Building 155, Motor Transport Services, Room 5B–17, Parklawn Asset Management; Division, Naval Garage Building, 5600 Fishers Lane, Rockville, Facilities Engineering Command, Cape Gauffre St.

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MCRD Parris Island SC Land comment on the following applications Landholding Agency: Navy Florida to conduct certain activities with Property Number: 77201520026 450 Acre Land Parcel endangered species. With some Status: Excess exceptions, the Endangered Species Act Comments: Public access denied and no NAS Pensacola Special Area Saufley Field Pensacola FL 32508 (ESA) prohibits activities with listed alternative method to gain access without Landholding Agency: Navy species unless Federal authorization is compromising national security Property Number: 77201520032 Reasons: Secured Area acquired that allows such activities. Status: Underutilized DATES: We must receive comments or Building 156, Vehicle Shed Comments: Property located within an Cape Gauffre St. requests for documents on or before airport runway clear zone or military August 10, 2015. MCRD Parris Island SC airfield; public access denied and no Landholding Agency: Navy alternative method to gain access without ADDRESSES: Brenda Tapia, U.S. Fish and Property Number: 77201520027 compromising national security. Wildlife Service, Division of Status: Excess Reasons: Secured Area; Within airport Management Authority, Branch of Comments: Public access denied and no runway clear zone Permits, MS: IA, 5275 Leesburg Pike, alternative method to gain access without Mississippi Falls Church, VA 22041; fax (703) 358– compromising national security 2281; or email [email protected]. Reasons: Secured Area 229 Acres 7th & 9th Sts./Goodier Ave & Upper Nixon FOR FURTHER INFORMATION CONTACT: Building 156A, Vehicle Shed Ave Brenda Tapia, (703) 358–2104 Blvd. De France Gulfport MS 39503 (telephone); (703) 358–2281 (fax); MCRD Parris Island SC Landholding Agency: Navy Landholding Agency: Navy [email protected] (email). Property Number: 77201520024 SUPPLEMENTARY INFORMATION: Property Number: 77201520028 Status: Unutilized Status: Excess Comments: Public access denied and no I. Public Comment Procedures Comments: Public access denied and no alternative method to gain access without alternative method to gain access without compromising National Security. A. How do I request copies of compromising national security Reasons: Secured Area applications or comment on submitted Reasons: Secured Area applications? New Mexico Building 176, Send your request for copies of Vehicle Maintenance Sandia National Laboratories 6596 applications or comments and materials Cape Gauffre St. concerning any of the applications to MCRD Parris Island SC Albuquerque NM 87123 Landholding Agency: Navy Landholding Agency: Energy the contact listed under ADDRESSES. Property Number: 77201520029 Property Number: 41201520002 Please include the Federal Register Status: Excess Status: Excess notice publication date, the PRT- Comments: Public access denied and no Comments: Public access denied and no number, and the name of the applicant alternative method to gain access without alternative method to gain access without in your request or submission. We will compromising National Security. compromising national security not consider requests or comments sent Reasons: Secured Area Reasons: Secured Area to an email or address not listed under Building 176A, Refueling Rhode Island ADDRESSES. If you provide an email Vehicle Shop (Shed) 159 Acres Land address in your request for copies of Cape Gauffre St. Naval Station Newport applications, we will attempt to respond MRCD Parris Island SC Middletown RI 02841 to your request electronically. Landholding Agency: Navy Landholding Agency: Navy Please make your requests or Property Number: 77201520022 Property Number: 77201520030 comments as specific as possible. Please Status: Excess Status: Underutilized Directions: McAllister Point Tank Farm 5 (11 confine your comments to issues for Comments: Public access denied and no which we seek comments in this notice, alternative method to gain access without acres);Tank Farm 4 (83 acres) compromising national security Comments: Public access denied and no and explain the basis for your Reasons: Secured Area alternative method to gain access without comments. Include sufficient compromising national security. information with your comments to Building 759, Shotgun Range Reasons: Secured Area Head allow us to authenticate any scientific or Wake Blvd. [FR Doc. 2015–16738 Filed 7–9–15; 8:45 am] commercial data you include. MRCD Parris Island SC BILLING CODE 4210–67–P The comments and recommendations Landholding Agency: Navy that will be most useful and likely to Property Number: 77201520031 influence agency decisions are: (1) Status: Excess DEPARTMENT OF THE INTERIOR Those supported by quantitative Comments: Public access denied and no information or studies; and (2) Those alternative method to gain access without Fish and Wildlife Service that include citations to, and analyses compromising national security of, the applicable laws and regulations. Reasons: Secured Area [FWS–HQ–IA–2015–N131; We will not consider or include in our FXIA16710900000–156–FF09A30000] 3 Buildings administrative record comments we Y–12 National Security Complex receive after the close of the comment Oak Ridge TN 37831 Endangered Species; Receipt of period (see DATES) or comments Landholding Agency: Energy Applications for Permit delivered to an address other than those Property Number: 41201520003 AGENCY: Fish and Wildlife Service, Status: Unutilized listed above (see ADDRESSES). Interior. Directions: 9409–34 Cooling Tower; 9727– B. May I review comments submitted by ACTION: 04a Annex Building. 9727–04 Utility Notice of receipt of applications others? Comments: Public access denied and no for permit. alternative method to gain access without Comments, including names and compromising National Security. SUMMARY: We, the U.S. Fish and street addresses of respondents, will be Reasons: Secured Area Wildlife Service, invite the public to available for public review at the street

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address listed under ADDRESSES. The wildlife registration under 50 CFR trophy of one male bontebok public may review documents and other 17.21(g) for the following species to (Damaliscus pygargus pygargus) culled information applicants have sent in enhance species propagation or from a captive herd maintained under support of the application unless our survival: For Renewal: ring-tailed lemur the management program of the allowing viewing would violate the (Lemur catta), black and white ruffed Republic of South Africa, for the Privacy Act or Freedom of Information lemur (Varecia variegata), red ruffed purpose of enhancement of the survival Act. Before including your address, lemur (Varecia rubra), cotton-top of the species. phone number, email address, or other tamarin (Saguinus oedipus), lar gibbon Applicant: Monty Davis, Cypress, TX; personal identifying information in your (Hylobates lar), clouded leopard PRT–68842B comment, you should be aware that (Neofelis nebulosa), Galapagos tortoise your entire comment—including your (Chelonoidis nigra), and radiated Applicant: Kyle Witwer, Fort Wayne, IN; personal identifying information—may tortoise (Astrochelys radiata). For PRT–69019B be made publicly available at any time. Amendment to Add: Jackass penguin While you can ask us in your comment (Spheniscus demersus). This Brenda Tapia, to withhold your personal identifying notification covers activities to be Program Analyst/Data Administrator, Branch information from public review, we conducted by the applicant over a 5- of Permits, Division of Management cannot guarantee that we will be able to year period. Authority. do so. [FR Doc. 2015–16834 Filed 7–9–15; 8:45 am] Applicant: Antonin Dvorak, BILLING CODE 4310–55–P II. Background Williamsville, NY; PRT–050667 To help us carry out our conservation The applicant requests a renewal of responsibilities for affected species, and their captive-bred wildlife registration DEPARTMENT OF THE INTERIOR in consideration of section 10(a)(1)(A) of under 50 CFR 17.21(g) for the following the Endangered Species Act of 1973, as species to enhance species propagation National Park Service amended (16 U.S.C. 1531 et seq.), along or survival: radiated tortoise [NPS–MWR–CUVA–17694; PPMWMWROW2/ with Executive Order 13576, (Astrochelys radiata). This notification PMP00UP05.YP0000] ‘‘Delivering an Efficient, Effective, and covers activities to be conducted by the Accountable Government,’’ and the applicant over a 5-year period. Notice of Intent To Prepare an President’s Memorandum for the Heads Applicant: Jerry Motta, Bushnell, FL; Environmental Impact Statement and of Executive Departments and Agencies PRT–28014A Management Plan for Moose, Wolves, of January 21, 2009—Transparency and and Vegetation, Isle Royale National Open Government (74 FR 4685; January The applicant requests a captive-bred Park, Michigan 26, 2009), which call on all Federal wildlife registration under 50 CFR agencies to promote openness and 17.21(g) for the following species to AGENCY: National Park Service, Interior. transparency in Government by enhance species propagation or ACTION: Notice of intent. disclosing information to the public, we survival: For Renewal: African slender- SUMMARY: invite public comment on these permit snouted crocodile (Crocodylus The National Park Service applications before final action is taken. cataphractus), Cuban crocodile (NPS) announces that we are preparing (Crocodylus rhombifer), Nile crocodile an Environmental Impact Statement III. Permit Applications (Crocodylus niloticus), Morelet’s (EIS) for a plan to determine how to Endangered Species crocodile (Crocodylus moreletii), manage the Isle Royale moose saltwater crocodile (Crocodylus population in light of the dynamic Applicant: Lionshare Farm Zoological, porosus), Siamese crocodile (Crocodylus changes occurring on the island, in LLC, Greenwich, CT; PRT–60662B siamensis), African dwarf crocodile particular the declining wolf The applicant requests a permit to (Osteolaemus tetraspis), Yacare caiman population. import one female and one male cheetah (Caiman yacare), common caiman DATES: The public comment period will (Acinonyx jubatus jubatus) for the (Caiman crocodilus crocodilus), Cuban begin on the date this Notice of Intent purpose of enhancement of the survival ground iguana (Cyclura nubila), Grand is published in the Federal Register. of the species. This notification covers Cayman blue iguana (Cyclura lewisi), The comment period will close 30 days activities to be conducted by the Galapagos tortoise (Chelonoidis nigra), after the last scheduled public meeting applicant over a 5-year period. and radiated tortoise (Astrochelys and all comments must be postmarked Applicant: San Diego Zoo Global, San radiata). This notification covers or transmitted by this date. activities to be conducted by the Diego, CA; PRT–70167B ADDRESSES: Information, including a applicant over a 5-year period. The applicant requests a permit to copy of the public scoping brochure, biological samples from any endangered Applicant: Hurricane Aviaries, Inc. will be available for public review or threatened species for the purpose of Loxahatchee, FL; PRT–48384B online at http://parkplanning.nps.gov/ scientific research, including but not The applicant requests a captive-bred ISRO. Limited copies of the brochure limited to, phylogenetic, reproductive wildlife registration under 50 CFR will also be available at Isle Royale physiology, disease transmission, and 17.21(g) for Golden parakeet (Guarouba National Park, 800 East Lakeshore Drive, applied animal ecology. This guarouba) to enhance species Houghton, Michigan and by request. notification covers activities to be propagation or survival. This FOR FURTHER INFORMATION CONTACT: conducted by the applicant over a 5- notification covers activities to be Superintendent Phyllis Green, or Chief year period. conducted by the applicant over a 5- of Natural Resources Paul Brown, Isle year period. Royale National Park, Wolf-Moose- Applicant: Frank Buck Zoo, Gainesville, Vegetation Management Plan, 800 East TX; PRT–06588B Multiple Applicants Lakeshore Drive, Houghton, Michigan The applicant requests a renewal and The following applicants each request 49931–1896, or by telephone at (906) amendment to their captive-bred a permit to import the sport-hunted 482–0984.

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SUPPLEMENTARY INFORMATION: Isle The wolf-moose-vegetation food web emailed to interested parties and on the Royale is an island archipelago in the is tightly coupled. Since the wolf NPS’s Planning, Environment and northwestern portion of Lake Superior. population at Isle Royale is very low Public Comment (PEPC) Web site at Organisms that live on islands have and local extirpation of wolves is http://parkplanning.nps.gov/ISRO. The dynamic populations and are subject to possible in the near future (e.g. only one NPS will provide additional immigration and extinction events. gender remains on the island; the pack opportunities for the public to offer Local extirpation is natural and has been non-reproductive for three to written comments upon publication and expected, as is establishment and re- five years; or there are no remaining release of the draft plan/EIS. establishment of new populations. wolves), the moose population is likely If you wish to comment during the Wolves were first documented on Isle to continue to increase, resulting in public comment period, you may use Royale through identification of tracks impacts to vegetation and forest cover any one of several methods. The in 1949–50 and by 1957 the island from moose herbivory. preferred method for submitting supported an estimated 25 wolves. The A plan is needed to address comments is at the PEPC Web site first systematic research on Isle Royale environmental impacts that could occur address given above. You may also mail wolves was conducted in the 1950s and to the moose population and vegetation or hand-deliver your comments to the has continued largely unabated. The from the potential extirpation of wolves. Superintendent or the Chief of Natural research on the ‘‘Wolves of Isle Royale’’ The purpose of the plan is to provide Resources at the address given above. is now world-renowned. Like many direction for managing the Isle Royale Written comments will also be accepted mainland wolf populations, the island moose and wolf populations for at least during scheduled public meetings. population has fluctuated widely over the next 20 years in light of the dynamic Comments will not be accepted by fax, this time, though on Isle Royale they changes occurring on the island. email, or any other way than those have always been protected and never In this context, we must determine specified above. Bulk comments in any hunted or subjected to control efforts. allowable types of change. Specifically, format (hard copy or electronic) Population variation on the island is we need to decide whether to intervene submitted on behalf of others will not be with a declined or extirpated wolf related to inherent dynamic wolf accepted. Before including your population in order to perpetuate the ecology, island biogeography, and address, phone number, email address, role wolves play with regard to the presence of disease in the wolf or other personal identifying moose population through predation population. Wolves on Isle Royale have information in your comment, you and spatial distribution (wolf recently declined and the primary cause should be aware that your entire management actions); whether to is thought to be genetic inbreeding comment—including your personal directly intervene with an increased leading to low productivity. With identifying information—may be made moose population (moose management publicly available at any time. While currently less than 10 individual wolves actions); and whether to intervene to you can ask us in your comment to on the island, scientists differ on what manage vegetation to mitigate impacts withhold your personal identifying will happen to the population in the from moose herbivory as temperate information from public review, we short-term (25 years). Many believe that species replace the historical boreal cannot guarantee that we will be able to their persistence is doubtful unless new forest (vegetation management actions). do so. wolves emigrate or are introduced to the For each of these decisions, we must Dated: February 13, 2015. island. determine the type and extent of Patricia S. Trap, The moose population on Isle Royale intervention appropriate in a designated (which arrived on the island in the early wilderness given a changing climate. Acting Regional Director, Midwest Region. 1900s) has fluctuated dramatically (500 While specific alternatives have not yet This document was received at the Office to several thousand) over the past been developed, options available of the Federal Register on Monday, July 06, century. Moose have important effects include: (1) not actively managing 2015. on island vegetation including forest moose, wolves, or vegetation; (2) [FR Doc. 2015–16851 Filed 7–9–15; 8:45 am] cover and wolves are the only moose managing moose abundance and BILLING CODE 4310–MA–P predator on the island. distribution; (3) managing wolf The park lies within a temperate- abundance by supplementing the boreal forest transition zone where current wolf population or introducing DEPARTMENT OF THE INTERIOR temperate tree species are at or near wolves following extirpation; and (4) Bureau of Reclamation their northern range limits and boreal managing vegetation through the use of trees are near their southern range fire, direct restoration, or other tools. [RR02800000, 15XR0687ND, limits. Recent trends suggest the Interested individuals, organizations, RX.18527914.2050100] beginning of a shift from boreal to and agencies are encouraged to provide temperate vegetation. The relatively written comments regarding the scope Notice of Availability of the Bay Delta short-lived boreal paper birch and of issues to be addressed in the EIS, Conservation Plan/California WaterFix aspen, which established widely on alternative approaches to managing Partially Recirculated Draft lands disturbed by European settlement wolves, moose, or vegetation on Isle Environmental Impact Report/ activities, are reaching the end of their Royale, and other concerns regarding Supplemental Draft Environmental natural lifespans and rapid successional this conservation planning and Impact Statement and Announcement changes in favor of more shade-tolerant environmental impact analysis process. of Public Meetings tree species are underway. Successional Within the comment period, we intend AGENCY: Bureau of Reclamation, trends on the island indicate that recent to hold public scoping meetings on the Interior. conditions favored temperate hardwood EIS in the vicinity of the park, including ACTION: Notice. species, which expanded and replaced Houghton, Michigan. Specific dates, boreal trees. Since moose favor some times and locations of the public SUMMARY: This notice announces the boreal tree species such as balsam fir for scoping meetings will be made available availability of the Bay Delta food, this succession may alter the via a press release to local media, a Conservation Plan/California WaterFix available moose forage in the future. public scoping brochure to be mailed or Partially Recirculated Draft

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Environmental Impact Report/ Conservation Plan (BDCP or Plan) (73 Draft Implementing Agreement, Supplemental Draft Environmental FR 4178). The NOI was re-issued on Reclamation and the California Impact Statement (RDEIR/SDEIS) for April 15, 2008, to include the Bureau of Department of Water Resources have public review and comment. The Reclamation (Reclamation) as a co-lead proposed three additional conveyance RDEIR/SDEIS has been prepared jointly Federal agency, update the status of the alternatives for analysis in the RDEIR/ between the Bureau of Reclamation and planning process, and provide updated SDEIS. These new alternatives 2D, 4A, the California Department of Water information related to scoping meetings and 5A, each contain fewer Resources to describe and analyze (73 FR 20326). The April 15, 2008, NOI Conservation Measures than the refinement of the resource area analyses, identified scoping meeting locations conveyance alternatives circulated in alternatives, and actions, including and stated that written comments would the Draft EIR/EIS. Specifically, the new three additional alternatives that be accepted until May 30, 2008. alternatives no longer contain the describe conveyance options not Additional information was later following Conservation Measures: CM– containing all the elements of a Habitat developed to describe the proposed 2 Yolo Bypass Fisheries Enhancement; Conservation Plan/Natural Communities BDCP, and subsequent scoping activities CM–5 Seasonally Inundated Floodplain Conservation Plan described in the were initiated on February 13, 2009, Restoration; CM–13 Invasive Aquatic previously circulated Draft EIR/EIS with the publication of a revised NOI Vegetation Control; CM–14 Stockton released on December 13, 2013. (74 FR 7257). The NOI identified Deep Water Ship Channel Dissolved Based on project revisions and in scoping meeting locations and stated Oxygen Levels; CM–17 Illegal Harvest consideration of comments received on that written comments would be Reduction; CM–18 Conservation the Draft Bay Delta Conservation Plan, accepted until May 14, 2009. Hatcheries; CM–19 Urban Stormwater Draft EIR/EIS, and Draft Implementing In 2008, ten public scoping meetings Treatment; CM–20 Recreational Users Agreement, the State and Federal lead were held throughout California. In Invasive Species Program; and CM–21 agencies recognize that additional spring 2009, a summary update was Non-project Diversions. The new information is appropriate to address produced and distributed about the alternatives contain modified versions comments and to enhance the development of the Plan to interested of the following Conservation Measures environmental analysis. members of the public, including details (referred to as Environmental of individual elements of the Plan DATES: Comments on the RDEIR/SDEIS Commitments in the RDEIR/SDEIS): must be received or postmarked by 5 (referred to in the Plan as ‘‘conservation CM–3 Natural Communities Protection measures’’) that were being considered p.m. Pacific Time on August 31, 2015. and Restoration; CM–4 Tidal Natural Two public meetings will be held to as part of the conservation strategy. Communities Restoration; CM–6 provide an overview of the project and Twelve additional public scoping Channel Margin Enhancement; CM–7 allow public comment and discussion meetings were then held throughout Riparian Natural Community on the RDEIR/SDEIS: California, seeking input about the Restoration; CM–8 Grassland Natural • Tuesday, July 28, 2015, 3:00 p.m.– scope of covered activities and potential Community Restoration; CM–9 Vernal 7:00 p.m., Sacramento, CA. alternatives to the proposed action. Pool and Alkali Seasonal Wetland In December 2010, the California • Wednesday, July 29, 2015, 3:00 Complex Restoration; CM–10 Nontidal Natural Resources Agency disseminated p.m.—7:00 p.m., Walnut Grove, CA. Marsh Restoration; CM–11 Natural to the public a summary of the BDCP, Communities Enhancement and ADDRESSES: You may submit written its status, and a list of outstanding Management; CM–12 Methylmercury comments by one of the following issues. In 2011 and 2012, public Management; CM–15 Localized methods: meetings continued in Sacramento, Reduction of Predatory Fishes; and CM– 1. By email: Submit comments to California, to update stakeholders and [email protected]. the public on elements of the draft 16 Non-Physical Fish Barriers. The new 2. By hard-copy: Submit comments by BDCP and EIR/EIS that were being alternatives are not structured as a U.S. mail to BDCP/WaterFix Comments, developed. Habitat Conservation Plan/Natural P.O. Box 1919, Sacramento, CA 95812. On December 13, 2013, the Draft Communities Conservation Plan but are The two public meetings will be held BDCP and associated Draft EIR/EIS were structured to achieve compliance with at the following locations: the Federal Endangered Species Act • released to the public and a 120-day Sacramento—Sheraton Grand public comment period was opened through consultation under Section 7 Sacramento Hotel, Magnolia Room, through notification in the Federal and the California Endangered Species 1230 J Street, Sacramento, CA 95814. Act through the incidental take permit • Register (78 FR 75939). That notice Walnut Grove—Jean Harvie described the proposed action and a process under Section 2081(b) of the Community Center, 14273 River Road, reasonable range of alternatives. Twelve California Fish & Game Code. Walnut Grove, CA 95690. more public meetings were held in The California Department of Water To view or download the RDEIR/ California in early 2014. In response to Resources has identified Alternative 4A SDEIS, or for a list of locations to view requests from the public, the comment (known as the California WaterFix) as hard-bound copies, go to period was extended for an additional their proposed project and Reclamation www.baydeltaconservationplan.com. 60 days and closed on June 13, 2014 (79 has selected Alternative 4A as the FOR FURTHER INFORMATION CONTACT: Ms. FR 17135; March 27, 2014). A Draft National Environmental Policy Act Michelle Banonis, Bureau of Implementing Agreement was also made (NEPA) preferred alternative. This Reclamation, (916) 930–5676. available to the public on May 30, 2014, alternative will consist of a water SUPPLEMENTARY INFORMATION: for a 60-day review and comment conveyance facility with three intakes, period, which closed on July 29, 2014. habitat restoration measures necessary Background The comment period of the Draft EIR/ to minimize or avoid project effects, and On January 24, 2008, the U.S. Fish EIS was also extended to the later date. the previously described Conservation and Wildlife Service (USFWS) and All draft documents are available at Measures. Alternative 4A is proposed to National Marine Fisheries Service www.baydeltaconservationplan.com. make physical and operational (NMFS) issued a Notice of Intent (NOI) As a result of considering comments improvements to the State Water Project to prepare an EIS on the Bay Delta on the Draft BDCP, Draft EIR/EIS, and system in the Delta necessary to restore

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and protect ecosystem health, water considered by all of the cooperating public interest comments from the supplies of the State Water Project and agencies. public only. Parties are to file public Central Valley Project south-of-Delta, interest submissions pursuant to 19 CFR Next Steps and water quality within a stable 210.50(a)(4). regulatory framework, consistent with Reclamation will compile and review FOR FURTHER INFORMATION CONTACT: statutory and contractual obligations. all public comments on the RDEIR/ Lucy Grace D. Noyola, Office of the The RDEIR/SDEIS will also analyze SDEIS submitted to them prior to General Counsel, U.S. International the impacts for two additional new preparation of a final EIR/EIS. A Trade Commission, 500 E Street SW., alternatives: Alternative 2D, which will decision by Reclamation on Central Washington, DC 20436, telephone (202) consist of a water conveyance facility Valley Project operations consistent 205–3438. The public version of the with five intakes, and Alternative 5A, with the RDEIR/SDEIS will be made no complaint can be accessed on the which will consist of a water sooner than 30 days after the Commission’s electronic docket (EDIS) conveyance facility with one intake. publication of the final EIR/EIS. The at http://edis.usitc.gov, and will be Both of these alternatives will contain decision will be documented with the available for inspection during official the habitat protection and restoration completion of the Record of Decision. business hours (8:45 a.m. to 5:15 p.m.) measures necessary to minimize or Special Accommodations in the Office of the Secretary, U.S. avoid project effects, and the previously International Trade Commission, 500 E described Conservation Measures listed The public meetings are physically Street SW., Washington, DC 20436, above. In addition, the RDEIR/SDEIS accessible to people with disabilities. telephone (202) 205–2000. General will describe and analyze project Requests for sign language information concerning the Commission modifications and refinement of the interpretation or other auxiliary aids may also be obtained by accessing its resource area analyses, alternatives, and should be directed to Ms. Michelle Internet server (http://www.usitc.gov). actions. Reclamation will be the Federal Banonis, Bureau of Reclamation, (916) The public record for this investigation lead agency and NMFS, USFWS, and 930–5676 at least 5 working days prior may be viewed on EDIS at http:// the U.S. Army Corps of Engineers, by to the meeting date. edis.usitc.gov. Hearing-impaired virtue of their regulatory review Dated: July 2, 2015. persons are advised that information on requirements, will be cooperating Willie R. Taylor, this matter can be obtained by agencies for the RDEIR/SDEIS. All other Director, Office of Environmental Policy and contacting the Commission’s TDD entities identified as Cooperating Compliance. terminal on (202) 205–1810. Agencies through prior agreements will [FR Doc. 2015–16903 Filed 7–9–15; 8:45 am] SUPPLEMENTARY INFORMATION: Section retain their status for the RDEIR/SDEIS. BILLING CODE 4332–90–P 337 of the Tariff Act of 1930 provides Council on Environmental Quality that if the Commission finds a violation regulations for implementing NEPA (40 it shall exclude the articles concerned CFR 1502.9(c)) do not require any INTERNATIONAL TRADE from the United States: additional scoping for a supplement to COMMISSION unless, after considering the effect of such a Draft EIS, and the lead agencies are exclusion upon the public health and [Investigation No. 337–TA–921] not proposing any scoping process for welfare, competitive conditions in the United this RDEIR/SDEIS in addition to the Marine Sonar Imaging Devices, States economy, the production of like or scoping that has already been done for directly competitive articles in the United Including Downscan and Sidescan the EIR/EIS as described above. States, and United States consumers, it finds Devices, Products Containing the For further background information, that such articles should not be excluded Same, and Components Thereof; from entry. see the December 13, 2013, Federal Notice of Request for Statements on 19 U.S.C. 1337(d)(1). A similar Register notice (78 FR 75939). the Public Interest provision applies to cease and desist Public Disclosure of Comments AGENCY: U.S. International Trade orders. 19 U.S.C. 1337(f)(1). This notice is provided pursuant to Commission. The Commission is interested in NEPA. Reclamation is furnishing this ACTION: Notice. further development of the record on notice to allow other agencies and the the public interest in this investigation. public an opportunity to review and SUMMARY: Notice is hereby given that Accordingly, members of the public are comment on this RDEIR/SDEIS. All the presiding administrative law judge invited to file submissions of no more comments received will become part of has issued a final initial determination than five pages, inclusive of the public record for this action. and recommended determination on attachments, concerning the public Comments on the RDEIR/SDEIS should remedy and bonding in the above- interest in light of the administrative be submitted to the address listed in the captioned investigation. The law judge’s recommended ADDRESSES section of this document. Commission is soliciting comments on determination on remedy and bonding Before including your address, phone public interest issues raised by the issued in this investigation on July 2, number, email address, or other recommended relief, specifically a 2015. Comments should address personal identifying information in your limited exclusion order against certain whether issuance of a limited exclusion comment, you should be aware that marine sonar imaging devices, including order and cease and desist order in this your entire comment—including your downscan and sidescan devices, investigation would affect the public personal identifying information—may products containing the same, and health and welfare in the United States, be made publicly available at any time. components thereof, imported by competitive conditions in the United While you may ask us in your comment respondents Garmin International, Inc., States economy, the production of like to withhold your personal identifying Garmin USA, Inc., each of Olathe, or directly competitive articles in the information from public review, we Kansas, and Garmin (Asia) Corporation United States, or United States cannot guarantee that we will be able to of New Taipei City, Taiwan, and a cease consumers. do so. Comments submitted to the above and desist order against the domestic In particular, the Commission is address will be reviewed and respondents. This notice is soliciting interested in comments that:

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(i) Explain how the articles By order of the Commission. the Office of the Secretary, U.S. potentially subject to the recommended Issued: July 6, 2015. International Trade Commission, orders are used in the United States; Lisa R. Barton, Washington, DC, and by publishing the (ii) identify any public health, safety, Secretary to the Commission. notice in the Federal Register on or welfare concerns in the United States [FR Doc. 2015–16876 Filed 7–9–15; 8:45 am] December 29, 2014 (80 FR 3622, January relating to the recommended orders; BILLING CODE 7020–02–P 23, 2015). The hearing was held in (iii) identify like or directly Washington, DC, on May 14, 2015, and competitive articles that complainant, all persons who requested the its licensees, or third parties make in the INTERNATIONAL TRADE opportunity were permitted to appear in United States which could replace the COMMISSION person or by counsel. subject articles if they were to be The Commission made these excluded; [Investigation Nos. 701–TA–521 and 731– determinations pursuant to sections TA–1252–1255 and 1257 (Final)] (iv) indicate whether complainant, 705(b) and 735(b) of the Tariff Act of complainant’s licensees, and/or third Certain Steel Nails From Korea, 1930 (19 U.S.C. 1671d(b)) and (19 U.S.C. party suppliers have the capacity to Malaysia, Oman, Taiwan, and Vietnam 1673d(b)). It completed and filed its replace the volume of articles determinations in these investigations potentially subject to the recommended Determinations on July 6, 2015. The views of the exclusion order and/or a cease and On the basis of the record 1 developed Commission will be contained in USITC desist order within a commercially in the subject investigations, the United Publication 4541 (July 2015), entitled reasonable time; and States International Trade Commission Certain Steel Nails from Korea, (v) explain how the limited exclusion (‘‘Commission’’) determines, pursuant Malaysia, Oman, Taiwan, and Vietnam: order and cease and desist order would to the Tariff Act of 1930 (‘‘the Act’’), Investigation Nos. 701–TA–521 and impact consumers in the United States. that an industry in the United States is 731–TA–1252–1255 and 1257 (Final). Written submissions must be filed no materially injured by reason of imports By order of the Commission. later than by close of business on of certain steel nails from Korea, Issued: July 6, 2015. August 11, 2015. Persons filing written Malaysia, Oman, Taiwan, and Vietnam, Lisa R. Barton, submissions must file the original provided for in subheadings 7317.00.55, Secretary to the Commission. document electronically on or before the 7317.00.65 and 7317.00.75 of the [FR Doc. 2015–16878 Filed 7–9–15; 8:45 am] deadlines stated above and submit eight Harmonized Tariff Schedule of the true paper copies to the Office of the United States, that have been found by BILLING CODE 7020–02–P Secretary by noon the next day pursuant the Department of Commerce to be sold to section 210.4(f) of the Commission’s in the United States at less than fair Rules of Practice and Procedure (19 CFR value (‘‘LTFV’’), and by reason of DEPARTMENT OF JUSTICE 210.4(f)). Submissions should refer to imports from Vietnam that have been [OMB Number 1105–0094] the investigation number (Inv. No. 337– found by Commerce to be subsidized by TA–908) in a prominent place on the the government of Vietnam. 23 Agency Information Collection cover page, the first page, or both. (See Activities; Proposed eCollection Background Handbook for Electronic Filing eComments Requested; Extension Procedures, http://www.usitc.gov/ The Commission, pursuant to sections With Change, of a Previously secretary/fed_reg_notices/rules/ 705(b) and 735(b) of the Tariff Act of Approved Collection Applications for handbook_on_electronic_filing.pdf). 1930 (19 U.S.C. 1671d(b)) and (19 U.S.C. Special Deputation Persons with questions regarding filing 1673d(b)), instituted these should contact the Secretary at (202) investigations effective May 29, 2014, AGENCY: U.S. Marshals Service, 205–2000. following receipt of a petition filed with Department of Justice. Any person desiring to submit a the Commission and Commerce by Mid ACTION: 60-day notice. document to the Commission in Continent Nail Corporation (Poplar confidence must request confidential Bluff, MO). The Commission scheduled SUMMARY: The Department of Justice treatment. All such requests should be the final phase of the investigations after (DOJ), U.S. Marshals Service, will be directed to the Secretary to the Commerce published preliminary submitting the following information Commission and must include a full determinations that imports of certain collection request to the Office of statement of the reasons why the steel nails from Korea, Malaysia, Oman, Management and Budget (OMB) for Commission should grant such Taiwan, and Vietnam were dumped review and approval in accordance with treatment. See 19 CFR 201.6. Documents within the meaning of 733(b) of the Act the Paperwork Reduction Act of 1995. for which confidential treatment by the (19 U.S.C. 1673b(b)) and that imports of DATES: Comments are encouraged and Commission is properly sought will be certain steel nails from Vietnam were will be accepted for 60 days until treated accordingly. A redacted non- subsidized within the meaning of September 8, 2015. confidential version of the document section 703(b) of the Act (19 U.S.C. FOR FURTHER INFORMATION CONTACT: If must also be filed simultaneously with 1671b(b)). Notice of the scheduling of you have additional comments any confidential filing. All non- the final phase of the Commission’s especially on the estimated public confidential written submissions will be investigations and of a public hearing to burden or associated response time, available for public inspection at the be held in connection therewith was suggestions, or need a copy of the Office of the Secretary and on EDIS. given by posting copies of the notice in proposed information collection This action is taken under the instrument with instructions or authority of section 337 of the Tariff Act 1 The record is defined in section 207.2(f) of the additional information, please contact Commission’s Rules of Practice and Procedure (19 of 1930, as amended (19 U.S.C. 1337), CFR 207.2(f)). Nicole Feuerstein, Publications and of sections 201.10 and 210.50 of the 2 Chairman Meredith M. Broadbent dissenting. Specialist, U.S. Marshals Service, CS–3, Commission’s Rules of Practice and 3 Commissioner F. Scott Kieff did not participate 10th Floor, Washington, DC 20530–0001 Procedure (19 CFR 201.10, 210.50). in these investigations. (phone: 202–307–5168).

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SUPPLEMENTARY INFORMATION: Written 5. An estimate of the total number of Department of Justice, Justice comments and suggestions from the respondents and the amount of time Management Division, Policy and public and affected agencies concerning estimated for an average respondent to Planning Staff, Two Constitution the proposed collection of information respond: It is estimated that 6,000 Square, 145 N Street NE., 3E.405B, are encouraged. Your comments should respondents will complete a 15 minute Washington, DC 20530. address one or more of the following form (Form USM–3A) and 5,500 Dated: July 7, 2015. respondents will complete a 10 minute four points: Jerri Murray, —Evaluate whether the proposed form (Form USM–3C). The following factors were considered when creating Department Clearance Officer for PRA, U.S. collection of information is necessary Department of Justice. for the proper performance of the the burden estimate: Based on testing, it takes an average of 15 minutes between [FR Doc. 2015–16877 Filed 7–9–15; 8:45 am] functions of the Bureau of Justice BILLING CODE 4410–04–P Statistics, including whether the the sponsor/applicant to complete a information will have practical utility; Form USM–3A and 10 minutes to complete a Form USM–3C. The —Evaluate the accuracy of the agency’s estimated range of burden for USM–3A estimate of the burden of the applicants is expected to be between 10 DEPARTMENT OF LABOR proposed collection of information, and 20 minutes for completion. The including the validity of the Employment and Training USM–3C range of burden varies greatly methodology and assumptions used; Administration since it is meant for groups of applicants —Evaluate whether and if so how the for short term operations while the Comment Request for Information quality, utility, and clarity of the USM–3A is for only one applicant. information to be collected can be Collections in the H–2B Temporary Taking that into consideration, we Non-Agricultural Employment-Based enhanced; and estimate that the range of burden for a —Minimize the burden of the collection Visa Program (OMB Control Number USM–3C is between 5 and 15 minutes 1205–0509), Extension of information on those who are to in the most common scenarios of respond, including through the use of between 1 and 10 applicants. USMS AGENCY: Employment and Training appropriate automated, electronic, estimates that approximately 6,000 Administration (ETA), Labor. mechanical, or other technological applicants will complete Form USM–3A ACTION: Notice. collection techniques or other forms and 5,500 applicants will complete of information technology, e.g., Form USM–3C. SUMMARY: The Department of Labor permitting electronic submission of The following factors were considered (DOL), as part of its continuing effort to responses. when created the burden estimate: The reduce paperwork and respondent Overview of this information estimated total number of active task burden, conducts a preclearance collection: force officers, the number of federal consultation program to provide the 1. Type of Information Collection: agencies requesting Special Deputation public and Federal agencies with an Extension of a currently approved and their activity, the number of opportunity to comment on proposed applications processed by the U.S. collection. and/or continuing collections of Marshals Service during the last five 2. The Title of the Form/Collection: information in accordance with the fiscal years by agency, upcoming Applications for Special Deputation. Paperwork Reduction Act of 1995 (44 regularly scheduled National Security 3. The agency form number, if any, U.S.C. 3506(c)(2)(A)). This program Special Events that require large helps ensure that requested data can be and the applicable component of the numbers of Special Deputy U.S. Department sponsoring the collection: provided in the desired format, Marshals, Presidential Inaugurations, reporting burden (time and financial The form numbers are USM–3A and Special Operations, and unforeseen USM–3C. The applicable component resources) is minimized, collection emergencies and natural disasters. instruments are clearly understood, and within the Department of Justice is the 6. An estimate of the total public U.S. Marshals Service. the impact of collection requirements on burden (in hours) associated with the respondents can be properly assessed. 4. Affected public who will be asked collection: The estimated public burden Currently, the Employment and or required to respond, as well as a brief associated with this collection is 2,417 abstract: Primary: Federal government Training Administration (ETA) is hours. It is estimated that applicants soliciting comments concerning the and State/local government. Form will take 15 minutes to complete a Form USM–3A Application for Special information collections in the H–2B USM–3A and 10 minutes to complete a temporary non-agricultural Deputation/Sponsoring Federal Agency Form USM–3C. In order to calculate the Information; Form USM–3C Group employment-based visa program, which public burden for Form USM–3A, includes Form ETA–9142B, H–2B Special Deputation Request. The USMS multiplied 15 by 6,000 and Application for Temporary Employment collection of information for these forms divided by 60 (the number of minutes Certification; Appendix B; Form ETA– is authorized by 28 U.S.C. 562. The in an hour), which equals 1,500 total 9155 H–2B Registration; and the USMS is authorized to deputize selected annual burden hours. In order to Seafood Industry Attestation. These persons to perform the functions of a calculate the public burden for Form forms all expire on October 31, 2015. A Special Deputy U.S. Marshal whenever USM–3C, USMS multiplied 10 by 5,500 copy of the proposed information the law enforcement needs of the USMS and divided by 60 (the number of collection request can be obtained free so require and as designated by the minutes in an hour), which equals 917 of charge by contacting the office listed Associate Attorney General pursuant to total annual burden hours. In sum there below in the addressee section of this 28 CFR 0.19(a)(3). USMS Special are an estimated 2,417 total annual notice. Deputation files serve as a centralized public burden hours associated with record of the special deputations this collection. DATES: Written comments must be granted by the USMS to assist in If additional information is required submitted to the office listed in the tracking, controlling and monitoring the contact: Jerri Murray, Department addresses section below on or before Special Deputation Program. Clearance Officer, United States September 8, 2015.

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ADDRESSES: Submit written comments will comply with all of the terms, Certification; Appendix B; ETA–9155, to Brian Pasternak, National Director of conditions, and obligations of the H–2B H–2B Registration; and Seafood Industry Temporary Programs, Office of Foreign program. Attestation. Labor Certification, Room C–4312, The Form ETA–9155 H–2B Total Annual Respondents: 7,355. Employment & Training Administration, Registration is a new form required by Annual Frequency: On Occasion. U.S. Department of Labor, 200 the regulations that went into effect Total Annual Responses: 184,442. Constitution Avenue NW., Washington, April 29, 2015. Once its use is fully Average Time per Response: 15 DC 20210. Telephone number: 202– implemented, it will allow the minutes. 693–3010 (this is not a toll-free Department to make a preliminary Estimated Total Annual Burden number). Individuals with hearing or determination with respect to an Hours: 47,992. speech impairments may access the employer’s temporary need, and issue to Total Annual Burden Cost for telephone number above via TTY by the employer an H–2B Registration to be Respondents: $3,668,029. calling the toll-free Federal Information used in connection with subsequent Comments submitted in response to Relay Service at 1–877–889–5627 (TTY/ labor certification applications for a this comment request will be TDD). Fax: 202–693–2768. Email: period of up to three consecutive years. summarized and/or included in the [email protected] subject line: Once the ETA–9155 registration form is request for OMB approval of the ICR; ETA–9142B. A copy of the proposed implemented, an H–2B employer will they will also become a matter of public information collection request (ICR) can have to register with the Department record. Commenters are encouraged not be obtained free of charge by contacting prior to submitting its request for labor to submit sensitive information (e.g., the office listed above. certification. confidential business information or SUPPLEMENTARY INFORMATION: The Seafood Industry Attestation is personally identifiable information such an attestation used specifically by I. Background as a social security number). employers in the seafood industry who The information collection is required would like to avail themselves of the Portia Wu, by sections 101(a)(15)(H)(ii)(b) and staggered entry provision for H–2B Assistant Secretary for Employment and 214(c) of the Immigration and workers recently enacted by Congress in Training, Labor. Nationality Act (INA) (8 U.S.C. the Consolidated and Further [FR Doc. 2015–16874 Filed 7–9–15; 8:45 am] 1011(a)(15)(H)(ii)(b) and 1184(c)) and 8 Continuing Appropriations Act of 2015, BILLING CODE 4510–FP–P CFR 214.2(h)(6). Before an employer Public Law 113–235. may petition for any temporary skilled or unskilled foreign workers, it must II. Review Focus NATIONAL AERONAUTICS AND submit a request for certification to the DOL is particularly interested in SPACE ADMINISTRATION Secretary of Labor containing the comments that: elements prescribed by the INA and the • Evaluate whether the proposed [Notice: 15–055] Department of Labor’s (Department) collection of information is necessary NASA Advisory Council; Technology, implementing regulations, which differ for the proper performance of the Innovation, and Engineering depending on the visa program under functions of the agency, including Committee; Meeting which the foreign workers are sought. whether the information will have The H–2B visa program enables practical utility; AGENCY: National Aeronautics and employers to bring nonimmigrant • evaluate the accuracy of the Space Administration. foreign workers to the U.S. to perform agency’s estimate of the burden of the ACTION: Notice of meeting. nonagricultural work of a temporary or proposed collection of information, seasonal nature as defined in 8 U.S.C. including the validity of the SUMMARY: In accordance with the 1101(a)(15)(H)(ii)(b). For purposes of the methodology and assumptions used; Federal Advisory Committee Act, Public H–2B program, the INA and governing • enhance the quality, utility, and Law 92–463, as amended, the National federal regulations require the Secretary clarity of the information to be Aeronautics and Space Administration of Labor to certify, among other things, collected; and (NASA) announces a meeting of the that any foreign worker seeking to enter • minimize the burden of the Technology, Innovation and the United States on a temporary basis collection of information on those who Engineering (TI&E) Committee of the for the purpose of performing non- are to respond, including through the NASA Advisory Council (NAC). This agricultural services or labor will not, by use of appropriate automated, Committee reports to the NAC. This doing so, adversely affect wages and electronic, mechanical, or other meeting will include a joint session working conditions of U.S. workers who technological collection techniques or with the NAC Human Exploration and are similarly employed. In addition, the other forms of information technology, Operations (HEO) Committee. Secretary must certify that qualified e.g., permitting electronic submissions DATES: Monday, July 27, 2015, 12:00 U.S. workers are not available to of responses. p.m.–5:30 p.m., Local Time; and perform such temporary labor or Tuesday, July 28, 2015, 8:00 a.m.–2:00 services. (8 CFR 214.2(h)(6)(i)(A), III. Current Actions p.m., Local Time. (iii)(A).) Type of Review: Extension. The Form ETA–9142B H–2B Title: H–2B Temporary ADDRESSES: Jet Propulsion Laboratory, Application for Temporary Employment Nonagriculrural Employment Building 180, Room 101, 4800 Oak Certification is used to collect Certification Program. Grove Drive, Pasadena, CA 91019. Note: information to permit the Department to OMB Number: 1205–0509. Meeting location for the joint session meet its statutory responsibilities for Affected Public: Individuals or with the NAC HEO Committee will be administering the H–2B nonimmigrant Households, Private Sector—businesses Building 186, Von Ka´rma´n Auditorium, temporary non-agricultural or other for profits, Government, State, from 1:00 p.m.–5:30 p.m., Local Time, employment-based visa program. Local and Tribal Governments. on July 27. Appendix B of the Form ETA–9142B is Form(s): ETA–9142B, H–2B FOR FURTHER INFORMATION CONTACT: Mr. used by employers to attest that they Application for Temporary Employment Mike Green, Executive Secretary for the

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NAC TI&E Committee, Space with driver’s licenses issued from non- FOR FURTHER INFORMATION CONTACT: Ms. Technology Mission Directorate, NASA compliant states/territories must present Brenda L. Mulac, Executive Secretary Headquarters, Washington, DC 20546, a second form of identification: [Federal for the NAC Aeronautics Committee, phone number 202–358–4710, or employee badge; passport; active NASA Headquarters, Washington, DC [email protected]. military identification card; enhanced 20546, phone number 202–358–1578, or SUPPLEMENTARY INFORMATION: The driver’s license; U.S. Coast Guard [email protected]. Merchant Mariner card; Native meeting will be open to the public up SUPPLEMENTARY INFORMATION: The to the seating capacity of the room. This American tribal document; school identification accompanied by an item meeting will be open to the public up meeting is also available telephonically to the seating capacity of the room. This and by WebEx. You must use a touch from LIST C (documents that establish employment authorization) from the meeting is also available telephonically tone phone to participate in this and by WebEx. You must use a touch- meeting. Any interested person may call ‘‘List of the Acceptable Documents’’ on Form I–9]. Non-compliant states/ tone phone to participate in this the USA toll-free conference call meeting. Any person interested in number 1–844–467–6272, passcode territories are: American Samoa, Arizona, Idaho, Louisiana, Maine, participating in the meeting by 102421, to participate in this meeting by telephone and WebEx should contact telephone. The WebEx link is https:// Minnesota, New Hampshire, and New Ms. Brenda L. Mulac at 202–358–1578 nasa.webex.com/, the meeting number York. Individuals without proper for the web link, toll-free number and is 999 142 659, and the password is identification will not be admitted to passcode. The agenda for the meeting Technology15%. The joint meeting with the JPL. Members of the public includes the following topics: the NAC HEO Committee will use the interested in attending this meeting USA toll-free conference call number 1– must contact Ms. Helen N. Paley of JPL • Shadow Mode Assessment of Realistic 888–455–6733 or toll number 1–210– at phone number 818–354–6427 or Technologies for the National 839–8935. The numeric participant [email protected] to receive a Airspace System (SMART–NAS) for passcode is 3453695. The WebEx link is listing of the information required prior Safe Trajectory Based Operations https://nasa.webex.com, the meeting to admittance to JPL. Completed (TBO) number is 999 635 873, and the information spreadsheet must be • emailed to Ms. Paley by no later than National Research Council (NRC) Low password is Exploration@2015 (case Carbon Study sensitive). Friday, July 17, 2015. It is imperative • The agenda for the NAC TI&E that this meeting be held on these dates Global Air Traffic Management Committee meeting includes the to accommodate the scheduling Attendees will be required sign a following topics: priorities of the key participants. register and to comply with Jet —Space Technology Mission Directorate Patricia D. Rausch, Propulsion Laboratory (JPL) security Update Advisory Committee Management Officer, requirements including presentation of —Remarks by Jet Propulsion Laboratory National Aeronautics and Space a valid picture ID (such as a driver’s Center Director Administration. license for U.S. Citizens; Permanent —Briefing on Impacts of Space [FR Doc. 2015–16828 Filed 7–9–15; 8:45 am] Resident green card; or passport/visa for Technology Mission Directorate BILLING CODE 7510–13–P non-U.S. Citizens) before receiving Budget Reductions on Major Projects admittance to JPL. Due to the Real ID —Update on Low Density Supersonic Act, Public Law 109–13, any attendees Decelerator Project NATIONAL AERONAUTICS AND with driver’s licenses issued from non- —Update on Deep Space Atomic Clock SPACE ADMINISTRATION compliant states/territories must present a second form of identification: [Federal Project [Notice: (15–052)] —Update on Deep Space Optical employee badge; passport; active Communications Project NASA Advisory Council; Aeronautics military identification card; enhanced —Office of the Chief Technologist Committee Meeting driver’s license; U.S. Coast Guard Update Merchant Mariner card; Native AGENCY: National Aeronautics and American tribal document; school The joint session with the NAC HEO Space Administration. identification accompanied by an item Committee includes the following ACTION: Notice of meeting. from LIST C (documents that establish topics: employment authorization) from the SUMMARY: —Overview of Space Technology In accordance with the ‘‘List of the Acceptable Documents’’ on Program Federal Advisory Committee Act, Public Form I–9]. Non-compliant states/ —Briefing of Evolvable Mars Strategy Law 92–463, as amended, the National territories are: American Samoa, and HEO Technology Development Aeronautics and Space Administration Arizona, Idaho, Louisiana, Maine, Efforts announces a meeting of the Aeronautics Minnesota, New Hampshire, and New —Overview of Hydrocarbon Engine Committee of the NASA Advisory York. Individuals without proper Activities Council (NAC). This Committee reports identification will not be admitted to —Overview of NASA Launch Services to the NAC. The meeting will be held the JPL. Members of the public Attendees will be required sign a for the purpose of soliciting, from the interested in attending this meeting register and to comply with Jet aeronautics community and other must contact Ms. Helen N. Paley of JPL Propulsion Laboratory (JPL) security persons, research and technical at phone number 818–354–6427 or requirements including presentation of information relevant to program [email protected] to receive a a valid picture ID (such as a driver’s planning. listing of the information required prior license for U.S. Citizens; Permanent DATES: Tuesday, July 28, 2015, 9:00 to admittance to JPL. Completed Resident green card; or passport/visa for a.m.–5:00 p.m., Local Time. information spreadsheet must be non-U.S. Citizens) before receiving ADDRESSES: Jet Propulsion Laboratory, emailed to Ms. Paley by no later than admittance to JPL. Due to the Real ID Building 180, Room 703C, 4800 Oak Friday, July 17, 2015. It is imperative Act, Public Law 109–13, any attendees Grove Drive, Pasadena, CA 91109. that this meeting be held on these dates

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to accommodate the scheduling —Planetary Protection announces a meeting of the Institutional priorities of the key participants. —Science Mission Directorate Division Committee of the NASA Advisory Director Briefings Council (NAC). This committee reports Patricia D. Rausch, —Subcommittee Reports to the NAC. Advisory Committee Management Officer, National Aeronautics and Space Attendees will be required sign a DATES: Tuesday, July 28, 2015, 8:30 Administration. register and to comply with Jet a.m.–5:45 p.m., Local Time; and [FR Doc. 2015–16825 Filed 7–9–15; 8:45 am] Propulsion Laboratory (JPL) security Wednesday, July 29, 2015, 8:00 a.m.– requirements including presentation of BILLING CODE 7510–13–P 10:00 a.m., Local Time. a valid picture ID (such as a driver’s ADDRESSES: Jet Propulsion Laboratory, license for U.S. Citizens; Permanent Building 183, Room 328, 4800 Oak NATIONAL AERONAUTICS AND Resident green card; or passport/visa for Grove Drive, Pasadena, CA 91109. non-U.S. Citizens) before receiving SPACE ADMINISTRATION FOR FURTHER INFORMATION CONTACT: Mr. admittance to JPL. Due to the Real ID Todd Mullins, Executive Secretary for [Notice: 15–056] Act, Public Law 109–13, any attendees the NAC Institutional Committee, NASA with driver’s licenses issued from non- NASA Advisory Council; Science Headquarters, Washington, DC 20546, compliant states/territories must present Committee; Meeting phone number 202–358–3831, or a second form of identification: [Federal [email protected]. AGENCY: National Aeronautics and employee badge; passport; active Space Administration. military identification card; enhanced SUPPLEMENTARY INFORMATION: The ACTION: Notice of meeting. driver’s license; U.S. Coast Guard meeting will be open to the public up Merchant Mariner card; Native to the seating capacity of the room. This SUMMARY: In accordance with the American tribal document; school meeting is also available telephonically Federal Advisory Committee Act, Pub. identification accompanied by an item and by WebEx. You must use a touch L. 92–463, as amended, the National from LIST C (documents that establish tone phone to participate in this Aeronautics and Space Administration employment authorization) from the meeting Any interested person may dial (NASA) announces a meeting of the ‘‘List of the Acceptable Documents’’ on the toll free access number 844–467– Science Committee of the NASA Form I–9]. Non-compliant states/ 6272 or toll access number 720–259– Advisory Council (NAC). This territories are: American Samoa, 6462, and then the numeric participant Committee reports to the NAC. The Arizona, Idaho, Louisiana, Maine, passcode: 180093 followed by the # meeting will be held for the purpose of Minnesota, New Hampshire, and New sign. To join via WebEx on July 28, the soliciting, from the scientific York. Individuals without proper link is https://nasa.webex.com/, the community and other persons, scientific identification will not be admitted to meeting number is 993 032 544 and the and technical information relevant to the JPL. Members of the public password is Meeting2015! (Password is program planning. interested in attending this meeting case sensitive.) To join via WebEx on DATES: Monday, July 27, 2015, 9:30 a.m. must contact Ms. Helen N. Paley of JPL July 29, the link is https:// to 5:00 p.m., Local Time; Tuesday, July at phone number 818–354–6427 or nasa.webex.com/, the meeting number 28, 2015, 8:00 a.m. to 1:00 p.m.; Local [email protected] to receive a is 998 221 846 and the password is Time; and Wednesday, July 29, 2015, listing of the information required prior Meeting2015! (Password is case 8:00 a.m. to 9:45 a.m., Local Time. to admittance to JPL. Completed sensitive.) NOTE: If dialing in, please ADDRESSES: Jet Propulsion Laboratory, information spreadsheet must be ‘‘mute’’ your telephone. The agenda for Building 167, Special Events Room emailed to Ms. Paley by no later than the meeting will include the following: (SER), 4800 Oak Grove Drive, Pasadena, Friday, July 17, 2015. It is imperative —Business Services Assessment Status CA 91011. that this meeting be held on these dates —IT Security Status FOR FURTHER INFORMATION CONTACT: Ms. to accommodate the scheduling —Jet Propulsion Laboratory—NASA Ann Delo, Science Mission Directorate, priorities of the key participants. Management Office Overview NASA Headquarters, Washington, DC —Committee Discussion Patricia D. Rausch, 20546, (202) 358–0750, fax (202) 358– Attendees will be required sign a 2779, or [email protected]. Advisory Committee Management Officer, National Aeronautics and Space register and to comply with Jet SUPPLEMENTARY INFORMATION: The Administration. Propulsion Laboratory (JPL) security meeting will be open to the public up [FR Doc. 2015–16916 Filed 7–9–15; 8:45 am] requirements including presentation of to the capacity of the room. The meeting a valid picture ID (such as a driver’s BILLING CODE 7510–13–P will also be available telephonically and license for U.S. Citizens; Permanent by WebEx. You must use a touch-tone Resident green card; or passport/visa for phone to participate in this meeting. NATIONAL AERONAUTICS AND non-U.S. Citizens) before receiving Any interested person may dial the USA SPACE ADMINISTRATION admittance to JPL. Due to the Real ID toll free conference call number 1–800– Act, Public Law 109–13, any attendees 988–9663, passcode 8015, to participate [Notice: (15–053)] with driver’s licenses issued from non- in this meeting by telephone on all three compliant states/territories must present NASA Advisory Council; Institutional days. A toll number also is available, 1– a second form of identification: [Federal Committee; Meeting 517–308–9483, passcode 8015, for all employee badge; passport; active three days. The WebEx link is https:// AGENCY: National Aeronautics and military identification card; enhanced nasa.webex.com/; the meeting number Space Administration. driver’s license; U.S. Coast Guard is 991 957 517 and the password is ACTION: Notice of Meeting. Merchant Mariner card; Native Science@July2015 for all three days. The American tribal document; school agenda for the meeting includes the SUMMARY: In accordance with the identification accompanied by an item following topics: Federal Advisory Committee Act, Public from LIST C (documents that establish —Pluto Close Approach by New Law 92–463, as amended, the National employment authorization) from the Horizons Aeronautics and Space Administration ‘‘List of the Acceptable Documents’’ on

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Form I–9]. Non-compliant states/ and by WebEx. You must use a touch [email protected] to receive a territories are: American Samoa, tone phone to participate in this listing of the information required prior Arizona, Idaho, Louisiana, Maine, meeting. Any interested person may dial to admittance to JPL. Completed Minnesota, New Hampshire, and New the USA toll-free conference call information spreadsheet must be York. Individuals without proper number 1–888–455–6733 or toll number emailed to Ms. Paley by no later than identification will not be admitted to 1–210–839–8935, and then the numeric Friday, July 17, 2015. It is imperative the JPL. Members of the public participant passcode 3453695, to that this meeting be held on these dates interested in attending this meeting participate in this meeting by telephone. to accommodate the scheduling must contact Ms. Helen N. Paley of JPL The WebEx link is https:// priorities of the key participants. at phone number 818–354–6427 or nasa.webex.com/, the meeting number Patricia D. Rausch, [email protected] to receive a is 999 635 873, and the password is Advisory Committee Management Officer, listing of the information required prior Exploration@2015 (case sensitive). National Aeronautics and Space to admittance to JPL. Completed The agenda for the meeting includes Administration. information spreadsheet must be the following topics: [FR Doc. 2015–16827 Filed 7–9–15; 8:45 am] emailed to Ms. Paley by no later than —Status of the NASA Human BILLING CODE 7510–13–P Friday, July 17, 2015. It is imperative Exploration and Operations Mission that this meeting be held on these dates Directorate to accommodate the scheduling —Jet Propulsion Laboratory Study of THE NATIONAL FOUNDATION ON THE priorities of the key participants. Humans to Mars ARTS AND THE HUMANITIES Patricia D. Rausch, —Joint Session with NAC Technology, Innovation, and Engineering Advisory Committee Management Officer, Institute of Museum and Library National Aeronautics and Space Committee Services Administration. —Overview of Space Technology Program Notice of Proposed Information [FR Doc. 2015–16826 Filed 7–9–15; 8:45 am] —Briefing of Evolvable Mars Strategy Collection Requests; Museum BILLING CODE 7510–13–P and HEO Technology Development Assessment Program Evaluation Efforts AGENCY: Institute of Museum and —Overview of Hydrocarbon Engine NATIONAL AERONAUTICS AND Library Services, National Foundation Activities SPACE ADMINISTRATION on the Arts and the Humanities. —Overview of NASA Launch Services [Notice: (15–054)] —Communications Strategy ACTION: Notice, request for comments, —Exploration Systems Development collection of information. NASA Advisory Council; Human Status SUMMARY: The Institute of Museum and Exploration and Operations —Asteroid Redirect Mission Status Committee; Meeting Library Services (IMLS), as part of its —Commercial Crew Program Status continuing effort to reduce paperwork AGENCY: National Aeronautics and —International Space Station Status and respondent burden, conducts a pre- Space Administration. Attendees will be required sign a clearance consultation program to ACTION: Notice of meeting. register and to comply with Jet provide the general public and federal Propulsion Laboratory (JPL) security agencies with an opportunity to SUMMARY: In accordance with the requirements including presentation of comment on proposed and/or Federal Advisory Committee Act, Public a valid picture ID (such as a driver’s continuing collections of information in Law 92–463, as amended, the National license for U.S. Citizens; Permanent accordance with the Paperwork Aeronautics and Space Administration Resident green card; or passport/visa for Reduction Act (44 U.S.C. 35). This pre- (NASA) announces a meeting of the non-U.S. Citizens) before receiving clearance consultation program helps to Human Exploration and Operations admittance to JPL. Due to the Real ID ensure that requested data can be (HEO) Committee of the NASA Act, Public Law 109–13, any attendees provided in the desired format, Advisory Council (NAC). This with driver’s licenses issued from non- reporting burden (time and financial Committee reports to the NAC. compliant states/territories must present resources) is minimized, collection DATES: Monday, July 27, 2015, 10:00 a second form of identification: [Federal instruments are clearly understood, and a.m.–5:30 p.m., Local Time; and ; employee badge; passport; active the impact of collection requirements on Tuesday, July 28, 2015, 8:00 a.m.–5:30 military identification card; enhanced respondents can be properly assessed. p.m., Local Time. driver’s license; U.S. Coast Guard By this notice, IMLS is soliciting ADDRESSES: Jet Propulsion Laboratory, Merchant Mariner card; Native comments concerning a proposed Building 186, Von Ka´rma´n Auditorium, American tribal document; school survey to collect information to monitor 4800 Oak Grove Drive, Pasadena, CA identification accompanied by an item the use, expectations, of and satisfaction 91109. from LIST C (documents that establish with cultural programs and services, employment authorization) from the particularly library and museum FOR FURTHER INFORMATION CONTACT: Dr. ‘‘List of the Acceptable Documents’’ on services. Bette Siegel, Executive Secretary for the Form I–9]. Non-compliant states/ A copy of the proposed information NAC HEO Committee, Human territories are: American Samoa, collection request can be obtained by Exploration and Operations Mission Arizona, Idaho, Louisiana, Maine, contacting the individual listed below Directorate, NASA Headquarters, Minnesota, New Hampshire, and New in the ADDRESSES section of this notice. Washington, DC 20546, phone number York. Individuals without proper DATES: Written comments must be 202–358–2245, or [email protected]. identification will not be admitted to submitted to the office listed in the SUPPLEMENTARY INFORMATION: The the JPL. Members of the public addressee section below on or before meeting will be open to the public up interested in attending this meeting September 8, 2015. to the seating capacity of the room. This must contact Ms. Helen N. Paley of JPL IMLS is particularly interested in meeting is also available telephonically at phone number 818–354–6427 or comments that help the agency to:

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• Evaluate whether the proposed Program (MAP) on participating be reached by Telephone: 202–653– collection of information is necessary museums and the museum field at large. 4685, Fax: 202–653–4608, or by email at for the proper performance of the The survey will be used to measure the [email protected], or by teletype (TTY/ functions of the agency, including degree to which the program is meeting TDD) at 202–653–4614. Office hours are whether the information will have the needs and building the institutional from 8:30 a.m. to 5 p.m., E.T., Monday practical utility; capacity of individual museums, and its through Friday, except Federal holidays. • Evaluate the accuracy of the overall impact on the museum field Dated: July 6, 2015. agency’s estimate of the burden of the nationwide. Methods will include web Kim Miller, proposed collection of information surveys, telephone interviews, and Management Analyst. including the validity of the focus group meetings. methodology and assumptions used; The web survey will consist of [FR Doc. 2015–16845 Filed 7–9–15; 8:45 am] • Enhance the quality, utility, and approximately 40 questions that will BILLING CODE 7036–01–P clarity of the information to be examine the participating museums’ collected; and experience with the MAP program and • Minimize the burden of the the subsequent changes in its operations PENSION BENEFIT GUARANTY collection of information on those who that can be attributed to the program, as CORPORATION are to respond, including through the well as basic institutional profile use of appropriate automated electronic, information. The web survey will Proposed Submission of Information mechanical, or other technological require an average of 60 minutes to Collection for OMB Review; Comment collection techniques, or other forms of complete. The telephone interview Request; Qualified Domestic Relations information technology, e.g., permitting guide will be organized into Orders Submitted to PBGC electronic submissions of responses. approximately four sections (e.g. AGENCY: Pension Benefit Guaranty ADDRESSES: Send comments to: institutional changes resulting from Corporation. Christopher J. Reich, Senior Advisor, MAP participation; funding; ACTION: Notice of intent to request Institute of Museum and Library professionalization; and future extension of OMB approval. Services, 1800 M St. NW., 9th Floor, expectations) and is projected to average Washington, DC 20036. Mr. Reich can 30 minutes to complete. Focus groups SUMMARY: The Pension Benefit Guaranty be reached by Telephone: 202–653– will be organized to generate shared Corporation (PBGC) intends to request 4685, Fax: 202–653–4608, or by email at experiences and discussion relating to that the Office of Management and [email protected], or by teletype (TTY/ overall impact on the museum field at Budget (OMB) extend its approval, TDD) at 202–653–4614. large. No more than six focus groups under the Paperwork Reduction Act, of the information collection related to SUPPLEMENTARY INFORMATION: will be organized, each involving 10–12 persons for a period of approximately PBGC’s booklet, Qualified Domestic I. Background one hour. Relations Orders & PBGC. The booklet The Institute of Museum and Library Agency: Institute of Museum and provides guidance on how to submit a Services is the primary source of federal Library Services. qualified domestic relations order to support for the Nation’s 123,000 Title: Museum Assessment Program PBGC. This notice informs the public of libraries and 35,000 museums. The Evaluation. PBGC’s intent and solicits public Institute’s mission is to inspire libraries OMB Number: To Be Determined. comment on the collection of and museums to advance innovation, Frequency: Anticipated for Every Five information. learning, and civic engagement. The Years. DATES: Comments must be submitted by Institute works at the national level and Affected Public: The target population September 8, 2015. is museums that have participated in in coordination with state and local ADDRESSES: Comments may be the Museum Assessment Program organizations to sustain heritage, submitted by any of the following during the past five years, all of which culture, and knowledge; enhance methods: learning and innovation; and support are located in the United States. • Federal eRulemaking Portal: http:// professional development. IMLS is Number of Respondents: 132. www.regulations.gov. Follow the Web responsible for identifying national Estimated Average Burden per site instructions for submitting needs for and trends in museum, Response: The burden per respondent is comments. library, and information services; estimated to be an average of one hour • Email: paperwork.comments@ measuring and reporting on the impact for the web survey, 30 minutes for the pbgc.gov. and effectiveness of museum, library telephone interview and one hour for • Fax: 202–326–4224. and information services throughout the the focus groups. • Mail or Hand Delivery: Office of United States, including programs Estimated Total Annual Burden: 132 General Counsel, Pension Benefit conducted with funds made available by hours. Guaranty Corporation, 1200 K Street IMLS; identifying, and disseminating Total Annualized capital/startup NW., Washington, DC 20005–4026. information on, the best practices of costs: n/a. PBGC will make all comments such programs; and developing plans to Total Annual costs: To be determined. available on its Web site at improve museum, library, and Public Comments Invited: Comments www.pbgc.gov. information services of the United submitted in response to this notice will Copies of the collection of States and strengthen national, State, be summarized and/or included in the information may be obtained without local, regional, and international request for OMB’s clearance of this charge by writing to the Disclosure communications and cooperative information collection. Division of the Office of the General networks (20 U.S.C. 72, 20 U.S.C. 9108). FOR FURTHER INFORMATION CONTACT: Counsel of PBGC at the above address Christopher J. Reich, Senior Advisor, or by visiting that office or calling 202– II. Current Actions Institute of Museum and Library 326–4040 during normal business The purpose of this survey is to gauge Services, 1800 M St. NW., 9th Floor, hours. (TTY and TDD users may call the the effect of the Museum Assessment Washington, DC 20036. Mr. Reich can Federal relay service toll-free at 1–800–

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877–8339 and ask to be connected to 1,200 domestic relations orders each FOR FURTHER INFORMATION CONTACT: 202–326–4040.) The regulations relating year from prospective alternate payees David A. Trissell, General Counsel, at to this collection of information are and participants. PBGC further 202–789–6820. available on PBGC’s Web site at estimates that the total average annual SUPPLEMENTARY INFORMATION: www.pbgc.gov. burden of this collection of information Table of Contents FOR FURTHER INFORMATION CONTACT: Jo will be approximately 2,100 hours and Amato Burns, Attorney, or Catherine B. $350,000. I. Introduction Klion, Assistant General Counsel, Office PBGC is soliciting public comments II. Notice of Commission Action to— III. Ordering Paragraphs of the General Counsel, Pension Benefit • Guaranty Corporation, 1200 K Street Evaluate whether the collection of I. Introduction information is necessary for the proper NW., Washington, DC 20005–4026, 202– In accordance with 39 U.S.C. 3642 326–4223. (For TTY and TDD, call 800– performance of the functions of the agency, including whether the and 39 CFR 3020.30 et seq., the Postal 877–8339 and ask to be connected to Service filed a formal request and 202–326–4223.) information will have practical utility; • Evaluate the accuracy of the associated supporting information to SUPPLEMENTARY INFORMATION: A defined agency’s estimate of the burden of the add Priority Mail Contract 129 to the benefit pension plan that does not have 1 proposed collections of information, competitive product list. enough money to pay benefits may be including the validity of the The Postal Service terminated if the employer responsible methodologies and assumptions used; contemporaneously filed a redacted for the plan faces severe financial • Enhance the quality, utility, and contract related to the proposed new difficulty, such as bankruptcy, and is clarity of the information to be product under 39 U.S.C. 3632(b)(3) and unable to maintain the plan. In such an collected; and 39 CFR 3015.5. Id. Attachment B. event, PBGC becomes trustee of the plan • Minimize the burden of the To support its Request, the Postal and pays benefits, subject to legal limits, collections of information on those who Service filed a copy of the contract, a to plan participants and beneficiaries. are to respond, including through the copy of the Governors’ Decision The benefits of a pension plan authorizing the product, proposed participant generally may not be use of appropriate automated, electronic, mechanical, or other changes to the Mail Classification assigned or alienated. Title I of ERISA Schedule, a Statement of Supporting provides an exception for domestic technological collection techniques or other forms of information technology, Justification, a certification of relations orders that relate to child compliance with 39 U.S.C. 3633(a), and support, alimony payments, or marital e.g., permitting electronic submission of responses. an application for non-public treatment property rights of an alternate payee (a of certain materials. It also filed spouse, former spouse, child, or other Issued in Washington, DC, this 6th day of supporting financial workpapers. dependent of a plan participant). The July 2015. exception applies only if the domestic Judith Starr, II. Notice of Commission Action relations order meets specific legal General Counsel, Pension Benefit Guaranty The Commission establishes Docket requirements that make it a qualified Corporation. Nos. MC2015–62 and CP2015–93 to domestic relations order (QDRO). [FR Doc. 2015–16929 Filed 7–9–15; 8:45 am] consider the Request pertaining to the When PBGC is trustee of a plan, it BILLING CODE 7709–02–P proposed Priority Mail Contract 129 reviews submitted domestic relations product and the related contract, orders to determine whether the order is respectively. qualified before paying benefits to an POSTAL REGULATORY COMMISSION The Commission invites comments on alternate payee. The requirements for whether the Postal Service’s filings in submitting a domestic relations order [Docket Nos. MC2015–62 and CP2015–93; the captioned dockets are consistent and the contents of such orders are Order No. 2563] with the policies of 39 U.S.C. 3632, established by statute. The models and 3633, or 3642, 39 CFR part 3015, and 39 the guidance provided by PBGC assist New Postal Product CFR part 3020, subpart B. Comments are parties by making it easier for them to AGENCY: Postal Regulatory Commission. due no later than July 13, 2015. The comply with ERISA’s QDRO public portions of these filings can be ACTION: Notice. requirements in plans trusteed by PBGC; accessed via the Commission’s Web site they do not create any additional SUMMARY: The Commission is noticing a (http://www.prc.gov). requirements and result in a reduction recent Postal Service filing concerning The Commission appoints Cassie of the statutory burden. the addition of Priority Mail Contract D’Souza to serve as Public OMB has approved the collection of 129 to the competitive product list. This Representative in these dockets. information in PBGC’s booklet, notice informs the public of the filing, III. Ordering Paragraphs Qualified Domestic Relations Orders & invites public comment, and takes other It is ordered: PBGC under control number 1212–0054 administrative steps. through October 31, 2015. PBGC intends 1. The Commission establishes Docket DATES: Comments are due: July 13, to request that OMB extend approval of Nos. MC2015–62 and CP2015–93 to 2015. the collection of information for three consider the matters raised in each years. An agency may not conduct or ADDRESSES: Submit comments docket. sponsor, and a person is not required to electronically via the Commission’s 2. Pursuant to 39 U.S.C. 505, Cassie respond to, a collection of information Filing Online system at http:// D’Souza is appointed to serve as an unless it displays a currently valid OMB www.prc.gov. Those who cannot submit officer of the Commission to represent control number. comments electronically should contact PBGC is not proposing any the person identified in the FOR FURTHER 1 Request of the United States Postal Service to INFORMATION CONTACT Add Priority Mail Contract 129 to Competitive substantive changes to the booklet. section by Product List and Notice of Filing (Under Seal) of PBGC estimates that over the next telephone for advice on filing Unredacted Governors’ Decision, Contract, and three years it will receive approximately alternatives. Supporting Data, July 2, 2015 (Request).

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the interests of the general public in financial information under seal. The public of the filing, invites public these proceedings (Public Postal Service seeks to incorporate by comment, and takes other Representative). reference the Application for Non- administrative steps. 3. Comments are due no later than Public Treatment originally filed in this DATES: Comments are due: July 13, July 13, 2015. docket for the protection of information 2015. 4. The Secretary shall arrange for that it has filed under seal. Id. at 1. ADDRESSES: publication of this order in the Federal The Amendment replaces the rate Submit comments Register. table in section I.F. of the contract. Id., electronically via the Commission’s Filing Online system at http:// By the Commission. Attachment A at 1. www.prc.gov. Those who cannot submit Shoshana M. Grove, The Postal Service intends for the Amendment to become effective one comments electronically should contact Secretary. the person identified in the FOR FURTHER [FR Doc. 2015–16833 Filed 7–9–15; 8:45 am] business day after the date that the Commission completes its review of the INFORMATION CONTACT section by BILLING CODE 7710–FW–P Notice. Id. telephone for advice on filing alternatives. II. Notice of Filings POSTAL REGULATORY COMMISSION FOR FURTHER INFORMATION CONTACT: The Commission invites comments on David A. Trissell, General Counsel, at [Docket No. CP2013–74; Order No. 2566] whether the changes presented in the 202–789–6820. Postal Service’s Notice are consistent New Postal Product SUPPLEMENTARY INFORMATION: with the policies of 39 U.S.C. 3632, AGENCY: Postal Regulatory Commission. 3633, or 3642, 39 CFR 3015.5, and 39 Table of Contents ACTION: Notice. CFR part 3020, subpart B. Comments are II. Notice of Filings due no later than July 13, 2015. The III. Ordering Paragraphs SUMMARY: The Commission is noticing a public portions of these filings can be I. Introduction recent Postal Service filing concerning accessed via the Commission’s Web site an amendment to the existing Priority (http://www.prc.gov). On July 2, 2015, the Postal Service Mail Contract 62 negotiated service The Commission appoints Curtis E. filed notice that it has agreed to an agreement. This notice informs the Kidd to represent the interests of the Amendment to the existing Priority Mail public of the filing, invites public general public (Public Representative) Contract 88 negotiated service comment, and takes other in this docket. agreement approved in this docket.1 In administrative steps. support of its Notice, the Postal Service DATES: Comments are due: July 13, III. Ordering Paragraphs includes a redacted copy of the 2015. It is ordered: Amendment. ADDRESSES: Submit comments 1. The Commission reopens Docket The Postal Service also filed the electronically via the Commission’s No. CP2013–74 for consideration of unredacted Amendment under seal. The Filing Online system at http:// matters raised by the Postal Service’s Postal Service seeks to incorporate by www.prc.gov. Those who cannot submit Notice. reference the Application for Non- comments electronically should contact 2. Pursuant to 39 U.S.C. 505, the Public Treatment originally filed in this the person identified in the FOR FURTHER Commission appoints Curtis E. Kidd to docket for the protection of information INFORMATION CONTACT section by serve as an officer of the Commission that it has filed under seal. Id. telephone for advice on filing (Public Representative) to represent the The Amendment changes terms of alternatives. interests of the general public in this applicability for Priority Mail shipments proceeding. under the contract. FOR FURTHER INFORMATION CONTACT: 3. Comments are due no later than The Postal Service intends for the David A. Trissell, General Counsel, at July 13, 2015. Amendment to become effective one 202–789–6820. 4. The Secretary shall arrange for business day after the date that the SUPPLEMENTARY INFORMATION: publication of this order in the Federal Commission completes its review of the Table of Contents Register. Notice. Id. The Postal Service asserts that the Amendment will not impair the I. Introduction By the Commission. ability of the contract to comply with 39 II. Notice of Filings Shoshana M. Grove, U.S.C. 3633. Id. III. Ordering Paragraphs Secretary. I. Introduction [FR Doc. 2015–16843 Filed 7–9–15; 8:45 am] II. Notice of Filings On June 23, 2015, the Postal Service BILLING CODE 7710–FW–P The Commission invites comments on filed notice that it has agreed to an whether the changes presented in the Amendment to the existing Priority Mail Postal Service’s Notice are consistent POSTAL REGULATORY COMMISSION Contract 62 negotiated service with the policies of 39 U.S.C. 3632, agreement approved in this docket.1 In [Docket No. CP2014–63; Order No. 2565] 3633, or 3642, 39 CFR 3015.5, and 39 support of its Notice, the Postal Service CFR part 3020, subpart B. Comments are includes a redacted copy of the New Postal Product due no later than July 13, 2015. The Amendment and a certification of public portions of these filings can be AGENCY: Postal Regulatory Commission. compliance with 39 U.S.C. 3633(a), as accessed via the Commission’s Web site required by 39 CFR 3015.5. ACTION: Notice. (http://www.prc.gov). The Postal Service also filed the The Commission appoints Curtis E. SUMMARY: unredacted Amendment and supporting The Commission is noticing a Kidd to represent the interests of the recent Postal Service filing concerning 1 Notice of United States Postal Service of Change an amendment to the existing Priority 1 Notice of United States Postal Service of in Prices Pursuant to Amendment to Priority Mail Mail Contract 88 negotiated service Amendment to Priority Mail Contract 88, with Contract 62, June 23, 2015 (Notice). agreement. This notice informs the Portions Filed Under Seal, July 2, 2015 (Notice).

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general public (Public Representative) Service filed a formal request and By the Commission. in this docket. associated supporting information to Shoshana M. Grove, add Priority Mail & First-Class Package III. Ordering Paragraphs Secretary. Service Contract 6 to the competitive [FR Doc. 2015–16926 Filed 7–9–15; 8:45 am] It is ordered: product list.1 1. The Commission reopens Docket BILLING CODE 7710–FW–P The Postal Service No. CP2014–63 for consideration of contemporaneously filed a redacted matters raised by the Postal Service’s contract related to the proposed new POSTAL REGULATORY COMMISSION Notice. product under 39 U.S.C. 3632(b)(3) and 2. Pursuant to 39 U.S.C. 505, the [Docket Nos. MC2015–61 and CP2015–92; 39 CFR 3015.5. Id. Attachment B. Commission appoints Curtis E. Kidd to Order No. 2564] serve as an officer of the Commission To support its Request, the Postal New Postal Product (Public Representative) to represent the Service filed a copy of the contract, a interests of the general public in this copy of the Governors’ Decision AGENCY: Postal Regulatory Commission. authorizing the product, proposed proceeding. ACTION: Notice. 3. Comments are due no later than changes to the Mail Classification July 13, 2015. Schedule, a Statement of Supporting SUMMARY: The Commission is noticing a 4. The Secretary shall arrange for Justification, a certification of recent Postal Service filing concerning publication of this order in the Federal compliance with 39 U.S.C. 3633(a), and the addition of Priority Mail Contract Register. an application for non-public treatment 128 to the competitive product list. This of certain materials. It also filed By the Commission. notice informs the public of the filing, supporting financial workpapers. Shoshana M. Grove, invites public comment, and takes other administrative steps. Secretary. II. Notice of Commission Action DATES: Comments are due: July 13, [FR Doc. 2015–16832 Filed 7–9–15; 8:45 am] The Commission establishes Docket 2015. BILLING CODE 7710–FW–P Nos. MC2015–63 and CP2015–94 to ADDRESSES: Submit comments consider the Request pertaining to the electronically via the Commission’s proposed Priority Mail & First-Class POSTAL REGULATORY COMMISSION Filing Online system at http:// Package Service Contract 6 product and www.prc.gov. Those who cannot submit [Docket Nos. MC2015–63 and CP2015–94; the related contract, respectively. Order No. 2567] comments electronically should contact The Commission invites comments on the person identified in the FOR FURTHER New Postal Product whether the Postal Service’s filings in INFORMATION CONTACT section by the captioned dockets are consistent telephone for advice on filing AGENCY: Postal Regulatory Commission. with the policies of 39 U.S.C. 3632, alternatives. ACTION: Notice. 3633, or 3642, 39 CFR part 3015, and 39 CFR part 3020, subpart B. Comments are FOR FURTHER INFORMATION CONTACT: SUMMARY: The Commission is noticing a due no later than July 14, 2015. The David A. Trissell, General Counsel, at recent Postal Service filing concerning public portions of these filings can be 202–789–6820. the addition of Priority Mail & First- accessed via the Commission’s Web site SUPPLEMENTARY INFORMATION: Class Package Service Contract 6 to the (http://www.prc.gov). Table of Contents competitive product list. This notice The Commission appoints Lyudmila informs the public of the filing, invites I. Introduction Y. Bzhilyanskaya to serve as Public II. Notice of Commission Action public comment, and takes other Representative in these dockets. administrative steps. III. Ordering Paragraphs DATES: Comments are due: July 14, III. Ordering Paragraphs I. Introduction 2015. It is ordered: In accordance with 39 U.S.C. 3642 ADDRESSES: Submit comments 1. The Commission establishes Docket and 39 CFR 3020.30 et seq., the Postal electronically via the Commission’s Nos. MC2015–63 and CP2015–94 to Service filed a formal request and Filing Online system at http:// consider the matters raised in each associated supporting information to www.prc.gov. Those who cannot submit docket. add Priority Mail Contract 128 to the comments electronically should contact competitive product list.1 2. Pursuant to 39 U.S.C. 505, the person identified in the FOR FURTHER The Postal Service Lyudmila Y. Bzhilyanskaya is appointed INFORMATION CONTACT section by contemporaneously filed a redacted to serve as an officer of the Commission telephone for advice on filing contract related to the proposed new to represent the interests of the general alternatives. product under 39 U.S.C. 3632(b)(3) and public in these proceedings (Public FOR FURTHER INFORMATION CONTACT: 39 CFR 3015.5. Id. Attachment B. Representative). To support its Request, the Postal David A. Trissell, General Counsel, at 3. Comments are due no later than 202–789–6820. Service filed a copy of the contract, a July 14, 2015. copy of the Governors’ Decision SUPPLEMENTARY INFORMATION: 4. The Secretary shall arrange for authorizing the product, proposed Table of Contents publication of this order in the Federal changes to the Mail Classification Register. Schedule, a Statement of Supporting I. Introduction II. Notice of Commission Action Justification, a certification of III. Ordering Paragraphs 1 Request of the United States Postal Service to Add Priority Mail & First-Class Package Service 1 Request of the United States Postal Service to I. Introduction Contract 6 to Competitive Product List and Notice Add Priority Mail Contract 128 to Competitive of Filing (Under Seal) of Unredacted Governors’ Product List and Notice of Filing (Under Seal) of In accordance with 39 U.S.C. 3642 Decision, Contract, and Supporting Data, July 2, Unredacted Governors’ Decision, Contract, and and 39 CFR 3020.30 et seq., the Postal 2015 (Request). Supporting Data, July 2, 2015 (Request).

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compliance with 39 U.S.C. 3633(a), and SUPPLEMENTARY INFORMATION: The DATES: Effective date: July 10, 2015. ® an application for non-public treatment United States Postal Service hereby FOR FURTHER INFORMATION CONTACT: of certain materials. It also filed gives notice that, pursuant to 39 U.S.C. Elizabeth A. Reed, 202–268–3179. supporting financial workpapers. 3642 and 3632(b)(3), on July 2, 2015, it SUPPLEMENTARY INFORMATION: The filed with the Postal Regulatory ® II. Notice of Commission Action United States Postal Service hereby Commission a Request of the United gives notice that, pursuant to 39 U.S.C. The Commission establishes Docket States Postal Service to Add Priority 3642 and 3632(b)(3), on July 2, 2015, it Nos. MC2015–61 and CP2015–92 to Mail Contract 128 to Competitive filed with the Postal Regulatory consider the Request pertaining to the Product List. Documents are available at Commission a Request of the United proposed Priority Mail Contract 128 www.prc.gov, Docket Nos. MC2015–61, States Postal Service to Add Priority product and the related contract, CP2015–92. Mail & First-Class Package Service respectively. Contract 6 to Competitive Product List. The Commission invites comments on Stanley F. Mires, Attorney, Federal Compliance. Documents are available at whether the Postal Service’s filings in www.prc.gov, Docket Nos. MC2015–63, [FR Doc. 2015–16847 Filed 7–9–15; 8:45 am] the captioned dockets are consistent CP2015–94. with the policies of 39 U.S.C. 3632, BILLING CODE 7710–10–P 3633, or 3642, 39 CFR part 3015, and 39 Stanley F. Mires, CFR part 3020, subpart B. Comments are Attorney, Federal Compliance. due no later than July 13, 2015. The POSTAL SERVICE [FR Doc. 2015–16848 Filed 7–9–15; 8:45 am] public portions of these filings can be Product Change—Priority Mail BILLING CODE 7710–12–P accessed via the Commission’s Web site Negotiated Service Agreement (http://www.prc.gov). The Commission appoints Kenneth R. AGENCY: Postal ServiceTM. SECURITIES AND EXCHANGE Moeller to serve as Public ACTION: Notice. COMMISSION Representative in these dockets. SUMMARY: The Postal Service gives Sunshine Act Meeting III. Ordering Paragraphs notice of filing a request with the Postal It is ordered: Regulatory Commission to add a Federal Register Citation of Previous 1. The Commission establishes Docket domestic shipping services contract to Announcement: [80 FR 38782, July 7, Nos. MC2015–61 and CP2015–92 to the list of Negotiated Service 2015] consider the matters raised in each Agreements in the Mail Classification STATUS: Closed Meeting. docket. Schedule’s Competitive Products List. PLACE: 100 F Street NE., Washington, 2. Pursuant to 39 U.S.C. 505, Kenneth DATES: Effective date: July 10, 2015 DC. R. Moeller is appointed to serve as an FOR FURTHER INFORMATION CONTACT: DATE AND TIME OF PREVIOUSLY ANNOUNCED officer of the Commission to represent Elizabeth A. Reed, 202–268–3179. MEETING: Thursday, July 9, 2015 at 2 the interests of the general public in p.m. these proceedings (Public SUPPLEMENTARY INFORMATION: The United States Postal Service® hereby CHANGE IN THE MEETING: Time Change. Representative). The Closed Meeting scheduled for gives notice that, pursuant to 39 U.S.C. 3. Comments are due no later than Thursday, July 9, 2015 at 2 p.m. has 3642 and 3632(b)(3), on July 2, 2015, it July 13, 2015. been changed to Thursday, July 9, 2015 filed with the Postal Regulatory 4. The Secretary shall arrange for at 1 p.m. Commission a Request of the United publication of this order in the Federal At times, changes in Commission States Postal Service to Add Priority Register. priorities require alterations in the Mail Contract 129 to Competitive scheduling of meeting items. For further By the Commission. Product List. Documents are available at information and to ascertain what, if Shoshana M. Grove, www.prc.gov, Docket Nos. MC2015–62, any, matters have been added, deleted Secretary. CP2015–93. or postponed, please contact the Office [FR Doc. 2015–16831 Filed 7–9–15; 8:45 am] Stanley F. Mires, of the Secretary at (202) 551–5400. BILLING CODE 7710–FW–P Attorney, Federal Compliance. Dated: July 7, 2015. [FR Doc. 2015–16849 Filed 7–9–15; 8:45 am] Brent J. Fields, POSTAL SERVICE BILLING CODE 7710–12–P Secretary. [FR Doc. 2015–16982 Filed 7–8–15; 11:15 am] Product Change—Priority Mail BILLING CODE 8011–01–P Negotiated Service Agreement POSTAL SERVICE TM Product Change—Priority Mail and AGENCY: Postal Service . SECURITIES AND EXCHANGE ACTION: Notice. First-Class Package Service Negotiated Service Agreement COMMISSION SUMMARY: The Postal Service gives [File No. 500–1] AGENCY: Postal ServiceTM. notice of filing a request with the Postal Regulatory Commission to add a ACTION: Notice. In the Matter of International Hi-Tech domestic shipping services contract to Industries Inc., Mark One Global SUMMARY: The Postal Service gives Industries, Inc., Nortel Networks the list of Negotiated Service notice of filing a request with the Postal Agreements in the Mail Classification Corporation, and Silverado Gold Mines Regulatory Commission to add a Ltd.; Order of Suspension of Trading Schedule’s Competitive Products List. domestic shipping services contract to DATES: Effective date: July 10, 2015. the list of Negotiated Service July 8, 2015. FOR FURTHER INFORMATION CONTACT: Agreements in the Mail Classification It appears to the Securities and Elizabeth A. Reed, 202–268–3179. Schedule’s Competitive Products List. Exchange Commission that there is a

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lack of current and accurate information It appears to the Securities and other charge’’ under Section concerning the securities of Exchange Commission that there is a 19(b)(3)(A)(ii) of the Act3 and Rule 19b– International Hi-Tech Industries Inc. lack of current and accurate information 4(f)(2) thereunder,4 which renders the (CIK No. 921887) (‘‘IHITF’’ 1), a concerning the securities of Silverado proposal effective upon receipt of this Canadian corporation with its principal Gold Mines Ltd. (CIK No. 731727) filing by the Commission. The place of business in Vancouver, British (‘‘SLGLF’’), a defaulted British Commission is publishing this notice to Columbia, Canada, with stock quoted on Columbia corporation with its principal solicit comments on the proposed rule OTC Link (previously, ‘‘Pink Sheets’’) place of business in Surrey, British change from interested persons. operated by OTC Markets Group Inc. Columbia, Canada, with stock quoted on I. Self-Regulatory Organization’s (‘‘OTC Link’’) because it has not filed OTC Link, because it has not filed any Statement of the Terms of the Substance any periodic reports since the period periodic reports since the period ended of the Proposed Rule Change ended December 31, 2005. On June 28, August 31, 2011. On September 13, 2013, the Division of Corporation 2013, Corporation Finance sent a FINRA is proposing to remove Rule Finance (‘‘Corporation Finance’’) sent a delinquency letter to SLGLF requesting 4553 (Fees for ATS Data) from the delinquency letter to IHITF requesting compliance with its periodic reporting FINRA rulebook. compliance with its periodic reporting obligations at the address shown in its Below is the text of the proposed rule obligations at the address shown in its then-most recent filing with the change. Proposed new language is in then-most recent filing with the Commission which was delivered. italics; proposed deletions are in Commission, but IHITF did not receive The Commission is of the opinion that brackets. the delinquency letter due to its failure the public interest and the protection of * * * * * to maintain a valid address on file with investors require a suspension of trading the Commission as required by in the securities of the above-listed 4000. FINANCIAL AND OPERATIONAL Commission rules (Rule 301 of companies. Therefore, it is ordered, RULES Regulation S–T, 17 CFR 232.301 and pursuant to Section 12(k) of the * * * * * Section 5.4 of the EDGAR Filer Manual). Securities Exchange Act of 1934, that 4500. BOOKS, RECORDS AND REPORTS It appears to the Securities and trading in the securities of the above- * * * * * Exchange Commission that there is a listed companies is suspended for the lack of current and accurate information period from 9:30 a.m. EDT on July 8, 4550. ATS Reporting concerning the securities of Mark One 2015, through 11:59 p.m. EDT on July * * * * * Global Industries, Inc. (CIK No. 21, 2015. 1000791) (‘‘MKGLF’’), a British [4553. Fees for ATS Data] By the Commission. Columbia corporation with its principal [(a) General] Jill M. Peterson, place of business in Olathe, Kansas, [Fees are charged for ATS Data as set forth Assistant Secretary. with stock quoted on OTC Link, because in this Rule. Professionals and Vendors must it has not filed any periodic reports [FR Doc. 2015–17015 Filed 7–8–15; 11:15 am] pay the subscription fee to receive ATS Data since the period ended December 31, BILLING CODE 8011–01–P in accordance with this Rule and execute 2009. On April 29, 2013, Corporation appropriate agreements with FINRA.] Finance sent a delinquency letter to [(b) Professionals] MKGLF requesting compliance with its SECURITIES AND EXCHANGE periodic reporting obligations at the COMMISSION [(1) Professionals may subscribe for the address shown in its then-most recent most currently published ATS Data and up [Release No. 34–75365; File No. SR–FINRA– to five years of historical ATS Data in a filing with the Commission, but MKGLF 2015–023] downloadable, pipe delimited format for a did not receive the delinquency letter twelve-month subscription fee of $12,000. due to its failure to maintain a valid Self-Regulatory Organizations; Such fee is not refundable or transferable.] address on file with the Commission as Financial Industry Regulatory [(2) Payment of the Professional required by Commission rules (Rule 301 Authority, Inc.; Notice of Filing and subscription fee described in this paragraph of Regulation S–T, 17 CFR 232.301 and Immediate Effectiveness of a Proposed (b) provides the Professional with use of such Section 5.4 of the EDGAR Filer Manual). Rule Change Relating to Rule 4553 and ATS Data to generate Derived Data.] It appears to the Securities and Fees for Access to Alternative Trading [(3) Professionals may distribute ATS Data or Derived Data to their employees, affiliates, Exchange Commission that there is a System Volume Information Published lack of current and accurate information or employees of affiliates but are prohibited on FINRA’s Web Site from providing ATS Data or Derived Data to concerning the securities of Nortel any third party.] Networks Corporation (CIK No. 72911) July 6, 2015. (‘‘NRTLQ’’), a Canadian corporation Pursuant to Section 19(b)(1) of the [(c) Vendors] with its principal place of business in Securities Exchange Act of 1934 [(1) Vendors may subscribe for access to Mississauga, Ontario, Canada, with (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 the most currently published ATS Data and stock quoted on OTC Link, because it notice is hereby given that on June 29, up to five years of historical ATS Data in a has not filed any periodic reports since 2015, Financial Industry Regulatory downloadable, pipe delimited format for a the period ended June 30, 2012. On Authority, Inc. (‘‘FINRA’’) filed with the twelve-month subscription fee of $18,000. Securities and Exchange Commission Such fee is not refundable or transferable.] October 17, 2014, Corporation Finance [(2) Payment of the Vendor subscription fee sent a delinquency letter to NRTLQ (‘‘SEC’’ or ‘‘Commission’’) the proposed described in this paragraph (c) provides the requesting compliance with its periodic rule change as described in Items I, II, Vendor with use of such ATS Data to reporting obligations at the address and III below, which Items have been generate Derived Data.] shown in its then-most recent filing prepared by FINRA. FINRA has [(3) Vendors are prohibited from providing with the Commission which was designated the proposed rule change as ATS Data to any third party unless a delivered. ‘‘establishing or changing a due, fee or Professional subscription has been purchased

1 The short form of each issuer’s name is also its 1 15 U.S.C. 78s(b)(1). 3 15 U.S.C. 78s(b)(3)(A)(ii). ticker symbol. 2 17 CFR 240.19b–4. 4 17 CFR 240.19b–4(f)(2).

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for each such third party in accordance with [(6) ‘‘Vendor’’ means a Professional who date for the reporting requirements paragraph (b) above.] distributes ATS Data or Derived Data to any under Rule 4552 was May 12, 2014, and third party.] [(d) Non-Professionals] FINRA began publishing the ATS Data * * * * * for equity securities on its Web site on [(1) There shall be no charge paid by a 8 Non-Professional for access to the most II. Self-Regulatory Organization’s June 2, 2014. On May 29, 2014, the SEC recently published four weeks of ATS Data; Statement of the Purpose of, and approved Rule 4553, which established however, such ATS Data will not be available Statutory Basis for, the Proposed Rule a fee schedule for access to the ATS 9 in a downloadable format.] Change Data. The proposed rule change deletes [(2) A Non-Professional must agree to terms Rule 4553. of use before accessing the ATS Data, In its filing with the Commission, Under Rule 4552, individual ATSs are including that he or she receives and uses the FINRA included statements concerning required to submit weekly reports to ATS Data solely for his or her personal, non- the purpose of and basis for the FINRA regarding equity security volume commercial use and will not otherwise proposed rule change and discussed any information within the ATS, including distribute the ATS Data or Derived Data to comments it received on the proposed share volume and number of trades for other parties. The terms of use for Non- rule change. The text of these statements Professionals will be clearly posted on the both NMS stocks and OTC equity may be examined at the places specified securities.10 The first reports pursuant FINRA.org Web site, and access to the non- in Item IV below. FINRA has prepared fee liable ATS Data content will require a to Rule 4552 were due to FINRA by May user to acknowledge the terms of use.] summaries, set forth in sections A, B, 28, 2014, covering the week of May 12– and C below, of the most significant 16, 2014.11 After FINRA began receiving [(e) Definitions] aspects of such statements. the self-reported data from ATSs, [For purposes of this rule, the following FINRA began publishing on its Web site, terms have the meaning set forth:] A. Self-Regulatory Organization’s Statement of the Purpose of, and on a delayed basis, the reported [(1) ‘‘ATS Data’’ means Trading information for each equity security for Information published by FINRA on its Web Statutory Basis for, the Proposed Rule site.] Change each ATS with appropriate disclosures that the published volume numbers are [(2) ‘‘Derived Data’’ means data that is 1. Purpose derived from ATS Data and that is not able based on ATS-submitted reports and not to be (A) reverse engineered by a reasonably On January 17, 2014, the SEC on reports produced or validated by skilled user into ATS Data or (B) used as a approved a proposed rule change to (i) FINRA.12 FINRA currently makes surrogate for ATS Data.] adopt Rule 4552 (Alternative Trading available on its Web site the ATS Data [(3) ‘‘Non-Professional’’ means a natural Systems—Trading Information for through weekly reports listing aggregate person who uses the ATS Data solely for his Securities Executed Within the volume and number of trades by or her personal, non-commercial use. A Alternative Trading System) to require security for each ATS within the ‘‘Non-Professional’’ is not:] 5 [(A) registered nor qualified in any alternative trading systems (‘‘ATSs’’) to designated time period. capacity with the SEC, the Commodity report to FINRA weekly volume Rule 4553 establishes three categories Futures Trading Commission, any state information and number of trades of users of the ATS Data, each of which securities agency, any securities exchange or regarding securities transactions within is entitled to different levels and use of association, or any commodities or futures the ATS (‘‘ATS Data’’) and to publish data and is subject to a different fee contract market or association, nor an the ATS Data on a delayed basis on structure: (i) Non-Professionals; (ii) employee of the above and, with respect to FINRA’s Web site; 6 and (ii) amend Professionals; and (iii) Vendors.13 any person identified in this subparagraph FINRA Rules 6160, 6170, 6480, and Under Rule 4553, the most recently (A), uses ATS Data for other than personal, 6720 to require each ATS to acquire and published four weeks of ATS Data is non-commercial use;] use a single, unique market participant accessible to Non-Professionals 14 at no [(B) engaged as an ‘‘investment adviser’’ as that term is defined in Section 202(a)(11) of identifier (‘‘MPID’’) when reporting the Investment Advisers Act (whether or not information to FINRA (‘‘MPID The MPID Requirement was subsequently amended Requirement’’).7 The implementation to permit the use of two MPIDs by a single ATS registered or qualified under that Act), nor an provided each MPID is used only to report to either employee of the above and, with respect to the Trade Reporting and Compliance Engine any person identified in this subparagraph 5 Regulation ATS defines an ‘‘alternative trading (‘‘TRACE’’) or one or more of FINRA’s equity (B), uses ATS Data for other than personal, system’’ as ‘‘any organization, association, person, reporting facilities. See Securities Exchange Act non-commercial use;] group of persons, or system: (1) That constitutes, Release No. 71911 (April 9, 2014), 79 FR 21316 [(C) employed by a bank, insurance maintains, or provides a market place or facilities (April 15, 2014) (Notice of Filing and Immediate for bringing together purchasers and sellers of company or other organization exempt from Effectiveness of File No. SR–FINRA–2014–017). securities or for otherwise performing with respect 8 The MPID Requirement was implemented on registration under federal or state securities to securities the functions commonly performed by laws to perform functions that would require February 2, 2015. See Securities Exchange Act a stock exchange within the meaning of [Exchange Release No. 73340 (October 10, 2014), 79 FR 62500 registration or qualification if such functions Act Rule 3b–16]; and (2) That does not: (i) Set rules (October 17, 2014) (Notice of Filing and Immediate governing the conduct of subscribers other than the were performed for an organization not so Effectiveness of File No. SR–FINRA–2014–042). conduct of such subscribers’ trading on such exempt, nor any other employee of a bank, 9 See Securities Exchange Act Release No. 72280 insurance company or such other organization, association, person, group of persons, or system; or (ii) Discipline subscribers other than (May 29, 2014), 79 FR 32351 (June 4, 2014) (Order organization referenced above and, with by exclusion from trading.’’ 17 CFR 242.300(a). Rule Approving File No. SR–FINRA–2014–018) (‘‘ATS respect to any person identified in this 4552 applies to any alternative trading system, as Fee Approval Order’’). subparagraph (C), uses ATS Data for other that term is defined in Regulation ATS, that has 10 See Rule 4552(a), (d)(4). than personal, non-commercial use; nor] filed a Form ATS with the Commission. See Rule 11 See Regulatory Notice 14–07 (February 2014). [(D) engaged in, nor has the intention to 4552(a). 12 See Rule 4552(b). engage in, any commercial redistribution of 6 FINRA subsequently filed a proposed rule 13 Any individual seeking access to the ATS Data all or any portion of the ATS Data or Derived change to limit the reporting requirements in Rule on FINRA’s Web site must confirm that he or she Data.] 4552 to equity securities and exclude TRACE- is either (i) a Non-Professional or (ii) a Professional [(4) ‘‘Professional’’ means any non-natural Reportable Securities. See Securities Exchange Act (or an affiliate or employee thereof) that has a Release No. 71911 (April 9, 2014), 79 FR 21316 current Professional or Vendor subscription. person or any natural person that does not (April 15, 2014) (Notice of Filing and Immediate 14 A ‘‘Non-Professional’’ is generally a natural meet the definition of ‘‘Non-Professional’’ in Effectiveness of File No. SR–FINRA–2014–017). person who uses the ATS Data solely for his or her subparagraph (3).] 7 See Securities Exchange Act Release No. 71341 personal, non-commercial use and is not: (i) [(5) ‘‘Trading Information’’ has the same (January 17, 2014), 79 FR 4213 (January 24, 2014) Registered or qualified in any capacity with the meaning as set forth in Rule 4552.] (Order Approving File No. SR–FINRA–2013–042). SEC, the Commodity Futures Trading Commission,

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cost on FINRA’s Web site, and FINRA Data.18 Thus, regardless of the size of eliminate the fee for all potential users provides a basic web display listing all the entity in question, the subscription and disseminate the ATS Data on its reporting ATSs and aggregate volume fee for the entity is $12,000 for a twelve- Web site at no charge. FINRA has found and number of trades for each symbol in month subscription. Professionals are that there are significantly fewer firms which a trade was reported by the ATS not permitted to redistribute ATS Data and data vendors accessing the ATS during the designated time period.15 or Derived Data outside of the enterprise Data than anticipated, which limits the Non-Professionals may access, at no (e.g., to their customers); however, opportunities for broader dissemination cost, the most recent four weeks of ATS Professionals are permitted to distribute and analysis of the data FINRA makes Data in a viewable, but not ATS Data and Derived Data within the available. By making the ATS Data downloadable, format. A Non- enterprise (including the firm, any available at no cost, FINRA believes Professional must certify that he or she affiliates of the firm, and employees more data vendors and firms will access is a ‘‘Non-Professional’’ within the thereof). Professionals are required to the ATS Data and provide useful meaning of Rule 4553 and agree to agree to the terms of FINRA’s ATS Data statistics and analysis to the industry certain terms of use of the ATS Data, Subscriber Agreement, which and to individual investors and the including representations that he or she establishes the terms and conditions of public. FINRA currently anticipates receives and uses the ATS Data solely access to the ATS Data. making publicly available on its Web for his or her personal, non-commercial Rule 4553 also includes a Vendor site 27 weeks of online reports and up use, and conditions regarding use of the subscription fee of $18,000 per year.19 A to five years of historical reports data and prohibiting redistribution of Vendor subscription permits a Vendor available in a downloadable format.22 the data. to redistribute the ATS Data or Derived As FINRA noted when it proposed Under Rule 4553, Professionals are Data within and outside the enterprise; collecting and disseminating the ATS required to pay an annual, enterprise- however, a Vendor may provide this Data, Rule 4552 was intended in part to wide subscription fee of $12,000 that is data to a third party only if a yearly, increase transparency in the over-the- non-transferable and renewable non-transferable, enterprise-wide counter market. Although Rule 4552 has 16 annually to access the ATS Data. A Professional subscription has been no doubt achieved this goal, particularly Professional who has paid the purchased for each such third party. by providing individual investors with subscription fee has access to the same Vendors must track specific users and access to the ATS Data at no cost, ATS Data available to Non- their entitlements (and annual FINRA believes that transparency may Professionals. However, a Professional commitment term) and are subject to be even further enhanced by eliminating subscription allows a user access to the regular audits to ensure accurate and the fee for Professionals and Vendors so 27 most current weeks of published timely compliance with re- that individual investors and the public reports (Non-Professionals are limited to dissemination reporting and payment. can benefit from more detailed and four weeks) as well as access to Vendors are responsible for reporting widely-available analysis of the ATS historical ATS Data in a downloadable entity usage as a result of their 17 Data. Consequently, FINRA is proposing format. The Professional subscription redistribution of the data. to eliminate the fee for Professionals FINRA established the fee rates for allows an unlimited number of users and Vendors and make the ATS Data access to ATS Data by Professionals and within the firm to access the ATS publicly available at no cost. Vendors to recover the costs associated FINRA has filed the proposed rule any state securities agency, any securities exchange with collecting, formatting, and change for immediate effectiveness. The or association, or any commodities or futures disseminating the data.20 FINRA noted, implementation date will be July 13, contract market or association, nor an employee of when proposing the fee, that it did not the above; (ii) engaged as an ‘‘investment adviser’’ 2015. FINRA staff is currently working have an exact estimate as to how many as that term is defined in Section 202(a)(11) of the on changes to FINRA’s Web site to Investment Advisers Act (whether or not registered subscribers will ultimately pay to access or qualified under that Act), nor an employee of the ATS Data and stated that FINRA enable all users to access the ATS Data above; (iii) employed by a bank, insurance company intended to reassess the fairness and and to remove functionality that or other organization exempt from registration reasonableness of the fee once it had currently limits access to the ATS Data under federal or state securities laws to perform to either Non-Professionals or those functions that would require registration or experience with the actual usage and qualification if such functions were performed for ultimate fees paid to access ATS Data.21 with paid subscriptions. FINRA an organization not so exempt, nor any other After approximately one year of anticipates that these changes will be employee of a bank, insurance company or such made so that the ATS Data will be other organization referenced above; or (iv) engaged receiving and disseminating the ATS in, or has the intention to engage in, any Data on FINRA’s Web site, FINRA has publicly available beginning July 13, commercial redistribution of all or any portion of reviewed the usage of the ATS Data and 2015. Until that time, the ATS Data will the ATS Data or Derived Data. See Rule 4552(e)(3); the costs incurred and is proposing to continue to be available only to paid see also 15 U.S.C. 80b–2(a)(11). Rule 4553(e)(2) subscribers or, in more limited formats, defines ‘‘Derived Data’’ as data that is derived from ATS Data and that is not able to be (A) reverse 18 If the Professional is a FINRA member, the to Non-Professionals consistent with engineered by a reasonably skilled user into ATS member has access to the ATS Data so that all of Rule 4553.23 Data or (B) used as a surrogate for ATS Data. the member’s entitled users can access the ATS Generally, non-commercial requests from Data under the member’s Central Registration 22 There are no reports for time periods before the regulators, academics, and ad hoc requests from Depository number. Professionals that are not implementation of Rule 4552. media reporters are considered non-professional FINRA members are provided with a single log-on 23 Because the subscriptions purchased pursuant usage under this definition. that may be shared within the entity and its to Rule 4553 are on an annual basis, some 15 See Rule 4553(d). FINRA also currently affiliates and employees, but may not be used subscribers’ annual subscriptions will lapse before produces quarterly reports summarizing the ATS outside of the entity, its affiliates, and their July 13, 2015. Those subscribers that choose to Data that are publicly available for no charge on employees. renew their annual subscription for the amount FINRA’s Web site. 19 See Rule 4553(c). A ‘‘Vendor’’ is defined as ‘‘a required under Rule 4553 before July 13, 2015, will 16 See Rule 4553(b). A ‘‘Professional’’ is defined Professional who distributes ATS Data or Derived receive a pro rata refund as of July 13, 2015. Current as ‘‘any non-natural person or any natural person Data to any third party.’’ Rule 4553(e)(6). subscribers that have an annual subscription that that does not meet the definition of ‘Non- 20 See ATS Fee Approval Order, supra note 9, 79 expires after July 13, 2015, will also receive a pro Professional.’ ’’ Rule 4553(e)(4). FR 32351, 32353. rata refund. Thus, for example, if a firm purchased 17 The downloadable reports provide the same 21 See Securities Exchange Act Release No. 71919 an annual Professional subscription for $12,000 on data as the web-based reports but in pipe delimited (April 9, 2014), 79 FR 21324, 21327 (April 15, 2014) August 13, 2014, the firm will receive a $1,000 format. (Notice of Filing File No. SR–FINRA–2014–018). Continued

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2. Statutory Basis FINRA believes that eliminating the that, among other things, noted that FINRA believes that the proposed rule fee for Professionals and Vendors to SIFMA ‘‘continues to oppose FINRA change is consistent with the provisions access ATS Data will extend the impact charging a fee to access the [ATS] data of Section 15A(b)(6) of the Act,24 which of transparency in the over-the-counter and the fact that only a limited scope of requires, among other things, that market and will not result in any burden information is available for free on the FINRA rules must be designed to on FINRA members or the public. Yet, FINRA Web site.’’ 29 A copy of prevent fraudulent and manipulative investors may benefit from an Regulatory Notice 14–48 is attached as acts and practices, to promote just and externality if the wider availability of Exhibit 2a.30 A copy of SIFMA’s equitable principles of trade, and, in the ATS Data leads to an increased comment letter received in response to general, to protect investors and the production of relevant analysis by the Regulatory Notice is attached as public interest and Section 15A(b)(5) of professionals.26 Also, FINRA believes— Exhibit 2b.31 FINRA believes the the Act,25 which requires, among other based on member firms’ and vendors’ elimination of Rule 4553 would address things, that FINRA rules provide for the feedback—that there is a wide range of the concern raised by SIFMA in its equitable allocation of reasonable dues, market participants that will start using comment letter. the ATS Data and benefit from it when fees and other charges among members III. Date of Effectiveness of the it is made available free of charge. and issuers and other persons using any Proposed Rule Change and Timing for facility or system that FINRA operates FINRA would incur no additional Commission Action or controls. costs as a result of the proposed rule FINRA believes that, by eliminating change, as FINRA already aggregates The foregoing rule change has become the fees imposed by Rule 4553 and and publishes the ATS Data on a weekly effective pursuant to Section 19(b)(3)(A) making the ATS Data available to the basis; however, FINRA will forego the of the Act 32 and paragraph (f)(2) of Rule public at no cost, more data vendors and revenue that partially covers the cost of 19b–4 thereunder.33 At any time within firms will use the ATS Data to provide maintaining the ATS Data, although 60 days of the filing of the proposed rule useful statistics and analysis to the both the cost and revenue have been change, the Commission summarily may industry, individual investors, and the non-material since the data temporarily suspend such rule change if public. This, in turn, will further dissemination started in June 2014. it appears to the Commission that such improve transparency in the over-the- FINRA’s experience in the past year action is necessary or appropriate in the counter market by making the ATS Data, suggests that the marginal costs to public interest, for the protection of and analysis of the data, more widely provide this information to the public is investors, or otherwise in furtherance of available not only for Professionals and de minimis, with no material impact to the purposes of the Act. If the Vendors, but also for individual its budget or members. Commission takes such action, the investors who can benefit from more Commission shall institute proceedings C. Self-Regulatory Organization’s detailed analysis of the ATS Data. to determine whether the proposed rule Statement on Comments on the should be approved or disapproved. B. Self-Regulatory Organization’s Proposed Rule Change Received From Statement on Burden on Competition Members, Participants, or Others IV. Solicitation of Comments FINRA does not believe that the Although written comments were not Interested persons are invited to proposed rule change will result in any solicited regarding the elimination of submit written data, views, and burden on competition that is not Rule 4553, FINRA has received one arguments concerning the foregoing, necessary or appropriate in furtherance comment letter since the adoption of including whether the proposed rule of the purposes of the Act. FINRA Rule 4553 that addresses the current fee change is consistent with the Act. believes that eliminating the fee may, in structure for access to ATS Data.27 The Comments may be submitted by any of fact, remove potential burdens by Securities Industry and Financial the following methods: widening access to the ATS Data, Markets Association (‘‘SIFMA’’) Electronic Comments particularly for smaller firms that may submitted a written comment letter in • not have been able to pay the existing response to Regulatory Notice 14–48 28 Use the Commission’s Internet Professional or Vendor fees. comment form (http://www.sec.gov/ 26 rules/sro.shtml); or Economic Impact Analysis For example, one study showed that brokers’ order routing behavior, in search for best execution • Send an email to rule-comments@ As described above, FINRA is for their clients, changed after the increased sec.gov. Please include File Number SR– proposing to remove Rule 4553 to transparency due to Rule 11Ac1–5, which requires FINRA–2015–023 on the subject line. eliminate the fee for all potential users market centers to publish standardized execution quality metrics. See Ekkehart Boehmer, Robert Paper Comments of ATS Data and disseminate the ATS Jennings & Li Wei, Public Disclosure and Private Data on its Web site at no charge. Decisions: Equity Market Execution Quality and • Send paper comments in triplicate Currently, FINRA makes this data Order Routing, 20 (2) Rev. Fin. Stud. 315 (March to Secretary, Securities and Exchange available on its Web site and charges 2007). 27 FINRA notes that, although written comments internalized trades. See Regulatory Notice 14–48 according to the three tiers described were not solicited regarding the current proposed (November 2014). above. In the presence of this proposed rule change to eliminate Rule 4553, comments 29 addressing the adoption of a fee for access to ATS Letter from Theodore R. Lazo, Managing rule change, the ATS Data will continue Director and Associate General Counsel, SIFMA to to be made available, and FINRA will Data were received in response to the rule filings proposing Rules 4552 and 4553, and these Marcia E. Asquith, Corporate Secretary, FINRA, seek no fees for its usage. FINRA commenters generally opposed the fee. See ATS Fee dated February 20, 2015. anticipates that the demand for the ATS Approval Order, supra note 9, 79 FR 32351, 32352; 30 The Commission notes that the Regulatory Data will increase in the absence of see also Securities Exchange Act Release No. 71341 Circular is not attached to this notice, but is available on FINRA’s Web site. professional and vendor fees. (January 17, 2014), 79 FR 4213 (January 24, 2014) (Order Approving File No. SR–FINRA–2013–042). 31 The Commission notes that SIFMA’s comment 28 In Regulatory Notice 14–48, FINRA requested letter is not attached to this notice, but is available refund for the period between July 13, 2015, and comment on a proposal to expand the ATS on FINRA’s Web site, and on the Commission’s August 13, 2015. transparency initiative to publish the remaining Web site. 24 15 U.S.C. 78o–3(b)(6). equity volume executed over the counter, including 32 15 U.S.C. 78s(b)(3)(A). 25 15 U.S.C. 78o–3(b)(5). trading on non-ATS electronic trading systems and 33 17 CFR 240.19b–4(f)(x). [sic]

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Commission, 100 F Street NE., ‘‘Act’’),1 and Rule 19b–4 thereunder,2 reference (i.e., ‘‘Section 1B’’). No Washington, DC 20549–1090. notice is hereby given that on June 24, substantive changes are being made by All submissions should refer to File 2015, C2 Options Exchange, the proposed rule change. Incorporated (the ‘‘Exchange’’ or ‘‘C2’’) Number SR–FINRA–2015–023. This file 2. Statutory Basis number should be included on the filed with the Securities and Exchange subject line if email is used. To help the Commission (the ‘‘Commission’’) the The Exchange believes the proposed Commission process and review your proposed rule change as described in rule change is consistent with the comments more efficiently, please use Items I, II, and III below, which Items Securities Exchange Act of 1934 (the only one method. The Commission will have been prepared by the Exchange. ‘‘Act’’) and the rules and regulations post all comments on the Commission’s The Commission is publishing this thereunder applicable to the Exchange Internet Web site (http://www.sec.gov/ notice to solicit comments on the and, in particular, the requirements of 4 rules/sro.shtml). Copies of the proposed rule change from interested Section 6(b) of the Act. Specifically, submission, all subsequent persons. the Exchange believes the proposed rule change is consistent with the Section amendments, all written statements I. Self-Regulatory Organization’s 6(b)(5) 5 requirements that the rules of with respect to the proposed rule Statement of the Terms of Substance of an exchange be designed to prevent change that are filed with the the Proposed Rule Change Commission, and all written fraudulent and manipulative acts and The Exchange proposes to correct an communications relating to the practices, to promote just and equitable inaccurate rule reference in its Fees proposed rule change between the principles of trade, to foster cooperation Schedule. The text of the proposed rule and coordination with persons engaged Commission and any person, other than change is available on the Exchange’s those that may be withheld from the in regulating, clearing, settling, Web site (http://www.c2exchange.com/ processing information with respect to, public in accordance with the Legal/), at the Exchange’s Office of the provisions of 5 U.S.C. 552, will be and facilitating transactions in Secretary, and at the Commission’s securities, to remove impediments to available for Web site viewing and Public Reference Room. printing in the Commission’s Public and perfect the mechanism of a free and Reference Room, 100 F Street NE., II. Self-Regulatory Organization’s open market and a national market Washington, DC 20549 on official Statement of the Purpose of, and system, and, in general, to protect business days between the hours of Statutory Basis for, the Proposed Rule investors and the public interest. 10:00 a.m. and 3:00 p.m. Copies of such Change The Exchange believes correcting an filing also will be available for inaccurate rule reference will help to In its filing with the Commission, the avoid confusion, thereby removing inspection and copying at the principal Exchange included statements offices of FINRA. All comments impediments to and perfecting the concerning the purpose of and basis for mechanism of a free and open market received will be posted without change; the proposed rule change and discussed the Commission does not edit personal and a national market system. any comments it received on the Additionally, the Exchange notes that identifying information from proposed rule change. The text of these submissions. You should submit only no substantive changes are being made statements may be examined at the by the proposed rule change. information that you wish to places specified in Item IV below. The makeavailable publicly. All submissions Exchange has prepared summaries, set B. Self-Regulatory Organization’s should refer to File Number SR–FINRA– forth in sections A, B, and C below, of Statement on Burden on Competition 2015–023, and should be submitted on the most significant aspects of such C2 does not believe that the proposed or before July 31, 2015. statements. rule change will impose any burden on For the Commission, by the Division of A. Self-Regulatory Organization’s intramarket or intermarket competition Trading and Markets, pursuant to delegated Statement of the Purpose of, and the that is not necessary or appropriate in authority.34 Statutory Basis for, the Proposed Rule furtherance of the purposes of the Act. Brent J. Fields, Change The proposed change to correct an Secretary. inaccurate rule reference and alleviate [FR Doc. 2015–16860 Filed 7–9–15; 8:45 am] 1. Purpose confusion is not intended for BILLING CODE 8011–01–P The Exchange proposes to make an competitive reasons and only applies to administrative change to correct an C2. The Exchange also notes that no incorrect rule reference in its Fees rights or obligations of Permit Holders SECURITIES AND EXCHANGE Schedule. Specifically, the Exchange are affected by the change. COMMISSION notes it recently streamlined part of its C. Self-Regulatory Organization’s Fees Schedule by consolidating certain Statement on Comments on the [Release No. 34–75367; File No. SR–C2– sections in order to make the Fees Proposed Rule Change Received From 2015–017] Schedule easier to read.3 In doing so, Members, Participants, or Others the Exchange had to renumber Section Self-Regulatory Organizations; C2 1C to current Section 1B. The Exchange The Exchange neither solicited nor Options Exchange, Incorporated; notes however, that it inadvertently did received comments on the proposed Notice of Filing and Immediate not make a corresponding change to the rule change. Effectiveness of a Proposed Rule text in current Section 1B. Specifically, III. Date of Effectiveness of the Change To Correct an Inaccurate Rule Section 1B still references Section 1C in Reference Proposed Rule Change and Timing for two places. The Exchange seeks to fix Commission Action this error and insert the correct July 6, 2015. The foregoing rule change has become Pursuant to Section 19(b)(1) of the 1 15 U.S.C. 78s(b)(1). effective pursuant to Section 19(b)(3)(A) Securities Exchange Act of 1934 (the 2 17 CFR 240.19b–4. 3 See Securities Exchange Act Release No. 74733 4 15 U.S.C. 78f(b). 34 17 CFR 200.30–3(a)(12). (April 15, 2015), 80 FR 76 [sic] (April 21, 2015). 5 15 U.S.C. 78f(b)(5).

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of the Act 6 and paragraph (f) of Rule inspection and copying at the principal platform (‘‘BATS Options’’). The 19b–4 7 thereunder. At any time within office of the Exchange. All comments proposed rule change is based on the 60 days of the filing of the proposed rule received will be posted without change; operation of similar order types change, the Commission summarily may the Commission does not edit personal currently offered by the Nasdaq Stock temporarily suspend such rule change if identifying information from Market LLC (‘‘Nasdaq’’) and Nasdaq it appears to the Commission that such submissions. You should submit only OMX BX, Inc. (‘‘BX’’).5 action is necessary or appropriate in the information that you wish to make The text of the proposed rule change public interest, for the protection of available publicly. All submissions is available at the Exchange’s Web site investors, or otherwise in furtherance of should refer to File Number SR–C2– at www.batstrading.com, at the the purposes of the Act. If the 2015–017, and should be submitted on principal office of the Exchange, and at Commission takes such action, the or before July 31, 2015. the Commission’s Public Reference Commission will institute proceedings For the Commission, by the Division of Room. to determine whether the proposed rule Trading and Markets, pursuant to delegated II. Self-Regulatory Organization’s change should be approved or authority.8 Statement of the Purpose of, and disapproved. Brent J. Fields, Statutory Basis for, the Proposed Rule IV. Solicitation of Comments Secretary. Change Interested persons are invited to [FR Doc. 2015–16862 Filed 7–9–15; 8:45 am] In its filing with the Commission, the submit written data, views, and BILLING CODE 8011–01–P Exchange included statements arguments concerning the foregoing, concerning the purpose of and basis for including whether the proposed rule the proposed rule change and discussed SECURITIES AND EXCHANGE any comments it received on the change is consistent with the Act. COMMISSION Comments may be submitted by any of proposed rule change. The text of these the following methods: [Release No. 34–75360; File No. SR–BATS– statements may be examined at the 2015–51] places specified in Item IV below. The Electronic Comments Exchange has prepared summaries, set • Use the Commission’s Internet Self-Regulatory Organizations; BATS forth in sections A, B, and C below, of comment form (http://www.sec.gov/ Exchange, Inc.; Notice of Filing and the most significant parts of such rules/sro.shtml); or Immediate Effectiveness of a Proposed statements. • Send an email to rule-comments@ Rule Change to Rule 21.1(d)(9), (h) and (A) Self-Regulatory Organization’s sec.gov. Please include File Number SR– (i) To Modify the Operation of BATS Statement of the Purpose of, and C2–2015–017 on the subject line. Post Only Orders on the Exchange’s Options Platform Statutory Basis for, the Proposed Rule Paper Comments Change July 6, 2015. • Send paper comments in triplicate 1. Purpose to Secretary, Securities and Exchange Pursuant to section 19(b)(1) of the The Exchange is proposing to amend Commission, 100 F Street NE., Securities Exchange Act of 1934 (the 1 2 Rules 21.1(d)(9), (h) and (i) to modify Washington, DC 20549–1090. ‘‘Act’’), and Rule 19b–4 thereunder, notice is hereby given that on June 30, the operation of BATS Post Only Orders All submissions should refer to File 2015, BATS Exchange, Inc. (the that are subject to the Price Adjust Number SR–C2–2015–017. This file ‘‘Exchange’’ or ‘‘BATS’’) filed with the process on BATS Options. The number should be included on the Securities and Exchange Commission proposed rule change is based on the subject line if email is used. To help the (‘‘Commission’’) the proposed rule operation of similar order types Commission process and review your change as described in Items I and II currently offered by Nasdaq and BX.6 comments more efficiently, please use below, which Items have been prepared BATS Post Only Orders are orders only one method. The Commission will by the Exchange. The Exchange has that are to be ranked and executed on post all comments on the Commission’s designated this proposal as a ‘‘non- the Exchange pursuant to Rule 21.8 Internet Web site (http://www.sec.gov/ controversial’’ proposed rule change (Order Display and Book Processing) or rules/sro.shtml). Copies of the pursuant to section 19(b)(3)(A) of the cancelled, as appropriate, without submission, all subsequent Act 3 and Rule 19b–4(f)(6)(iii) routing away to another trading center. amendments, all written statements thereunder,4 which renders it effective Currently, a BATS Post Only Order will with respect to the proposed rule upon filing with the Commission. The not remove liquidity from the BATS change that are filed with the 7 Commission is publishing this notice to Options Book unless the value of price Commission, and all written solicit comments on the proposed rule improvement associated with such communications relating to the change from interested persons. execution equals or exceeds the sum of proposed rule change between the fees charged for such execution and the Commission and any person, other than I. Self-Regulatory Organization’s value of any rebate that would be those that may be withheld from the Statement of the Terms of Substance of public in accordance with the the Proposed Rule Change 5 See the description of Post-Only Orders under provisions of 5 U.S.C. 552, will be The Exchange filed a proposal to chapter VI, section 1(e)(11) of the Nasdaq Rules and available for Web site viewing and amend Rules 21.1(d)(9), (h) and (i) to chapter VI, section 1(e)(10) of the BX Rules. See printing in the Commission’s Public also Securities Exchange Act Release No. 65761 modify the operation of BATS Post Only (November 16, 2011), 76 FR 72230 (November 22, Reference Room, 100 F Street NE., Orders subject to the Price Adjust 2011) (SR–Nasdaq–2011–152) (Notice of Filing and Washington, DC 20549, on official process on the Exchange’s options Immediate Effectiveness of Proposed Rule Change business days between the hours of to Adopt a ‘‘Post-Only’’ Order Type). See also NYSE Arca, Inc. (‘‘NYSE Arca’’) Rule 6.62(y) for a 10:00 a.m. and 3:00 p.m. Copies of the 8 17 CFR 200.30–3(a)(12). description of PNP Plus orders. filing also will be available for 1 15 U.S.C. 78s(b)(1). 6 See supra note 5. 2 17 CFR 240.19b–4. 7 ‘‘BATS Options Book’’ is defined as ‘‘the 6 15 U.S.C. 78s(b)(3)(A). 3 15 U.S.C. 78s(b)(3)(A). electronic book of options orders maintained by the 7 17 CFR 240.19b–4(f). 4 17 CFR 240.19b–4(f)(6)(iii). Trading System.’’ See Exchange Rule 16.1(a)(9).

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provided if the order posted to the be subject to the Display-Price Sliding BX.11 There are no differences between BATS Options Book and subsequently process described in Rule 21.1(h). A the operation of Post-Only Orders provided liquidity. Unless otherwise BATS Post Only Order subject to the offered by Nasdaq and BX and the instructed by the User,8 a BATS Post Display-Price Sliding process would proposed amendments to the operation Only Order will be subject to the continue to be cancelled where the of BATS Post Only Orders subject to the Display-Price Sliding process set forth NBBO changes such that the order Price Adjust process proposed herein. under Rule 21.1(h). would be ranked at a price at which it Lastly, the Exchange believes the The Exchange proposes to amend the could remove displayed liquidity from proposed amendment to Rule 21.1(h)(4) operation of BATS Post Only Orders the BATS Options Book. specifying that it applies to Partial Post such that they will not remove liquidity The Exchange does, however, propose Only at Limit Orders that are subject to from the BATS Options Book where the to amend the description of the Display- the Display-Price Sliding process also User elects that the order be subject to Price Sliding process under Rule promotes just and equitable principles the Price Adjust process set forth under 21.1(h)(4) to specify that a Partial Post of trade, and perfects the mechanism of Exchange Rule 21.1(i). Specifically, a Only at Limit Order that locks or crosses a free and open market and a national BATS Post Only Order subject to the a Protected Quotation displayed by the market system because it provides Price Adjust process will no longer Exchange upon entry will be executed additional specificity to the rule and remove liquidity from the BATS subject to the price improvement does not modify the operation of Partial Options Book pursuant to Rule formula set forth in Rule 21.1(d)(10) or Post Only at Limit Orders that are 21.1(d)(9) where the value of price cancelled when the order is subject to subject to the Display-Price Sliding improvement associated with such display-price sliding process. The Process. execution equals or exceeds the sum of Exchange does not propose to modify (B) Self-Regulatory Organization’s fees charged for such execution and the the operation of Partial Post Only at Statement on Burden on Competition value of any rebate that would be Limit Orders that are subject to the provided if the order posted to the Display-Price Sliding Process. The Exchange does not believe that BATS Options Book and subsequently 2. Statutory Basis the proposed rule change will impose provided liquidity. Under the Price any burden on competition that is not Adjust process, a BATS Post Only order The Exchange believes that its necessary or appropriate in furtherance that locks or crosses a Protected proposal is consistent with the of the purposes of the Act. To the Quotation displayed by the Exchange requirements of the Act and the rules contrary, the proposed rule change is a and regulations thereunder that are upon entry will continue to be ranked competitive change that is based on the applicable to a national securities and displayed by the System at one operation of similar order types exchange, and, in particular, with the minimum price variation below the currently offered by Nasdaq and BX.12 requirements of section 6(b) of the Act.9 current NBO (for bids) or to one The proposed rule change would, In particular, the proposal is consistent minimum price variation above the therefore, increase competition by with section 6(b)(5) of the Act 10 because current NBB (for offers). As a result, the enabling the Exchange to offer order it is designed to encourage displayed Exchange proposes to amend: (i) The type functionality that is identical to liquidity and offer market participants description of BATS Post Only Orders that offered by its competitors. For all greater flexibility to post liquidity on under Rule 21.1(d)(9) to specify that the the reasons stated above, the Exchange the BATS Options Book, thereby price improvement formula described does not believe that the proposed rule promoting just and equitable principles changes will impose any burden on above would only be applied to BATS of trade, fostering cooperation and competition not necessary or Post Only Orders subject to the Display- coordination with persons engaged in appropriate in furtherance of the Price Sliding process; (ii) the facilitating transactions in securities, purposes of the Act, and believes the description of the Price Adjust process removing impediments to, and proposed change will enhance under Rule 21.1(i)(4) to no longer state perfecting the mechanism of, a free and competition. that a BATS Post Only Order subject to open market and a national market the Price Adjust process would be system. The Exchange notes that Users (C) Self-Regulatory Organization’s executed as set forth in Rule 21.1(d)(9); who wish for their BATS Post Only Statement on Comments on the and (iii) Rule 21.1(h) to clarify it is Orders to post to the BATS Options Proposed Rule Change Received From limited to BATS Post Only Orders Book and forego the opportunity to Members, Participants or Others subject to the Display-Price Sliding remove liquidity upon entry under Rule The Exchange has neither solicited process. 21.1(d)(9) would be required to The Exchange does not propose to nor received written comments on the affirmatively elect that the order be amend the operation of BATS Post Only proposed rule change. The Exchange subject to the Price Adjust process. Orders subject to the Display-Price has not received any written comments Absent such an election, a BATS Post Sliding process. A BATS Post Only from members or other interested Only Order would be subject to the Order subject to the Display-Price parties. Display-Price Sliding process and Sliding process that locks or crosses a eligible to remove liquidity from the III. Date of Effectiveness of the Protected Quotation displayed by the BATS Options Book pursuant to the Proposed Rule Change and Timing for Exchange upon entry will either remove price improvement formula set forth Commission Action liquidity from the BATS Options Book under Rule 21.1(d)(9). In addition, the pursuant to Rule 21.1(d)(9) or be The Exchange has designated this rule proposed operation of BATS Post Only cancelled. Should the order lock or filing as non-controversial under section Order subject to the Price Adjust 13 cross a Protected Quotation displayed 19(b)(3)(A) of the Act and paragraph process is based on the operation of 14 by an external market upon entry, it will (f)(6) of Rule 19b–4 thereunder. The similar order types, called Post-Only Orders, currently offered by Nasdaq and 11 8 ‘‘User’’ is defined as ‘‘any Options Member or See supra note 5. Sponsored Participant who is authorized to obtain 12 Id. access to the System pursuant to Rule 11.3 9 15 U.S.C. 78f(b). 13 15 U.S.C. 78s(b)(3)(A). (Access).’’ See Exchange Rule 16.1(a)(63). 10 15 U.S.C. 78f(b)(5). 14 17 CFR 240.19b–4.

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proposed rule change effects a change change that are filed with the 19b–4 under the Act,3 which renders that (A) does not significantly affect the Commission, and all written the proposal effective upon receipt of protection of investors or the public communications relating to the this filing by the Commission. The interest; (B) does not impose any proposed rule change between the Commission is publishing this notice to significant burden on competition; and Commission and any person, other than solicit comments on the proposed rule (C) by its terms, does not become those that may be withheld from the change from interested persons. operative for 30 days after the date of public in accordance with the I. Self-Regulatory Organization’s the filing, or such shorter time as the provisions of 5 U.S.C. 552, will be Statement of the Terms of the Substance Commission may designate if consistent available for Web site viewing and of the Proposed Rule Change with the protection of investors and the printing in the Commission’s Public public interest; provided that the self- Reference Room, 100 F Street NE., FINRA is proposing to amend FINRA regulatory organization has given the Washington, DC 20549 on official Rule 7650A (Collection of Fees) to Commission written notice of its intent business days between the hours of require FINRA members that are to file the proposed rule change, along 10:00 a.m. and 3:00 p.m. Copies of such FINRA/Nasdaq Trade Reporting Facility with a brief description and text of the filing also will be available for (‘‘FINRA/Nasdaq TRF’’) participants to proposed rule change, at least five inspection and copying at the principal submit billing disputes within sixty business days prior to the date of filing offices of the Exchange. All comments days of receipt of the invoice to the of the proposed rule change, or such received will be posted without change; FINRA/Nasdaq TRF. The proposed rule shorter time as designated by the the Commission does not edit personal change also would rename Rule 7650A Commission. identifying information from as ‘‘Collection of Fees and Billing At any time within 60 days of the submissions. You should submit only Policy.’’ filing of the proposed rule change, the information that you wish to make The text of the proposed rule change is available on FINRA’s Web site at Commission may summarily available publicly. All submissions http://www.finra.org, at the principal temporarily suspend such rule change if should refer to File Number SR–BATS– office of FINRA and at the it appears to the Commission that such 2015–51, and should be submitted on or Commission’s Public Reference Room. action is: (1) Necessary or appropriate in before July 31, 2015. the public interest; (2) for the protection II. Self-Regulatory Organization’s of investors; or (3) otherwise in For the Commission, by the Division of Trading and Markets, pursuant to delegated Statement of the Purpose of, and furtherance of the purposes of the Act. authority.15 Statutory Basis for, the Proposed Rule If the Commission takes such action, the Brent J. Fields, Change Commission shall institute proceedings Secretary. In its filing with the Commission, to determine whether the proposed rule FINRA included statements concerning should be approved or disapproved. [FR Doc. 2015–16857 Filed 7–9–15; 8:45 am] BILLING CODE 8011–01–P the purpose of and basis for the IV. Solicitation of Comments proposed rule change and discussed any Interested persons are invited to comments it received on the proposed submit written data, views, and SECURITIES AND EXCHANGE rule change. The text of these statements arguments concerning the foregoing, COMMISSION may be examined at the places specified including whether the proposed rule in Item IV below. FINRA has prepared [Release No. 34–75364; File No. SR–FINRA– summaries, set forth in sections A, B, change is consistent with the Act. 2015–024] Comments may be submitted by any of and C below, of the most significant the following methods: Self-Regulatory Organizations; aspects of such statements. Electronic Comments Financial Industry Regulatory A. Self-Regulatory Organization’s Authority, Inc.; Notice of Filing and Statement of the Purpose of, and • Use the Commission’s Internet Immediate Effectiveness of a Proposed Statutory Basis for, the Proposed Rule comment form (http://www.sec.gov/ Rule Change To Amend FINRA Rule Change rules/sro.shtml); or 7650A Relating to Submission of • 1. Purpose Send an email to rule-comments@ Billing Disputes by FINRA/Nasdaq sec.gov. Please include File Number SR– Trade Reporting Facility Participants The FINRA/Nasdaq TRF is a facility BATS–2015–51 on the subject line. of FINRA that is operated by The July 6, 2015. Paper Comments NASDAQ OMX Group, Inc. (‘‘NASDAQ Pursuant to Section 19(b)(1) of the OMX’’). In connection with the • Send paper comments in triplicate Securities Exchange Act of 1934 establishment of the FINRA/Nasdaq to Brent J. Fields, Secretary, Securities (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 TRF, FINRA and NASDAQ OMX and Exchange Commission, 100 F Street notice is hereby given that on July 1, entered into a limited liability company NE., Washington, DC 20549–1090. 2015, Financial Industry Regulatory agreement (the ‘‘LLC Agreement’’). All submissions should refer to File Authority, Inc. (‘‘FINRA’’) filed with the Under the LLC Agreement, FINRA, the Number SR–BATS–2015–51. This file Securities and Exchange Commission ‘‘SRO Member,’’ has sole regulatory number should be included on the (‘‘SEC’’ or ‘‘Commission’’) the proposed responsibility for the FINRA/Nasdaq subject line if email is used. To help the rule change as described in Items I and TRF. NASDAQ OMX, the ‘‘Business Commission process and review your II below, which Items have been Member,’’ is primarily responsible for comments more efficiently, please use prepared by FINRA. FINRA has the management of the FINRA/Nasdaq only one method. The Commission will designated the proposed rule change as TRF’s business affairs to the extent post all comments on the Commission’s constituting a ‘‘non-controversial’’ rule those affairs are not inconsistent with Internet Web site (http://www.sec.gov/ change under paragraph (f)(6) of Rule the regulatory and oversight functions of rules/sro.shtml). Copies of the FINRA. As such, the Business Member submission, all subsequent 15 17 CFR 200.30–3(a)(12). establishes pricing for use of the FINRA/ amendments, all written statements 1 15 U.S.C. 78s(b)(1). with respect to the proposed rule 2 17 CFR 240.19b–4. 3 17 CFR 240.19b–4(f)(6).

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Nasdaq TRF, and such pricing is Market rules, effective July 1, 2015.8 proposed billing policy in its own implemented pursuant to FINRA rules FINRA also is proposing to rename Rule rulemaking. FINRA notes that Nasdaq’s that must be filed with the SEC and be 7650A as ‘‘Collection of Fees and Billing billing policy was subject to proposed consistent with the Act. In addition, the Policy.’’ rule changes filed by Nasdaq with the Business Member is obligated to pay the FINRA has filed the proposed rule Commission.11 cost of regulation and is entitled to the change for immediate effectiveness and Consistent with SR–NASDAQ–2015– profits and losses, if any, derived from requested waiver of the 30-day operative 050, the proposed billing policy would the operation of the FINRA/Nasdaq delay. FINRA proposes that the apply uniformly to all members that are TRF. proposed rule change will become FINRA/Nasdaq TRF participants, as it Pursuant to the FINRA Rule 7600A operative on July 1, 2015. The proposed does today with NOM participants and Series, FINRA members that are FINRA/ billing policy would apply to invoices as proposed for Nasdaq equity Nasdaq TRF participants are charged for trade reporting activity occurring in participants. In addition, consistent July 2015 and thereafter.9 with SR–NASDAQ–2015–050, the fees (Rule 7620A) and also may qualify proposed billing policy would conserve for credits for trade reporting to the 2. Statutory Basis FINRA/Nasdaq TRF resources, which FINRA/Nasdaq TRF (Rule 7610A). FINRA believes that the proposed rule are expended when untimely billing These rules are administered by change is consistent with the provisions disputes require staff to research NASDAQ OMX, in its capacity as the of Section 15A(b)(6) of the Act,10 which applicable fees and other information ‘‘Business Member’’ and operator of the requires, among other things, that beyond two months after the invoice is FINRA/Nasdaq TRF on behalf of FINRA rules must be designed to issued. FINRA,4 and NASDAQ OMX collects all prevent fraudulent and manipulative fees on behalf of the FINRA/Nasdaq acts and practices, to promote just and C. Self-Regulatory Organization’s TRF. equitable principles of trade, and, in Statement on Comments on the On June 23, 2015, FINRA filed a general, to protect investors and the Proposed Rule Change Received From proposed rule change to adopt Rule public interest. Consistent with SR– Members, Participants, or Others 7650A to require FINRA members that NASDAQ–2015–050, the proposed Written comments were neither are FINRA/Nasdaq TRF participants to requirement that billing disputes under solicited nor received. the Rule 7600A Series be submitted to provide a clearing account number for III. Date of Effectiveness of the the FINRA/Nasdaq TRF within sixty an account at National Securities Proposed Rule Change and Timing for days from receipt of the invoice would Clearing Corporation (‘‘NSCC’’) to the Commission Action FINRA/Nasdaq TRF for purposes of set an objective standard and would be permitting NASDAQ OMX, on behalf of fair and applied uniformly to all Because the foregoing proposed rule the FINRA/Nasdaq TRF, to debit any members that are FINRA/Nasdaq TRF change does not: (i) Significantly affect undisputed or final fees due and owing participants. In addition, consistent the protection of investors or the public under the FINRA Rule 7600A Series with SR–NASDAQ–2015–050, sixty interest; (ii) impose any significant relating to the FINRA/Nasdaq TRF.5 days is ample time for members to burden on competition; and (iii) become operative for 30 days from the date on FINRA is proposing to amend Rule review an invoice and dispute any which it was filed, or such shorter time 7650A to add a new paragraph (b) to billing related to trade reporting activity as the Commission may designate, it has require all billing disputes to be for that time period. As noted above, an become effective pursuant to Section submitted to the FINRA/Nasdaq TRF in identical billing policy applies today 19(b)(3)(A) of the Act 12 and Rule 19b– writing 6 and accompanied by with respect to NOM participants and 4(f)(6) thereunder.13 supporting documentation within sixty has been proposed for NASDAQ equity participants. A proposed rule change filed under days of receipt of an invoice. This Rule 19b–4(f)(6) normally does not process is expected to conserve B. Self-Regulatory Organization’s become operative before 30 days from resources, which are expended when Statement on Burden on Competition the date of the filing. However, pursuant untimely billing disputes require FINRA does not believe that the to Rule 19b–4(f)(6)(iii),14 the research of applicable fees and other proposed rule change will result in any Commission may designate a shorter information beyond two months after burden on competition that is not time if such action is consistent with the the invoice was issued. The proposed necessary or appropriate in furtherance protection of investors and the public billing policy would apply only to fees of the purposes of the Act. As described interest. due and owing by the member under the above, and consistent with the LLC FINRA has asked the Commission to Rule 7600A Series. FINRA notes that the Agreement, the proposed billing policy waive the 30-day operative delay. The same policy with respect to billing is identical to the billing policy Commission believes that waiving the disputes is in place today for NASDAQ 30-day operative delay is consistent 7 NASDAQ OMX currently has in place Options Market (‘‘NOM’’) Participants for NOM participants and is also with the protection of investors and the and has been proposed for NASDAQ identical to the billing policy proposed public interest. The proposed rule equity participants relating to exchange by Nasdaq for Nasdaq equity change proposes a billing policy that is fees and charges under Nasdaq Stock participants under Nasdaq Stock Market identical to the billing policy proposed rules. As the Business Member, by Nasdaq relating to fees under Nasdaq 4 FINRA’s oversight of this function performed by NASDAQ OMX has the obligation of Stock Market rules pursuant to SR– the Business Member is conducted through a recurring assessment and review of TRF operations assessing the potential impacts of the NASDAQ–2015–050. The operative date by an outside independent audit firm. 5 See Securities Exchange Act Release No. 75339 8 See Securities Exchange Act Release No. 74895 11 See, e.g., Securities Exchange Act Release No. (June 30, 2015) (Notice of Filing and Immediate (May 7, 2015), 80 FR 27352 (May 13, 2015) (Notice 74895 (May 7, 2015), 80 FR 27352 (May 13, 2015) Effectiveness; File No. SR–FINRA–2015–021). of Filing and Immediate Effectiveness; File No. SR– (Notice of Filing and Immediate Effectiveness; File 6 The invoice specifies the contact person(s) to NASDAQ–2015–050). No. SR–NASDAQ–2015–050). whom to address billing disputes. 9 The proposed billing policy would not apply to 12 15 U.S.C. 78s(b)(3)(A). 7 See NOM Rules at Chapter XV, Section 7, invoices related to June 2015 (or prior) billing. 13 17 CFR 240.19b–4(f)(6). entitled ‘‘NASDAQ Options Fee Disputes.’’ 10 15 U.S.C. 78o–3(b)(6). 14 17 CFR 240.19b–4(f)(6)(iii).

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of proposed rule change SR–NASDAQ– communications relating to the address shown in its then-most recent 2015–050 is July 1, 2015. FINRA proposed rule change between the filing with the Commission, but ARRI believes, and the Commission agrees, Commission and any person, other than did not receive the delinquency letter that it would be more efficient to those that may be withheld from the due to its failure to maintain a valid implement the billing policy under this public in accordance with the address on file with the Commission as proposed rule change on the same date provisions of 5 U.S.C. 552, will be required by Commission rules (Rule 301 as the billing policy under SR– available for Web site viewing and of Regulation S–T, 17 CFR 232.301 and NASDAQ–2015–050, rather than on a printing in the Commission’s Public Section 5.4 of the EDGAR Filer Manual). piecemeal basis. Therefore, the Reference Room, 100 F Street NE., It appears to the Securities and Commission hereby waives the 30-day Washington, DC 20549 on official Exchange Commission that there is a operative delay and designates the business days between the hours of lack of current and accurate information proposed rule change to be operative 10:00 a.m. and 3:00 p.m. Copies of such concerning the securities of Gundaker/ upon filing with the Commission.15 filing also will be available for Jordan American Holdings, Inc. (a/k/a At any time within 60 days of the inspection and copying at the principal Jordan American Holdings, Inc.) (CIK filing of the proposed rule change, the offices of FINRA. All comments No. 855663) (‘‘JAHI’’), a Florida Commission summarily may received will be posted without change; corporation with its principal place of temporarily suspend such rule change if the Commission does not edit personal business in Excello, Missouri, with it appears to the Commission that such identifying information from stock quoted on OTC Link, because it action is: (i) Necessary or appropriate in submissions. You should submit only has not filed any periodic reports since the public interest; (ii) for the protection information that you wish to make the period ended September 30, 2005. of investors; or (iii) otherwise in available publicly. All submissions On March 19, 2015, Corporation furtherance of the purposes of the Act. should refer to File Number SR–FINRA– Finance sent a delinquency letter to If the Commission takes such action, the 2015–024, and should be submitted on JAHI requesting compliance with its Commission shall institute proceedings or before July 31, 2015 periodic reporting obligations at the to determine whether the proposed rule For the Commission, by the Division of address shown in its then-most recent should be approved or disapproved. Trading and Markets, pursuant to delegated filing with the Commission, but JAHI 16 did not receive the delinquency letter IV. Solicitation of Comments authority. Brent J. Fields, due to its failure to maintain a valid Interested persons are invited to Secretary. address on file with the Commission as submit written data, views, and required by Commission rules (Rule 301 [FR Doc. 2015–16859 Filed 7–9–15; 8:45 am] arguments concerning the foregoing, of Regulation S–T, 17 CFR 232.301 and including whether the proposed rule BILLING CODE 8011–01–P Section 5.4 of the EDGAR Filer Manual). change is consistent with the Act. It appears to the Securities and Comments may be submitted by any of SECURITIES AND EXCHANGE Exchange Commission that there is a the following methods: COMMISSION lack of current and accurate information Electronic Comments concerning the securities of Liberty [File No. 500–1] Petroleum Corporation (CIK No. 59270) • Use the Commission’s Internet (‘‘LBPE’’), a Delaware corporation with comment form (http://www.sec.gov/ In the Matter of Arrin Corporation, its principal place of business in New rules/sro.shtml); or Gundaker/Jordan American Holdings • York, New York, with stock quoted on Send an email to rule-comments@ (a/k/a Jordan American Holdings, Inc.), OTC Link, because it has not filed any sec.gov. Please include File Number SR– Liberty Petroleum Corporation, Mikojo periodic reports since the period ended FINRA–2015–024 on the subject line. Incorporated, Royal Invest June 30, 1987. On August 24, 2012, International Corp., and San Joaquin Paper Comments Corporation Finance sent a delinquency Bancorp; Order of Suspension of letter to LBPE requesting compliance • Send paper comments in triplicate Trading with its periodic reporting obligations at to Secretary, Securities and Exchange the address shown in its then-most Commission, 100 F Street NE., July 8, 2015. recent filing with the Commission, but Washington, DC 20549–1090. It appears to the Securities and Exchange Commission that there is a LBPE did not receive the delinquency All submissions should refer to File letter due to its failure to maintain a Number SR–FINRA–2015–024. This file lack of current and accurate information concerning the securities of Arrin valid address on file with the number should be included on the Commission as required by Commission subject line if email is used. To help the Corporation (CIK No. 1427433) (‘‘ARRI’’ 1), a revoked Nevada rules (Rule 301 of Regulation S–T, 17 Commission process and review your CFR 232.301 and Section 5.4 of the comments more efficiently, please use corporation with its principal place of business in Bradenton, Florida, with EDGAR Filer Manual). only one method. The Commission will It appears to the Securities and post all comments on the Commission’s stock quoted on OTC Link (previously, ‘‘Pink Sheets’’) operated by OTC Exchange Commission that there is a Internet Web site (http://www.sec.gov/ lack of current and accurate information rules/sro.shtml). Copies of the Markets Group Inc. (‘‘OTC Link’’) because it has not filed any periodic concerning the securities of Mikojo submission, all subsequent reports since the period ended March Incorporated (CIK No. 1411085) amendments, all written statements 31, 2011. On June 26, 2013, the Division (‘‘MKJI’’), a void Delaware corporation with respect to the proposed rule of Corporation Finance (‘‘Corporation with its principal place of business in change that are filed with the Finance’’) sent a delinquency letter to Foster City, California, with stock Commission, and all written ARRI requesting compliance with its quoted on OTC Link, because it has not periodic reporting obligations at the filed any periodic reports since the 15 For purposes only of waiving the operative period ended March 31, 2011. On April delay for this proposal, the Commission has considered the proposed rule’s impact on 16 17 CFR 200.30–3(a)(12). 29, 2013, Corporation Finance sent a efficiency, competition, and capital formation. See 1 The short form of each issuer’s name is also its delinquency letter to MKJI requesting 15 U.S.C. 78c(f). ticker symbol. compliance with its periodic reporting

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obligations at the address shown in its By the Commission. disapproved. The 45th day for this filing then-most recent filing with the Jill M. Peterson, is July 11, 2015. Commission, but MKJI did not receive Assistant Secretary. The Commission is extending the 45- the delinquency letter due to its failure [FR Doc. 2015–17014 Filed 7–8–15; 11:15 am] day time period for Commission action on the proposed rule change. The to maintain a valid address on file with BILLING CODE 8011–01–P the Commission as required by Commission finds that it is appropriate Commission rules (Rule 301 of to designate a longer period within Regulation S–T, 17 CFR 232.301 and SECURITIES AND EXCHANGE which to take action on the proposed Section 5.4 of the EDGAR Filer Manual). COMMISSION rule change so that it has sufficient time to consider the proposed rule change, as It appears to the Securities and modified by Amendment No. 1. Exchange Commission that there is a [Release No. 34–75359; File No. SR–CBOE– Accordingly, pursuant to Section lack of current and accurate information 2015–045] 19(b)(2) of the Act 6 and for the reasons concerning the securities of Royal Invest Self-Regulatory Organizations; stated above, the Commission International Corp. (CIK No. 1079574) designates August 25, 2015, as the date (‘‘RIIC’’), a void Delaware corporation Chicago Board Options Exchange, Incorporated; Notice of Designation of by which the Commission should either with its principal place of business in approve or disapprove, or institute Westport, Connecticut, with stock Longer Period for Commission Action on Proposed Rule Change Relating to proceedings to determine whether to quoted on OTC Link because it has not disapprove, the proposed rule change. filed any periodic reports since the Rule 6.53C and Complex Orders on the period ended September 30, 2010. On Hybrid System For the Commission, by the Division of Trading and Markets, pursuant to delegated June 26, 2013, Corporation Finance sent July 6, 2015. authority.7 a delinquency letter to RIIC requesting Brent J. Fields, compliance with its periodic reporting On May 12, 2015, Chicago Board Secretary. obligations at the address shown in its Options Exchange, Incorporated (the then-most recent filing with the ‘‘Exchange’’ or ‘‘CBOE’’) filed with the [FR Doc. 2015–16856 Filed 7–9–15; 8:45 am] Commission, but RIIC did not receive Securities and Exchange Commission BILLING CODE 8011–01–P the delinquency letter due to its failure (‘‘Commission’’), pursuant to Section to maintain a valid address on file with 19(b)(1) of the Securities Exchange Act SECURITIES AND EXCHANGE the Commission as required by of 1934 (‘‘Act’’) 1 and Rule 19b–4 COMMISSION Commission rules (Rule 301 of thereunder,2 a proposed rule change to Regulation S–T, 17 CFR 232.301 and modify Rule 6.53C, Complex Orders on [Release No. 34–75363; File No. SR–CTA– Section 5.4 of the EDGAR Filer Manual). the Hybrid System, to give the Exchange 2015–02] the flexibility to distinguish between It appears to the Securities and Professional and non-Professional Consolidated Tape Association; Notice Exchange Commission that there is a orders for the purposes of determining of Filing of the Twenty Third lack of current and accurate information eligibility for COA. The proposed rule Substantive Amendment to the Second concerning the securities of San Joaquin change was published for comment in Restatement of the CTA Plan Bancorp (CIK No. 1368883) (‘‘SJQU’’), a the Federal Register on May 27, 2015.3 suspended California corporation with July 6, 2015. On June 3, 2015, CBOE filed its principal place of business in Pursuant to Section 11A of the Amendment No.1 to the proposed rule Bakersfield, California, with stock Securities Exchange Act of 1934 change.4 The Commission received no quoted on OTC Link because it has not (‘‘Act’’),1 and Rule 608 thereunder,2 comment letters regarding the proposed filed any periodic reports since the notice is hereby given that on June 19, rule change. period ended June 30, 2009. On June 26, 2015, certain participants (‘‘Approving 2013, Corporation Finance sent a Section 19(b)(2) of the Act 5 provides Participants’’) 3 in the Second delinquency letter to SJQU requesting that within 45 days of the publication of Restatement of the Consolidated Tape compliance with its periodic reporting notice of the filing of a proposed rule Association Plan (‘‘CTA Plan’’ or obligations at the address shown in its change, or within such longer period up ‘‘Plan’’) filed with the Securities and then-most recent filing with the to 90 days as the Commission may Exchange Commission (‘‘Commission’’) Commission, but SJQU did not receive designate if it finds such longer period a proposal to amend the Plan.4 The the delinquency letter due to its failure to be appropriate and publishes its to maintain a valid address on file with reasons for so finding or as to which the 7 17 CFR 200.30–3(a)(31). the Commission as required by self-regulatory organization consents, 6 15 U.S.C. 78s(b)(2). the Commission shall either approve the 1 15 U.S.C. 78k–1. Commission rules (Rule 301 of 2 Regulation S–T, 17 CFR 232.301 and proposed rule change, disapprove the 17 CFR 242.608. 3 More than two-thirds of the CTA Plan Section 5.4 of the EDGAR Filer Manual). proposed rule change, or institute participants approved the amendment. The proceedings to determine whether the The Commission is of the opinion that Approving Participants are: BATS Exchange, Inc., proposed rule change should be BATS–Y Exchange, Inc., Chicago Board Options the public interest and the protection of Exchange, Incorporated, Chicago Stock Exchange, investors require a suspension of trading Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., 1 in the securities of the above-listed 15 U.S.C. 78s(b)(1). Financial Industry Regulatory Authority, Inc., 2 17 CFR 240.19b–4. companies. Therefore, it is ordered, International Securities Exchange, LLC, National 3 See Securities Exchange Act Release No. 75003 Stock Exchange, New York Stock Exchange LLC, pursuant to Section 12(k) of the (May 20, 2015), 80 FR 30306. NYSE MKT LLC, and NYSE Arca, Inc. NASDAQ Securities Exchange Act of 1934, that 4 Amendment No. 1 to the proposed rule change OMX BX, Inc., NASDAQ OMX PHLX, Inc., and the trading in the securities of the above- amended the statutory basis and burden on Nasdaq Stock Market LLC are also CTA Plan listed companies is suspended for the competition sections of the Form 19b–4 and Exhibit participants (‘‘participants’’). 1 regarding distinguishing between Professional 4 See Securities Exchange Act Release Nos. 10787 period from 9:30 a.m. EDT on July 8, and non-Professional orders for purposes of (May 10, 1974), 39 FR 17799 (May 20, 1974) 2015, through 11:59 p.m. EDT on July determining eligibility for COA. (declaring the CTA Plan effective). The most recent 21, 2015. 5 15 U.S.C. 78s(b)(2). Continued

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amendment represents the 23rd To make the displays transparent and provide an exchange’s trading volume Substantive Amendment less likely to mislead, the Approving with displays of the exchanges trade (‘‘Amendment’’) to the CTA Plan.5 The Participants have determined to require prices and quotes, without the need to Amendment proposes to establish a fee data redistributors that include include a display requirement. that will be charged to a vendor or other consolidated volume in displays of In order to motivate data recipients to data redistributor that fails to comply unconsolidated prices and quotes to comply with the display statement with the CTA Plan participants’ incorporate into those displays the requirements, including the requisite Consolidated Volume display statement, following statement (or a close iteration declarations and screen submissions, and related requirements. The non- of the statement that the network the Approving Participants have compliance charge seeks to provide administrator(s) have approved): determined to establish a non- incentives for data redistributors to ‘‘Realtime quote and/or trade prices are compliance fee for each month of non- comply with the participants’ not sourced from all markets.’’ compliance. For each of Network A and consolidated volume requirements. A data redistributor must also assure Network B, the monthly fee is $3,000. The Commission is publishing this that any person included in the A datafeed recipient must submit the 6 notice to solicit comments from redistribution chain starting with the required screen prints by July 9, 2015 interested persons on the proposed data redistributor places the statement or within thirty days of the effective Amendment. in any such display that it provides. The date of its Vendor Agreement. It must statement must be clearly visible to the submit those screen prints (including I. Rule 608(a) end users so that they understand the previously provided, new, or changed A. Purpose of the Amendment differences in the data sources. screen prints) annually by the 31st day In addition, data redistributors need of each January thereafter. Historically, the Plan participants to assure that they, and any person or The non-compliance charges will be have not applied device fees to devices entity included in the redistribution assessed against a data redistributor for that receive consolidated volume (i.e., chain starting with them, clearly each month in which it fails to provide aggregate volume for trades taking place incorporate the display statement into the declaration or a copy of a on all market centers under the Plan) in any advertisement, sales literature or Consolidated Volume screen print with displays that do not also include CTA other material displaying CTA the required display statement in a Plan prices or CQ Plan quotation Consolidated Volume alongside timely manner. The charge will also be information. The participants do not unconsolidated prices or quotes. assessed against a data redistributor plan to change this policy. These requirements apply to both each month for non-compliance by However, some data redistributors real-time and delayed displays of persons in the redistribution chain include consolidated volume in consolidated volume. starting with the data redistributor displays of unconsolidated last sale In order to ensure compliance with where such persons have not entered prices and/or unconsolidated bid-asked these requirements, the participants will into an applicable agreement with CTA. quotes, such as displays of one require all recipients of the CTA last The non-compliance charges seek to exchange’s trade prices and quotes. sale price datafeed (whether directly or provide incentives for data Such displays, whether displayed indirectly) to submit a declaration. The redistributors to comply with the internally or externally, could mislead participants will require those firms that consolidated volume requirements. The investors in respect of the nature of the include consolidated volume in Approving Participants do not view the information they are viewing. A displays of unconsolidated prices and non-compliance fee as establishing a significant number of data users receive quotes to submit to NYSE a screen print new revenue source. Rather, they hope proprietary trade prices and quotes. of the displays, showing the display it encourages all data redistributors to Unless the data users understand the statement. As this is a new requirement, submit their declarations and screen content being displayed, they could the CTA Administrator will work with prints (where applicable) in a timely mistakenly think that they are seeing firms to facilitate their compliance. fashion. They hope that the fee will consolidated trades and quotes because A firm with access to CTA motivate non-compliant redistributors they see consolidated volume without consolidated volume data must submit to adopt the same practices that the any explanation. the declaration and, if applicable, the majority of redistributors follow. screen print within 120 days from the The inclusion of delayed displays of effective date of the amendment or consolidated volume in the restatement of the Plan was in 1995. The CTA Plan, pursuant to which markets collect and disseminate within 30 days of the effective date of consolidated volume requirements seeks last sale price information for non-NASDAQ listed the firm’s market data agreement with to add clarity where a data redistributor securities, is a ‘‘transaction reporting plan’’ under the participants that governs its receipt accompanies displays of real-time Rule 601 under the Act, 17 CFR 242.601, and a of the CTA datafeed (its ‘‘Vendor unconsolidated prices and quotes with ‘‘national market system plan’’ under Rule 608 under the Act, 17 CFR 242.608. Agreement’’). Thereafter, each firm must delayed consolidated volume. The 5 The Amendment was originally submitted on an submit its declaration and, if applicable, Approving Participants seek to prevent immediately effective basis pursuant to Rule its screen print annually by the 31st day that data redistributor from misleading 608(b)(3)(i) under Regulation NMS. See Letter from of each January. The declaration and investors while escaping the Emily Kasparov, Chairman, CTA Plan Operating consolidated display requirements. Committee to Brent J. Fields, Secretary, screen print (if applicable) must be Commission, dated May 18, 2015. On June 19, 2015, submitted to [email protected]. B. Governing or Constituent Documents the Approving Participants filed a letter to indicate The Approving Participants’ the proposal should be considered under Rule representatives met with SIFMA and the Not applicable. 608(b)(1) and Rule 608(b)(2) of Regulation NMS. As a result, the Amendment must be approved by the CTA Plan’s Advisory Committee to C. Implementation of the Amendment discuss the consolidated volume Commission. See Letter from Emily Kasparov, Approving Participants have Chairman, CTA Plan Operating Committee to Brent requirements and responded to their manifested their approval of the J. Fields, Secretary, Commission, dated June 17, questions. The Approving Participants 2015. The Amendment was designated as the shortened the display statement in Twenty Second Charges Amendment to the Plan. 6 The Commission notes that the Amendment The Commission notes that the proposal is the response to comments and made clear shall not become effective prior to Commission Twenty Third Substantive Amendment to the Plan. that a datafeed recipient is free to approval. See id.

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proposed Amendment by means of their J. Method of Determination and consistent with the Act. Comments may execution of the Amendment. The Plan Imposition, and Amount of, Fees and be submitted by any of the following Amendment would become operational Charges methods: 7 upon approval by the Commission. The Approving Participants believe Electronic Comments D. Development and Implementation that the proposed compliance fee is fair • Use the Commission’s Internet Phases and reasonable and provides for an equitable allocation of dues, fees, and comment form (http://www.sec.gov/ The Approving Participants anticipate other charges among vendors, data rules/sro.shtml); or commencing to apply the compliance recipients and other persons using CTA • Send an email to rule-comments@ fee on data redistributors that fail to Network A facilities. They intend that it sec.gov. Please include File Number SR– submit declarations or required screen will provide incentives for compliance CTA–2015–02 on the subject line. with consolidated volume requirements. prints by [DATE] [sic]. The Approving Paper Comments Participants will give notice of the The charge will be applied uniformly to compliance fee to all data redistributors vendors, data recipients and other • Send paper comments in triplicate no less than 120 days prior to its persons that fail to comply. to Secretary, Securities and Exchange implementation. K. Method and Frequency of Processor Commission, 100 F Street NE., Washington, DC 20549–1090. E. Analysis of Impact on Competition Evaluation Not applicable. All submissions should refer to File The amendment will impose no Number SR–CTA–2015–02. This file burden on competition. L. Dispute Resolution number should be included on the Not applicable. subject line if email is used. To help the F. Written Understanding or Agreements Commission process and review your Relating to Interpretation of, or II. Rule 601(a) comments more efficiently, please use Participation in, Plan A. Equity Securities for Which only one method. The Commission will post all comments on the Commission’s The participants have no written Transaction Reports Shall Be Required by the Plan Internet Web site (http://www.sec.gov/ understandings or agreements between rules/sro.shtml). Copies of the or among them relating to interpretation Not applicable. submission, all subsequent of the CTA Plan as a result of the B. Reporting Requirements amendments, all written statements amendment. with respect to the Amendment that are Not applicable. G. Approval by Sponsors in Accordance filed with the Commission, and all With Plan C. Manner of Collecting, Processing, written communications relating to the Sequencing, Making Available and Amendment between the Commission Section XII (b)(iii) of the CTA Plan Disseminating Last Sale Information and any person, other than those that provides that ‘‘[a]ny addition of any Not applicable. may be withheld from the public in charge to . . . the charges set forth in accordance with the provisions of 5 Exhibit E . . . shall be effected by an D. Manner of Consolidation U.S.C. 552, will be available for Web amendment to this CTA Plan . . . that Not applicable. site viewing and printing in the is approved by affirmative vote of not Commission’s Public Reference Room, E. Standards and Methods Ensuring less than two-thirds of all of the then 100 F Street NE., Washington, DC Promptness, Accuracy and voting members of CTA. Any such 20549, on official business days Completeness of Transaction Reports amendment shall be executed on behalf between the hours of 10 a.m. and 3 p.m. of each Participant that appointed a Not applicable. Copies of the Amendment also will be voting member of CTA who approves available for inspection and copying at F. Rules and Procedures Addressed to the principal office of the CTA. All such amendment and shall be filed with Fraudulent or Manipulative the SEC.’’ comments received will be posted Dissemination without change; the Commission does The Approving Participants have Not applicable. not edit personal identifying executed this Amendment and represent information from submissions. You G. Terms of Access to Transaction not less than two-thirds of all of the should submit only information that Reports parties to the Plan. That satisfies the you wish to make available publicly. All Plan’s participant-approval Not applicable. submissions should refer to File requirements. H. Identification of Marketplace of Number SR–CTA–2015–02 and should be submitted on or before July 31, 2015. H. Description of Operation of Facility Execution Contemplated by the Proposed Not applicable. For the Commission, by the Division of Amendment Trading and Markets, pursuant to delegated III. Solicitation of Comments authority.8 Not applicable. The Commission seeks general Brent J. Fields, I. Terms and Conditions of Access comments on the Amendment. Secretary. Interested persons are invited to submit [FR Doc. 2015–16837 Filed 7–9–15; 8:45 am] Not applicable. written data, views, and arguments BILLING CODE 8011–01–P concerning the foregoing, including 7 See supra note 5. whether the proposed Amendment are 8 17 CFR 200.30–3(a)(27).

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SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s System of the intent to reengage quoting COMMISSION Statement of the Purpose of, and and submits a new revised quotation in Statutory Basis for, the Proposed Rule the affected class. [Release No. 34–75361; File No. SR–MIAX– Change The Exchange proposes to add new, 2015–44] 1. Purpose optional enhanced functionality to the ARM by adopting new Interpretations Self-Regulatory Organizations: Notice The Exchange proposes to amend and Policies .02 to Rule 612, entitled Exchange Rule 612, Aggregate Risk of Filing and Immediate Effectiveness Enhanced Aggregate Risk Manager Manager (‘‘ARM’’) to provide optional of a Proposed Rule Change by Miami Protections. The proposed rule would enhanced risk protections for Exchange International Securities Exchange LLC address circumstances where a Market Market Makers.3 Currently, ARM To Amend Exchange Rule 612 Maker experiences multiple, successive protects Market Makers by limiting the Regarding Enhanced Aggregate Risk triggers of the Aggregate Risk Manager. number of contracts they execute in an The Enhanced ARM Protections would Manager Protections for Exchange option class on the Exchange within a Market Makers be triggered when the Allowable specified time period that has been Engagement Percentage has been July 6, 2015. established by the Market Maker (a equaled or exceeded a specified number ‘‘specified time period’’), which may of times (not less than three times and Pursuant to the provisions of section have a duration of up to 15 seconds. not greater than 99 times) within a 19(b)(1) of the Securities Exchange Act MIAX Market Makers establish a specified time period (not less than one of 1934 (‘‘Act’’) 1 and Rule 19b–4 percentage of their quotations (the 2 second and not greater than 24,300 thereunder, notice is hereby given that ‘‘Allowable Engagement Percentage’’) seconds) (each as determined by the on June 26, 2015, Miami International and the specified time period for each Market Maker). For purposes of the Securities Exchange LLC (‘‘MIAX’’ or option class in which they are Enhanced ARM Protections, the ‘‘Exchange’’) filed with the Securities appointed.4 When an execution against specified time period will be called the and Exchange Commission a Market Maker’s Standard quote 5 or ‘‘ARM trigger counting period’’ in the (‘‘Commission’’) a proposed rule change Day eQuote (as defined below) occurs, rule.7 Market Makers may determine not as described in Items I, II, and III below, the MIAX System 6 looks back over the to engage the Enhanced ARM which Items have been prepared by the specified time period to determine Protections or may determine to engage Exchange. The Commission is whether the execution is of sufficient either or both of two proposed publishing this notice to solicit size to trigger the Aggregate Risk Enhanced ARM Protections in the comments on the proposed rule change Manager. The System engages the System: the Class Protection feature and from interested persons. Aggregate Risk Manager when it has the Market Maker Protection feature, determined that a Market Maker has I. Self-Regulatory Organization’s each described more fully below. traded a number of contracts equal to or The Enhanced ARM Protections may Statement of the Terms of Substance of above their Allowable Engagement the Proposed Rule Change be engaged simultaneously and will Percentage during the specified time operate independently of one another. The Exchange is filing a proposal to period. The Aggregate Risk Manager The ARM trigger counting period may amend Exchange Rule 612 to provide then automatically cancels and removes be set differently for each Enhanced Enhanced Aggregate Risk Manager the Market Maker’s Standard quotes and ARM Protection when they are engaged Protections for Exchange Market Day eQuotes from the Exchange’s simultaneously. The determination not Makers. disseminated quotation in all series of to engage the Enhanced ARM that particular option class until the Protections does not require any action The text of the proposed rule change Market Maker sends a notification to the on the part of Market Makers. is available on the Exchange’s Web site at http://www.miaxoptions.com/filter/ 3 The term ‘‘Market Makers’’ refers to ‘‘Lead eQuotes wotitle/rule_filing, at MIAX’s principal Market Makers,’’ ‘‘Primary Lead Market Makers’’ and ‘‘Registered Market Makers’’ collectively. A Current Interpretations and Policies office, and at the Commission’s Public 8 Lead Market Maker is a Member registered with the .01 to Rule 612 states that eQuotes do Reference Room. Exchange for the purpose of making markets in not participate in the Aggregate Risk securities traded on the Exchange and that is vested Manager. The Exchange proposes to II. Self-Regulatory Organization’s with the rights and responsibilities specified in Statement of the Purpose of, and chapter VI of these Rules with respect to Lead amend Interpretations and Policies .01 Statutory Basis for, the Proposed Rule Market Makers. A Primary Lead Market Maker is a to clarify that one type of eQuote, the Change Lead Market Maker appointed by the Exchange to act as the Primary Lead Market Maker for the 7 Respecting the proposed Enhanced ARM In its filing with the Commission, the purpose of making markets in securities traded on Protections, the Exchange proposes to adopt the the Exchange. A Registered Market Maker is a term ‘‘ARM trigger counting period’’ in order to Exchange included statements Member registered with the Exchange for the distinguish it from the ‘‘specified time period’’ concerning the purpose of and basis for purpose of making markets in securities traded on defined in current Rule 612(a). The term ‘‘specified the proposed rule change and discussed the Exchange, who is not a Lead Market Maker. See time period’’ describes the time period within Exchange Rule 100. any comments it received on the which the System counts the number of executed 4 The Exchange’s Board or designated committee contracts to determine whether the Allowable proposed rule change. The text of these appoints one Primary Lead Market Maker and other Engagement Percentage has been equaled or statements may be examined at the Market Makers to each options class traded on the exceeded; the term ‘‘ARM trigger counting period’’ places specified in Item IV below. The Exchange. For a complete description of the describes the time period within which the System Exchange’s appointment process, see Exchange counts the number of times the Allowable Exchange has prepared summaries, set Rule 602. Engagement Percentage is equaled or exceeded. forth in sections A, B, and C below, of 5 A Standard quote is a quote submitted by a 8 An eQuote is a quote with a specific time in the most significant aspects of such Market Maker that cancels and replaces the Market force that does not automatically cancel and replace statements. Maker’s previous Standard quote, if any. See a previous Standard quote or eQuote. An eQuote Exchange Rule 517(a)(1). can be cancelled by the Market Maker at any time, 6 The term ‘‘System’’ means the automated or can be replaced by another eQuote that contains 1 15 U.S.C. 78s(b)(1). trading system used by the Exchange for the trading specific instructions to cancel an existing eQuote. 2 17 CFR 240.19b–4. of securities. See Exchange Rule 100. See Exchange Rule 517(a)(2).

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Day eQuote,9 participates in the ARM. the Market Maker’s quotations from the Market Maker Protection Feature The System does not include contracts Exchange’s disseminated quotation in The System will aggregate the traded through the use of an eQuote that such appointed option class until the specified number of times that the is not a Day eQuote in the counting Market Maker instructs the Exchange (in Allowable Engagement percentage has program for purposes of this Rule. a manner required by the Exchange and been equaled or exceeded in the Market eQuotes will remain in the System communicated to Members by Maker’s specified number of unique available for trading when the Aggregate Regulatory Circular) to reset the Class appointed option classes within the Risk Manager is engaged. Day eQuotes Protection feature. Additional ARM trigger counting period for an participate in the Aggregate Risk quotations from the Market Maker in the entire Market Maker organization. The Manager and will be included in the affected class are not accepted until the Market Maker Protection feature will Enhanced ARM Protections. Day Class Protection feature is reset. remove the Market Maker organization’s eQuotes are the only type of eQuote quotations in all of the Market Maker with a time in force (up to an entire The Class Protection feature is organization’s appointed option classes trading session if not executed) that can distinguished from the regular function when the Allowable Engagement last longer than an extremely brief time of ARM because the ARM trigger Percentage has been equaled or period, and thus are included in the counting period, during which the exceeded in the Market Maker current ARM counting period and will System counts the number of times organization’s specified number of be included in the ARM trigger counting ARM is triggered for the affected option appointed option classes within the period. class, usually would be longer than the All other eQuotes (Auction or ‘‘specified time period’’ described in ARM trigger counting period, regardless Cancel,10 Opening Only,11 Immediate or Rule 612(a), during which the ARM of how many individual Market Makers Cancel,12 Fill or Kill,13 and Intermarket counts executed contracts. The Class in the same Market Maker organization are submitting quotations on MIAX. As Sweep 14 eQuotes) are not included in Protection feature is intended to alert with the Class Protection feature, and ARM and will not be included in the Market Makers that there may be for the reasons described above, such Enhanced ARM Protections. These types ongoing volatile or otherwise unusual quotes will be removed until the Market of eQuotes have a very short time in market conditions that necessitate Maker instructs the Exchange (in a force and thus are present in the specific evaluation of their ARM Exchange’s disseminated quotation for manner required by the Exchange and settings, and of the conditions that communicated to Members by an extremely brief time period before result in the number of ARM triggers they are cancelled automatically if not Regulatory Circular) to reset the Market that occurred during the ARM trigger Maker Protection feature. Additional executed. A Market Maker that submits counting period. an eQuote other than a Day eQuote quotations from the Market Maker are expects and intends that such eQuote The Class Protection feature removes not accepted until the Market Maker will be executed or cancelled without quotes from the Exchange’s Protection feature is reset. One the need for ARM protection. Therefore disseminated quotation until the Market representative from a Market Maker eQuotes that are not Day eQuotes are Maker instructs the Exchange (in a organization may instruct the Exchange not included in the ARM counting manner required by the Exchange and to reset the Market Maker Protection system. communicated to Members by feature on behalf of his or her Market Regulatory Circular) to reset the Class Maker organization. Class Protection Feature 15 Protection feature. This non- Examples Proposed Interpretations and Policies automated instruction requires the .02(a) would provide that a Market Exchange to reset the Enhanced ARM Market Maker organization ‘‘Red, Maker may determine to engage the Protection feature, as opposed to the Inc.’’ has three individual Market Class Protection feature for a particular method of resetting the standard ARM Makers (‘‘MMs’’) properly registered on option class in which the Market Maker feature, where the Market Maker resets MIAX. Red, Inc. MM 1 is appointed in is appointed (an ‘‘appointed option the ARM by sending a notification to the option classes A, B and C. Red, Inc. class’’). When the Allowable System of the intent to reengage quoting MM2 is appointed in option classes D, Engagement Percentage in such and submits a new revised quotation in E, F, and G. Red, Inc. MM3 is appointed appointed option class has been equaled the affected class. The purpose of the in option classes H and I. Assume Red, or exceeded a specified number of times non-automated method of re-engaging Inc. determines that the Market Maker within the ARM trigger counting period, the Class Protection feature is to give Protection feature will be engaged when the Class Protection feature will remove Market Makers the ability to reconsider, the Allowable Engagement Percentage is equaled or exceeded three times (as reset and confirm their Enhanced ARM 9 described below) within their A Day eQuote is a quote submitted by a Market Protection settings during times of peak Maker that does not automatically cancel or replace designated ARM trigger counting or unusual market activity, rather than the Market Maker’s previous Standard quote or period. eQuote. Day eQuotes will expire at the close of an automated re-engagement. The If within the ARM trigger counting trading each trading day. The Exchange reserves the Exchange believes that this non- right to limit the number of Day eQuotes that a period the Allowable Engagement single Market Maker may place on the same side of automated contact will strengthen the Percentage is equaled or exceeded in an individual option. The same limit will apply to efficiency of the Enhanced ARM option classes A, B, and C, the Market all types of Market Makers. If the Exchange Protections by providing Market Makers Maker Protection feature will remove determines to establish a limit, it will be no more with the ability to thoroughly assess than ten Day eQuotes on the same side of an Red Inc.’s quotations in all of its individual option. The Exchange will publish the current market conditions in setting risk appointed option classes, (classes A limit through the issuance of a Regulatory Circular. management levels and controls. through I), even though the only See Exchange Rule 517(a)(2)(i). 10 See Exchange Rule 517(a)(2)(ii). individual Market Maker affected is 15 Any communication regarding the Enhanced 11 MM1, who is appointed in the three See Exchange Rule 517(a)(2)(iii). ARM Protections must be in writing from the 12 See Exchange Rule 517(a)(2)(iv). Market Maker or Market Maker organization via affected option classes. 13 See Exchange Rule 517(a)(2)(v). email or other electronic means to be described in If within the ARM trigger counting 14 See Exchange Rule 517(a)(2)(vi). the Regulatory Circular. period the Allowable Engagement

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Percentage is equaled or exceeded in option classes, for enhanced risk price and size could be diminished, and option classes A, D, and H, the Market management and protection. This could result in a concomitant reduction Maker Protection feature will remove should assist Exchange Market Makers in the depth and liquidity they provide Red Inc.’s quotations in all of its in targeting appointed option classes to the market. Such a result may appointed option classes, (classes A that could become extremely volatile undermine the quality of the markets through I), because the Allowable under certain market conditions or that would otherwise be available to Engagement Percentage in three of Red, when market events, news or other customers and other market Inc.’s appointed option classes has been factors affect a Market Maker’s ability to participants. Accordingly, the Exchange equaled or exceeded, regardless of the manage risk. The Enhanced ARM proposes the Enhanced ARM fact that the three affected appointed Protections are intended to address both Protections to help Market Makers better option classes are not appointed to the foreseeable and unforeseeable market manage their risk exposure and thus same individual Red, Inc. Market conditions in general, and can be encourage Market Makers to provide Maker. tailored to meet the risk management additional depth and liquidity to the In the event that the Allowable needs of Exchange Market Makers and Exchange’s markets, thereby removing Engagement Percentage in one Market Maker organizations. impediments to and perfecting the appointed option class is equaled or The Exchange will announce the mechanisms of a free and open market exceeded multiple times during the implementation date of the proposed and a national market system and, in ARM trigger counting period, the rule change by Regulatory Circular to be general, protecting investors and the System will consider such multiple published no later than 60 days public interest. events to be one single trigger for following the operative date of the In addition, the Enhanced ARM purposes of the activation of the Market proposed rule. The implementation date Protections promote just and equitable Maker Protection feature. For example, will be no later than 60 days following principles of trade by providing if during the ARM trigger counting the issuance of the Regulatory Circular. Exchange Market Makers with more risk period there is one trigger in option management mechanisms available on class A, and there are five triggers in 2. Statutory Basis the Exchange to give them confidence option class D, the System will calculate MIAX believes that its proposed rule that protections are in place to reduce one trigger for option class A and just change is consistent with section 6(b) of the risks associated with their Market one trigger for option class D. the Act 17 in general, and furthers the Making obligations. The Exchange notes Accordingly, the System will consider objectives of section 6(b)(5) of the Act 18 that the implementation and use of the only two triggers to have occurred in in particular, in that it is designed to Enhanced ARM Protections will not Red, Inc.’s appointed option classes prevent fraudulent and manipulative relieve Exchange Market Makers of their (one trigger in option class A, and one acts and practices, to promote just and continuous quoting obligations under in option class D) during the ARM equitable principles of trade, to foster Exchange Rule 604 and under Reg NMS trigger counting period. In this example, cooperation and coordination with Rule 602.20 All of a Market Maker’s the Market Maker Protection feature will persons engaged in regulating, clearing, quotes in each option class will be not be engaged because Red, Inc. has settling, processing information with considered firm until such time as the determined that there must be three respect to, and facilitating transactions Allowable Engagement Percentage triggers during the ARM trigger counting in, securities, to remove impediments to threshold has been equaled or crossed period before the Market Maker and perfect the mechanisms of a free and the Market Maker’s quotes are Protection feature is to be activated. The and open market and a national market removed by the Aggregate Risk Manager purpose of this provision is to ensure system and, in general, to protect in all series of that option class.21 that unusual activity or volatility in one investors and the public interest. Finally, the proposed Enhanced ARM particular appointed option class does The Exchange believes that Members Protections are designed to protect not unnecessarily prompt the Market will benefit from the proposed investors and the public interest by Maker Protection feature to remove a Enhanced Aggregate Risk Manager helping Market Makers prevent Market Maker or Market Maker Protections. Market Makers, who are executions resulting from activity that organization’s quotations from the obligated to submit continuous two- exceeds their risk tolerance level under Exchange’s disseminated quotation in sided quotations in a certain number of these rules as established by the all of their other unaffected appointed series in their appointed option classes Exchange. option classes. In such a situation, the for a certain percentage of each trading With regard to the impact of this normal ARM functionality described in session,19 are vulnerable to risk from proposal on system capacity, the Exchange Rule 612 (or the Class unusual market conditions, volatility in Exchange notes that it has analyzed its 16 Protection feature ) is in place to specific option classes, and other market capacity and represents that it and the remove such quotations in the single events that may cause them to receive Options Price Reporting Authority affected appointed option class. multiple, extremely rapid automatic (‘‘OPRA’’) have the necessary systems The Exchange believes that the instant executions before they can adjust their capacity to handle any potential proposal should further assist Exchange quotations and overall risk exposure in additional traffic associated with the Market Makers in managing their risk by the market. proposed rule change. The Exchange establishing and making available Without adequate risk management believes that its members will not have additional risk management tools in the tools in place on the Exchange, such as a capacity issue as a result of this System. The Enhanced ARM Protection the existing ARM and the proposed proposal. features will enable Exchange Market Enhanced ARM Protections, the Makers to target a specific appointed B. Self-Regulatory Organization’s incentive for Exchange Market Makers Statement on Burden on Competition option class, or all of its appointed to quote aggressively respecting both The Exchange does not believe that 16 A Market Maker could elect to engage the Class 17 the proposed rule change will impose Protection feature for a single option class. That 15 U.S.C. 78f(b). feature is designed to provide an additional alert to 18 15 U.S.C. 78f(b)(5). Market Makers of an unusual number of ARM 19 For a complete description of MIAX Market 20 17 CFR 242.602. triggers in the affected assigned option class. Maker quoting obligations, see Exchange Rule 604. 21 See Exchange Rule 612(c).

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any burden on competition that is not At any time within 60 days of the office of the Exchange. All comments necessary or appropriate in furtherance filing of the proposed rule change, the received will be posted without change; of the purposes of the Act. Commission summarily may the Commission does not edit personal On the contrary, the Exchange temporarily suspend such rule change if identifying information from believes that the proposed Enhanced it appears to the Commission that such submissions. You should submit only ARM Protections will foster competition action is necessary or appropriate in the information that you wish to make by providing Exchange Market Makers public interest, for the protection of available publicly. All submissions with an additional set of tools to use in investors, or otherwise in furtherance of should refer to File Number SR–MIAX– submitting quotations with the best the purposes of the Act. If the 2015–44 and should be submitted on or possible price and size in order to Commission takes such action, the before July 31, 2015. compete for executions and order flow. Commission shall institute proceedings For the Commission, by the Division of The Exchange believes the proposed to determine whether the proposed rule Trading and Markets, pursuant to delegated Enhanced ARM Protections will not should be approved or disapproved. authority.24 impose any burden on intra-market Brent J. Fields, competition because its use is voluntary IV. Solicitation of Comments Secretary. and is available to all Exchange Market Interested persons are invited to Makers and Market Maker submit written data, views, and [FR Doc. 2015–16858 Filed 7–9–15; 08:45 am] organizations. arguments concerning the foregoing, BILLING CODE 8011–01–P The Exchange notes that it operates in including whether the proposed rule a highly competitive market in which change is consistent with the Act. market participants can readily direct SECURITIES AND EXCHANGE Comments may be submitted by any of COMMISSION order flow to competing venues who the following methods: offer similar functionality. As to inter- Electronic Comments [Release No. 34–75366; File No. SR– market competition, the Exchange NASDAQ–2015–067] believes that the proposed Enhanced • Use the Commission’s Internet ARM Protections should promote comment form (http://www.sec.gov/ Self-Regulatory Organizations; The competition because they are designed rules/sro.shtml); or NASDAQ Stock Market LLC; Notice of to protect Exchange Market Makers from • Send an email to rule-comments@ Filing and Immediate Effectiveness of unusual market conditions or events sec.gov. Please include File Number SR– Proposed Rule Change To Amend that may cause them to receive multiple, MIAX–2015–44 on the subject line. Fees Assessed Under Rules 7015(b) automatic executions before they can and (g) Paper Comments adjust their quotation exposure in the market. • Send paper comments in triplicate July 6, 2015. For all the reasons stated, the to Secretary, Securities and Exchange Pursuant to Section 19(b)(1) of the Exchange does not believe that the Commission, 100 F Street NE., Securities Exchange Act of 1934 proposed rule change will impose any Washington, DC 20549–1090. (‘‘Act’’),1 and Rule 19b–4 thereunder,2 burden on competition not necessary or All submissions should refer to File notice is hereby given that on June 25, appropriate in furtherance of the Number SR–MIAX–2015–44. This file 2015, The NASDAQ Stock Market LLC purposes of the Act, and believes the number should be included on the (‘‘NASDAQ’’ or ‘‘Exchange’’) filed with proposed change will in fact enhance subject line if email is used. To help the the Securities and Exchange competition. Commission process and review your Commission (‘‘SEC’’ or ‘‘Commission’’) comments more efficiently, please use the proposed rule change as described C. Self-Regulatory Organization’s in Items I and II below, which Items Statement on Comments on the only one method. The Commission will post all comments on the Commission’s have been prepared by the Exchange. Proposed Rule Change Received From The Commission is publishing this Members, Participants, or Others Internet Web site (http://www.sec.gov/ rules/sro.shtml). Copies of the notice to solicit comments on the Written comments were neither submission, all subsequent proposed rule change from interested solicited nor received. amendments, all written statements persons. III. Date of Effectiveness of the with respect to the proposed rule I. Self-Regulatory Organization’s Proposed Rule Change and Timing for change that are filed with the Statement of the Terms of the Substance Commission Action Commission, and all written of the Proposed Rule Change communications relating to the Because the foregoing proposed rule proposed rule change between the The Exchange proposes to revert change does not: (i) Significantly affect Commission and any person, other than recently-increased fees assessed under the protection of investors or the public those that may be withheld from the Rules 7015(b) and (g) to their levels interest; (ii) impose any significant public in accordance with the prior to the fee increase and to burden on competition; and (iii) become provisions of 5 U.S.C. 552, will be retroactively apply the lower fees in operative for 30 days after the date of available for Web site viewing and light of delays in implementing the filing, or such shorter time as the printing in the Commission’s Public hardware upgrades. Commission may designate, it has Reference Room, 100 F Street NE., The text of the proposed rule change become effective pursuant to 19(b)(3)(A) Washington, DC 20549 on official is available on the Exchange’s Web site of the Act 22 23 and Rule 19b–4(f)(6) business days between the hours of at http://nasdaq.cchwallstreet.com, at thereunder. 10:00 a.m. and 3:00 p.m. Copies of the the principal office of the Exchange, and filing also will be available for at the Commission’s Public Reference 22 15 U.S.C. 78s(b)(3)(A). Room. 23 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– inspection and copying at the principal 4(f)(6) requires a self-regulatory organization to give the Commission written notice of its intent to file change, or such shorter time as designated by the 24 17 CFR 200.30–3(a)(12). the proposed rule change at least five business days Commission. The Exchange has satisfied this 1 15 U.S.C. 78s(b)(1). prior to the date of filing of the proposed rule requirement. 2 17 CFR 240.19b–4.

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II. Self-Regulatory Organization’s for the months of April, May and June B. Self-Regulatory Organization’s Statement of the Purpose of, and 2015. Once NASDAQ is prepared to Statement on Burden on Competition Statutory Basis for, the Proposed Rule implement the FPGA hardware upgrade, The Exchange does not believe that Change it will file a separate rule change the proposed rule change will result in In its filing with the Commission, the proposal with the Commission to adjust any burden on competition that is not Exchange included statements the fees. necessary or appropriate in furtherance concerning the purpose of and basis for of the purposes of the Act, as amended. 2. Statutory Basis the proposed rule change and discussed The Exchange believes that the proposal any comments it received on the NASDAQ believes that the proposed is irrelevant to competition because it is proposed rule change. The text of these rule changes are consistent with the not driven by, and will have no impact statements may be examined at the provisions of Section 6 of the Act,6 in on, competition. Specifically, the places specified in Item IV below. The general, and with Sections 6(b)(4) and Exchange is reverting fees to their prior, Exchange has prepared summaries, set lower levels and applying them 6(b)(5) of the Act,7 in particular, in that forth in sections A, B, and C below, of retroactively in light of delays in it provides for the equitable allocation the most significant aspects of such implementing upgrades to NASDAQ statements. of reasonable dues, fees and other systems, the cost of which was the basis charges among members and issuers and for fee increase. Reverting the fees to A. Self-Regulatory Organization’s other persons using any facility or their lower levels will keep the fees Statement of the Purpose of, and system which the Exchange operates or assessed in line with the Exchange’s Statutory Basis for, the Proposed Rule controls, and is designed to prevent expenditures at this juncture associated Change fraudulent and manipulative acts and with upgrading to FPGA hardware. As 1. Purpose practices, to promote just and equitable such, the Exchange does not believe the On April 22, 2015, NASDAQ filed a principles of trade, to foster cooperation proposed change will have any impact rule change that increased the port fees and coordination with persons engaged on competition, as market participants assessed members and non-members for in regulating, clearing, settling, will be assessed the same fee for their ports used to enter orders into NASDAQ processing information with respect to, FIX and OUCH ports with the same systems, in connection with the use of and facilitating transactions in hardware that was in place prior to the FIX and OUCH trading securities, to remove impediments to fee increase. telecommunication protocols.3 The and perfect the mechanism of a free and C. Self-Regulatory Organization’s Exchange noted that the increased fees open market and a national market Statement on Comments on the would allow it to recoup costs arising system, and, in general, to protect Proposed Rule Change Received From from upgrades it was making to the investors and the public interest; and Members, Participants, or Others hardware supporting the ports to Field are not designed to permit unfair No written comments were either Programmable Gate Array (‘‘FPGA’’) discrimination between customers, solicited or received. technology.4 Specifically, the Exchange issuers, brokers, or dealers. increased the fee assessed under Rule III. Date of Effectiveness of the The Exchange believes that reverting 7015(b) for a FIX Trading Port from Proposed Rule Change and Timing for $550 per port, per month, to $575 per the fees assessed for FIX and OUCH Commission Action ports under Rules 7015(b) and (g), port, per month. The Exchange also Because the foregoing proposed rule increased the fee assessed under Rule respectively, back to their prior levels and retroactively applying those lower change does not: (i) Significantly affect 7015(g) for an OUCH Port from $550 per the protection of investors or the public port pair, per month to $575 per port fees is reasonable because NASDAQ has not provided the upgraded hardware to interest; (ii) impose any significant pair, per month. burden on competition; and (iii) become The Exchange had anticipated date, the cost of which was the basis for operative for 30 days from the date on purchasing and installing FPGA increasing the fees under Rules 7015(b) which it was filed, or such shorter time hardware by May 2015, however, and (g). In addition, applying the lower as the Commission may designate, it has NASDAQ encountered an unanticipated fees will allow NASDAQ to keep the fee become effective pursuant to Section delay in implementation. As a increase in line with its realized capital 19(b)(3)(A)(iii) of the Act 8 and consequence, the Exchange was unable and operating expenditures, which have subparagraph (f)(6) of Rule 19b–4 to implement the upgraded hardware in not increased as a result of the delayed thereunder.9 May; however, the increased fees implementation of the upgrade. The A proposed rule change filed under assessed to recoup costs arising from the Exchange believes that the proposed Rule 19b–4(f)(6) normally does not upgrade remain in place. NASDAQ does reduction of the fees to their prior levels become operative before 30 days from not believe that it is appropriate to and retroactive application thereof is the date of the filing. However, pursuant assess the increased fees under Rules both equitably allocated and not to Rule 19b–4(f)(6)(iii),10 the 7015(b) and (g) in the absence of the Commission may designate a shorter FPGA hardware upgrade, which, as unfairly discriminatory because it will time if such action is consistent with the noted, was the basis for increasing the apply uniformly to all market protection of investors and the public fees.5 Accordingly, NASDAQ is participants that subscribe to FIX and interest. proposing to revert the fees assessed OUCH ports based on the number of The Exchange has asked the under Rules 7015(b) and (g) to their such ports subscribed. Accordingly, Commission to waive the 30-day reduced levels prior to the fee increase, such market participants will be operative delay. The Commission and retroactively apply the lower fees assessed the fees in place prior to the increase and will continue to have the believes that waiving the 30-day operative delay is consistent with the 3 See Securities Exchange Act Release No. 74829 same hardware supported by those fees. (April 29, 2015), 80 FR 25745 (May 5, 2015) (SR– NASDAQ–2015–042). 8 15 U.S.C. 78s(b)(3)(A)(iii). 4 Id. 6 15 U.S.C. 78f. 9 17 CFR 240.19b–4(f)(6) 5 Id. 7 15 U.S.C. 78f(b)(4) and (5). 10 17 CFR 240.19b–4(f)(6)(iii).

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protection of investors and the public change that are filed with the Montenegro on July 15, 2015. The interest. Such waiver will allow the Commission, and all written United States, which is also a party to Exchange to immediately return the fees communications relating to the the GPA, has agreed to waive to the lower levels that existed before proposed rule change between the discriminatory purchasing requirements SR–NASDAQ–2015–042 and Commission and any person, other than for eligible products and suppliers of retroactively apply the lower fees so that those that may be withheld from the Montenegro beginning on July 15, 2015. market participants will not experience public in accordance with the Section 1–201 of Executive Order a fee increase in the absence of the provisions of 5 U.S.C. 552, will be FPGA hardware upgrade, the cost of available for Web site viewing and 12260 of December 31, 1980 delegated which was the basis for the fee increase. printing in the Commission’s Public the functions of the President under Therefore, the Commission hereby Reference Room, 100 F Street NE., sections 301 and 302 of the Trade waives the 30-day operative delay and Washington, DC 20549 on official Agreements Act of 1979 (‘‘the Trade designates the proposed rule change to business days between the hours of Agreements Act’’) (19 U.S.C. 2511, be operative upon filing with the 10:00 a.m. and 3:00 p.m. Copies of such 2512) to the United States Trade Commission.11 filing also will be available for Representative. At any time within 60 days of the inspection and copying at the principal Determination: In conformity with filing of the proposed rule change, the offices of the Exchange. All comments sections 301 and 302 of the Trade Commission summarily may received will be posted without change; Agreements Act, and in order to carry temporarily suspend such rule change if the Commission does not edit personal out U.S. obligations under the GPA, I it appears to the Commission that such identifying information from hereby determine that: action is: (i) Necessary or appropriate in submissions. You should submit only the public interest; (ii) for the protection information that you wish to make 1. Montenegro has become a party to of investors; or (iii) otherwise in available publicly. All submissions the GPA and will provide appropriate furtherance of the purposes of the Act. should refer to File Number SR– reciprocal competitive government If the Commission takes such action, the NASDAQ–2015–067, and should be procurement opportunities to United Commission shall institute proceedings submitted on or before July 31, 2015. States products and services and to determine whether the proposed rule suppliers of such products and services. should be approved or disapproved. For the Commission, by the Division of Trading and Markets, pursuant to delegated In accordance with section 301(b)(1) of IV. Solicitation of Comments authority.12 the Trade Agreements Act, Montenegro is so designated for purposes of section Interested persons are invited to Brent J. Fields, 301(a) of the Trade Agreements Act. submit written data, views, and Secretary. arguments concerning the foregoing, [FR Doc. 2015–16861 Filed 7–9–15; 8:45 am] 2. Accordingly, beginning on July 15, including whether the proposed rule BILLING CODE 8011–01–P 2015, with respect to eligible products change is consistent with the Act. (namely, those goods and services Comments may be submitted by any of covered under the GPA for procurement the following methods: OFFICE OF THE UNITED STATES by the United States) of Montenegro and Electronic Comments TRADE REPRESENTATIVE suppliers of such products, the application of any law, regulation, • Use the Commission’s Internet Determination Regarding Waiver of procedure, or practice regarding comment form (http://www.sec.gov/ Discriminatory Purchasing government procurement that would, if rules/sro.shtml); or Requirements With Respect to Goods applied to such products and suppliers, • Send an email to rule-comments@ and Services of Montenegro sec.gov. Please include File Number SR– result in treatment less favorable than NASDAQ–2015–067 on the subject line. AGENCY: Office of the United States that accorded— Trade Representative. (A) To United States products and Paper Comments ACTION: Determination Regarding suppliers of such products, or • Send paper comments in triplicate Waiver of Discriminatory Purchasing (B) To eligible products of another to Secretary, Securities and Exchange Requirements under the Trade foreign country or instrumentality Commission, 100 F Street NE., Agreements Act of 1979. Washington, DC 20549–1090. which is a party to the GPA and suppliers of such products, shall be All submissions should refer to File DATES: Effective Date: July 15, 2015. waived. This waiver shall be applied by Number SR–NASDAQ–2015–067. This FOR FURTHER INFORMATION CONTACT: all entities listed in United States file number should be included on the Scott Pietan, Director of International subject line if email is used. To help the Procurement Policy, Office of the Annexes 1 and 3 of GPA Appendix 1. Commission process and review your United States Trade Representative, 3. The Trade Representative may comments more efficiently, please use (202) 395–9646. modify or withdraw the designation in only one method. The Commission will SUPPLEMENTARY INFORMATION: On paragraph 1 and the waiver in paragraph post all comments on the Commission’s October 29, 2014, the WTO Committee 2. Internet Web site (http://www.sec.gov/ on Government Procurement approved Michael B.G. Froman, rules/sro.shtml). Copies of the the accession of Montenegro to the submission, all subsequent World Trade Organization (‘‘WTO’’) United States Trade Representative. amendments, all written statements Agreement on Government Procurement [FR Doc. 2015–16955 Filed 7–9–15; 8:45 am] with respect to the proposed rule (‘‘GPA’’). Montenegro submitted its BILLING CODE P instrument of accession to the Secretary- 11 For purposes only of waiving the operative General of the WTO on June 15, 2015. delay for this proposal, the Commission has considered the proposed rule’s impact on The GPA will enter into force for efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). 12 17 CFR 200.30–3(a)(12).

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DEPARTMENT OF TRANSPORTATION 5. Establish and communicate schedule of Transportation, 1200 New Jersey for FRAC/Open Consultation Avenue SE., West Building Ground Federal Aviation Administration 6. Approval of Rev A of Baseline 2 Floor, Room W12–140, Washington, DC documents for FRAC/Open 20590. Twenty-Third Meeting: Special Consultation • Fax: Fax comments to the Docket Committee 214 (SC 214) 7. Approve dates and location of next Management Facility at 202–493–2251. Plenary Meeting—FRAC/Open • AGENCY: Federal Aviation Hand Delivery: Bring comments to Administration (FAA), U.S. Department Consultation Resolution the Docket Management Facility in 8. Any Other Business of Transportation (DOT). Room W12–140 of the West Building 9. Adjourn Ground Floor at 1200 New Jersey ACTION: Twenty-Third Meeting Notice of Attendance is open to the interested Special Committee 214. Avenue SE., Washington, DC, between 9 public but limited to space availability. a.m. and 5 p.m., Monday through SUMMARY: The FAA is issuing this notice With the approval of the chairman, Friday, except Federal holidays. to advise the public of the twenty-third members of the public may present oral Privacy: We will post all comments meeting of the Special Committee 214. statements at the meeting. Persons we receive, without change, to http:// wishing to present statements or obtain DATES: The meeting will be held August www.regulations.gov, including any 31st–September 4th from 9:00 a.m.–5:00 information should contact the person personal information you provide. FOR FURTHER INFORMATION p.m. listed in the Using the search function of our docket CONTACT section. Members of the public ADDRESSES: The meeting will be held at Web site, anyone can find and read the may present a written statement to the comments received into any of our RTCA Headquarters, 1150 18th Street committee at any time. NW., Suite 910, Washington, DC 20036, dockets, including the name of the Tel: (202) 330–0663. Issued in Washington, DC, on July 7, 2015. individual sending the comment (or signing the comment for an association, FOR FURTHER INFORMATION CONTACT: The Latasha Robinson, business, labor union, etc.). You may RTCA Secretariat, 1150 18th Street NW., Management & Program Analyst, NextGen, review the DOT’s complete Privacy Act Suite 910, Washington, DC 20036, or by Program Oversight and Administration, Federal Aviation Administration. Statement in the Federal Register telephone at (202) 833–9339, fax at (202) published on April 11, 2000 (65 FR 833–9434, or Web site at http:// [FR Doc. 2015–16956 Filed 7–9–15; 8:45 am] 19477–78). www.rtca.org or Sophie Bousquet, BILLING CODE 4910–13–P Docket: To read background Program Director, RTCA, Inc., documents or comments received, go to [email protected], (202) 330–0663. DEPARTMENT OF TRANSPORTATION http://www.regulations.gov at any time SUPPLEMENTARY INFORMATION: Pursuant or to the Docket Management Facility in to section 10(a)(2) of the Federal Federal Aviation Administration Room W12–140 of the West Building Advisory Committee Act (Pub. L. 92– [Summary Notice No. PE–2015–45 ] Ground Floor at 1200 New Jersey 463, 5 U.S.C., App.), notice is hereby Avenue SE., Washington, DC, between 9 given for a meeting of the Special Petition for Exemption; Summary of a.m. and 5 p.m., Monday through Committee 214. The agenda will include Petition Received Friday, except Federal holidays. the following: FOR FURTHER INFORMATION CONTACT: AGENCY: Federal Aviation Monday, August 31, 2015 Administration (FAA), DOT. Deana Stedman, ANM–113, Federal Aviation Administration, 1601 Lind 1. Welcome/Introduction/ ACTION: Notice of petition for exemption Avenue SW., Renton, WA 98057–3356, Administrative Remarks received. 2. Approval of the Agenda of Plenary 23 email [email protected], phone and Minutes of Plenary 22 SUMMARY: This notice contains a (425) 227–2148; or Sandra Long, ARM– 3. Coordination Activities with ICAO summary of a petition seeking relief 200, Office of Rulemaking, Federal OPLINK from specified requirements of Title 14, Aviation Administration, 800 4. Status of B2 Rev A Standards, Code of Federal Regulations (14 CFR). Independence Avenue SW., discussions on outstanding issues The purpose of this notice is to improve Washington, DC 20591, email 5. Progress status of VDL2 standards the public’s awareness of, and [email protected], phone (202) 267– 6. Review of Position Papers and participation in, this aspect of the FAA’s 4714. Contributions regulatory activities. Neither publication This notice is published pursuant to 7. Approval of Sub-Group Meeting of this notice nor the inclusion or 14 CFR 11.85. Objectives omission of information in the summary Issued in Washington, DC, on July 6, 2015. Tuesday, September 1, 2015 is intended to affect the legal status of Lirio Liu, the petition or its final disposition. 1. Sub-Group Sessions Director, Office of Rulemaking. DATES: Comments on this petition must Wednesday, September 2, 2015 identify the petition docket number Petition for Exemption 1. Sub-Group Sessions involved and must be received on or Docket No.: FAA–2015–0469. before July 30, 2015. Petitioner: The Boeing Company. Thursday, September 3, 2015 ADDRESSES: You may send comments Section of 14 CFR Affected: 1. Sub-Group Report & Assignment of identified by docket number FAA– § 25.345(c). Action Items 2015–0469 using any of the following Description of Relief Sought: The 2. RTCA FRAC and EUROCAE Open methods: United States Air Force requires that the Consultation process overview • Government-wide rulemaking Web KC–46A be capable of refueling all 3. Agree action plan to close last site: Go to http://www.regulations.gov aircraft that may currently be refueling outstanding comments and follow the instructions for sending using KC–135 and/or KC–10A tankers. 4. Confirm target date for publication of your comments digitally. Some of these receiver aircraft refuel at v1.D (version for FRAC/Open • Mail: Send comments to the Docket low speeds that would require Consultation) Management Facility; U.S. Department prolonged flight with high lift devices

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deployed during aerial refueling Attendance is open to the interested approvals for the following highway operations. Application of 14 CFR public but limited to space availability. project in the State of Texas: US 69/ 25.345(c) would drive increased With the approval of the chairman, Loop 49 North Lindale Reliever Route, maneuver and gust loads resulting in members of the public may present oral Smith County, Texas. The project will impractical redesign of the wing statements at the meeting. Persons construct a new location, full control of structure. The airplane design provides wishing to present statements or obtain access reliever route around the city of adequate structural capability for aerial information should contact the person Lindale in Smith County, Texas, operations with high lift devices listed in the FOR FURTHER INFORMATION referred to as U.S. Highway (US) 69/ deployed due to the limited CONTACT section. Members of the public Loop 49 North Lindale Reliever Route maneuvering and the low frequency of may present a written statement to the (Lindale Reliever Route). The proposed occurrence. The petitioner requests an committee at any time. action is intended to provide relief to exemption from 14 CFR 25.345(c). Issued in Washington, DC, on July 7, 2015. the existing US 69 through the city of [FR Doc. 2015–16866 Filed 7–9–15; 8:45 am] Latasha Robinson, Lindale and extend a proposed toll facility (Loop 49 West) from Interstate BILLING CODE 4910–13–P Management & Program Analyst, NextGen, Program Oversight and Administration, Highway (IH) 20 southwest of Lindale to Federal Aviation Administration. US 69 north of Lindale, a distance of DEPARTMENT OF TRANSPORTATION [FR Doc. 2015–16961 Filed 7–9–15; 8:45 am] approximately seven miles. The actions by TxDOT and the Federal Aviation Administration BILLING CODE 4910–13–P Federal agencies, and the laws under which such actions were taken, are Sixth Meeting: Special Committee 231 DEPARTMENT OF TRANSPORTATION described in the Final Environmental (SC 231) Impact Statement (FEIS) for the project, AGENCY: Federal Aviation Federal Highway Administration approved on February 10, 2015, in the Administration (FAA), U.S. Department Record of Decision (ROD) issued on of Transportation (DOT). Notice of Final Federal Agency Actions April 24, 2015, and in other documents on US 69/Loop 49 North Lindale in the TxDOT administrative record. ACTION: Sixth Meeting Notice of Special Reliever Route, Smith County, Texas The FEIS, ROD, and other documents in Committee 231. the administrative record file are AGENCY: Federal Highway available by contacting TxDOT at the SUMMARY: The FAA is issuing this notice Administration (FHWA), U.S. DOT. to advise the public of the sixth meeting address provided above. The FEIS and ACTION: Notice of Limitation on Claims of the Special Committee 231. ROD can be viewed on the project Web for Judicial Review of Actions by site at http://www.txdot.gov/inside- DATES: The meeting will be held TxDOT and Federal Agencies. September 22nd–September 24th from txdot/projects/studies/tyler/us69- 9:00 a.m.–5:00 p.m. SUMMARY: This notice announces actions loop49.html. This notice applies to all ADDRESSES: The meeting will be held at taken by Texas Department of TxDOT decisions and Federal agency RTCA Headquarters, 1150 18th Street Transportation (TxDOT) and Federal decisions as of the issuance date of this NW., Suite 910, Washington, DC 20036, agencies that are final within the notice and all laws under which such Tel: (202) 330–0663. meaning of 23 U.S.C. 139(l)(1). The actions were taken, including but not FOR FURTHER INFORMATION CONTACT: The actions relate to a proposed highway limited to: 1. General: National Environmental RTCA Secretariat, 1150 18th Street NW., project, US 69/Loop 49 North Lindale Policy Act (NEPA) [42 U.S.C. 4321– Suite 910, Washington, DC 20036, or by Reliever Route, Smith County, Texas. 4351]; Federal-Aid Highway Act [23 telephone at (202) 833–9339, fax at (202) Those actions grant licenses, permits, and approvals for the project. U.S.C. 109]. 833–9434, or Web site at http:// 2. Air: Clean Air Act [42 U.S.C. 7401– www.rtca.org or Sophie Bousquet, DATES: By this notice, TxDOT is advising the public of final agency 7671(q)]. Program Director, RTCA, Inc., 3. Land: Section 4(f) of the actions subject to 23 U.S.C. 139(l)(1). A [email protected], (202) 330–0663. Department of Transportation Act of claim seeking judicial review of the SUPPLEMENTARY INFORMATION: Pursuant 1966 [49 U.S.C. 303]; Landscaping and Federal agency actions on the highway to section 10(a)(2) of the Federal Scenic Enhancement (Wildflowers), 23 project will be barred unless the claim Advisory Committee Act (Pub. L. 92– U.S.C. 319. 463, 5 U.S.C., App.), notice is hereby is filed on or before December 7, 2015. 4. Wildlife: Endangered Species Act given for a meeting of the Special If the Federal law that authorizes [16 U.S.C. 1531–1544 and Section Committee 231. The agenda will include judicial review of a claim provides a 1536]; Fish and Wildlife Coordination the following: time period of less than 150 days for Act [16 U.S.C. 661–667(d)]; Migratory filing such claim, then that shorter time Tuesday, September 22, 2015 Bird Treaty Act [16 U.S.C. 703–712]. period still applies. 5. Historic and Cultural Resources: 1. Welcome/Introduction FOR FURTHER INFORMATION CONTACT: Mr. Section 106 of the National Historic 2. Administrative Remarks Carlos Swonke, P.G., Environmental Preservation Act of 1966, as amended 3. Agenda Review Affairs Division, Texas Department of [16 U.S.C. 470(f) et seq.]; Archeological 4. Summary of Working Group activities Transportation, 125 East 11th Street, Resources Protection Act of 1977 [16 5. Other Business Austin, Texas 78701; telephone: (512) 6. Date and Place of Next Meeting U.S.C. 470(aa)–11]; Archeological and 416–2734; email: carlos.swonke@ Historic Preservation Act [16 U.S.C. Wednesday, September 23, 2015 txdot.gov. TxDOT normal business 469–469(c)]; Native American Grave 1. Continuation of Plenary or Working hours are 8:00 a.m. to 5:00 p.m. (central Protection and Repatriation Act Group Session time) Monday through Friday. (NAGPRA) [25 U.S.C. 3001–3013]. SUPPLEMENTARY INFORMATION: Notice is 6. Social and Economic: Civil Rights Thursday, September 24, 2015 hereby given that TxDOT and Federal Act of 1964 [42 U.S.C. 2000(d)– 1. Continuation of Plenary or Working agencies have taken final agency actions 2000(d)(1)]; American Indian Religious Group Session by issuing licenses, permits, and Freedom Act [42 U.S.C. 1996]; Farmland

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Protection Policy Act (FPPA) [7 U.S.C. of paragraph S5.1.1(a) of Federal Motor manufactured between January 15, 2013 4201–4209]. Vehicle Safety Standard (FMVSS) No. and July 8, 2014. 7. Wetlands and Water Resources: 213, Child Restraint Systems. Recaro III. Noncompliance: Recaro explains Land and Water Conservation Fund filed an appropriate report, pursuant to that the subject child restraints do not (LWCF) [16 U.S.C. 4601–4604]; Safe 49 CFR part 573, Defect and comply with the system integrity Drinking Water Act (SDWA) [42 U.S.C. Noncompliance Responsibility and requirements of FMVSS No. 213, 300(f)–300(j)(6)]; Rivers and Harbors Act Reports, that was received by NHTSA paragraph S5.1.1(a), when subjected to of 1899 [33 U.S.C. 401–406]; Wild and on July 30, 2014. Recaro also submitted the dynamic test requirements of Scenic Rivers Act [16 U.S.C. 1271– a petition for an exemption from the FMVSS No. 213 S6.1. During NHTSA’s 1287]; Emergency Wetlands Resources notification and remedy requirements of compliance tests with the Hybrid II six- Act [16 U.S.C. 3921, 3931]; TEA–21 49 U.S.C. Chapter 301 on the basis of year-old child dummy and the Hybrid Wetlands Mitigation [23 U.S.C. the petitioner’s belief that this III weighted six-year-old child dummy 103(b)(6)(m), 133(b)(11)]; Flood Disaster noncompliance is inconsequential to connected to the child restraints with Protection Act [42 U.S.C. 4001–4128]. motor vehicle safety. NHTSA published the internal harness and the child 8. Executive Orders: E.O. 11990, a notice of receipt of the petition and restraints attached to the test bench with Protection of Wetlands; E.O. 11988, requested comment on the petition. a lap belt and top tether, the tether belt Floodplain Management; E.O. 12898, After consideration of Recaro’s analysis separated at the attachment point to the Federal Actions to Address and other information, NHTSA has child restraints. The top tether belt Environmental Justice in Minority decided to deny the petition. separation exhibited a complete Populations and Low Income ADDRESSES: For further information on separation of a load bearing structural Populations; E.O. 11593, Protection and this decision contact Zachary Fraser, element. Therefore, the child restraints Enhancement of Cultural Resources; Office of Vehicle Safety Compliance, the do not comply with the requirements set 1 E.O. 13007, Indian Sacred Sites; E.O. National Highway Traffic Safety forth in FMVSS No. 213 S5.1.1(a). 13287, Preserve America; E.O. 13175, Administration (NHTSA), telephone IV. Rule Text: Paragraph S5.1.1 of Consultation and Coordination with (202) 366–5754, facsimile (202) 366– FMVSS No. 213 requires, in pertinent Indian Tribal Governments; E.O. 11514, 5930. part: Protection and Enhancement of S5.1.1 Child restraint system integrity. Environmental Quality; E.O. 13112, SUPPLEMENTARY INFORMATION: I. When tested in accordance with S6.1, each Invasive Species; E.O. 12372, Overview: Pursuant to 49 U.S.C. child restraint system shall meet the Intergovernmental Review of Federal 30118(d) and 30120(h) (see requirements of paragraphs (a) through (c) of Programs. implementing rule at 49 CFR part 556), this section. The environmental review, Recaro submitted a petition for an (a) Exhibit no complete separation of any consultation, and other actions required exemption from the notification and load bearing structural element and no by applicable Federal environmental remedy requirements of 49 U.S.C. partial separation exposing either surfaces laws for this project are being, or have Chapter 301 on the basis of the with a radius of less than 1/4 inch or surfaces with protrusions greater than 3/8 inch above been, carried-out by TxDOT pursuant to petitioner’s belief that this the immediate adjacent surrounding 23 U.S.C. 327 and a Memorandum of noncompliance is inconsequential to contactable surface of any structural element Understanding dated December 16, motor vehicle safety. of the system. 2014, and executed by FHWA and Notice of receipt of the petition was * * * * * TxDOT. published, with a 30-day public Under S6.1 of FMVSS No. 213, Authority: 23 U.S.C. 139(l)(1). comment period, on November 21, 2014 in the Federal Register (79 FR 69551). NHTSA tests child restraints with a Issued on: June 22, 2015. Comments were received, from an child test dummy selected for use in Michael T. Leary, individual, Sean Stewart, and from accordance with the provisions of S7 of Director, Planning and Program Development, Advocates for Highway and Auto Safety the standard. Under S7, the selection is Federal Highway Administration. (Advocates). Both commenters opposed based on the heights and weights of the [FR Doc. 2015–16182 Filed 7–9–15; 8:45 am] the petition. Mr. Stewart believes that children for whom the child restraint is BILLING CODE 4910–22–P child restraint manufacturers should be sold. Under S7.1.2(d), NHTSA uses the required to meet the applicable Hybrid II (HII) or Hybrid III (HIII) six- requirements in FMVSS No. 213 year-old child test dummy to test CRSs DEPARTMENT OF TRANSPORTATION regardless of the manufacturer’s recommended for children with masses instructions and warnings. Advocates greater than 18 kg (40 lb). Under National Highway Traffic Safety S7.1.2(e), NHTSA uses the HIII Administration believes that ‘‘the reasons provided by RECARO fail to justify determining that weighted six-year-old child test dummy [Docket No. NHTSA–2014–0109; Notice 2] the non-compliance is inconsequential.’’ to test CRSs for children with masses To view the petition, the comments, and above 22.7 kg (50 lb). The children for RECARO Child Safety, LLC, Denial of all supporting documents, log onto the whom Recaro sold the subject CRSs Petition for Decision of Federal Docket Management System included children with masses from 18 Inconsequential Noncompliance (FDMS) Web site at: http:// kilograms (kg) (40 pounds (lb)) to 30 kg www.regulations.gov/. Follow the online (65 lb). Thus, under FMVSS No. 213, AGENCY: National Highway Traffic Recaro’s child restraints were required Safety Administration (NHTSA), search instructions to locate docket number ‘‘NHTSA–2014–0109.’’ to meet the child restraint system Department of Transportation (DOT). integrity requirements of FMVSS No. II. Child Restraints Involved: Affected ACTION: Denial of petition. 213 when tested with the six-year-old are approximately 78,339 Recaro SUMMARY: RECARO Child Safety, LLC ProRIDE child restraints manufactured 1 Petitioner informed NHTSA that production and (Recaro) determined that certain Recaro between April 9, 2010 and July 8, 2014, distribution of the subject child restraints affected child restraints do not fully comply and approximately 42,303 Recaro by the noncompliance were corrected effective July with the system integrity requirements Performance RIDE child restraints 9, 2014.

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and weighted six-year-old test collapse, breakage, and crumpling of Recaro states that in a previous denial dummies.2 material minimizes energy and of a petition for inconsequential V. Summary of Recaro’s Position: increases the rate of survival for the noncompliance, NHTSA noted that if it Recaro believes that the subject occupant in the event of a collision.’’ granted the petition it would be noncompliance is inconsequential to Recaro believes that child restraint contradictory to NHTSA’s mission to motor vehicle safety for the following technology has fallen in-line with promote greater use of LATCH and reasons. vehicle technology in recent years and tether. Recaro believes that this (A) Recaro believes that the FMVSS that other child restraints have been reasoning is no longer relevant because No. 213 test procedure ‘‘is a direct designated ‘‘compliant’’ even though in the aftermath of the February 2012 violation of the instructions and their convertible shell-to-base final rule, ‘‘consumers are now more warnings included with each ProRIDE connection has been designed to crack aware of the variation of tether load and Performance RIDE child restraint and break during the peak loading in a limits by vehicle manufacturers and and would constitute a misuse of the crash. Recaro further states that the top consumers are also now becoming child restraint by the consumer.’’ tether webbing has been designed to rip accustomed to reviewing limits to the Petitioner refers to page 36 of the and break apart under extreme loads to LATCH system. This falls in line with ProRIDE/Performance RIDE instruction allow the deceleration time to increase the information and limits in the manuals and states that Recaro designed for the occupant in the crash event. owner’s manual provided with the and tested the ProRIDE/Performance Petitioner states that, ‘‘As long as the ProRIDE and Performance RIDE.’’ RIDE child restraints ‘‘to meet FMVSS injury criterion meets industry (E) Recaro states that its accident requirements when tested according to standards, controlled breakage has reports for the four years that the subject the instruction manual.’’ Recaro proven multiple times to be a positive restraints have been on the market highlights a statement on page 36 that outcome in the event of a vehicle crash, indicate no incidents of separation in states: ‘‘Additionally, LATCH and top as seen in the RIDE platform.’’ the tether anchorage area. Petitioner tether anchors are designed to a (C) Recaro states that the ‘‘2013 surmises the reason that tether maximum limit which can vary by LATCH Manual’’ published by Safe separation occurs in testing is due to an vehicle. Due to this variation, RECARO Ride News Publication ‘‘confirms that outdated test bench seat and testing requires use of the vehicle seat belt for top tether anchors in vehicles are apparatus. any child weighing more than 52 lbs becoming limited more frequently in the In summation, Recaro believes that (23.6 kg).’’ 3 Petitioner states that weight to which they can be subjected.’’ the described noncompliance of the installation in accordance with the Recaro argues that ‘‘a majority of subject child restraints is instruction manuals decreases the vehicles on the road instruct consumers inconsequential to motor vehicle safety, to use top tether with load limit likelihood of top tether anchor failure and that its petition to exempt Recaro restrictions that align with RECARO’s from the vehicle. Recaro states that it from providing recall notification of top tether load limit of 65 pounds minus has limited lower anchor and top tether noncompliance, as required by 49 the 20 pound weight of the child use for the ProRIDE/Performance RIDE U.S.C. 30118, and remedying the recall restraint equaling a 45 pound load since the inception of the RIDE noncompliance, as required by 49 limit.’’ Recaro also refers to documents platform, and recently lowered the U.S.C. 30120, should be granted. LATCH limit to 45 pounds from the NHTSA placed in Docket No. NHTSA– 2011–0176 regarding a 2012 final rule VI. NHTSA Decision: previously stated 52 pounds to meet amending FMVSS No. 213 (77 FR NHTSA’s Analysis: NHTSA has current FMVSS No. 213 requirements. 11626, February 27, 2012). Petitioner reviewed Recaro’s analysis and has Recaro also mentions that ‘‘NHTSA believes that the documents ‘‘give decided that the subject ProRIDE and noted in its’ [sic] 2012 FMVSS 213 Final validation to the reasoning by RECARO Performance RIDE restraints’ Rule response, limitations were added to limit the use of the top tether.’’ noncompliance is not inconsequential to the lower anchors to ‘prevent lower (D) Recaro states that it is aware that to motor vehicle safety. LATCH anchor loads from exceeding NHTSA has a clear precedent of We will now specifically address each their required strength level specified in denying child restraint manufacturers’ of Recaro’s arguments in the order FMVSS 225.’ ’’ Recaro states that it petitions for inconsequential presented in its petition. ‘‘used this same rationale when they noncompliance concerning top tether (A) Recaro first characterizes developed the RIDE platform in 2010 separation. However, Recaro believes NHTSA’s installation of the ProRIDE and concluded that a load limit of 52 that ‘‘the environment in which those and Performance RIDE with a top tether pounds would be the safest for decisions were made has changed.’’ as ‘‘a direct violation of the instructions consumers.’’ Recaro claims that the methodology it and warnings . . . and would constitute (B) Recaro states that ‘‘post-crash uses to limit top tether loads actually a misuse’’ condition. The petitioner’s structural integrity of the occupant increases safe installations of child reasoning is unpersuasive. Recaro compartment is more insignificant to restraints by limiting the pounds of apparently argues (the petitioner’s safety when compared to the injury force applied and decreasing the chance arguments are unclear) that NHTSA values and excursion data gathered from tether anchor load failures. Recaro also should not have tested the child testing.’’ Petitioner also states that believes that in the event of tether restraints attached to the test seat ‘‘technology has shown repeatedly that separation, the increase to risk of safety assembly with a lap belt and tether is non-existent because the head because the manufacturer instructs 2 The six-year-old dummy weighs approximately excursion limits were not exceeded in consumers to use the ‘‘vehicle seat belt 47 lb and the weighted six-year-old dummy weighs approximately 62 lb. NHTSA’s compliance tests. Petitioner for any child weighing more than 52 lbs 3 ‘‘LATCH’’ refers to Lower Anchors and Tethers indicates that the risk of the subject (23.6 kg).’’ The petitioner is unclear but for Children, an acronym developed by child restraints impacting objects in the we surmise that Recaro is saying that manufacturers and retailers to refer to the child vehicle is identical to, or better than, because it instructs users not to use the restraint anchorage system required by FMVSS No. top tether with children weighing more 225, ‘‘Child restraint anchorage systems,’’ for other compliant child restraints because installation in motor vehicles. [Footnote not in both restraints meet the same head than 52 lb, NHTSA’s tethering the CRS text.] excursion requirements. was in error.

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This view constitutes an incorrect certain actions in the instruction this case, the failure of the top tether was not reading of FMVSS No. 213. FMVSS No. manual. planned and its failure mode is not 213 requires that the ProRIDE/ The ProRIDE/Performance RIDE compliant with federal regulation. The Performance RIDE meet FMVSS No. demonstrated structural integrity failure consequences of unplanned, uncontrolled when the top tether belt separated at the complete separation of a load bearing 213’s dynamic test requirements when structural element are unknown and can be installed as specified by the standard. attachment point to the child restraints. significantly dangerous if the failure leads to Recaro recommended (marketed) the The top tether belt separation exhibited components becoming projectiles in the ProRIDE/Performance RIDE child a complete separation of a load bearing vehicle or if the failure induces a shock load restraints for children with masses from structural element and therefore does to other load bearing structural elements. 18 kg (40 lb) to 30 kg (65 lb). Under not comply with the requirements set NHTSA concurs with Advocates’ FMVSS No. 213, child restraints sold for forth in paragraph S5.1.1(a) of FMVSS observation that the ripping out of the children in this mass range are required No. 213. Failure of a child restraint top tether on the Recaro CRSs was likely to meet the standard’s performance system in this manner increases the an unplanned, uncontrolled event, far requirements, including the system likelihood of head injury to the from a sought-after engineering feat of integrity requirements, when tested occupant, which is not insignificant or child restraint technology. with the six-year-old and weighted six- inconsequential to safety. Moreover, FMVSS No. 213 does (B) NHTSA does not agree with year-old test dummies. These test recognize the role that purposeful Recaro’s line of reasoning that its dummies represent the children for breakage in child restraint design can petition should be granted because whom the child restraint is sold, and are have in improving energy absorption ‘‘technology has shown repeatedly that used by NHTSA to assess the performance. However, such breakage is collapse, breakage, and crumpling of performance of the child restraint in and must be limited by the standard. material minimizes energy and protecting children intended for the S5.1.1 permits partial separations that increases the rate of survival for the restraint. If a top tether is necessary to do not result in sharp edges that may occupant in the event of a collision.’’ meet FMVSS No. 213’s 720 millimeter contact an occupant. Breakage of the The agency has consistently viewed (mm) (28 inch) head excursion CRS such as that demonstrated by the 4 tether strap separation in FMVSS No. requirement, the tether is attached Recaro child restraints demonstrates a 213 sled tests as a load bearing when dynamically testing the CRS with lack of system integrity and is 5 structural failure. A portion of the load those test dummies. The standard seeks prohibited by S5.1.1, FMVSS No. 213. to test CRSs as consumers would use the of the child restraint and dummy is We disagree with Recaro’s statement CRSs in the real world. There is no transferred to the vehicle by the top that ‘‘post-crash structural integrity of provision in FMVSS No. 213 that tether. A tether attachment failure in a the occupant compartment is more enables manufacturers to exclude compliance sled test indicates that the insignificant to safety when compared themselves from the requirements of the minimum level of occupant protection to the injury values and excursion data standard by way of ‘‘fine print’’ or other established by FMVSS No. 213 has not gathered from testing.’’ Each of the restrictions in instruction manuals. been provided. requirements in FMVSS No. 213 In requiring the upper tether If Recaro did not wish to have its addresses a safety need. The anchorage on vehicles and the tether child restraints tested with the six-year- commenters address this issue well. strap on CRSs, NHTSA noted that, ‘‘Test old and weighted six-year-old test Advocates states: ‘‘NHTSA specifically data show that an attached tether dummies in the tethered condition, the included the prohibition against substantially improves the ability of a manufacturer could have recommended complete separation of any load bearing child restraint to protect against head its CRSs for children weighing up to 18 structural element specifically because impacts in a crash.’’ 6 NHTSA does not kg (40 lb), not 30 kg (65 lb). Since the dangers associated with this agree with Recaro’s assertion that the Recaro marketed the CRS as suitable for occurrence were not addressed by the failure of the top tether demonstrates a children over 18 kg (40 lb), the injury criteria alone.’’ Mr. Stewart design to allow tether breakage in order manufacturer is responsible for ensuring observes: ‘‘If a seat breaks in half during to mitigate crash forces and reduce the that its CRSs meet all the requirements testing but the dummy records lower likelihood of injury to children. Rather, of FMVSS No. 213 when tested as injury measurement does the NHTSA believes that the total specified by FMVSS No. 213, and manufacturer get away with claiming separation of the top tether, as seen in cannot absolve itself of those that they designed it to break in half on the Recaro compliance tests, responsibilities by using its instruction purpose—as a way to manage energy?’’ demonstrates a failure of the load manual to limit NHTSA’s assessment of Child restraints must be able to hold bearing element (top tether) to control the CRS in a compliance test. together in a crash and safely manage forward motion of the dummy and, Mr. Stewart states in his comment the crash forces on the child occupant. therefore, a liability in the child opposing the petition that, ‘‘If a To accomplish this, all requirements of restraint that increases the potential for manufacturer is allowed to bypass the standard must be met. FMVSS 213 standards simply by injury to children in real world crashes. We further note that the weighted six- In its comment, Advocates states mandating or prohibiting certain actions year-old child test dummy is not that— in the instruction manual, what is the instrumented and is not used to point of having standards?’’ NHTSA The damage to the child restraints in this measure injury values and excursion concurs with the commenter that case is unrelated to controlled breakage, of limits when testing CRSs under FMVSS FMVSS No. 213’s effectiveness would the RECARO restraint. For one thing, No. 213.7 Accordingly, the structural be substantially diminished if RECARO does not assert that the complete separation of the upper tether was a planned integrity requirement is especially manufacturers were generally permitted design feature of the child restraint. In pertinent in assessing the crash to bypass the standard’s requirements addition, many other manufacturers have performance of the subject Recaro child simply by mandating or prohibiting made use of controlled breakage techniques restraints when used with children while still meeting all federal regulations. In weighing above 22.7 kg (50 lb), since 4 S5.1.3.1(a)(1). 5 Table to S5.1.3.1(a), S6.1.2(a)(1)(i)(A). 6 64 FR 10786, 10802; March 5, 1999. 7 See S5(d) of FMVSS No. 213.

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that is the only dynamic performance NHTSA’S Decision: In consideration ADDRESSES: The July 23, 2015 meeting requirement that applies to the CRSs. of the foregoing, NHTSA has decided will be held in the Media Center of the Failure to comply with the requirement that the ProRIDE and Performance U.S. Department of Transportation, 1200 is not inconsequential to safety. RIDE’s noncompliance poses a risk to New Jersey Avenue SE., Washington, NHTSA has taken enforcement action safety and is therefore not DC 20590. for similar failures. In 2001, the agency inconsequential. Recaro has not met its FOR FURTHER INFORMATION CONTACT: If notified Britax Child Safety, Inc., burden of persuasion that the FMVSS you would like to attend the workshop, (Britax) of a potential noncompliance No. 213 noncompliance identified in please contact Pei Lee by the date due to the detachment of a tether strap Recaro’s noncompliance information specified under DATES section above, at: during dynamic testing of one of its report is inconsequential to motor Telephone (202) 366–1836; email child restraint models. Britax initiated a vehicle safety. Accordingly, Recaro’s address: [email protected]. Please provide recall campaign to provide owners of petition is hereby denied and Recaro is her with the following information: the affected model with repair kits. In obligated to provide notification of, and Name, title, affiliation, address, email 2007, the agency notified Britax of a a remedy for, that noncompliance under address, and telephone number, and potential noncompliance due to the 49 U.S.C. 30118 and 30120. indicate whether you require tether hook opening during dynamic Authority: (49 U.S.C. 30118, 30120: accommodations such as a sign testing of one of its child restraint delegations of authority at 49 CFR 1.95 and language interpreter or translator. If you models. Britax initiated a recall 501.8) are not a U.S. citizen, also provide your campaign to provide owners of the Frank S. Borris, country of citizenship, date of birth, title affected model with new tether hooks. or position, and passport or diplomatic (C) The materials cited by the Acting Associate Administrator for Enforcement. ID number, along with expiration date. petitioner have no bearing on the merits of Recaro’s petition. As explained above [FR Doc. 2015–16936 Filed 7–9–15; 8:45 am] SUPPLEMENTARY INFORMATION: NHTSA is in NHTSA’s response to Recaro’s first BILLING CODE 4910–59–P hosting a meeting to address the argument, FMVSS No. 213 requires that challenges and barriers that have prevented schools from taking action to the ProRIDE and Performance RIDE DEPARTMENT OF TRANSPORTATION child restraints meet the structural install three-point seat belt systems in school buses. integrity requirements when installed National Highway Traffic Safety with the top tether. NHTSA does not Administration This meeting will update the current know of any current material published state of knowledge regarding occupant on use of child restraint top tethers that [Docket No. NHTSA–2015—0069] protection technology on school buses, supports not using the child restraint’s identify operational challenges, and School Bus Occupant Protection: top tether. explore new approaches for funding Taking Safety to a New Level Meeting (D) Recaro’s statement that ‘‘the mechanisms. The meeting will explore environment in which [previous denials AGENCY: National Highway Traffic topics such as seating capacity loss, of inconsequentiality petitions on tether Safety Administration (NHTSA), which in the past has prevented many failures] were made has changed’’ is Department of Transportation (DOT). States and school districts from incorrect. NHTSA does not know of any ACTION: Notice of public meeting. considering three-point belt systems as current material published on use of an option, communication strategies to child restraint top tethers that supports SUMMARY: The National Highway Traffic reach parents and children, and new not using the child restraint’s top tether. Safety Administration (NHTSA) is training programs that may be needed Moreover, granting the petition would announcing a meeting that will be held for bus drivers and students. be contradictory to NHTSA’s mission to in Washington, DC on July 23, 2015 to Additionally, the National promote greater use of the top tether. address the challenges and barriers that Transportation Safety Board has been (E) The shortcoming in Recaro’s have prevented schools from taking invited to present on their findings and design to meet the applicable FMVSS action to install three-point seat belt recommendations from investigations of No. 213 dynamic test requirements systems in school buses. The workshop school bus crashes. poses an unacceptable safety risk. The will include presentations and Workshop Procedures. NHTSA will risk exists and is unacceptable even if discussions on the topic. Information on conduct the meeting informally. Thus, there has been no incident of separation the date, time, location, and framework technical rules of evidence will not in the tether anchorage area thus far.8 for this public event is included in this apply. The workshop will include brief NHTSA does not agree that the tether notice. Attendance requires prior presentations and breakout group separation occurs in testing due to the registration; there will be no registration discussions with representatives from testing equipment 9 but rather as a at the door. There are no fees to register NHTSA and school transportation shortcoming in Recaro’s design to meet or to attend this event; however space officials. There will be opportunities for the applicable FMVSS No. 213 dynamic is limited on a first-come basis. The attendees to ask NHTSA and the test requirements. meeting will also be webcast live at speakers questions. www.nhtsa.gov. To attend this workshop, please 8 If in fact consumers are not using the tether with DATES: The workshop will be held on register with NHTSA by the date children over 52 lb in accordance with Recaro’s July 23, 2015, at the location indicated specified under the DATES section above instructions, then it follows that there would not be in the ADDRESSES section below. The by sending the required information to reports of tether failure. However, the children would not be benefiting from use of the tether in workshop will start at 9:00 a.m. and is the person listed in the FOR FURTHER a crash. Recaro should have designed its restraints scheduled to continue until 4:15 p.m., INFORMATION CONTACT section. such that they could meet the structural integrity local time. If you would like to register Registration is necessary for security requirement when tethered, to afford the children to attend the workshop, please contact and space limitation reasons. After the benefits of a structurally sound CRS and the benefits of the tether. the person identified under FOR FURTHER registration, NHTSA will send attendees 9 No data or information was submitted by the INFORMATION CONTACT no later than July follow-up information regarding petitioner to support this claim. 17, 2015. workshop day logistics (i.e., directions

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to the building, parking STB RAILROAD INFLATION-ADJUSTED Counsel (Foreign Assets Control), tel.: accommodations, etc.). INDEX AND DEFLATOR FACTOR 202/622–2410, Office of the General For security purposes, photo TABLE—Continued Counsel, Department of the Treasury identification is required to enter the (not toll free numbers). Department of Transportation building. Year Index Deflator To allow sufficient time to clear security SUPPLEMENTARY INFORMATION: and enter the building, NHTSA 2005 ...... 522.41 78.29 Electronic and Facsimile Availability recommends that workshop participants 2006 ...... 567.34 72.09 arrive 30 to 60 minutes prior to the start 2007 ...... 588.30 69.52 The SDN List and additional of the event. 2008 ...... 656.78 62.28 information concerning OFAC sanctions 2009 ...... 619.73 66.00 Authority: 49 U.S.C. 30182. 2010 ...... 652.29 62.71 programs are available from OFAC’s Web site (www.treasury.gov/ofac). Issued on: July 1, 2015. 2011 ...... 708.80 57.71 2012 ...... 740.61 55.23 Certain general information pertaining Mark R. Rosekind, 2013 ...... 764.19 53.53 to OFAC’s sanctions programs is also Administrator. 2014 ...... 778.41 52.55 available via facsimile through a 24- [FR Doc. 2015–16892 Filed 7–9–15; 8:45 am] 1 Ex Parte No. 492, Montana Rail Link, Inc., hour fax-on-demand service, tel.: 202/ BILLING CODE 4910–59–P and Wisconsin Central Ltd., Joint Petition For 622–0077. Rulemaking With Respect To 49 CFR 1201, 8 I.C.C. 2d 625 (1992), raised the revenue clas- Notice of OFAC Actions DEPARTMENT OF TRANSPORTATION sification level for Class I railroads from $50 million (1978 dollars) to $250 million (1991 On July 2, 2014, OFAC blocked the dollars), effective for the reporting year begin- property and interests in property of the Surface Transportation Board ning January 1, 1992. The Class II threshold was also raised from $10 million (1978 dollars) following two persons pursuant to E.O. Indexing the Annual Operating to $20 million (1991 dollars). 13664, ‘‘Blocking Property of Certain Revenues of Railroads Effective Date: January 1, 2014. Persons With Respect to South Sudan’’: The Surface Transportation Board FOR FURTHER INFORMATION CONTACT: 1. DUAL, Simon Gatwech (a.k.a. DUAL, (STB) is publishing the annual inflation- Pedro Ramirez 202–245–0333. [Federal Simon Gatwec; a.k.a. DUAL, Simon Gatwich; adjusted index factors for 2014. These Information Relay Service (FIRS) for the a.k.a. DUAL, Simon Getwech; a.k.a. factors are used by the railroads to hearing impaired: 1–800–877–8339] GARWICH, Simon; a.k.a. GATWEACH, adjust their gross annual operating Simon; a.k.a. GATWECH, Simon; a.k.a. By the Board, William F. Huneke, Director, revenues for classification purposes. Office of Economics. GATWICK, Simon; a.k.a. ‘‘Dhual’’; a.k.a. This indexing methodology ensures that ‘‘General Gaduel’’), Jonglei State, South Jeffrey Herzig, railroads are classified based on real Sudan; DOB 1953; POB Akobo, Jonglei State, business expansion and not from the Clearance Clerk. South Sudan; alt. POB Akobo, Jonglei State, effects of inflation. Classification is [FR Doc. 2015–16907 Filed 7–9–15; 8:45 am] Sudan; alt. POB Uror County, Jonglei State, important because it determines the BILLING CODE 4915–01–P South Sudan; alt. POB Uror County, Jonglei extent to which individual railroads State, Sudan; SPLA in Opposition Chief of must comply with STB reporting General Staff; Major General (individual) requirements. DEPARTMENT OF THE TREASURY [SOUTH SUDAN]. The STB’s annual inflation-adjusted 2. JOK RIAK, Gabriel (a.k.a. JOK, Gabriel; factors are based on the annual average Office of Foreign Assets Control a.k.a. RIAK, Jock; a.k.a. RIAK, Jok), Wau, Railroad’s Freight Price Index which is Western Bahr El Ghazal State, South Sudan; Sanctions Actions Pursuant to developed by the Bureau of Labor Unity State, South Sudan; DOB 1966; POB Executive Order 13664 Statistics (BLS). The STB’s deflator Bor, South Sudan; alt. POB Bor, Sudan; factor is used to deflate revenues for AGENCY: Office of Foreign Assets nationality South Sudan; Lieutenant General; comparison with established revenue Control, Treasury. Sector One Commander (individual) [SOUTH SUDAN]. thresholds. ACTION: Notice. The base year for railroads is 1991. OFAC supplemented the identification The inflation index factors are presented SUMMARY: The Treasury Department’s as follows: Office of Foreign Assets Control (OFAC) information for one individual whose is publishing the names of two property and interests in property are STB RAILROAD INFLATION-ADJUSTED individuals and supplemental blocked pursuant to Executive Order INDEX AND DEFLATOR FACTOR TABLE information for one individual whose 13664. The supplemental identification property and interests in property are information for the individual is as Year Index Deflator blocked pursuant to Executive Order follows: (E.O.) 13664 and whose names have WOL, Santino Deng (a.k.a. KUOL, Santino 1991 ...... 409.50 1100.00 been added to OFAC’s list of Specially Deng; a.k.a. WUOL, Santino Deng); DOB 09 1992 ...... 411.80 99.45 Designated Nationals and Blocked 1993 ...... 415.50 98.55 Nov 1962; POB Aweil, South Sudan; alt. POB 1994 ...... 418.80 97.70 Persons (SDN List). Aweil, Sudan; Major General; Sudan People’s 1995 ...... 418.17 97.85 DATES: OFAC’s actions described in this Liberation Army Third Division Commander 1996 ...... 417.46 98.02 notice were effective July 2, 2015. (individual) [SOUTH SUDAN]. 1997 ...... 419.67 97.50 FOR FURTHER INFORMATION CONTACT: Dated: July 2, 2015. 1998 ...... 424.54 96.38 Associate Director for Global Targeting, 1999 ...... 423.01 96.72 John E. Smith, tel.: 202/622–2420, Assistant Director 2000 ...... 428.64 95.45 Acting Director, Office of Foreign Assets for Sanctions Compliance & Evaluation, 2001 ...... 436.48 93.73 Control. tel.: 202/622–2490, Assistant Director 2002 ...... 445.03 91.92 [FR Doc. 2015–16931 Filed 7–9–15; 8:45 am] 2003 ...... 454.33 90.03 for Licensing, tel.: 202/622–2480, Office 2004 ...... 473.41 86.40 of Foreign Assets Control, or Chief BILLING CODE 4810–AL–P

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DEPARTMENT OF VETERANS [email protected]. Please refer to information for their annual submission AFFAIRS ‘‘OMB Control No. 2900–0427’’ in any to Congress. correspondence. During the comment [OMB Control No. 2900–0427] VA physician will obtain the period, comments may be viewed online information on the VA Form 10–0048 Proposed Information Collection through the FDMS. during a medical examination. If these (Former Prisoner of War Medical FOR FURTHER INFORMATION CONTACT: questions were not asked, the physician History) Activity: Comment Request Audrey Revere at (202) 461–5694. would be unable to assess the health SUPPLEMENTARY INFORMATION: Under the care, disability compensation or AGENCY: Veterans Health PRA of 1995 (Pub. L. 104–13; 44 U.S.C. rehabilitation needs of the Former Administration, Department of Veterans 3501–3521), Federal agencies must Prisoner Of War (FPOW). The Affairs. obtain approval from the Office of importance of collecting this very ACTION: Notice. Management and Budget (OMB) for each detailed information when the veteran is first seen is critical, not only with the SUMMARY: The Veterans Health collection of information they conduct Administration (VHA), Department of or sponsor. This request for comment is physician evaluating the veteran but Veterans Affairs (VA), is announcing an being made pursuant to Section also by the rating specialist who will opportunity for public comment on the 3506(c)(2)(A) of the PRA. rate this claim. The rater also reviews proposed collection of certain With respect to the following the statements given by the veteran on information by the agency. Under the collection of information, VHA invites this form not only at the first claim Paperwork Reduction Act (PRA) of comments on: (1) Whether the proposed submission but in future years when 1995, Federal agencies are required to collection of information is necessary other disabilities are claimed. Feedback publish notice in the Federal Register for the proper performance of VHA’s from POW physicians in the field concerning each proposed collection of functions, including whether the indicates their appreciation of the well information, including each extension information will have practical utility; thought out content and structure of the collection, and allow 60 days for public (2) the accuracy of VHA’s estimate of form. It is useful not only for comment in response to the notice. This the burden of the proposed collection of Compensation and Pension notice solicits comments on the information; (3) ways to enhance the examinations but also as a guide and information needed for Veterans, quality, utility, and clarity of the reference for treatment planning for the Veteran Representatives and health care information to be collected; and (4) FPOW patient. The questions in the providers to request reimbursement ways to minimize the burden of the form make it relevant for FPOWS of from the federal government for collection of information on current as well as prior conflicts. emergency services at a private respondents, including through the use Affected Public: Individuals or institution. of automated collection techniques or Households. the use of other forms of information Estimated Annual Burden: 113 DATES: Written comments and technology. burden hours. recommendations on the proposed Titles: Former Prisoner of War Estimated Average Burden per collection of information should be Medical History. received on or before September 8, Respondent: 90 minutes. OMB Control Number: 2900–0427. Frequency of Response: Annually. 2015. Type of Review: Revision. Estimated Number of Respondents: ADDRESSES: Submit written comments Abstract: VA Form 10–0048, Former 75. on the collection of information through POW Medical History, is used to collect Federal Docket Management System data in response to Public Law 97–37, By direction of the Secretary. (FDMS) at www.Regulations.gov; or the ‘‘Former Prisoner of War Benefits Kathleen M. Manwell, Audrey Revere, Office of Regulatory and Act of 1981,’’ that liberalizes eligibility VA Privacy Service, Office of Privacy and Administrative Affairs, Veterans Health requirements and extends the existing Records Management, Department of Administration (10B4), Department of benefits. Additionally, the National Veterans Affairs. Veterans Affairs, 810 Vermont Avenue Advisory Committee on Former [FR Doc. 2015–16905 Filed 7–9–15; 8:45 am] NW., Washington, DC 20420 or email: Prisoners Of War requires this BILLING CODE 8320–01–P

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Part II

Department of Health and Human Services

Center for Medicare & Medicaid Services 42 CFR Parts 409, 424, and 484 Medicare and Medicaid Programs; CY 2016 Home Health Prospective Payment System Rate Update; Home Health Value-Based Purchasing Model; and Home Health Quality Reporting Requirements; Proposed Rules

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DEPARTMENT OF HEALTH AND staff and resource limitations, we cannot Hillary Loeffler, (410) 786–0456, for HUMAN SERVICES accept comments by facsimile (FAX) general information about the HH PPS. transmission. Michelle Brazil, (410) 786–1648 for Center for Medicare & Medicaid You may submit comments in one of information about the HH quality Services four ways (please choose only one of the reporting program. ways listed): Lori Teichman, (410) 786–6684, for 42 CFR Parts 409, 424, and 484 1. Electronically. You may submit information about HHCAHPS. electronic comments on this regulation Robert Flemming, (844) 280–5628, for [CMS–1625–P] to http://www.regulations.gov. Follow information about the HHVBP model. RIN 0938–AS46 the instructions under the ‘‘More Search SUPPLEMENTARY INFORMATION: Options’’ tab. Inspection of Public Comments: All Medicare and Medicaid Programs; CY 2. By regular mail. You may mail comments received before the close of 2016 Home Health Prospective written comments to the following the comment period are available for Payment System Rate Update; Home address ONLY: Centers for Medicare & viewing by the public, including any Health Value-Based Purchasing Model; Medicaid Services, Department of personally identifiable or confidential and Home Health Quality Reporting Health and Human Services, Attention: business information that is included in Requirements CMS–1625–P, P.O. Box 8016, Baltimore, a comment. We post all comments AGENCY: Centers for Medicare & MD 21244–8016. received before the close of the Medicaid Services (CMS), HHS. Please allow sufficient time for mailed comment period on the following Web comments to be received before the ACTION: Proposed rule. site as soon as possible after they have close of the comment period. been received: http:// SUMMARY: This proposed rule would 3. By express or overnight mail. You www.regulations.gov. Follow the search update Home Health Prospective may send written comments to the instructions on that Web site to view Payment System (HH PPS) rates, following address ONLY: Centers for public comments. including the national, standardized 60- Medicare & Medicaid Services, Comments received timely will also day episode payment rates, the national Department of Health and Human be available for public inspection as per-visit rates, and the non-routine Services, Attention: CMS–1625–P, Mail they are received, generally beginning medical supply (NRS) conversion factor Stop C4–26–05, 7500 Security approximately 3 weeks after publication under the Medicare prospective Boulevard, Baltimore, MD 21244–1850. of a document, at the headquarters of payment system for home health 4. By hand or courier. If you prefer, the Centers for Medicare & Medicaid agencies (HHAs), effective for episodes you may deliver (by hand or courier) Services, 7500 Security Boulevard, ending on or after January 1, 2016. As your written comments before the close Baltimore, Maryland 21244, Monday required by the Affordable Care Act, this of the comment period to either of the through Friday of each week from 8:30 proposed rule implements the third year following addresses: a.m. to 4 p.m. EST. of the four-year phase-in of the rebasing a. For delivery in Washington, DC— To schedule an appointment to view adjustments to the HH PPS payment Centers for Medicare & Medicaid public comments, phone 1–800–743– rates. This proposed rule provides Services, Department of Health and 3951. Human Services, Room 445–G, Hubert information on our efforts to monitor Table of Contents the potential impacts of the rebasing H. Humphrey Building, 200 I. Executive Summary adjustments. This proposed rule also Independence Avenue SW., Washington, DC 20201. A. Purpose proposes: reductions to the national, B. Summary of the Major Provisions standardized 60-day episode payment (Because access to the interior of the C. Summary of Costs and Benefits rate in CY 2016 and CY 2017 of 1.72 Hubert H. Humphrey Building is not readily II. Background percent in each year to account for available to persons without federal A. Statutory Background estimated case-mix growth unrelated to government identification, commenters are B. System for Payment of Home Health encouraged to leave their comments in the increases in patient acuity (nominal Services CMS drop slots located in the main lobby of C. Updates to the Home Health Prospective case-mix growth) between CY 2012 and the building. A stamp-in clock is available for CY 2014; a HH value-based purchasing Payment System persons wishing to retain a proof of filing by D. Advancing Health Information Exchange (HHVBP) model to be implemented stamping in and retaining an extra copy of III. Proposed Provisions of the Home Health beginning January 1, 2016 in which all the comments being filed.) Prospective Payment System Medicare-certified HHAs in selected b. For delivery in Baltimore, MD— A. Monitoring for Potential Impacts— states will be required to participate; Centers for Medicare & Medicaid Affordable Care Act Rebasing changes to the home health quality Services, Department of Health and Adjustments reporting program requirements; and Human Services, 7500 Security B. CY 2016 HH PPS Case-Mix Weights and minor technical regulations text Proposed Reduction to the National, Boulevard, Baltimore, MD 21244–1850. Standardized 60-Day Episode Payment changes. Finally, this proposed rule If you intend to deliver your would update the HH PPS case-mix Rate To Account for Nominal Case-Mix comments to the Baltimore address, Growth weights using the most current, please call (410) 786–7195 in advance to 1. CY 2016 HH PPS Case-Mix Weights complete data available at the time of schedule your arrival with one of our 2. Reduction to the National, Standardized rulemaking and provide an update on staff members. 60-Day Episode Payment Rate to the Report to Congress regarding the Comments mailed to the addresses Account for Nominal Case-Mix Growth home health (HH) study. indicated as appropriate for hand or C. CY 2016 Home Health Rate Update DATES: To be assured consideration, courier delivery may be delayed and 1. CY 2016 Home Health Market Basket comments must be received at one of received after the comment period. Update the addresses provided below, no later For information on viewing public 2. CY 2016 Home Health Wage Index 3. CY 2016 Annual Payment Update than 5 p.m. on September 4, 2015. comments, see the beginning of the a. Background ADDRESSES: In commenting, please refer SUPPLEMENTARY INFORMATION section. b. CY 2016 National, Standardized 60-Day to file code CMS–1625–P. Because of FOR FURTHER INFORMATION CONTACT: Episode Payment Rate

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c. CY 2016 National Per-Visit Rates CASPER Certification and Survey Provider PAC–PRD Post-Acute Care Payment Reform d. Low-Utilization Payment Adjustment Enhanced Reports Demonstration (LUPA) Add-On Factors CHF Congestive Heart Failure PEP Partial Episode Payment Adjustment e. CY 2016 Nonroutine Medical Supply CMI Case-Mix Index PT Physical Therapy Payment Rates CMP Civil Money Penalty PY Performance Year f. Rural Add-On CMS Centers for Medicare & Medicaid PRRB Provider Reimbursement Review D. Payments for High-Cost Outliers Under Services Board the HH PPS CoPs Conditions of Participation QAP Quality Assurance Plan E. Report to Congress on the Home Health COPD Chronic Obstructive Pulmonary RAP Request for Anticipated Payment Study Required by Section 3131(d) of the Disease RF Renal Failure Affordable Care Act and an Update on CVD Cardiovascular Disease RFA Regulatory Flexibility Act, Pub. L. 96– Subsequent Research and Analysis CY Calendar Year 354 F. Technical Regulations Text Changes DM Diabetes Mellitus RHHIs Regional Home Health IV. Proposed Home Health Value-Based DRA Deficit Reduction Act of 2005, Pub. L. Intermediaries Purchasing (HHVBP) Model 109–171, enacted February 8, 2006 RIA Regulatory Impact Analysis V. Proposed Provisions of the Home Health FDL Fixed Dollar Loss SAF Standard Analytic File Care Quality Reporting Program FI Fiscal Intermediaries SLP Speech-Language Pathology (HHQRP) FR Federal Register SN Skilled Nursing A. Background and Statutory Authority FY Fiscal Year SNF Skilled Nursing Facility B. General Considerations Used for the HAVEN Home Assessment Validation and TPS Total Performance Score Selection of Quality Measures for the HH Entry System UMRA Unfunded Mandates Reform Act of QRP HCC Hierarchical Condition Categories 1995. C. HH QRP Quality Measures and HCIS Health Care Information System VBP Value-Based Purchasing Measures Under Consideration for HH Home Health I. Executive Summary Future Years HHA Home Health Agency D. Form, Manner, and Timing of OASIS HHCAHPS Home Health Care Consumer A. Purpose Data Submission and OASIS Data for Assessment of Healthcare Providers and This proposed rule would update the Annual Payment Update Systems Survey 1. Statutory Authority HH PPS Home Health Prospective Payment payment rates for HHAs for calendar 2. Home Health Quality Reporting Program System year (CY) 2016, as required under Requirements for CY 2016 Payment and HHRG Home Health Resource Group section 1895(b) of the Social Security Subsequent Years HHVBP Home Health Value-Based Act (the Act). This would reflect the 3. Previously Established Pay-for-Reporting Purchasing third year of the four-year phase-in of Performance Requirement for HIPPS Health Insurance Prospective the rebasing adjustments to the national, Submission of OASIS Quality Data Payment System standardized 60-day episode payment E. Home Health Care CAHPS Survey HVBP Hospital Value-Based Purchasing rate, the national per-visit rates, and the (HHCAHPS) ICD–9–CM International Classification of 1. Background and Description of NRS conversion factor finalized in the Diseases, Ninth Revision, Clinical CY 2014 HH PPS final rule (78 FR HHCAHPS Modification 2. HHCAHPS Oversight Activities ICD–10–CM International Classification of 72256), as required under section 3. HHCAHPS Requirements for the CY Diseases, Tenth Revision, Clinical 3131(a) of the Patient Protection and 2016 APU Modification Affordable Care Act of 2010 (Pub. L. 4. HHCAHPS Requirements for the CY IH Inpatient Hospitalization 111–148), as amended by the Health 2017 APU IMPACT Act Improving Medicare Post- Care and Education Reconciliation Act 5. HHCAHPS Requirements for the CY Acute Care Transformation Act of 2014 of 2010 (Pub. L. 111–152) (collectively 2018 APU (P.L. 113–185) referred to as the ‘‘Affordable Care 6. HHCAHPS Reconsideration and Appeals IRF Inpatient Rehabilitation Facility Process Act’’). LEF Linear Exchange Function This proposed rule also discusses our 7. Summary LTCH Long-Term Care Hospital F. Public Display of Home Health Quality efforts to monitor the potential impacts LUPA Low-Utilization Payment Adjustment of the rebasing adjustments mandated Data for the HH QRP MEPS Medical Expenditures Panel Survey VI. Collection of Information Requirements MMA Medicare Prescription Drug, by section 3131(a) of the Affordable VII. Response to Comments Improvement, and Modernization Act of Care Act. This rule proposes: VII. Regulatory Impact Analysis 2003, Pub. L. 108–173, enacted December Reductions to the national, standardized Regulations Text 8, 2003 60-day episode payment rate in CY 2016 MSA Metropolitan Statistical Area and CY 2017 of 1.72 percent in each Acronyms MSS Medical Social Services year to account for case-mix growth In addition, because of the many NQF National Quality Forum unrelated to increases in patient acuity terms to which we refer by abbreviation NQS National Quality Strategy (nominal case-mix growth) between CY NRS Non-Routine Supplies 2012 and CY 2014 under the authority in this proposed rule, we are listing OASIS Outcome and Assessment these abbreviations and their Information Set of section 1895(b)(3)(B)(iv) of the Act; a corresponding terms in alphabetical OBRA Omnibus Budget Reconciliation Act HH Value-Based Purchasing (VBP) order below: of 1987, Pub. L. 100–2–3, enacted model, in which certain Medicare- ACH LOS Acute Care Hospital Length of December 22, 1987 certified HHAs would be required to Stay OCESAA Omnibus Consolidated and participate beginning January 1, 2016, ADL Activities of Daily Living Emergency Supplemental Appropriations under the authority of section 1115(A) APU Annual Payment Update Act, Pub. L. 105–277, enacted October 21, of the Act; changes to the home health BBA Balanced Budget Act of 1997, Pub. L. 1998 quality reporting program requirements 105–33 OES Occupational Employment Statistics under section 1895(b)(3)(B)(v)(II) of the OIG Office of Inspector General BBRA Medicare, Medicaid, and SCHIP Act; and minor technical regulations Balanced Budget Refinement Act of 1999, OT Occupational Therapy Pub. L. 106–113 OMB Office of Management and Budget text changes in 42 CFR parts 409, 424, CAD Coronary Artery Disease MFP Multifactor productivity and 484 to better align the payment CAH Critical Access Hospital PAMA Protecting Access to Medicare Act of requirements with recent statutory and CBSA Core-Based Statistical Area 2014 regulatory changes for home health

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services. Finally, this proposed rule data. In section III.B.1 of this rule, we regulatory changes for home health would update the case-mix weights are recalibrating the HH PPS case-mix services. The sections include under section 1895(b)(4)(A)(i) and weights, using the most current cost and § 409.43(e), § 424.22(a), § 484.205(d), (b)(4)(B) of the Act and provide an utilization data available, in a budget § 484.205(e), § 484.220, § 484.225, update on the Report to Congress neutral manner. In addition, in section § 484.230, § 484.240(b), § 484.240(e), regarding the HH study required by III.B.2 of this rule, we propose to reduce § 484.240(f), § 484.245. In section III.F, section 3131(d) of the Affordable Care to the national, standardized 60-day we discuss the Report to Congress on Act. episode payment rate in CY 2016 and the home health study required by B. Summary of the Major Provisions CY 2017 by 1.72 percent in each year to section 3131(d) of the Affordable Care account for estimated case-mix growth Act and provide an update on As required by section 3131(a) of the unrelated to increases in patient acuity subsequent research and analysis. Affordable Care Act, and finalized in the (nominal case-mix growth) between CY In section IV of this proposed rule, we CY 2014 HH final rule, ‘‘Medicare and 2012 and CY 2014. In section III.C.1 of Medicaid Programs; Home Health propose a HHVBP model to be this rule, we propose to update the implemented beginning January 1, 2016. Prospective Payment System Rate payment rates under the HH PPS by the Update for 2014, Home Health Quality Medicare-certified HHAs selected for home health payment update percentage Reporting Requirements, and Cost inclusion in the HHVBP model would of 2.3 percent (using the 2010-based Allocation of Home Health Survey be required to compete for payment Home Health Agency (HHA) market Expenses’’ (78 FR 77256, December 2, adjustments to their current PPS basket update of 2.9 percent, minus 0.6 2013), we are implementing the third reimbursements based on quality year of the four-year phase-in of the percentage point for productivity as performance. A competing Medicare- rebasing adjustments to the national, required by section 1895(b)(3)(B)(vi)(I) certified HHA is defined as an agency standardized 60-day episode payment of the Act. In the CY 2015 final rule (79 having a current Medicare certification amount, the national per-visit rates and FR 66083 through 66087), we and which is being reimbursed by CMS the NRS conversion factor in section incorporated new geographic area for home health care delivered within III.C.3. The rebasing adjustments for CY designations, set out in a February 28, any of the nine states randomly selected 2016 would reduce the national, 2013 office of Management and Budget under CMS’ proposed selection standardized 60-day episode payment (OMB) bulletin, into the home health methodology. wage index. For CY 2015, we amount by $80.95, increase the national This proposed rule also includes implemented a wage index transition per-visit payment amounts by 3.5 changes to the home health quality policy consisting of a 50/50 blend of the percent of the national per-visit reporting program in section III.V, old geographic area delineations and the payment amounts in CY 2010 with the including the proposal of one new new geographic area delineations. In increases ranging from $1.79 for home quality measure, the establishment of a section III.C.2 of this proposed rule, we health aide services to $6.34 for medical minimum threshold for submission of social services, and reduce the NRS propose to update the CY 2016 home Outcome and Assessment Information conversion factor by 2.82 percent. health wage index using solely the new Set (OASIS) assessments for purposes of This proposed rule also discusses our geographic area designations. In section quality reporting compliance, and efforts to monitor the potential impacts III.D of this proposed rule, we discuss submission dates for Home Health Care of the rebasing adjustments in section payments for high cost outliers. In Consumer Assessment of Healthcare III.A. In the CY 2015 HH PPS final rule section III.E, we propose to make several Providers and Systems Survey (79 FR 66072), we finalized our technical corrections in § 409, 424, and (HHCAHPS) Survey through CY 2018. proposal to recalibrate the case-mix § 484 to better align the payment weights every year with more current requirements with recent statutory and C. Summary of Costs and Transfers

TABLE 1—SUMMARY OF COSTS AND TRANSFERS

Provision description Costs Transfers

CY 2016 HH PPS Payment Rate Update ...... The overall economic impact of the HH PPS payment rate update is an estimated ¥$350 million (¥1.8 percent) in payments to HHAs. CY 2016 HHVBP Model ...... The overall economic impact of the HHVBP model provision for CY 2018 through 2022 is an estimated $380 million in total savings from a reduction in unneces- sary hospitalizations and SNF usage as a result of greater quality improvements in the HH industry. As for payments to HHAs, there are no aggregate increases or decreases to the HHAs competing in the model.

II. Background Section 4603(a) of the BBA mandated Section 1895(b)(3)(A) of the Act A. Statutory Background the development of a HH PPS for all requires the following: (1) The Medicare-covered HH services provided computation of a standard prospective The Balanced Budget Act of 1997 under a plan of care (POC) that were payment amount include all costs for (BBA) (Pub. L. 105–33, enacted August paid on a reasonable cost basis by HH services covered and paid for on a 5, 1997), significantly changed the way adding section 1895 of the Social reasonable cost basis and that such Medicare pays for Medicare HH Security Act (the Act), entitled amounts be initially based on the most services. Section 4603 of the BBA ‘‘Prospective Payment For Home Health recent audited cost report data available mandated the development of the HH PPS. Until the implementation of the Services.’’ Section 1895(b)(1) of the Act to the Secretary; and (2) the HH PPS on October 1, 2000, HHAs requires the Secretary to establish a HH standardized prospective payment received payment under a retrospective PPS for all costs of HH services paid amount be adjusted to account for the reimbursement system. under Medicare.

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effects of case-mix and wage levels related changes. The HH PPS described B. System for Payment of Home Health among HHAs. in that rule replaced the retrospective Services Section 1895(b)(3)(B) of the Act reasonable cost-based system that was Generally, Medicare makes payment addresses the annual update to the used by Medicare for the payment of HH under the HH PPS on the basis of a standard prospective payment amounts services under Part A and Part B. For a national standardized 60-day episode by the HH applicable percentage complete and full description of the HH payment rate that is adjusted for the increase. Section 1895(b)(4) of the Act PPS as required by the BBA, see the July applicable case-mix and wage index. governs the payment computation. 2000 HH PPS final rule (65 FR 41128 The national standardized 60-day Sections 1895(b)(4)(A)(i) and through 41214). episode rate includes the six HH (b)(4)(A)(ii) of the Act require the disciplines (skilled nursing, HH aide, standard prospective payment amount Section 5201(c) of the Deficit physical therapy, speech-language to be adjusted for case-mix and Reduction Act of 2005 (DRA) (Pub. L. pathology, occupational therapy, and geographic differences in wage levels. 109–171, enacted February 8, 2006) medical social services). Payment for Section 1895(b)(4)(B) of the Act requires added new section 1895(b)(3)(B)(v) to the establishment of an appropriate the Act, requiring HHAs to submit data non-routine supplies (NRS) is no longer case-mix change adjustment factor for for purposes of measuring health care part of the national standardized 60-day significant variation in costs among quality, and links the quality data episode rate and is computed by different units of services. submission to the annual applicable multiplying the relative weight for a Similarly, section 1895(b)(4)(C) of the percentage increase. This data particular NRS severity level by the NRS Act requires the establishment of wage submission requirement is applicable conversion factor (See section II.D.4.e). adjustment factors that reflect the for CY 2007 and each subsequent year. Payment for durable medical equipment relative level of wages, and wage-related If an HHA does not submit quality data, covered under the HH benefit is made costs applicable to HH services the HH market basket percentage outside the HH PPS payment system. To furnished in a geographic area increase is reduced by 2 percentage adjust for case-mix, the HH PPS uses a compared to the applicable national points. In the November 9, 2006 Federal 153-category case-mix classification average level. Under section Register (71 FR 65884, 65935), we system to assign patients to a home 1895(b)(4)(C) of the Act, the wage- published a final rule to implement the health resource group (HHRG). The adjustment factors used by the Secretary pay-for-reporting requirement of the clinical severity level, functional may be the factors used under section DRA, which was codified at severity level, and service utilization are 1886(d)(3)(E) of the Act. § 484.225(h) and (i) in accordance with computed from responses to selected Section 1895(b)(5) of the Act gives the the statute. The pay-for-reporting data elements in the OASIS assessment Secretary the option to make additions requirement was implemented on instrument and are used to place the or adjustments to the payment amount January 1, 2007. patient in a particular HHRG. Each otherwise paid in the case of outliers HHRG has an associated case-mix The Affordable Care Act made due to unusual variations in the type or weight which is used in calculating the additional changes to the HH PPS. One amount of medically necessary care. payment for an episode. of the changes in section 3131 of the Section 3131(b)(2) of the Patient For episodes with four or fewer visits, Affordable Care Act is the amendment Protection and Affordable Care Act of Medicare pays national per-visit rates 2010 (the Affordable Care Act) (Pub. L. to section 421(a) of the Medicare based on the discipline(s) providing the 111–148, enacted March 23, 2010) Prescription Drug, Improvement, and services. An episode consisting of four revised section 1895(b)(5) of the Act so Modernization Act of 2003 (MMA) (Pub. or fewer visits within a 60-day period that total outlier payments in a given L. 108–173, enacted on December 8, receives what is referred to as a low- year would not exceed 2.5 percent of 2003) as amended by section 5201(b) of utilization payment adjustment (LUPA). total payments projected or estimated. the DRA. Section 421(a) of the MMA, as Medicare also adjusts the national The provision also made permanent a amended by section 3131 of the standardized 60-day episode payment 10 percent agency-level outlier payment Affordable Care Act, requires that the rate for certain intervening events that cap. Secretary increase, by 3 percent, the are subject to a partial episode payment In accordance with the statute, as payment amount otherwise made under adjustment (PEP adjustment). For amended by the BBA, we published a section 1895 of the Act, for HH services certain cases that exceed a specific cost final rule in the July 3, 2000 Federal furnished in a rural area (as defined in threshold, an outlier adjustment may Register (65 FR 41128) to implement the section 1886(d)(2)(D) of the Act) with also be available. HH PPS legislation. The July 2000 final respect to episodes and visits ending on rule established requirements for the or after April 1, 2010, and before C. Updates to the Home Health new HH PPS for HH services as required January 1, 2016. Section 210 of the Prospective Payment System by section 4603 of the BBA, as Medicare Access and CHIP As required by section 1895(b)(3)(B) subsequently amended by section 5101 Reauthorization Act of 2015 (MACRA) of the Act, we have historically updated of the Omnibus Consolidated and (Pub. L. 114–10) amended section 421(a) the HH PPS rates annually in the Emergency Supplemental of the MMA to extend the rural add-on Federal Register. The August 29, 2007 Appropriations Act (OCESAA) for Fiscal for two more years. Section 421(a) of the final rule with comment period set forth Year 1999, (Pub. L. 105–277, enacted MMA, as amended by section 210 of the an update to the 60-day national October 21, 1998); and by sections 302, MACRA, requires that the Secretary episode rates and the national per-visit 305, and 306 of the Medicare, Medicaid, increase, by 3 percent, the payment rates under the HH PPS for CY 2008. and SCHIP Balanced Budget Refinement amount otherwise made under section The CY 2008 HH PPS final rule Act (BBRA) of 1999, (Pub. L. 106–113, 1895 of the Act, for HH services included an analysis performed on CY enacted November 29, 1999). The provided in a rural area (as defined in 2005 HH claims data, which indicated requirements include the section 1886(d)(2)(D) of the Act) with a 12.78 percent increase in the observed implementation of a HH PPS for HH respect to episodes and visits ending on case-mix since 2000. Case-mix services, consolidated billing or after April 1, 2010, and before represents the variations in conditions requirements, and a number of other January 1, 2018. of the patient population served by the

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HHAs. Subsequently, a more detailed that only 15.76 percent of that overall other amounts that reflect factors such analysis was performed on the 2005 observed case-mix percentage increase as changes in the number of visits in an case-mix data to evaluate if any portion was due to real case-mix change. As a episode, the mix of services in an of the 12.78 percent increase was result of our analysis, we identified a episode, the level of intensity of services associated with a change in the actual 19.03 percent nominal increase in case- in an episode, the average cost of clinical condition of HH patients. We mix. At that time, to fully account for providing care per episode, and other examined data on demographics, family the 19.03 percent nominal case-mix relevant factors. Additionally, we must severity, and non-HH Part A Medicare growth identified from 2000 to 2009, we phase in any adjustment over a four- expenditures to predict the average finalized a 3.79 percent payment year period in equal increments, not to case-mix weight for 2005. We identified reduction in CY 2012 and a 1.32 percent exceed 3.5 percent of the amount (or 8.03 percent of the total case-mix payment reduction for CY 2013. amounts) as of the date of enactment of change as real, and therefore, decreased In the CY 2013 HH PPS final rule (77 the 12.78 percent of total case-mix FR 67078), we implemented a 1.32 the Affordable Care Act, and fully change by 8.03 percent to get a final percent reduction to the payment rates implement the rebasing adjustments by nominal case-mix increase measure of for CY 2013 to account for nominal CY 2017. The statute specifies that the 11.75 percent (0.1278 * (1¥0.0803) = case-mix growth from 2000 through maximum rebasing adjustment is to be 0.1175). 2010. When taking into account the total no more than 3.5 percent per year of the To account for the changes in case- measure of case-mix change (23.90 CY 2010 rates. Therefore, in the CY mix that were not related to an percent) and the 15.97 percent of total 2014 HH PPS final rule (78 FR 72256) underlying change in patient health case-mix change estimated as real from for each year, CY 2014 through CY 2017, status, we implemented a reduction, 2000 to 2010, we obtained a final we finalized a fixed-dollar reduction to over 4 years, to the national, nominal case-mix change measure of the national, standardized 60-day standardized 60-day episode payment 20.08 percent from 2000 to 2010 episode payment rate of $80.95 per year, rates. That reduction was to be 2.75 (0.2390 * (1¥0.1597) = 0.2008). To fully increases to the national per-visit percent per year for 3 years beginning in account for the remainder of the 20.08 payment rates per year as reflected in CY 2008 and 2.71 percent for the fourth percent increase in nominal case-mix Table 2, and a decrease to the NRS year in CY 2011. In the CY 2011 HH PPS beyond that which was accounted for in conversion factor of 2.82 percent per final rule (76 FR 68532), we updated our previous payment reductions, we year. We also finalized three separate analyses of case-mix change and estimated that the percentage reduction LUPA add-on factors for skilled nursing, finalized a reduction of 3.79 percent, to the national, standardized 60-day physical therapy, and speech-language instead of 2.71 percent, for CY 2011 and episode rates for nominal case-mix pathology and removed 170 diagnosis deferred finalizing a payment reduction change would be 2.18 percent. Although for CY 2012 until further study of the we considered proposing a 2.18 percent codes from assignment to diagnosis case-mix change data and methodology reduction to account for the remaining groups in the HH PPS Grouper. In the was completed. increase in measured nominal case-mix, CY 2015 HH PPS final rule (79 FR In the CY 2012 HH PPS final rule (76 we finalized the 1.32 percent payment 66032), we implemented the second FR 68526), we updated the 60-day reduction to the national, standardized year of the four-year phase-in of the national episode rates and the national 60-day episode rates in the CY 2012 HH rebasing adjustments to the HH PPS per-visit rates. In addition, as discussed PPS final rule (76 FR 68532). payment rates and made changes to the in the CY 2012 HH PPS final rule (76 Section 3131(a) of the Affordable Care HH PPS case-mix weights. In addition, FR 68528), our analysis indicated that Act requires that, beginning in CY 2014, we simplified the face-to-face encounter there was a 22.59 percent increase in we apply an adjustment to the national, regulatory requirements and the therapy overall case-mix from 2000 to 2009 and standardized 60-day episode rate and reassessment timeframes.

TABLE 2—MAXIMUM ADJUSTMENTS TO THE NATIONAL PER-VISIT PAYMENT RATES [Not to Exceed 3.5 Percent of the Amount(s) in CY 2010]

Maximum adjustments 2010 National per year per-visit payment (CY 2014 rates through CY 2017)

Skilled Nursing ...... $113.01 $3.96 Home Health Aide ...... 51.18 1.79 Physical Therapy ...... 123.57 4.32 Occupational Therapy ...... 124.40 4.35 Speech-Language Pathology ...... 134.27 4.70 Medical Social Services ...... 181.16 6.34

D. Advancing Health Information 2013 Statement ‘‘Principles and and payers should have consistent and Exchange Strategies for Accelerating Health timely access to health information in a HHS has a number of initiatives Information Exchange’’ (available at standardized format that can be securely designed to encourage and support the http://www.healthit.gov/sites/default/ exchanged between the patient, adoption of health information files/acceleratinghieprinciples_ providers, and others involved in the technology and to promote nationwide strategy.pdf), HHS believes that all individual’s care. Health IT that health information exchange to improve individuals, their families, their facilitates the secure, efficient and health care. As discussed in the August healthcare and social service providers, effective sharing and use of health-

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related information when and where it common clinical data set; and (4) years. However, as specified by statute, is needed is an important tool for clarifying privacy and security the rebasing adjustment is limited to 3.5 settings across the continuum of care, requirements that enable percent of the CY 2010 national, including home health. While home interoperability. standardized 60-day episode payment health providers are not eligible for the In addition, ONC has released the rate of $2,312.94 (74 FR 58106), or Medicare and Medicaid EHR Incentive draft version of the 2015 Interoperability $80.95. We stated that given that a Programs, effective adoption and use of Standards Advisory (available at http:// ¥3.45 percent adjustment for CY 2014 health information exchange and health www.healthit.gov/standards-advisory), through CY 2017 would result in larger IT tools will be essential as these which provides a list of the best dollar amount reductions than the settings seek to improve quality and available standards and implementation maximum dollar amount allowed under lower costs through initiatives such as specifications to enable priority health section 3131(a) of the Affordable Care value-based purchasing. information exchange functions. Act of $80.95, we were limited to Providers, payers, and vendors are The Office of the National implementing a reduction of $80.95 encouraged to take these ‘‘best available Coordinator for Health Information (approximately 2.8 percent for CY 2014) standards’’ into account as they Technology (ONC) has released a to the national, standardized 60-day implement interoperable health document entitled ‘‘Connecting Health episode payment amount each year for information exchange across the and Care for the Nation: A Shared CY 2014 through CY 2017. continuum of care, including care Nationwide Interoperability Roadmap In the CY 2015 HH PPS final rule, (79 settings such as behavioral health, long- FR 66032–66118) using 2012 cost report Draft Version 1.0 (draft Roadmap) term and post-acute care, and home and (available at http://www.healthit.gov/ and 2013 claims data, we estimated the community-based service providers. 2013 60-day episode cost to be sites/default/files/nationwide- We encourage stakeholders to utilize $2,485.24 (79 FR 66037). Similar to our interoperability-roadmap-draft-version- health information exchange and discussion in the CY 2014 HH PPS final 1.0.pdf) which describes barriers to certified health IT to effectively and rule, we stated that absent the interoperability across the current efficiently help providers improve Affordable Care Act’s limit to rebasing, health IT landscape, the desired future internal care delivery practices, engage state that the industry believes will be in order to align payments with costs, a patients in their care, support ¥ necessary to enable a learning health management of care across the 4.21 percent adjustment would have system, and a suggested path for moving continuum, enable the reporting of been applied to the national, from the current state to the desired electronically specified clinical quality standardized 60-day episode payment future state. In the near term, the draft measures (eCQMs), and improve amount each year for CY 2014 through Roadmap focuses on actions that will efficiencies and reduce unnecessary CY 2017. enable a majority of individuals and costs. As adoption of certified health IT For this proposed rule, we analyzed providers across the care continuum to increases and interoperability standards 2013 HHA cost report data and 2013 send, receive, find and use a common continue to mature, HHS will seek to HHA claims data to determine whether set of electronic clinical information at reinforce standards through relevant the average cost per episode was higher the nationwide level by the end of 2017. policies and programs. using 2013 cost report data compared to The Roadmap’s goals also align with the the 2011 cost report and 2012 claims IMPACT Act of 2014 which requires III. Proposed Provisions of the Home data used in calculating the rebasing assessment data to be standardized and Health Prospective Payment System adjustments. To determine the 2013 interoperable to allow for exchange of A. Monitoring for Potential Impacts— average cost per visit per discipline, we the data. Moreover, the vision described Affordable Care Act Rebasing applied the same trimming methodology in the draft Roadmap significantly Adjustments outlined in the CY 2014 HH PPS expands the types of electronic health proposed rule (78 FR 40284) and information, information sources and 1. Analysis of FY 2013 HHA Cost Report weighted the costs per visit from the information users well beyond clinical Data 2013 cost reports by size, facility type, information derived from electronic As part of our efforts in monitoring and urban/rural location so the costs per health records (EHRs). This shared the potential impacts of the rebasing visit were nationally representative strategy is intended to reflect important adjustments finalized in the CY 2014 according to 2013 claims data. The 2013 actions that both public and private HH PPS final rule (78 FR 72293), we average number of visits was taken from sector stakeholders can take to enable continue to update our analysis of home 2013 claims data. We estimate the cost nationwide interoperability of electronic health cost report and claims data. In of a 60-day episode in CY 2013 to be health information such as: (1) the CY 2014 HH PPS final rule, using $2,402.11 using 2013 cost report data Establishing a coordinated governance 2011 cost report and 2012 claims data, (Table 3). Our latest analysis of 2013 framework and process for nationwide we estimated the 2013 60-day episode cost report and 2013 claims data health IT interoperability; (2) improving cost to be $2,565.51 (78 FR 72277). In suggests that an even larger reduction technical standards and implementation that final rule, we stated that our (¥5.02 percent) than the reduction guidance for sharing and using a analysis of 2011 cost report data and described in the CY 2014 HH PPS final common clinical data set; (3) enhancing 2012 claims data indicated a need for a rule (¥3.45 percent) or the reduction incentives for sharing electronic health ¥3.45 percent rebasing adjustment to described in the CY 2015 HH PPS final information according to common the national, standardized 60-day rule (¥4.21) would have been needed in technical standards, starting with a episode payment rate each year for four order to align payments with costs.

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TABLE 3—2013 ESTIMATED COST PER EPISODE

2013 average Discipline 2013 average number of 2013 60-day costs per visit visits episode costs

Skilled Nursing ...... $131.43 9.28 $1,219.67 Home Health Aide ...... 59.87 2.41 144.29 Physical Therapy ...... 154.96 5.03 779.45 Occupational Therapy ...... 154.11 1.22 188.01 Speech-Language Pathology ...... 164.59 0.25 41.15 Medical Social Services ...... 211.02 0.14 29.54

Total ...... 18.33 2,402.11 Source: FY 2013 Medicare cost report data and 2013 Medicare claims data from the standard analytic file (as of June 30, 2014) for episodes (excluding low-utilization payment adjusted episodes and partial-episode-payment adjusted episodes) ending on or before December 31, 2013 for which we could link an OASIS assessment.

2. MedPAC Report to the Congress: home health services in CY 2013 is 80 utilization of Medicare home health (see Home Health Payment Rebasing percent higher than the number of Table 3 and Table 4). The HHAs that no HHAs billing Medicare for home health Section 3131(a) of the Affordable Care longer billed Medicare for home health services in 2001. Even if some HHAs Act required the Medicare Payment services in CY 2014 typically served were to exit the program due to possible Advisory Commission (MedPAC) to beneficiaries that were nearly twice as reimbursement concerns, the home assess, by January 1, 2015, the impact of likely to be dually-eligible for both health market would be expected to the mandated rebasing adjustments on Medicare and Medicaid in CY 2013 remain robust. quality of and beneficiary access to compared to the national average for all home health care. As part of this 3. Analysis of CY 2014 HHA Claims HHAs in CY 2013. We note that in CY assessment, the statute required Data 2014 there were 3.0 HHAs per 10,000 FFS beneficiaries, the same number of MedPAC to consider the impact on care In the CY 2014 HH PPS final rule (78 delivered by rural, urban, nonprofit, and HHAs per 10,000 FFS beneficiaries as FR 72256), some commenters expressed there was in 2011, but markedly higher for-profit home health agencies. concern that the rebasing of the HH PPS MedPAC’s Report to Congress noted that than the 1.9 HHAs per 10,000 FFS payment rates would result in HHA beneficiaries in 2001. If we were to the rebasing adjustments are partially closures and would therefore diminish exclude the six states with the highest offset by the payment update each year access to home health services. In home health utilization (see Table 5), and across all four years of the phase- addition to examining more recent cost the number of episodes amongst the in of the rebasing adjustments the report data, for this proposed rule we remaining states (including Guam, cumulative net reduction would equal examined home health claims data from Puerto Rico, and the Virgin Islands) about 2 percent. MedPAC concluded the first year of the four-year phase-in of decreased by 2.6 percent between 2013 that, as a result of the payment update the rebasing adjustments (CY 2014), the and 2014, the number of home health offsets to the rebasing adjustments, HHA first calendar year of the HH PPS (CY users decreased by approximately 2.4 margins are likely to remain high under 2001), and claims data for the three percent between 2013 and 2014, and the the current rebasing policy and quality years before implementation of the of care and beneficiary access to care are rebasing adjustments (CY 2011–2013). number of HHAs billing Medicare for unlikely to be negatively affected.1 Preliminary analysis of CY 2014 home home health services remained virtually As we noted in the CY 2014 HH PPS health claims data indicates that the the same (a net decrease of only 1 HHA). final rule (78 FR 72291), MedPAC’s past number of episodes decreased by 3.8 We would note that preliminary data reviews of access to home health care percent between 2013 and 2014. In on hospital and skilled nursing facility found that access generally remained addition, the number of home health discharges and days indicates that there adequate during periods of substantial users decreased by approximately 3 was a decrease in hospital discharges of decline in the number of agencies. percent between 2013 and 2014, while approximately 3 percent and a decrease MedPAC stated that this is due in part the number of FFS beneficiaries has in SNF days of approximately 2 percent to the low capital requirements for remained the same. Between 2013 and in CY 2014. Any decreases in hospital home health care services that allow the 2014 there appears to be a net decrease discharges and skilled nursing facility industry to react rapidly when the in the number of HHAs billing Medicare days could, in turn, impact home health supply of agencies changes or contracts. for home health services of 1.6 percent, utilization as those settings serve as As described in section III.A.3, the driven mostly by decreases TX and FL, important sources of home health number of HHAs billing Medicare for two of the six states with the highest referrals.

TABLE 4—HOME HEALTH STATISTICS, CY 2001 AND CY 2011 THROUGH CY 2014

2001 2011 2012 2013 2014

Number of episodes ...... 3,896,502 6,821,459 6,727,875 6,708,923 6,451,283 Beneficiaries receiving at least 1 episode (Home Health Users) ...... 2,412,318 3,449,231 3,446,122 3,484,579 3,381,635

1 Medicare Payment Advisory Commission Access to and Quality of Care’’. December 2014. www.medpac.gov/documents/reports/dec14_ (MedPAC), ‘‘Report to the Congress: Impact of Washington, DC. Accessed on 5/05/15 at: http:// homehealth_rebasing_report.pdf?sfvrsn=0. Home Health Payment Rebasing on Beneficiary

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TABLE 4—HOME HEALTH STATISTICS, CY 2001 AND CY 2011 THROUGH CY 2014—Continued

2001 2011 2012 2013 2014

Part A and/or B FFS beneficiaries ...... 34,899,167 37,686,526 38,224,640 38,505,609 38,506,534 Episodes per Part A and/or B FFS beneficiaries ...... 0.11 0.18 0.18 0.17 0.17 Home health users as a percentage of Part A and/or B FFS beneficiaries...... 6.9% 9.2% 9.0% 9.0% 8.8% HHAs providing at least 1 episode ...... 6,511 11,446 11,746 11,889 11,693 HHAs per 10,000 Part A and/or B FFS beneficiaries ...... 1.9 3.0 3.1 3.1 3.0 Source: National claims history (NCH) data obtained from Chronic Condition Warehouse (CCW)—Accessed on May 14, 2014 and August 19, 2014 for CY 2011, CY 2012, and CY 2013 data; and accessed on May 7, 2015 for CY 2001 and CY 2014 data. Medicare enrollment information obtained from the CCW Master Beneficiary Summary File. Beneficiaries are the total number of beneficiaries in a given year with at least 1 month of Part A and/or Part B Fee-for-Service coverage without having any months of Medicare Advantage coverage. Note(s): These results include all episode types (Normal, PEP, Outlier, LUPA) and also include episodes from outlying areas (outside of 50 States and District of Columbia). Only episodes with a through date in the year specified are included. Episodes with a claim frequency code equal to ‘‘0’’ (‘‘Non-payment/zero claims’’) and ‘‘2’’ (‘‘Interim—first claim’’) are excluded. If a beneficiary is treated by providers from multiple states within a year the beneficiary is counted within each state’s unique number of beneficiaries served.

For the six states (TX, LA, OK, MS, decreased by 3.7 percent (5,280–5,085) for Fort Lauderdale, FL; Detroit, MI; FL, and IL) with the highest utilization between 2013 and 2014 (see Table 5). A Dallas, TX; and Houston, TX. The of Medicare home health (as measured possible contributing factor to these temporary moratoria on enrollment of by the number of episodes per Part A decreases may be the temporary new HHAs in Miami, FL; Chicago, IL; and/or Part B FFS beneficiaries), the moratorium on the enrollment of new Fort Lauderdale, FL; Detroit, MI; Dallas, number of episodes decreased by 5.7 HHAs, effective July 31, 2013, for TX; and Houston, TX were extended for percent, the number of home health Miami, FL and Chicago, IL and the 6 months on August 1, 2014 and again users decreased by 4.3 percent, and the temporary moratorium on enrollment of for 6 months effective January 29, 2015 number of HHAs billing Medicare new HHAs, effective February 4, 2014, (80 FR 5551).

TABLE 5—HOME HEALTH STATISTICS FOR THE STATES WITH THE HIGHEST NUMBER OF HOME HEALTH EPISODES PER PART A AND/OR PART B FFS BENEFICIARIES, CY 2001 AND CY 2011 THROUGH CY 2014

Year TX FL OK MS LA IL

Number of Episodes ...... 2001 285,710 284,579 77,149 73,353 124,789 162,686 2011 1,107,605 701,426 203,112 153,983 249,479 433,117 2012 1,054,244 691,255 196,887 148,516 230,115 423,462 2013 995,555 689,269 196,713 143,428 215,590 421,309 2014 941,815 651,940 189,421 141,293 196,495 389,850

Beneficiaries Receiving at Least 1 Episode (Home Health Users) ...... 2001 155,802 195,678 36,919 35,769 50,760 105,115 2011 363,474 355,900 67,218 55,818 77,677 192,921 2012 350,803 354,838 65,948 55,438 74,755 191,936 2013 333,396 357,099 66,502 55,453 73,888 191,961 2014 319,492 343,231 65,392 54,890 69,328 179,835

Part A and/or Part B FFS Beneficiaries ...... 2001 2,132,310 2,246,313 480,556 436,751 528,287 1,543,158 2011 2,597,406 2,454,124 549,687 476,497 561,531 1,785,278 2012 2,604,458 2,451,790 558,500 480,218 568,483 1,812,241 2013 2,535,611 2,454,216 568,815 483,439 574,654 1,836,862 2014 2,564,292 2,464,748 580,267 491,482 575,832 1,674,935

Episodes per Part A and/or Part B FFS beneficiaries ...... 2001 0.13 0.13 0.16 0.17 0.24 0.11 2011 0.43 0.29 0.37 0.32 0.44 0.24 2012 0.40 0.28 0.35 0.31 0.40 0.23 2013 0.39 0.28 0.35 0.30 0.38 0.23 2014 0.37 0.26 0.33 0.29 0.34 0.23

Home Health Users as a Percentage of Part A and/or Part B FFS Beneficiaries ... 2001 7.3% 8.7% 7.7% 8.2% 9.6% 6.8% 2011 14.0% 14.5% 12.2% 11.7% 13.8% 10.8% 2012 13.5% 14.5% 11.8% 11.5% 13.2% 10.6% 2013 13.2% 14.6% 11.7% 11.5% 12.9% 10.5% 2014 12.5% 13.9% 11.3% 11.2% 12.0% 10.7%

HHAs Providing at Least 1 Episode ...... 2001 799 330 180 61 242 273 2011 2,472 1,426 252 51 216 743 2012 2,549 1,430 254 48 213 783 2013 2,600 1,357 262 48 210 803 2014 2,558 1,230 262 46 205 784

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TABLE 5—HOME HEALTH STATISTICS FOR THE STATES WITH THE HIGHEST NUMBER OF HOME HEALTH EPISODES PER PART A AND/OR PART B FFS BENEFICIARIES, CY 2001 AND CY 2011 THROUGH CY 2014—Continued

Year TX FL OK MS LA IL

HHAs per 10,000 Part A and/or B FFS beneficiaries ...... 2001 3.7 1.5 3.7 1.4 4.6 1.8 2011 9.5 5.8 4.6 1.1 3.8 4.2 2012 9.8 5.8 4.5 1.0 3.7 4.3 2013 10.3 5.5 4.6 1.0 3.7 4.4 2014 10.0 5.0 4.5 0.9 3.6 4.7 Source: National claims history (NCH) data obtained from Chronic Condition Warehouse (CCW)—Accessed on May 14, 2014 and August 19, 2014 for CY 2011, CY 2012, and CY 2013 data; and accessed on May 7, 2015 for CY 2001 and CY 2014 data. Medicare enrollment information obtained from the CCW Master Beneficiary Summary File. Beneficiaries are the total number of beneficiaries in a given year with at least 1 month of Part A and/or Part B Fee-for-Service coverage without having any months of Medicare Advantage coverage. Note(s): These results include all episode types (Normal, PEP, Outlier, LUPA) and also include episodes from outlying areas (outside of 50 States and District of Columbia). Only episodes with a through date in the year specified are included. Episodes with a claim frequency code equal to ‘‘0’’ (‘‘Non-payment/zero claims’’) and ‘‘2’’ (‘‘Interim—first claim’’) are excluded. If a beneficiary is treated by providers from multiple states within a year the beneficiary is counted within each state’s unique number of beneficiaries served.

In addition to examining home health declined, most notably between CY and home health aide visits have claims data from the first year of the 2009 (21.7 visits per episode) and CY decreased, between CY 2009 and CY implementation of rebasing adjustments 2014 (18.0 visit per episode). As noted 2014. Section III.F describes the results required by the Affordable Care Act and in section II.C, we implemented a series of the home health study required by comparing utilization in that year (CY of reductions to the national, section 3131(d) of the Affordable Care 2014) to the three years prior and to the standardized 60-day episode payment Act, which suggests that the current first calendar year following the rate to account for increases in nominal home health payment system may implementation of the HH PPS (CY case-mix, starting in CY 2008. The discourage HHAs from serving patients 2001), we subsequently examined reductions to the 60-day episode rate with clinically complex and/or poorly trends in home health utilization for all were: 2.75 percent each year for CY controlled chronic conditions who do years starting in CY 2001 and up 2008, CY 2009, and CY 2010; 3.79 not qualify for therapy but require a through CY 2014. Figure 1, displays the percent for CY 2011and CY 2012; and a large number of skilled nursing visits. average number of visits per 60-day 1.32 percent payment reduction for CY episode of care and the average payment 2013. Figure 2 displays the average The home health study results seems to per visit. While the average payment per number of visits by discipline type for be consistent with the recent trend in visit has steadily increased from a 60-day episode of care and shows that the decreased number of visits per approximately $116 in CY 2001 to $162 while the number of therapy visits per episode of care driven by decreases in for CY 2014, the average total number of 60-day episode of care has increased skilled nursing and home health aide visits per 60-day episode of care has slightly, the number of skilled nursing services evident in Figures 1 and 2.

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Figure 1: Average Total Number of Visits and Average Payment per Visit for a Medicare Home Health 60-Da E isode of Care, CY 2001 throu h CY 2014

Source: National claims history (NCH) data obtained from Chronic Condition Warehouse (CCW)- Accessed on May 21, 2014.

Note(s): These results exclude LUPA episodes, but include episodes from outlying areas (outside of 50 States and District of Columbia). Only episodes with a through date in the year specified are included. Episodes with a claim frequency code equal to "0" ("Non-payment/zero claims") and "2" ("Interim- first claim") are excluded. If a beneficiary is treated by providers from multiple states within a year the beneficiary is counted within each state's unique number of beneficiaries served.

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We will continue to monitor for weights, lowering the average case-mix HH PPS final rule (72 FR 49762), the CY potential impacts due to rebasing weight to 1.0000. To lower the HH PPS 2012 HH PPS final rule (76 FR 68526), adjustments required by section 3131(a) case-mix weights to 1.0000, each HH and the CY 2015 HH PPS final rule (79 of the Affordable Care Act and other PPS case-mix weight was decreased by FR 66032). Annual recalibration of the policy changes in the future. the same factor (1.3464), thereby HH PPS case-mix weights ensures that Independent effects of any one policy maintaining the same relative values the case-mix weights reflect, as may be difficult to discern in years between the weights. This ‘‘resetting’’ of accurately as possible, current home where multiple policy changes occur in the HH PPS case-mix weights was done health resource use and changes in any given year. in a budget neutral manner by inflating utilization patterns. the national, standardized 60-day To generate the proposed CY 2016 HH B. CY 2016 HH PPS Case-Mix Weights episode rate by the same factor (1.3464) PPS case-mix weights, we used CY 2014 and Proposed Reduction to the that was used to decrease the weights. home health claims data (as of National, Standardized 60-Day Episode For CY 2015, we finalized a policy to December 31, 2014) with linked OASIS Payment Rate To Account for Nominal annually recalibrate the HH PPS case- data. These data are the most current Case-Mix Growth mix weights—adjusting the weights and complete data available at this time. 1. CY 2016 HH PPS Case-Mix Weights relative to one another—using the most We will use CY 2014 home health current, complete data available. To claims data (as of June 30, 2015) with For CY 2014, as part of the rebasing recalibrate the HH PPS case-mix weights linked OASIS data to generate the CY effort mandated by the Affordable Care for CY 2016, we propose to use the same 2016 HH PPS case-mix weights in the Act, we reset the HH PPS case-mix methodology finalized in the CY 2008 CY 2016 HH PPS final rule. The process

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we used to calculate the HH PPS case- The wage-weighted minutes of care are updated with CY 2014 data, are shown mix weights are outlined below. determined using the CY 2013 Bureau of in Table 6. The points for the clinical Step 1: Re-estimate the four-equation Labor Statistics national hourly wage variables are added together to model to determine the clinical and plus fringe rates for the six home health determine an episode’s clinical score. functional points for an episode using disciplines and the minutes per visit The points for the functional variables wage-weighted minutes of care as our from the claim. The points for each of are added together to determine an dependent variable for resource use. the variables for each leg of the model, episode’s functional score.

TABLE 6—CASE-MIX ADJUSTMENT VARIABLES AND SCORES

Episode number within sequence of adjacent episodes ...... 1 or 2 1 or 2 3+ 3+ Therapy visits...... 0–13 14+ 0–13 14+ EQUATION: ...... 1 2 3 4

CLINICAL DIMENSION

1 ...... Primary or Other Diagnosis = Blindness/Low Vision ...... 2 ...... Primary or Other Diagnosis = Blood disorders ...... 6 ...... 2 3 ...... Primary or Other Diagnosis = Cancer, selected benign neoplasms ...... 7 ...... 7 4 ...... Primary Diagnosis = Diabetes ...... 7 ...... 4 5 ...... Other Diagnosis = Diabetes ...... 1 ...... 6 ...... Primary or Other Diagnosis = Dysphagia ...... 3 15 1 8 AND Primary or Other Diagnosis = Neuro 3—Stroke 7 ...... Primary or Other Diagnosis = Dysphagia ...... 1 9 1 9 AND M1030 (Therapy at home) = 3 (Enteral) 8 ...... Primary or Other Diagnosis = Gastrointestinal disorders ...... 9 ...... Primary or Other Diagnosis = Gastrointestinal disorders ...... 6 ...... 6 AND M1630 (ostomy) = 1 or 2 10 ...... Primary or Other Diagnosis = Gastrointestinal disorders ...... AND Primary or Other Diagnosis = Neuro 1—Brain disorders and paral- ysis, OR Neuro 2—Peripheral neurological disorders, OR Neuro 3—Stroke, OR Neuro 4—Multiple Sclerosis 11 ...... Primary or Other Diagnosis = Heart Disease OR Hypertension ...... 1 ...... 12 ...... Primary Diagnosis = Neuro 1—Brain disorders and paralysis ...... 3 11 7 11 13 ...... Primary or Other Diagnosis = Neuro 1—Brain disorders and paralysis ...... 2 ...... 2 AND M1840 (Toilet transfer) = 2 or more 14 ...... Primary or Other Diagnosis = Neuro 1—Brain disorders and paralysis 2 7 1 5 OR Neuro 2—Peripheral neurological disorders. AND M1810 or M1820 (Dressing upper or lower body) = 1, 2, or 3 15 ...... Primary or Other Diagnosis = Neuro 3—Stroke ...... 3 9 2 2 16 ...... Primary or Other Diagnosis = Neuro 3—Stroke AND ...... 4 ...... 4 M1810 or M1820 (Dressing upper or lower body) = 1, 2, or 3 17 ...... Primary or Other Diagnosis = Neuro 3—Stroke ...... AND M1860 (Ambulation) = 4 or more 18 ...... Primary or Other Diagnosis = Neuro 4—Multiple Sclerosis AND AT 3 10 7 10 LEAST ONE OF THE FOLLOWING:. M1830 (Bathing) = 2 or more OR M1840 (Toilet transfer) = 2 or more OR M1850 (Transferring) = 2 or more OR M1860 (Ambulation) = 4 or more 19 ...... Primary or Other Diagnosis = Ortho 1—Leg Disorders or Gait Dis- 8 1 8 1 orders. AND M1324 (most problematic pressure ulcer stage) = 1, 2, 3 or 4 20 ...... Primary or Other Diagnosis = Ortho 1—Leg OR Ortho 2—Other or- 3 ...... 3 6 thopedic disorders. AND M1030 (Therapy at home) = 1 (IV/Infusion) or 2 (Parenteral) 21 ...... Primary or Other Diagnosis = Psych 1—Affective and other psy- ...... choses, depression. 22 ...... Primary or Other Diagnosis = Psych 2—Degenerative and other or- ...... ganic psychiatric disorders. 23 ...... Primary or Other Diagnosis = Pulmonary disorders ...... 24 ...... Primary or Other Diagnosis = Pulmonary disorders AND M1860 (Am- ...... bulation) = 1 or more.

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TABLE 6—CASE-MIX ADJUSTMENT VARIABLES AND SCORES—Continued 25 ...... Primary Diagnosis = Skin 1—Traumatic wounds, burns, and post-op- 4 19 8 19 erative complications. 26 ...... Other Diagnosis = Skin 1—Traumatic wounds, burns, post-operative 6 15 8 13 complications. 27 ...... Primary or Other Diagnosis = Skin 1—Traumatic wounds, burns, and 3 ...... post-operative complications OR Skin 2—Ulcers and other skin conditions. AND M1030 (Therapy at home) = 1 (IV/Infusion) or 2 (Parenteral) 28 ...... Primary or Other Diagnosis = Skin 2—Ulcers and other skin condi- 2 17 8 17 tions. 29 ...... Primary or Other Diagnosis = Tracheostomy ...... 2 16 2 16 30 ...... Primary or Other Diagnosis = Urostomy/Cystostomy ...... 19 ...... 11 31 ...... M1030 (Therapy at home) = 1 (IV/Infusion) or 2 (Parenteral) ...... 1 18 6 14 32 ...... M1030 (Therapy at home) = 3 (Enteral) ...... 14 ...... 5 33 ...... M1200 (Vision) = 1 or more ...... 34 ...... M1242 (Pain) = 3 or 4 ...... 2 ...... 1 ...... 35 ...... M1308 = Two or more pressure ulcers at stage 3 or 4 ...... 5 5 5 14 36 ...... M1324 (Most problematic pressure ulcer stage) = 1 or 2 ...... 4 19 7 16 37 ...... M1324 (Most problematic pressure ulcer stage) = 3 or 4 ...... 8 32 11 26 38 ...... M1334 (Stasis ulcer status) = 2 ...... 4 12 8 12 39 ...... M1334 (Stasis ulcer status) = 3 ...... 7 17 10 17 40 ...... M1342 (Surgical wound status) = 2 ...... 2 7 5 13 41 ...... M1342 (Surgical wound status) = 3 ...... 1 7 5 7 42 ...... M1400 (Dyspnea) = 2, 3, or 4 ...... 1 ...... 1 43 ...... M1620 (Bowel Incontinence) = 2 to 5 ...... 4 ...... 4 44 ...... M1630 (Ostomy) = 1 or 2 ...... 4 12 2 7 45 ...... M2030 (Injectable Drug Use) = 0, 1, 2, or 3 ......

FUNCTIONAL DIMENSION

46 ...... M1810 or M1820 (Dressing upper or lower body) = 1, 2, or 3 ...... 2 ...... 1 ...... 47 ...... M1830 (Bathing) = 2 or more ...... 6 2 5 ...... 48 ...... M1840 (Toilet transferring) = 2 or more ...... 1 4 1 1 49 ...... M1850 (Transferring) = 2 or more ...... 3 2 1 ...... 50 ...... M1860 (Ambulation) = 1, 2 or 3 ...... 7 ...... 4 ...... 51 ...... M1860 (Ambulation) = 4 or more ...... 7 9 6 7 Source: CY 2014 Medicare claims data for episodes ending on or before December 31, 2014 (as of December 31, 2014) for which we had a linked OASIS assessment. LUPA episodes, outlier episodes, and episodes with SCIC or PEP adjustments were excluded. Note(s): Points are additive; however, points may not be given for the same line item in the table more than once. Please see Medicare Home Health Diagnosis Coding guidance at: http://www.cms.hhs.gov/HomeHealthPPS/03_coding&billing.asp for definitions of primary and secondary diagnoses.

In updating the four-equation model CY 2016 4-equation model. There were • Step 4: Episodes with 20+ therapy for CY 2016, using 2014 data (the last 58 variables with the same point values. visits update to the four-equation model for Step 2: Re-defining the clinical and We then divide the distribution of the CY 2015 used 2013 data), there were functional thresholds so they are clinical score for episodes within a step few changes to the point values for the reflective of the new points associated such that a third of episodes are variables in the four-equation model. with the CY 2016 four-equation model. classified as low clinical score, a third These relatively minor changes reflect After estimating the points for each of of episodes are classified as medium the change in the relationship between the variables and summing the clinical clinical score, and a third of episodes the grouper variables and resource use and functional points for each episode, are classified as high clinical score. The between 2013 and 2014. The CY 2016 we look at the distribution of the same approach is then done looking at four-equation model resulted in 130 clinical score and functional score, the functional score. It was not always point-giving variables being used in the breaking the episodes into different possible to evenly divide the episodes model (as compared to the 124 variables steps. The categorizations for the steps within each step into thirds due to for the 2015 recalibration). There were are as follows: many episodes being clustered around • nine variables that were added to the Step 1: First and second episodes, one particular score.2 Also, we looked at model and three variables that were 0–13 therapy visits. the average resource use associated with dropped from the model due to the • Step 2.1: First and second episodes, each clinical and functional score and absence of additional resources 14–19 therapy visits. used that to guide where we placed our associated with the variable. The points • Step 2.2: Third episodes and thresholds. We tried to group scores for 18 variables increased in the CY beyond, 14–19 therapy visits. with similar average resource use within 2016 four-equation model and the • Step 3: Third episodes and beyond, the same level (even if it meant that points for 43 variables decreased in the 0–13 therapy visits. more or less than a third of episodes

2 For Step 1, 54% of episodes were in the medium For Step 2.2, 67.1% of episodes were in the low For Step 4, 49.8% of episodes were in the low functional level (All with score 15). functional level (All with score 0). functional level (Most with score 2). For Step 2.1, 77.2% of episodes were in the low For Step 3, 60.9% of episodes were in the functional level (Most with score 2 and 4). medium functional level (Most with score 10).

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were placed within a level). The new four-equation model points are shown thresholds, based off of the CY 2016 in Table 7.

TABLE 7—CY 2016 CLINICAL AND FUNCTIONAL THRESHOLDS

1st and 2nd episodes 3rd+ episodes All Episodes 20+ 0 to 13 14 to 19 0 to 13 14 to 19 therapy therapy visits therapy visits therapy visits therapy visits visits

Grouping Step: 1 ...... 2.1 ...... 3 ...... 2.2 ...... 4

Equation(s) used to calculate points: (see Table 6) ...... 1 ...... 2 ...... 3 ...... 4 ...... (2&4)

Dimension: Severity Level:

Clinical ...... C1 ...... 0 to 1 ...... 0 ...... 0 ...... 0 to 3 ...... 0 to 3 C2 ...... 2 to 3 ...... 1 to 7 ...... 1 ...... 4 to 12 ...... 4 to 16 C3 ...... 4+ ...... 8+ ...... 2+ ...... 13+ ...... 17+ Functional ...... F1 ...... 0 to 14 ...... 0 to 6 ...... 0 to 6 ...... 0 ...... 0 to 2 F2 ...... 15 ...... 7 to 13 ...... 7 to10 ...... 1 to 7 ...... 3 to 6 F3 ...... 16+ ...... 14+ ...... 11+ ...... 8+ ...... 7+

Step 3: Once the clinical and indicators for the step of the episode as variables in the payment regression functional thresholds are determined well as the clinical and functional levels model updated with CY 2014 data. The and each episode is assigned a clinical within each step of the episode. Like the R-squared value for the payment and functional level, the payment four-equation model, the payment regression model is 0.4790 (an increase regression is estimated with an regression model is also estimated with from 0.4680 for the CY 2015 episode’s wage-weighted minutes of robust standard errors that are clustered recalibration). care as the dependent variable. at the beneficiary level. Table 8 shows Independent variables in the model are the regression coefficients for the

TABLE 8—PAYMENT REGRESSION MODEL

New payment Variable Description regression coefficients

Step 1, Clinical Score Medium ...... $23.43 Step 1, Clinical Score High ...... 57.50 Step 1, Functional Score Medium ...... 73.18 Step 1, Functional Score High ...... 110.39 Step 2.1, Clinical Score Medium ...... 42.51 Step 2.1, Clinical Score High ...... 163.27 Step 2.1, Functional Score Medium ...... 34.24 Step 2.1, Functional Score High ...... 88.01 Step 2.2, Clinical Score Medium ...... 58.37 Step 2.2, Clinical Score High ...... 210.67 Step 2.2, Functional Score Medium ...... 10.64 Step 2.2, Functional Score High ...... 65.24 Step 3, Clinical Score Medium ...... 9.87 Step 3, Clinical Score High ...... 89.22 Step 3, Functional Score Medium ...... 53.47 Step 3, Functional Score High ...... 83.07 Step 4, Clinical Score Medium ...... 70.04 Step 4, Clinical Score High ...... 231.22 Step 4, Functional Score Medium ...... 14.07 Step 4, Functional Score High ...... 63.20 Step 2.1, 1st and 2nd Episodes, 14 to 19 Therapy Visits ...... 444.92 Step 2.2, 3rd+ Episodes, 14 to 19 Therapy Visits ...... 485.03 Step 3, 3rd+ Episodes, 0–13 Therapy Visits ...... ¥73.86 Step 4, All Episodes, 20+ Therapy Visits ...... 889.81 Intercept ...... 378.68 Source: CY 2014 Medicare claims data for episodes ending on or before December 31, 2014 (as of December 31, 2014) for which we had a linked OASIS assessment.

Step 4: We use the coefficients from these predicted values by the mean of regression). This division constructs the the payment regression model to predict the dependent variable (that is, the weight for each episode, which is each episode’s wage-weighted minutes average wage-weighted minutes of care simply the ratio of the episode’s of care (resource use). We then divide across all episodes used in the payment predicted wage-weighted minutes of

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care divided by the average wage- HH PPS overvalues therapy episodes thresholds on the model (from 0–5 to weighted minutes of care in the sample. and undervalues non-therapy episodes 14–15 therapy visits, and from 14–15 to Each episode is then aggregated into one and to better aligned the case-mix 20+ therapy visits). We use a linear of the 153 home health resource groups weights with episode costs estimated model to implement the interpolation so (HHRGs) and the ‘‘raw’’ weight for each from cost report data.3 the payment weight increase for each HHRG was calculated as the average of Step 6: After the adjustments in step step between the thresholds (such as the the episode weights within the HHRG. 5 are applied to the raw weights, the increase between 0–5 therapy visits and Step 5: The weights associated with 0 weights are further adjusted to create an 6 therapy visits and the increase to 5 therapy visits are then increased by increase in the payment weights for the between 6 therapy visits and 7–9 3.75 percent, the weights associated therapy visit steps between the therapy therapy visits) are constant. This with 14–15 therapy visits are decreased thresholds. Weights with the same interpolation is the identical to the by 2.5 percent, and the weights clinical severity level, functional process finalized in the CY 2012 HH associated with 20+ therapy visits are severity level, and early/later episode PPS final rule (76 FR 68555). decreased by 5 percent. These status were grouped together. Then Step 7: The interpolated weights are adjustments to the case-mix weights within those groups, the weights for then adjusted so that the average case- were finalized in the CY 2012 HH PPS each therapy step between thresholds mix for the weights is equal to 1.0000.4 final rule (76 FR 68557) and were done are gradually increased. We do this by This last step creates the CY 2016 case- to address MedPAC’s concerns that the interpolating between the main mix weights shown in Table 9.

TABLE 9—CY 2016 CASE-MIX PAYMENT WEIGHTS

Clinical and functional levels CY 2016 Payment group Step (episode and/or therapy visit ranges) (1 = low; case-mix 2 = medium; weights 3= high)

10111 ...... 1st and 2nd Episodes, 0 to 5 Therapy Visits ...... C1F1S1 ...... 0.5969 10112 ...... 1st and 2nd Episodes, 6 Therapy Visits ...... C1F1S2 ...... 0.7216 10113 ...... 1st and 2nd Episodes, 7 to 9 Therapy Visits ...... C1F1S3 ...... 0.8462 10114 ...... 1st and 2nd Episodes, 10 Therapy Visits ...... C1F1S4 ...... 0.9708 10115 ...... 1st and 2nd Episodes, 11 to 13 Therapy Visits ...... C1F1S5 ...... 1.0954 10121 ...... 1st and 2nd Episodes, 0 to 5 Therapy Visits ...... C1F2S1 ...... 1.2201 10122 ...... 1st and 2nd Episodes, 6 Therapy Visits ...... C1F2S2 ...... 1.4237 10123 ...... 1st and 2nd Episodes, 7 to 9 Therapy Visits ...... C1F2S3 ...... 1.6273 10124 ...... 1st and 2nd Episodes, 10 Therapy Visits ...... C1F2S4 ...... 0.7123 10125 ...... 1st and 2nd Episodes, 11 to 13 Therapy Visits ...... C1F2S5 ...... 0.8240 10131 ...... 1st and 2nd Episodes, 0 to 5 Therapy Visits ...... C1F3S1 ...... 0.9357 10132 ...... 1st and 2nd Episodes, 6 Therapy Visits ...... C1F3S2 ...... 1.0474 10133 ...... 1st and 2nd Episodes, 7 to 9 Therapy Visits ...... C1F3S3 ...... 1.1591 10134 ...... 1st and 2nd Episodes, 10 Therapy Visits ...... C1F3S4 ...... 1.2708 10135 ...... 1st and 2nd Episodes, 11 to 13 Therapy Visits ...... C1F3S5 ...... 1.4643 10211 ...... 1st and 2nd Episodes, 0 to 5 Therapy Visits ...... C2F1S1 ...... 1.6578 10212 ...... 1st and 2nd Episodes, 6 Therapy Visits ...... C2F1S2 ...... 0.7709 10213 ...... 1st and 2nd Episodes, 7 to 9 Therapy Visits ...... C2F1S3 ...... 0.8868 10214 ...... 1st and 2nd Episodes, 10 Therapy Visits ...... C2F1S4 ...... 1.0027 10215 ...... 1st and 2nd Episodes, 11 to 13 Therapy Visits ...... C2F1S5 ...... 1.1186 10221 ...... 1st and 2nd Episodes, 0 to 5 Therapy Visits ...... C2F2S1 ...... 1.2345 10222 ...... 1st and 2nd Episodes, 6 Therapy Visits ...... C2F2S2 ...... 1.3504 10223 ...... 1st and 2nd Episodes, 7 to 9 Therapy Visits ...... C2F2S3 ...... 1.5410 10224 ...... 1st and 2nd Episodes, 10 Therapy Visits ...... C2F2S4 ...... 1.7316 10225 ...... 1st and 2nd Episodes, 11 to 13 Therapy Visits ...... C2F2S5 ...... 0.6339 10231 ...... 1st and 2nd Episodes, 0 to 5 Therapy Visits ...... C2F3S1 ...... 0.7637 10232 ...... 1st and 2nd Episodes, 6 Therapy Visits ...... C2F3S2 ...... 0.8935 10233 ...... 1st and 2nd Episodes, 7 to 9 Therapy Visits ...... C2F3S3 ...... 1.0234 10234 ...... 1st and 2nd Episodes, 10 Therapy Visits ...... C2F3S4 ...... 1.1532 10235 ...... 1st and 2nd Episodes, 11 to 13 Therapy Visits ...... C2F3S5 ...... 1.2830 10311 ...... 1st and 2nd Episodes, 0 to 5 Therapy Visits ...... C3F1S1 ...... 1.4994 10312 ...... 1st and 2nd Episodes, 6 Therapy Visits ...... C3F1S2 ...... 1.7157 10313 ...... 1st and 2nd Episodes, 7 to 9 Therapy Visits ...... C3F1S3 ...... 0.7492 10314 ...... 1st and 2nd Episodes, 10 Therapy Visits ...... C3F1S4 ...... 0.8661 10315 ...... 1st and 2nd Episodes, 11 to 13 Therapy Visits ...... C3F1S5 ...... 0.9830 10321 ...... 1st and 2nd Episodes, 0 to 5 Therapy Visits ...... C3F2S1 ...... 1.0999 10322 ...... 1st and 2nd Episodes, 6 Therapy Visits ...... C3F2S2 ...... 1.2169 10323 ...... 1st and 2nd Episodes, 7 to 9 Therapy Visits ...... C3F2S3 ...... 1.3338 10324 ...... 1st and 2nd Episodes, 10 Therapy Visits ...... C3F2S4 ...... 1.5400 10325 ...... 1st and 2nd Episodes, 11 to 13 Therapy Visits ...... C3F2S5 ...... 1.7461 10331 ...... 1st and 2nd Episodes, 0 to 5 Therapy Visits ...... C3F3S1 ...... 0.8079 10332 ...... 1st and 2nd Episodes, 6 Therapy Visits ...... C3F3S2 ...... 0.9290 10333 ...... 1st and 2nd Episodes, 7 to 9 Therapy Visits ...... C3F3S3 ...... 1.0501

3 Medicare Payment Advisory Commission 4 When computing the average, we compute a normal episode and a value equal to the episode (MedPAC), Report to the Congress: Medicare weighted average, assigning a value of one to each length divided by 60 for PEPs. Payment Policy. March 2011, P. 176.

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TABLE 9—CY 2016 CASE-MIX PAYMENT WEIGHTS—Continued

Clinical and functional levels CY 2016 Payment group Step (episode and/or therapy visit ranges) (1 = low; case-mix 2 = medium; weights 3= high)

10334 ...... 1st and 2nd Episodes, 10 Therapy Visits ...... C3F3S4 ...... 1.1712 10335 ...... 1st and 2nd Episodes, 11 to 13 Therapy Visits ...... C3F3S5 ...... 1.2923 21111 ...... 1st and 2nd Episodes, 14 to 15 Therapy Visits ...... C1F1S1 ...... 1.4134 21112 ...... 1st and 2nd Episodes, 16 to 17 Therapy Visits ...... C1F1S2 ...... 1.6167 21113 ...... 1st and 2nd Episodes, 18 to 19 Therapy Visits ...... C1F1S3 ...... 1.8200 21121 ...... 1st and 2nd Episodes, 14 to 15 Therapy Visits ...... C1F2S1 ...... 0.6876 21122 ...... 1st and 2nd Episodes, 16 to 17 Therapy Visits ...... C1F2S2 ...... 0.8424 21123 ...... 1st and 2nd Episodes, 18 to 19 Therapy Visits ...... C1F2S3 ...... 0.9973 21131 ...... 1st and 2nd Episodes, 14 to 15 Therapy Visits ...... C1F3S1 ...... 1.1522 21132 ...... 1st and 2nd Episodes, 16 to 17 Therapy Visits ...... C1F3S2 ...... 1.3071 21133 ...... 1st and 2nd Episodes, 18 to 19 Therapy Visits ...... C1F3S3 ...... 1.4619 21211 ...... 1st and 2nd Episodes, 14 to 15 Therapy Visits ...... C2F1S1 ...... 1.6962 21212 ...... 1st and 2nd Episodes, 16 to 17 Therapy Visits ...... C2F1S2 ...... 1.9304 21213 ...... 1st and 2nd Episodes, 18 to 19 Therapy Visits ...... C2F1S3 ...... 0.8029 21221 ...... 1st and 2nd Episodes, 14 to 15 Therapy Visits ...... C2F2S1 ...... 0.9449 21222 ...... 1st and 2nd Episodes, 16 to 17 Therapy Visits ...... C2F2S2 ...... 1.0868 21223 ...... 1st and 2nd Episodes, 18 to 19 Therapy Visits ...... C2F2S3 ...... 1.2288 21231 ...... 1st and 2nd Episodes, 14 to 15 Therapy Visits ...... C2F3S1 ...... 1.3707 21232 ...... 1st and 2nd Episodes, 16 to 17 Therapy Visits ...... C2F3S2 ...... 1.5127 21233 ...... 1st and 2nd Episodes, 18 to 19 Therapy Visits ...... C2F3S3 ...... 1.7368 21311 ...... 1st and 2nd Episodes, 14 to 15 Therapy Visits ...... C3F1S1 ...... 1.9609 21312 ...... 1st and 2nd Episodes, 16 to 17 Therapy Visits ...... C3F1S2 ...... 0.8616 21313 ...... 1st and 2nd Episodes, 18 to 19 Therapy Visits ...... C3F1S3 ...... 1.0077 21321 ...... 1st and 2nd Episodes, 14 to 15 Therapy Visits ...... C3F2S1 ...... 1.1539 21322 ...... 1st and 2nd Episodes, 16 to 17 Therapy Visits ...... C3F2S2 ...... 1.3000 21323 ...... 1st and 2nd Episodes, 18 to 19 Therapy Visits ...... C3F2S3 ...... 1.4462 21331 ...... 1st and 2nd Episodes, 14 to 15 Therapy Visits ...... C3F3S1 ...... 1.5923 21332 ...... 1st and 2nd Episodes, 16 to 17 Therapy Visits ...... C3F3S2 ...... 1.8135 21333 ...... 1st and 2nd Episodes, 18 to 19 Therapy Visits ...... C3F3S3 ...... 2.0347 22111 ...... 3rd+ Episodes, 14 to 15 Therapy Visits ...... C1F1S1 ...... 0.4805 22112 ...... 3rd+ Episodes, 16 to 17 Therapy Visits ...... C1F1S2 ...... 0.6403 22113 ...... 3rd+ Episodes, 18 to 19 Therapy Visits ...... C1F1S3 ...... 0.8001 22121 ...... 3rd+ Episodes, 14 to 15 Therapy Visits ...... C1F2S1 ...... 0.9599 22122 ...... 3rd+ Episodes, 16 to 17 Therapy Visits ...... C1F2S2 ...... 1.1197 22123 ...... 3rd+ Episodes, 18 to 19 Therapy Visits ...... C1F2S3 ...... 1.2795 22131 ...... 3rd+ Episodes, 14 to 15 Therapy Visits ...... C1F3S1 ...... 1.4633 22132 ...... 3rd+ Episodes, 16 to 17 Therapy Visits ...... C1F3S2 ...... 1.6471 22133 ...... 3rd+ Episodes, 18 to 19 Therapy Visits ...... C1F3S3 ...... 1.8309 22211 ...... 3rd+ Episodes, 14 to 15 Therapy Visits ...... C2F1S1 ...... 0.5648 22212 ...... 3rd+ Episodes, 16 to 17 Therapy Visits ...... C2F1S2 ...... 0.7109 22213 ...... 3rd+ Episodes, 18 to 19 Therapy Visits ...... C2F1S3 ...... 0.8570 22221 ...... 3rd+ Episodes, 14 to 15 Therapy Visits ...... C2F2S1 ...... 1.0031 22222 ...... 3rd+ Episodes, 16 to 17 Therapy Visits ...... C2F2S2 ...... 1.1492 22223 ...... 3rd+ Episodes, 18 to 19 Therapy Visits ...... C2F2S3 ...... 1.2952 22231 ...... 3rd+ Episodes, 14 to 15 Therapy Visits ...... C2F3S1 ...... 1.4806 22232 ...... 3rd+ Episodes, 16 to 17 Therapy Visits ...... C2F3S2 ...... 1.6659 22233 ...... 3rd+ Episodes, 18 to 19 Therapy Visits ...... C2F3S3 ...... 1.8512 22311 ...... 3rd+ Episodes, 14 to 15 Therapy Visits ...... C3F1S1 ...... 0.6114 22312 ...... 3rd+ Episodes, 16 to 17 Therapy Visits ...... C3F1S2 ...... 0.7644 22313 ...... 3rd+ Episodes, 18 to 19 Therapy Visits ...... C3F1S3 ...... 0.9173 22321 ...... 3rd+ Episodes, 14 to 15 Therapy Visits ...... C3F2S1 ...... 1.0703 22322 ...... 3rd+ Episodes, 16 to 17 Therapy Visits ...... C3F2S2 ...... 1.2232 22323 ...... 3rd+ Episodes, 18 to 19 Therapy Visits ...... C3F2S3 ...... 1.3761 22331 ...... 3rd+ Episodes, 14 to 15 Therapy Visits ...... C3F3S1 ...... 1.5581 22332 ...... 3rd+ Episodes, 16 to 17 Therapy Visits ...... C3F3S2 ...... 1.7401 22333 ...... 3rd+ Episodes, 18 to 19 Therapy Visits ...... C3F3S3 ...... 1.9222 30111 ...... 3rd+ Episodes, 0 to 5 Therapy Visits ...... C1F1S1 ...... 0.4961 30112 ...... 3rd+ Episodes, 6 Therapy Visits ...... C1F1S2 ...... 0.6700 30113 ...... 3rd+ Episodes, 7 to 9 Therapy Visits ...... C1F1S3 ...... 0.8440 30114 ...... 3rd+ Episodes, 10 Therapy Visits ...... C1F1S4 ...... 1.0180 30115 ...... 3rd+ Episodes, 11 to 13 Therapy Visits ...... C1F1S5 ...... 1.1920 30121 ...... 3rd+ Episodes, 0 to 5 Therapy Visits ...... C1F2S1 ...... 1.3660 30122 ...... 3rd+ Episodes, 6 Therapy Visits ...... C1F2S2 ...... 1.5546 30123 ...... 3rd+ Episodes, 7 to 9 Therapy Visits ...... C1F2S3 ...... 1.7433 30124 ...... 3rd+ Episodes, 10 Therapy Visits ...... C1F2S4 ...... 1.9320 30125 ...... 3rd+ Episodes, 11 to 13 Therapy Visits ...... C1F2S5 ...... 0.5803 30131 ...... 3rd+ Episodes, 0 to 5 Therapy Visits ...... C1F3S1 ...... 0.7406 30132 ...... 3rd+ Episodes, 6 Therapy Visits ...... C1F3S2 ...... 0.9009

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TABLE 9—CY 2016 CASE-MIX PAYMENT WEIGHTS—Continued

Clinical and functional levels CY 2016 Payment group Step (episode and/or therapy visit ranges) (1 = low; case-mix 2 = medium; weights 3= high)

30133 ...... 3rd+ Episodes, 7 to 9 Therapy Visits ...... C1F3S3 ...... 1.0612 30134 ...... 3rd+ Episodes, 10 Therapy Visits ...... C1F3S4 ...... 1.2214 30135 ...... 3rd+ Episodes, 11 to 13 Therapy Visits ...... C1F3S5 ...... 1.3817 30211 ...... 3rd+ Episodes, 0 to 5 Therapy Visits ...... C2F1S1 ...... 1.5719 30212 ...... 3rd+ Episodes, 6 Therapy Visits ...... C2F1S2 ...... 1.7621 30213 ...... 3rd+ Episodes, 7 to 9 Therapy Visits ...... C2F1S3 ...... 1.9523 30214 ...... 3rd+ Episodes, 10 Therapy Visits ...... C2F1S4 ...... 0.6270 30215 ...... 3rd+ Episodes, 11 to 13 Therapy Visits ...... C2F1S5 ...... 0.7941 30221 ...... 3rd+ Episodes, 0 to 5 Therapy Visits ...... C2F2S1 ...... 0.9612 30222 ...... 3rd+ Episodes, 6 Therapy Visits ...... C2F2S2 ...... 1.1284 30223 ...... 3rd+ Episodes, 7 to 9 Therapy Visits ...... C2F2S3 ...... 1.2955 30224 ...... 3rd+ Episodes, 10 Therapy Visits ...... C2F2S4 ...... 1.4626 30225 ...... 3rd+ Episodes, 11 to 13 Therapy Visits ...... C2F2S5 ...... 1.6495 30231 ...... 3rd+ Episodes, 0 to 5 Therapy Visits ...... C2F3S1 ...... 1.8364 30232 ...... 3rd+ Episodes, 6 Therapy Visits ...... C2F3S2 ...... 2.0233 30233 ...... 3rd+ Episodes, 7 to 9 Therapy Visits ...... C2F3S3 ...... 0.6211 30234 ...... 3rd+ Episodes, 10 Therapy Visits ...... C2F3S4 ...... 0.8152 30235 ...... 3rd+ Episodes, 11 to 13 Therapy Visits ...... C2F3S5 ...... 1.0093 30311 ...... 3rd+ Episodes, 0 to 5 Therapy Visits ...... C3F1S1 ...... 1.2034 30312 ...... 3rd+ Episodes, 6 Therapy Visits ...... C3F1S2 ...... 1.3975 30313 ...... 3rd+ Episodes, 7 to 9 Therapy Visits ...... C3F1S3 ...... 1.5916 30314 ...... 3rd+ Episodes, 10 Therapy Visits ...... C3F1S4 ...... 1.7826 30315 ...... 3rd+ Episodes, 11 to 13 Therapy Visits ...... C3F1S5 ...... 1.9736 30321 ...... 3rd+ Episodes, 0 to 5 Therapy Visits ...... C3F2S1 ...... 2.1647 30322 ...... 3rd+ Episodes, 6 Therapy Visits ...... C3F2S2 ...... 0.7054 30323 ...... 3rd+ Episodes, 7 to 9 Therapy Visits ...... C3F2S3 ...... 0.8858 30324 ...... 3rd+ Episodes, 10 Therapy Visits ...... C3F2S4 ...... 1.0662 30325 ...... 3rd+ Episodes, 11 to 13 Therapy Visits ...... C3F2S5 ...... 1.2466 30331 ...... 3rd+ Episodes, 0 to 5 Therapy Visits ...... C3F3S1 ...... 1.4269 30332 ...... 3rd+ Episodes, 6 Therapy Visits ...... C3F3S2 ...... 1.6073 30333 ...... 3rd+ Episodes, 7 to 9 Therapy Visits ...... C3F3S3 ...... 1.7999 30334 ...... 3rd+ Episodes, 10 Therapy Visits ...... C3F3S4 ...... 1.9924 30335 ...... 3rd+ Episodes, 11 to 13 Therapy Visits ...... C3F3S5 ...... 2.1850 40111 ...... All Episodes, 20+ Therapy Visits ...... C1F1S1 ...... 0.7521 40121 ...... All Episodes, 20+ Therapy Visits ...... C1F2S1 ...... 0.9393 40131 ...... All Episodes, 20+ Therapy Visits ...... C1F3S1 ...... 1.1265 40211 ...... All Episodes, 20+ Therapy Visits ...... C2F1S1 ...... 1.3138 40221 ...... All Episodes, 20+ Therapy Visits ...... C2F2S1 ...... 1.5010 40231 ...... All Episodes, 20+ Therapy Visits ...... C2F3S1 ...... 1.6882 40311 ...... All Episodes, 20+ Therapy Visits ...... C3F1S1 ...... 1.8774 40321 ...... All Episodes, 20+ Therapy Visits ...... C3F2S1 ...... 2.0667 40331 ...... All Episodes, 20+ Therapy Visits ...... C3F3S1 ...... 2.2559

To ensure the changes to the HH PPS 2. Proposed Reduction to the National, 15.97 percent of the total case-mix case-mix weights are implemented in a Standardized 60-Day Episode Payment change was real and 84.03 percent of budget neutral manner, we would apply Rate To Account for Nominal Case-Mix total case-mix change was nominal (77 a case-mix budget neutrality factor to Growth FR 41553). In the CY 2015 HH PPS final the CY 2016 national, standardized 60- Section 1895(b)(3)(B)(iv) of the Act rule (79 FR 66032), we estimated that day episode payment rate (see section gives the Secretary the authority to total case-mix increased by 2.76 percent III.B.1. of this proposed rule). The case- implement payment reductions for between CY 2012 and CY 2013 and of mix budget neutrality factor is nominal case-mix growth (that is, case- that amount, we estimated that 2.32 calculated as the ratio of total payments mix growth unrelated to changes in percent was a result of nominal case- when the CY 2016 HH PPS case-mix patient acuity). Previously, we mix growth (2.76 ¥ (2.76 × 0.1597)). weights (developed using CY 2014 accounted for nominal case-mix growth However, for 2015, we did not claims data) are applied to CY 2014 through case-mix reductions implement a reduction to the 2015 utilization (claims) data to total implemented from 2008 through 2013 national, standardized 60-day episode payments when CY 2015 HH PPS case- (76 FR 68528–68543). As stated in the payment amount to account for nominal mix weights (developed using CY 2013 2013 final rule, the goal of the case-mix growth, but stated that we claims data) are applied to CY 2014 reductions for nominal case-mix growth would continue to monitor case-mix utilization data. This produces a case- is to better align payment with real growth and may consider proposing mix budget neutrality factor for CY 2016 changes in patient severity (77 FR nominal case-mix reductions in the of 1.0141, based on CY 2014 claims data 67077). Our analysis of data from CY future. Since the publication of the CY as of December 31, 2014. 2000 through CY 2010 found that only 2015 HH PPS final rule (79 FR 66032),

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MedPAC reported on their assessment percent in CY 2016 and 1.72 percent in measure calculated by the BLS using a of the impact of the mandated rebasing CY 2017 to account for nominal case- series of proxy variables derived from adjustments on quality of and mix growth from CY 2012 through CY IGI’s U.S. macroeconomic models. In beneficiary access to home health care 2014 and the associated changes in the the CY 2015 HH PPS proposed rule, we as required by section 3131(a) of the regulations text at § 484.220. identified each of the major MFP Affordable Care Act. As noted in section component series employed by the BLS III.A.2 of this proposed rule, MedPAC C. CY 2016 Home Health Rate Update to measure MFP as well as provided the concluded that quality of care and 1. CY 2016 Home Health Market Basket corresponding concepts determined to beneficiary access to care are unlikely to Update be the best available proxies for the BLS be negatively affected by the rebasing Section 1895(b)(3)(B) of the Act series. Beginning with the CY 2016 adjustments. We further estimate that requires that the standard prospective rulemaking cycle, the MFP adjustment case-mix increased by an additional payment amounts for CY 2015 be is calculated using a revised series 1.41 percent between CY 2013 and CY increased by a factor equal to the 2014 (as evidenced by the budget developed by IGI to proxy the aggregate applicable HH market basket update for neutrality factor of 1.0141 percent capital inputs. Specifically, IGI has those HHAs that submit quality data as described in section III.B.1 above). In replaced the Real Effective Capital Stock required by the Secretary. The home applying the 15.97 percent estimate of used for Full Employment GDP with a health market basket was rebased and real case-mix growth to the total forecast of BLS aggregate capital inputs revised in CY 2013. A detailed estimated case-mix growth from CY recently developed by IGI using a description of how we derive the HHA 2013 to CY 2014 (1.41 percent), we regression model. This series provides a market basket is available in the CY estimate that case-mix increased by 1.18 better fit to the BLS capital inputs as 2013 HH PPS final rule (77 FR 67080- percent (1.41 ¥ (1.41 × 0.1597)) as a measured by the differences between 67090). result of nominal case-mix growth (that the actual BLS capital input growth Section 3401(e) of the Affordable Care is, case-mix growth unrelated to changes rates and the estimated model growth Act, adding new section in patient acuity). Given the observed rates over the historical time period. 1895(b)(3)(B)(vi) to the Act, requires nominal case-mix growth of 2.32 Therefore, we are using IGI’s most that, in CY 2015 (and in subsequent percent in 2013 and 1.18 percent in recent forecast of the BLS capital inputs calendar years), the market basket 2014, the reduction to offset the series in the MFP calculations beginning percentage under the HHA prospective nominal case-mix growth for these 2 with the CY 2016 rulemaking cycle. A payment system as described in section years would be 3.41 percent (1 ¥ 1/ complete description of the MFP (1.0232 × 1.0118) = 0.0341). 1895(b)(3)(B) of the Act be annually projection methodology is available on We are proposing to implement this adjusted by changes in economy-wide our Web site at http://www.cms.gov/ 3.41 percent reduction in equal productivity. The statute defines the Research-Statistics-Data-and-Systems/ increments over 2 years. Specifically, in productivity adjustment, described in Statistics-Trends-and-Reports/ addition to continuing our third year of section 1886(b)(3)(B)(xi)(II) of the Act, to MedicareProgramRatesStats/ implementation of the rebasing be equal to the 10-year moving average MarketBasketResearch.html. Although adjustments required under section of change in annual economy-wide we discuss the IGI changes to the MFP 3131(a) of the Affordable Care Act, we private nonfarm business multifactor proxy series in this proposed rule, in the are proposing to apply a 1.72 percent (1 productivity (MFP) (as projected by the future, when IGI makes changes to the ¥ 1/(1.0232 × 1.0118)1/2 = 1.72 percent) Secretary for the 10-year period ending MFP methodology, we will announce reduction to the national, standardized with the applicable fiscal year, calendar them on our Web site rather than in the 60-day episode payment rate each year year, cost reporting period, or other annual rulemaking. for 2 years, CY 2016 and CY 2017, under annual period) (the ‘‘MFP adjustment’’). Using IGI’s first quarter 2015 forecast, the ongoing authority of section The Bureau of Labor Statistics (BLS) is the MFP adjustment for CY 2016 (the 1895(b)(3)(B)(iv) of the Act. These the agency that publishes the official 10-year moving average of MFP for the reductions would adjust the national, measure of private nonfarm business period ending CY 2016) is projected to standardized 60-day episode payment MFP. Please see http://www.bls.gov/mfp be 0.6 percent. Thus, in accordance with rate to account for nominal case-mix to obtain the BLS historical published section 1895(b)(3)(B)(iii) of the Act, we growth between CY 2012 and CY 2014 MFP data. We note that the proposed propose to base the CY 2016 market built into the episode payment rate methodology for calculating and basket update, which is used to through the 2015 and 2016 budget applying the MFP adjustment to the determine the applicable percentage neutrality factors. The reductions will HHA payment update is similar to the increase for the HH payments, on the result in Medicare paying more methodology used in other Medicare most recent estimate of the proposed accurately for the delivery of home provider payment systems as required 2010-based HH market basket (currently health services and are separate from by section 3401 of the Affordable Care estimated to be 2.9 percent based on the rebasing adjustments finalized in CY Act. IGI’s first quarter 2015 forecast). We 2014 under section 1895(b)(3)(A)(iii) of Multifactor productivity is derived by propose to then reduce this percentage the Act, which were calculated using subtracting the contribution of labor and increase by the current estimate of the CY 2012 claims and CY 2011 HHA cost capital input growth from output MFP adjustment for CY 2016 of 0.6 report data (which was the most current, growth. The projections of the percentage point (the 10-year moving complete data at the time of the CY 2014 components of MFP are currently average of MFP for the period ending HH PPS proposed and final rules). We produced by IGI, a nationally CY 2016 based on IGI’s first quarter will continue to monitor case-mix recognized economic forecasting firm 2015 forecast), in accordance with growth and may consider whether to with which CMS contracts to forecast 1895(b)(3)(B)(vi). Therefore, the current propose additional nominal case-mix the components of the market basket estimate of the CY 2016 HH update is reductions in future rulemaking. and MFP. As described in the CY 2015 2.3 percent (2.9 percent market basket We invite comments on the proposed HH PPS proposed rule (79 FR 38384 update, less 0.6 percentage point MFP reduction to the national, standardized through 38386), in order to generate a adjustment). Furthermore, we note that 60-day episode payment amount of 1.72 forecast of MFP, IGI replicated the MFP if more recent data are subsequently

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available (for example, a more recent one-year transition in CY 2006 with a While the revisions OMB published estimate of the market basket and MFP blended wage index for all sites of on February 28, 2013 are not as adjustment), we would use such data to service. For CY 2006, the wage index for sweeping as the changes made when we determine the CY 2016 market basket each geographic area consisted of a adopted the CBSA geographic update and MFP adjustment in the final blend of 50 percent of the CY 2006 designations for CY 2006, the February rule. MSA-based wage index and 50 percent 28, 2013 bulletin does contain a number Section 1895(b)(3)(B) of the Act of the CY 2006 CBSA-based wage index. of significant changes. For example, requires that the home health update be We referred to the blended wage index there are new CBSAs, urban counties decreased by 2 percentage points for as the CY 2006 HH PPS transition wage that have become rural, rural counties those HHAs that do not submit quality index. As discussed in the CY 2006 HH that have become urban, and existing data as required by the Secretary. For PPS final rule (70 FR 68132), since the CBSAs that have been split apart. HHAs that do not submit the required expiration of this one-year transition on quality data for CY 2016, the home December 31, 2006, we have used the In the CY 2015 HH PPS final rule (79 health update would be 0.3 percent (2.3 full CBSA-based wage index values. FR 66085 through 66087), we finalized percent minus 2 percentage points). In this proposed rule, we propose to changes to the HH PPS wage index continue to use the same methodology based on the newest OMB delineations, 2. CY 2016 Home Health Wage Index discussed in the CY 2007 HH PPS final as described in OMB Bulletin No. 13– a. Background rule (71 FR 65884) to address those 01, beginning in CY 2015, including a geographic areas in which there are no one-year transition with a blended wage Sections 1895(b)(4)(A)(ii) and (b)(4)(C) inpatient hospitals, and thus, no index for CY 2015. Because the one-year of the Act require the Secretary to hospital wage data on which to base the transition period expires at the end of provide appropriate adjustments to the calculation of the CY 2015 HH PPS CY 2015, the proposed HH PPS wage proportion of the payment amount wage index. For rural areas that do not index for CY 2016 is fully based on the under the HH PPS that account for area have inpatient hospitals, we would use revised OMB delineations adopted in wage differences, using adjustment the average wage index from all CY 2015. The proposed CY 2016 wage factors that reflect the relative level of contiguous CBSAs as a reasonable index is available on the CMS Web site wages and wage-related costs applicable proxy. For FY 2016, there are no rural at http://www.cms.gov/Medicare/ to the furnishing of HH services. Since geographic areas without hospitals for Medicare-Fee-for-Service-Payment/ the inception of the HH PPS, we have which we would apply this policy. For HomeHealthPPS/Home-Health- used inpatient hospital wage data in rural Puerto Rico, we would not apply Prospective-Payment-System- developing a wage index to be applied this methodology due to the distinct Regulations-and-Notices.html. to HH payments. We propose to economic circumstances that exist there continue this practice for CY 2016, as (for example, due to the close proximity 3. CY 2016 Annual Payment Update we continue to believe that, in the to one another of almost all of Puerto a. Background absence of HH-specific wage data, using Rico’s various urban and non-urban inpatient hospital wage data is areas, this methodology would produce The Medicare HH PPS has been in appropriate and reasonable for the HH a wage index for rural Puerto Rico that effect since October 1, 2000. As set forth PPS. Specifically, we propose to is higher than that in half of its urban in the July 3, 2000 final rule (65 FR continue to use the pre-floor, pre- areas). Instead, we would continue to 41128), the base unit of payment under reclassified hospital wage index as the use the most recent wage index the Medicare HH PPS is a national, wage adjustment to the labor portion of previously available for that area. For standardized 60-day episode payment the HH PPS rates. For CY 2016, the urban areas without inpatient hospitals, rate. As set forth in 42 CFR 484.220, we updated wage data are for hospital cost we would use the average wage index of adjust the national, standardized 60-day reporting periods beginning on or after all urban areas within the state as a episode payment rate by a case-mix October 1, 2011 and before October 1, reasonable proxy for the wage index for relative weight and a wage index value 2012 (FY 2012 cost report data). that CBSA. For CY 2016, the only urban based on the site of service for the We would apply the appropriate wage area without inpatient hospital wage beneficiary. index value to the labor portion of the data is Hinesville, GA (CBSA 25980). HH PPS rates based on the site of To provide appropriate adjustments to service for the beneficiary (defined by b. Update the proportion of the payment amount section 1861(m) of the Act as the On February 28, 2013, OMB issued under the HH PPS to account for area beneficiary’s place of residence). Bulletin No. 13–01, announcing wage differences, we apply the Previously, we determined each HHA’s revisions to the delineations of MSAs, appropriate wage index value to the labor market area based on definitions Micropolitan Statistical Areas, and labor portion of the HH PPS rates. The of metropolitan statistical areas (MSAs) CBSAs, and guidance on uses of the labor-related share of the case-mix issued by the Office of Management and delineation of these areas. This bulletin adjusted 60-day episode rate would Budget (OMB). In the CY 2006 HH PPS is available online at http:// continue to be 78.535 percent and the final rule (70 FR 68132), we adopted www.whitehouse.gov/sites/default/files/ non-labor-related share would continue revised labor market area definitions as omb/bulletins/2013/b-13-01.pdf. This to be 21.465 percent as set out in the CY discussed in the OMB Bulletin No. 03– bulletin states that it ‘‘provides the 2013 HH PPS final rule (77 FR 67068). 04 (June 6, 2003). This bulletin delineations of all Metropolitan The CY 2016 HH PPS rates would use announced revised definitions for MSAs Statistical Areas, Metropolitan the same case-mix methodology as set and the creation of micropolitan Divisions, Micropolitan Statistical forth in the CY 2008 HH PPS final rule statistical areas and core-based Areas, Combined Statistical Areas, and with comment period (72 FR 49762) and statistical areas (CBSAs). The bulletin is New England City and Town Areas in would be adjusted as described in available online at the United States and Puerto Rico based section III.C. of this rule. The following www.whitehouse.gov/omb/bulletins/ on the standards published on June 28, are the steps we take to compute the b03-04.html. In adopting the CBSA 2010, in the Federal Register (75 FR case-mix and wage-adjusted 60-day geographic designations, we provided a 37246–37252) and Census Bureau data.’’ episode rate:

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1. Multiply the national 60-day amount for the episode and whether we our simulation of total payments for episode rate by the patient’s applicable make an applicable adjustment to the non-LUPA episodes using the 2015 case-mix weight. 60-day case-mix and wage-adjusted wage index. By dividing the total 2. Divide the case-mix adjusted episode payment. The end date of the payments for non-LUPA episodes using amount into a labor (78.535 percent) 60-day episode as reported on the claim the 2016 wage index by the total and a non-labor portion (21.465 determines which calendar year rates payments for non-LUPA episodes using percent). Medicare would use to pay the claim. the 2015 wage index, we obtain a wage 3. Multiply the labor portion by the We may also adjust the 60-day case- index budget neutrality factor of 1.0006. applicable wage index based on the site mix and wage-adjusted episode We would apply the wage index budget of service of the beneficiary. payment based on the information neutrality factor of 1.0006 to the CY 4. Add the wage-adjusted portion to submitted on the claim to reflect the 2016 national, standardized 60-day the non-labor portion, yielding the case- following: • episode rate. mix and wage adjusted 60-day episode A low-utilization payment adjustment (LUPA) is provided on a per- As discussed in section III.B.1 of this rate, subject to any additional applicable proposed rule, to ensure the changes to adjustments. visit basis as set forth in § 484.205(c) and § 484.230. the case-mix weights are implemented In accordance with section • in a budget neutral manner, we would 1895(b)(3)(B) of the Act, this document A partial episode payment (PEP) adjustment as set forth in § 484.205(d) apply a case-mix weight budget constitutes the annual update of the HH neutrality factor to the CY 2016 PPS rates. Section 484.225 sets forth the and § 484.235. • An outlier payment as set forth in national, standardized 60-day episode specific annual percentage update § 484.205(e) and § 484.240. payment rate. The case-mix weight methodology. In accordance with budget neutrality factor is calculated as § 484.225(i), for a HHA that does not b. Proposed CY 2016 National, the ratio of total payments when CY submit HH quality data, as specified by Standardized 60-Day Episode Payment 2016 case-mix weights are applied to CY the Secretary, the unadjusted national Rate 2014 utilization (claims) data to total prospective 60-day episode rate is equal Section 1895(3)(A)(i) of the Act payments when CY 2015 case-mix to the rate for the previous calendar year required that the 60-day episode base weights are applied to CY 2014 increased by the applicable HH market rate and other applicable amounts be utilization data. The case-mix budget basket index amount minus two standardized in a manner that neutrality factor for CY 2016 would be percentage points. Any reduction of the eliminates the effects of variations in 1.0141 as described in section III.B.1 of percentage change would apply only to relative case mix and area wage this proposed rule. the calendar year involved and would adjustments among different home not be considered in computing the health agencies in a budget neutral Next, as discussed in section III.B.2 of prospective payment amount for a manner. To determine the CY 2016 this proposed rule, we would apply a subsequent calendar year. national, standardized 60-day episode reduction of 1.72 percent to the Medicare pays the national, payment rate, we would apply a wage national, standardized 60-day episode standardized 60-day case-mix and wage- index standardization factor, a case-mix payment rate in CY 2016 to account for adjusted episode payment on a split budget neutrality factor described in nominal case-mix growth between CY percentage payment approach. The split section III.B.1, a nominal case-mix 2012 and CY 2014. Then, we would percentage payment approach includes growth adjustment described in section apply the ¥$80.95 rebasing adjustment an initial percentage payment and a III.B.2, the rebasing adjustment finalized in the CY 2014 HH PPS final final percentage payment as set forth in described in section II.C, and the MFP- rule (78 FR 72256) and discussed in § 484.205(b)(1) and (b)(2). We may base adjusted home health market basket section II.C. Lastly, we would update the initial percentage payment on the update discussed in section III.C.1 of the payment rates by the CY 2016 HH submission of a request for anticipated this proposed rule. payment update percentage of 2.3 payment (RAP) and the final percentage To calculate the wage index percent (MFP-adjusted home health payment on the submission of the claim standardization factor, henceforth market basket update) as described in for the episode, as discussed in § 409.43. referred to as the wage index budget section III.C.1 of this proposed rule. The The claim for the episode that the HHA neutrality factor, we simulated total CY 2016 national, standardized 60-day submits for the final percentage payments for non-LUPA episodes using episode payment rate is calculated in payment determines the total payment the 2016 wage index and compared it to Table 10.

TABLE 10—CY 2016 60-DAY NATIONAL, STANDARDIZED 60-DAY EPISODE PAYMENT AMOUNT

Case-mix Nominal CY 2016 CY 2015 National, Wage index weights case-mix CY 2016 CY 2016 National, standardized 60-day budget budget growth Rebasing HH Payment standardized episode payment neutrality neutrality adjustment adjustment update 60-day factor ¥ percentage episode factor (1 0.0172) payment

$2,961.38 ...... × 1.0006 × 1.0141 × 0.9828 ¥$80.95 × 1.023 $2,938.37

The CY 2016 national, standardized quality data is updated by the CY 2016 2 percentage points and is shown in 60-day episode payment rate for an HH payment update (2.3 percent) minus Table 11. HHA that does not submit the required

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TABLE 11—FOR HHAS THAT DO NOT SUBMIT THE QUALITY DATA—CY 2015 NATIONAL, STANDARDIZED 60-DAY EPISODE PAYMENT AMOUNT

CY 2016 CY 2016 Wage index Case-mix Nominal case- HH Payment National, CY 2015 National, budget weights mix growth CY 2016 update standardized standardized 60-day neutrality budget adjustment Rebasing percentage 60-day episode payment neutrality ¥ adjustment minus 2 factor factor (1 0.0172) percentage episode points payment

$2,961.38 ...... × 1.0006 × 1.0141 × 0.9828 ¥$80.95 × 1.003 $2,880.92

c. CY 2016 National Per-Visit Rates visit payments and increase each of the The LUPA per-visit rates are not The national per-visit rates are used to six per-visit rates by the maximum calculated using case-mix weights. pay LUPAs (episodes with four or fewer rebasing adjustments described in Therefore, there is no case-mix weights visits) and are also used to compute section II.C. of this rule. We calculate budget neutrality factor needed to imputed costs in outlier calculations. the wage index budget neutrality factor ensure budget neutrality for LUPA The per-visit rates are paid by type of by simulating total payments for LUPA payments. Finally, the per-visit rates for visit or HH discipline. The six HH episodes using the 2016 wage index and each discipline are updated by the CY disciplines are as follows: comparing it to simulated total 2016 HH payment update percentage of • Home health aide (HH aide); payments for LUPA episodes using the 2.3 percent. The national per-visit rates • Medical Social Services (MSS); 2015 wage index. By dividing the total are adjusted by the wage index based on • Occupational therapy (OT); payments for LUPA episodes using the the site of service of the beneficiary. The • Physical therapy (PT); 2016 wage index by the total payments per-visit payments for LUPAs are • Skilled nursing (SN); and for LUPA episodes using the 2015 wage separate from the LUPA add-on • payment amount, which is paid for Speech-language pathology (SLP). index, we obtain a wage index budget To calculate the CY 2016 national per- episodes that occur as the only episode neutrality factor of 1.0006. We would visit rates, we start with the CY 2015 or initial episode in a sequence of apply the wage index budget neutrality national per-visit rates. We then apply adjacent episodes. The CY 2016 national a wage index budget neutrality factor to factor of 1.0006 to the CY 2016 national per-visit rates are shown in Tables 12 ensure budget neutrality for LUPA per- per-visit rates. and 13.

TABLE 12—CY 2016 NATIONAL PER-VISIT PAYMENT AMOUNTS FOR HHAS THAT DO SUBMIT THE REQUIRED QUALITY DATA

Wage index CY 2016 CY 2016 HH HH Discipline type CY 2015 Per-visit budget neutrality Rebasing Payment update CY 2016 Per-visit payment factor adjustment percentage payment

Home Health Aide ...... $57.89 × 1.0006 + $1.79 × 1.023 $61.09 Medical Social Services ...... 204.91 × 1.0006 + 6.34 × 1.023 216.23 Occupational Therapy ...... 140.70 × 1.0006 + 4.35 × 1.023 148.47 Physical Therapy ...... 139.75 × 1.0006 + 4.32 × 1.023 147.47 Skilled Nursing ...... 127.83 × 1.0006 + 3.96 × 1.023 134.90 Speech-Language Pathology ...... 151.88 × 1.0006 + 4.70 × 1.023 160.27

The CY 2016 per-visit payment rates required quality data are updated by the percent) minus 2 percentage points and for an HHA that does not submit the CY 2016 HH payment update (2.3 is shown in Table 13.

TABLE 13—CY 2016 NATIONAL PER-VISIT PAYMENT AMOUNTS FOR HHAS THAT DO NOT SUBMIT THE REQUIRED QUALITY DATA

CY 2016 HH Payment CY 2015 Wage index CY 2016 update CY 2016 HH Discipline type Per-visit rates budget neutrality Rebasing percentage Per-visit factor adjustment minus 2 rates percentage points

Home Health Aide ...... $57.89 × 1.0006 + $1.79 × 1.003 $59.89 Medical Social Services ...... 204.91 × 1.0006 + 6.34 × 1.003 212.01 Occupational Therapy ...... 140.70 × 1.0006 + 4.35 × 1.003 145.57 Physical Therapy ...... 139.75 × 1.0006 + 4.32 × 1.003 144.59 Skilled Nursing ...... 127.83 × 1.0006 + 3.96 × 1.003 132.26 Speech-Language Pathology ...... 151.88 × 1.0006 + 4.70 × 1.003 157.14

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d. Low-Utilization Payment Adjustment LUPA episodes that occur as the only particular severity level by the NRS (LUPA) Add-On Factors episode or an initial episode in a conversion factor. To determine the CY sequence of adjacent episodes by the 2016 NRS conversion factor, we start LUPA episodes that occur as the only appropriate factor to determine the with the 2015 NRS conversion factor episode or as an initial episode in a LUPA add-on payment amount. For ($53.23) and apply the ¥2.82 percent sequence of adjacent episodes are example, for LUPA episodes that occur rebasing adjustment described in adjusted by applying an additional as the only episode or an initial episode section II.C. of this rule (1¥0.0282 = amount to the LUPA payment before in a sequence of adjacent episodes, if 0.9718). We then update the conversion adjusting for area wage differences. In the first skilled visit is SN, the payment factor by the CY 2016 HH payment the CY 2014 HH PPS final rule, we for that visit would be $248.90 (1.8451 update percentage (2.3 percent). We do changed the methodology for multiplied by $134.90), subject to area not apply a standardization factor as the calculating the LUPA add-on amount by wage adjustment. NRS payment amount calculated from finalizing the use of three LUPA add-on the conversion factor is not wage or e. CY 2016 Non-Routine Medical factors: 1.8451 for SN; 1.6700 for PT; case-mix adjusted when the final claim Supply (NRS) Payment Rates and 1.6266 for SLP (78 FR 72306). We payment amount is computed. The NRS multiply the per-visit payment amount Payments for NRS are computed by conversion factor for CY 2016 is shown for the first SN, PT, or SLP visit in multiplying the relative weight for a in Table 14.

TABLE 14—CY 2016 NRS CONVERSION FACTOR FOR HHAS THAT DO SUBMIT THE REQUIRED QUALITY DATA

CY 2016 CY 2015 CY 2016 HH Payment CY 2016 NRS conversion factor Rebasing adjust- update NRS conversion ment percentage factor

$53.23 ...... × 0.9718 × 1.023 $52.92

Using the CY 2015 NRS conversion factor, the payment amounts for the six severity levels are shown in Table 15.

TABLE 15—CY 2016 NRS PAYMENT AMOUNTS FOR HHAS THAT DO SUBMIT THE REQUIRED QUALITY DATA

CY 2016 NRS Severity level Points (scoring) Relative weight Payment amounts

1 ...... 0 ...... 0.2698 $14.28 2 ...... 1 to 14 ...... 0.9742 51.55 3 ...... 15 to 27 ...... 2.6712 141.36 4 ...... 28 to 48 ...... 3.9686 210.02 5 ...... 49 to 98 ...... 6.1198 323.86 6 ...... 99+ ...... 10.5254 557.00

For HHAs that do not submit the section II.C of this proposed rule The CY 2016 NRS conversion factor for required quality data, we again begin (1¥0.0282= 0.9718). We then update HHAs that do not submit quality data is with the CY 2015 NRS conversion factor the NRS conversion factor by the CY shown in Table 16. ($53.23) and apply the ¥2.82 percent 2016 HH payment update percentage rebasing adjustment discussed in (2.3 percent) minus 2 percentage points.

TABLE 16—CY 2016 NRS CONVERSION FACTOR FOR HHAS THAT DO NOT SUBMIT THE REQUIRED QUALITY DATA

CY 2016 HH Payment CY 2016 update CY 2016 CY 2015 NRS Conversion factor Rebasing percentage NRS Conversion adjustment minus 2 factor percentage points

$53.23 ...... × 0.9718 × 1.003 $51.88

The payment amounts for the various submit quality data are calculated in severity levels based on the updated Table 17. conversion factor for HHAs that do not

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TABLE 17—CY 2016 NRS PAYMENT AMOUNTS FOR HHAS THAT DO NOT SUBMIT THE REQUIRED QUALITY DATA

CY 2016 NRS Severity level Points (scoring) Relative weight Payment amounts

1 ...... 0 ...... 0.2698 $14.00 2 ...... 1 to 14 ...... 0.9742 50.54 3 ...... 15 to 27 ...... 2.6712 138.58 4 ...... 28 to 48 ...... 3.9686 205.89 5 ...... 49 to 98 ...... 6.1198 317.50 6 ...... 99+ ...... 10.5254 546.06

f. Rural Add-On Section 3131(c) of the Affordable Care provision, as the statute specifically Act amended section 421(a) of the MMA states that the Secretary shall not reduce Section 421(a) of the MMA required, to provide an increase of 3 percent of the standard prospective payment for HH services furnished in a rural the payment amount otherwise made amount (or amounts) under section 1895 areas (as defined in section under section 1895 of the Act for HH 1886(d)(2)(D) of the Act), for episodes or of the Act applicable to HH services services furnished in a rural area (as furnished during a period to offset the visits ending on or after April 1, 2004, defined in section 1886(d)(2)(D) of the and before April 1, 2005, that the increase in payments resulting in the Act), for episodes and visits ending on application of this section of the statute. Secretary increase the payment amount or after April 1, 2010, and before that otherwise would have been made January 1, 2016. For CY 2016, home health payment under section 1895 of the Act for the Section 210 of the Medicare Access rates for services provided to services by 5 percent. and CHIP Reauthorization Act of 2015 beneficiaries in areas that are defined as Section 5201 of the DRA amended (MACRA) (Pub. L. 114–10) amended rural under the OMB delineations section 421(a) of the MMA. The section 421(a) of the MMA to extend the would be increased by 3 percent as amended section 421(a) of the MMA rural add-on by providing an increase of mandated by section 210 of the required, for HH services furnished in a 3 percent of the payment amount MACRA. The 3 percent rural add-on is rural area (as defined in section otherwise made under section 1895 of applied to the national, standardized 60- 1886(d)(2)(D) of the Act), on or after the Act for HH services provided in a day episode payment rate, national per January 1, 2006 and before January 1, rural area (as defined in section visit rates, and NRS conversion factor 2007, that the Secretary increase the 1886(d)(2)(D) of the Act), for episodes when HH services are provided in rural payment amount otherwise made under and visits ending before January 1, 2018. (non-CBSA) areas. Refer to Tables 18 section 1895 of the Act for those Section 421 of the MMA, as amended, through 21 for these payment rates. services by 5 percent. waives budget neutrality related to this

TABLE 18—CY 2016 PAYMENT AMOUNTS FOR 60-DAY EPISODES FOR SERVICES PROVIDED IN A RURAL AREA

For HHAs that DO submit quality data For HHAs that DO NOT submit quality data CY 2016 Rural CY 2016 Rural CY 2016 National, standard- Multiply by the 3 national, stand- Multiply by the 3 national, stand- ized percent rural ardized 60-day CY 2016 National, standardized percent rural ardized 60-day 60-day episode payment rate add-on episode payment 60-day episode payment rate add-on episode payment rate rate

$2,938.37 ...... × 1.03 $3,026.52 $2,880.92...... × 1.03 $2,967.35

TABLE 19—CY 2016 PER-VISIT AMOUNTS FOR SERVICES PROVIDED IN A RURAL AREA

For HHAs that DO submit quality data For HHAs that DO NOT submit quality data HH Discipline type Multiply by the 3 Multiply by the 3 CY 2016 percent rural CY 2016 Rural CY 2016 percent rural CY 2016 Rural Per-visit rate add-on per-visit rates Per-visit rate add-on per-visit rates

HH Aide ...... $61.09 × 1.03 $62.92 $59.89 × 1.03 $61.69 MSS ...... 216.23 × 1.03 222.72 212.01 × 1.03 218.37 OT ...... 148.47 × 1.03 152.92 145.57 × 1.03 149.94 PT ...... 147.47 × 1.03 151.89 144.59 × 1.03 148.93 SN ...... 134.90 × 1.03 138.95 132.26 × 1.03 136.23 SLP ...... 160.27 × 1.03 165.08 157.14 × 1.03 161.85

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TABLE 20—CY 2016 NRS CONVERSION FACTOR FOR SERVICES PROVIDED IN RURAL AREAS

For HHAs that DO submit quality data For HHAs that DO NOT submit quality data Multiply by the 3 CY 2016 Rural Multiply by the 3 CY 2016 Rural CY 2016 Conversion factor percent rural NRS conversion CY 2016 Conversion factor percent rural NRS conversion add-on factor add-on factor

$52.92 ...... × 1.03 $54.51 $51.88...... × 1.03 $53.44

TABLE 21—CY 2016 NRS PAYMENT AMOUNTS FOR SERVICES PROVIDED IN RURAL AREAS

For HHAs that DO submit quality For HHAs that DO NOT submit data (CY 2016 NRS conversion fac- quality data (CY 2016 NRS Conver- tor = $54.51 sion Factor = $53.44) Severity level Points (scoring) CY 2016 NRS CY 2016 NRS Payment Payment Relative weight amounts for rural Relative weight amounts for rural areas areas

1 ...... 0 ...... 0.2698 $14.71 0.2698 $14.42 2 ...... 1 to 14 ...... 0.9742 53.10 0.9742 52.06 3 ...... 15 to 27 ...... 2.6712 145.61 2.6712 142.75 4 ...... 28 to 48 ...... 3.9686 216.33 3.9686 212.08 5 ...... 49 to 98 ...... 6.1198 333.59 6.1198 327.04 6 ...... 99+ ...... 10.5254 573.74 10.5254 562.48

D. Payments for High-Cost Outliers outlier threshold amount paid as outlier section 3131(b)(1) of the Affordable Care Under the HH PPS payments is referred to as the loss- Act amended section 1895(b)(3)(C) of sharing ratio. the Act, and requires the Secretary to 1. Background In the CY 2010 HH PPS final rule (74 reduce the HH PPS payment rates such Section 1895(b)(5) of the Act allows FR 58080 through 58087), we discussed that aggregate HH PPS payments are for the provision of an addition or excessive growth in outlier payments, reduced by 5 percent. In addition, adjustment to the national, standardized primarily the result of unusually high section 3131(b)(2) of the Affordable Care 60-day case-mix and wage-adjusted outlier payments in a few areas of the Act amended section 1895(b)(5) of the episode payment amounts in the case of country. Despite program integrity Act by re-designating the existing episodes that incur unusually high costs efforts associated with excessive outlier language as section 1895(b)(5)(A) of the due to patient care needs. Prior to the payments in targeted areas of the Act, and revising it to state that the enactment of the Affordable Care Act, country, we discovered that outlier Secretary may provide for an addition or section 1895(b)(5) of the Act stipulated expenditures still exceeded the 5 adjustment to the payment amount for that projected total outlier payments percent target and, in the absence of outlier episodes because of their could not exceed 5 percent of total corrective measures, would continue do unusual variation in the type or amount projected or estimated HH payments in to so. Consequently, we assessed the of medically necessary care. The total a given year. In the July 3, 2000 appropriateness of taking action to curb amount of the additional payments or Medicare Program; Prospective Payment outlier abuse. To mitigate possible payment adjustments for outlier System for Home Health Agencies final billing vulnerabilities associated with episodes may not exceed 2.5 percent of rule (65 FR 41188 through 41190), we excessive outlier payments and adhere the estimated total HH PPS payments described the method for determining to our statutory limit on outlier for that year and outlier payments as a outlier payments. Under this system, payments, we adopted an outlier policy percent of total payments are capped for outlier payments are made for episodes that included a 10 percent agency-level each HHA at 10 percent. whose estimated costs exceed a cap on outlier payments. This cap was threshold amount for each HH Resource implemented in concert with a reduced As such, beginning in CY 2011, our Group (HHRG). The episode’s estimated FDL ratio of 0.67. These policies HH PPS outlier policy is that we reduce cost is the sum of the national wage- resulted in a projected target outlier payment rates by 5 percent and target adjusted per-visit payment amounts for pool of approximately 2.5 percent. (The up to 2.5 percent of total estimated HH all visits delivered during the episode. previous outlier pool was 5 percent of PPS payments to be paid as outliers. To The outlier threshold for each case-mix total HH expenditure). For CY 2010, we do so, we first returned the 2.5 percent group or Partial Episode Payment (PEP) first returned the 5 percent held for the held for the target CY 2010 outlier pool adjustment is defined as the 60-day previous target outlier pool to the to the national, standardized 60-day episode payment or PEP adjustment for national, standardized 60-day episode episode rates, the national per visit that group plus a fixed-dollar loss (FDL) rates, the national per-visit rates, the rates, the LUPA add-on payment amount. The outlier payment is defined LUPA add-on payment amount, and the amount, and the NRS conversion factor to be a proportion of the wage-adjusted NRS conversion factor. Then, we for CY 2010. We then reduced the rates estimated cost beyond the wage- reduced the CY 2010 rates by 2.5 by 5 percent as required by section adjusted threshold. The threshold percent to account for the new outlier 1895(b)(3)(C) of the Act, as amended by amount is the sum of the wage and case- pool of 2.5 percent. This outlier policy section 3131(b)(1) of the Affordable Care mix adjusted PPS episode amount and was adopted for CY 2010 only. Act. For CY 2011 and subsequent wage-adjusted FDL amount. The As we noted in the CY 2011 HH PPS calendar years we target up to 2.5 proportion of additional costs over the final rule (75 FR 70397 through 70399), percent of estimated total payments to

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be paid as outlier payments, and apply claims data and the CY 2016 payments patients.5 A review of the literature a 10 percent agency-level outlier cap. rates in section III.C.3 of this proposed increasingly indicates that the current rule, we estimate that outlier payments HH PPS payment model drives HHA 2. Fixed Dollar Loss (FDL) Ratio and would comprise approximately 2.34 resource allocation and practice Loss-Sharing Ratio percent of total HH PPS payments in CY decisions.6 Specifically, research has For a given level of outlier payments, 2016, a percent change of almost 16 highlighted the need to examine there is a trade-off between the values percent. This increase is attributable to whether there are vulnerabilities present selected for the FDL ratio and the loss- the increase in the national per-visit within the current HH PPS model that sharing ratio. A high FDL ratio reduces amounts through the rebasing provide disincentives for serving the the number of episodes that can receive adjustments and the decrease in the most clinically complex and vulnerable outlier payments, but makes it possible national, standardized 60-day episode beneficiaries who receive home health to select a higher loss-sharing ratio, and payment amount as a result of the care while incentivizing providers to therefore, increase outlier payments for rebasing adjustment and the nominal provide more therapy service than qualifying outlier episodes. case-mix growth reduction. Given needed to increase their Alternatively, a lower FDL ratio means similar rebasing adjustments and case- reimbursement.7 There is increasing that more episodes can qualify for mix growth reduction would also occur concern that the current home health outlier payments, but outlier payments for 2017, and hence a similar payment system encourages home per episode must then be lower. anticipated increase in the outlier health providers to deliver the The FDL ratio and the loss-sharing payments, we estimate that for CY 2017 maximum volume of therapy services ratio must be selected so that the outlier payments as a percent of total while restricting the number of skilled estimated total outlier payments do not HH PPS payments would exceed 2.5 nursing and home health aide services exceed the 2.5 percent aggregate level percent. because of the therapy payment (as required by section 1895(b)(5)(A) of At this time, we are not proposing a thresholds.8 the Act). Historically, we have used a change to the FDL ratio or loss-sharing This raises the question whether there value of 0.80 for the loss-sharing ratio ratio for CY 2016 as we believe that is a disparity in payment for those which, we believe, preserves incentives maintaining an FDL of 0.45 and a loss- patients with clinically complex and/or for agencies to attempt to provide care poorly controlled chronic conditions efficiently for outlier cases. With a loss- sharing ratio of 0.80 are appropriate given the percentage of outlier payments who do not qualify for therapy but sharing ratio of 0.80, Medicare pays 80 require a large number of skilled percent of the additional estimated costs is estimated to increase as a result of the increase in the national per-visit nursing visits.9 above the outlier threshold amount. Section 3131(d) of the Affordable Care In the CY 2011 HH PPS final rule (75 amounts through the rebasing adjustments and the decrease in the Act directed the Secretary to conduct a FR 70398), in targeting total outlier study on HHA costs involved with payments as 2.5 percent of total HH PPS national, standardized 60-day episode payment amount as a result of the providing ongoing access to care to low- payments, we implemented an FDL income Medicare beneficiaries or ratio of 0.67, and we maintained that rebasing adjustment and nominal case- mix growth reduction. In the final rule, beneficiaries in medically underserved ratio in CY 2012. Simulations based on areas, and in treating beneficiaries with CY 2010 claims data completed for the we will update our estimate of outlier payments as a percent of total HH PPS high levels of severity of illness.10 To CY 2013 HH PPS final rule showed that examine access to Medicare home outlier payments were estimated to payments using the most current and health services and payment, relative to comprise approximately 2.18 percent of complete year of HH PPS data (CY 2014 cost, for the vulnerable patient total HH PPS payments in CY 2013, and claims data as of June 30, 2015). We populations, we awarded a contract to as such, we lowered the FDL ratio from would continue to monitor the percent L&M Policy Research to perform 0.67 to 0.45. We stated that lowering the of total HH PPS payments paid as extensive analysis of both survey and FDL ratio to 0.45, while maintaining a outlier payments to determine if future administrative data. Specifically, the loss-sharing ratio of 0.80, struck an adjustments to either the FDL ratio or L&M collected survey data from effective balance of compensating for loss-sharing ratio are warranted. physicians and HHAs to examine factors high-cost episodes while allowing more E. Report to Congress on the Home associated with potential access to care episodes to qualify as outlier payments Health Study Required by Section issues. The surveys provided (77 FR 67080). The national, 3131(d) of the Affordable Care Act and information on whether, and the reasons standardized 60-day episode payment an Update on Subsequent Research and amount is multiplied by the FDL ratio. Analysis 5 Rosati, R., Russell, D., Peng, T., Brickner, C., That amount is wage-adjusted to derive Kurowski, D., Christopher, M.A., Sheehan, K. the wage-adjusted FDL amount, which The current home health prospective (2014). Medicare Home Health Payment Reform is added to the case-mix and wage- payment system (HH PPS) pays a May Jeopardize Access for Clinically Complex and adjusted 60-day episode payment determined amount for a 60-day episode Socially Vulnerable Patients. Health Affairs. 33(6), of care adjusted for case mix using 153 946–956. Doi: 10.1377/hlthaff.2013.1159 amount to determine the outlier 6 Cabin, W. (2009). Evidence-based Research threshold amount that costs have to home health resource groups (HHRGs). Challenges Home Care PPS Patient Benefits, Costs, exceed before Medicare would pay 80 The 153 HHRGs are determined based and Payment Structure. Home Health Care percent of the additional estimated on the amount of therapy provided, the Management and Practice. 21(4), 240–245. Doi: costs. episode’s timing in a sequence of 10.1177/10848223088328325 episodes, and the patient’s clinical and 7 Ibid. For this proposed rule, simulating 8 Rosati, R., Russell, D., Peng, T., Brickner, C., payments using preliminary CY 2014 functional status determined from data Kurowski, D., Christopher, M.A., Sheehan, K. claims data (as of December 31, 2014) reported on the Outcome and (2014). Medicare Home Health Payment Reform and the CY 2015 payment rates (79 FR Assessment Information Set (OASIS). May Jeopardize Access for Clinically Complex and 66088 through 66092), we estimate that There has been criticism that home Socially Vulnerable Patients. Health Affairs. 33(6), health providers have responded to 946–956. Doi: 10.1377/hlthaff.2013.1159 outlier payments in CY 2015 would 9 Ibid. comprise 2.02 percent of total payments. Medicare’s payment policy by altering 10 http://www.cms.gov/Center/Provider-Type/ Based on simulations using CY 2014 the level of service provided to Home-Health-Agency-HHA-Center.html

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as to why, patients were not placed or Furthermore, in CY 2010, beneficiaries result from implementing a DOT model admitted for home health services or admitted after acute or post-acute stays were offset by the added complexity and experienced delays in receiving home or who had high Hierarchical Condition burden to providers that a DOT model health services, and information on the Category scores or certain poorly- could introduce by requiring providers characteristics of patients who may have controlled clinical conditions, such as to classify their patients with a single experienced access issues. L&M also poorly-controlled pulmonary disorders, diagnosis that would be used to analyzed administrative data through were also associated with substantially determine payment. For present reform descriptive and regression analyses to lower home health margins. In addition, efforts, Abt revisited the DOT model examine the relationship between other characteristics, such as those with more current data and in the patient characteristics and estimated describing assistance by informal context of other potential changes to the financial margin (difference between caregivers for ADL needs and those payment system which a DOT model payment and estimated cost). The study describing socio- economic status, such might be able to complement. In this focused on margins because margin as dual eligibility for Medicare and analysis, we are removing the therapy differences, particularly those Medicaid, were strongly associated with variable, allowing us to explore new associated with patient characteristics, lower margins. Exploration of potential ideas and re-explore previously rejected indicate that financial incentives may payment methodology changes ideas to see how we can increase the exist in the HH PPS to provide home indicated that accounting for additional statistical power of the model without health care for certain types of patients variables in HH PPS payment may the therapy variable. In this most recent over others. Lower margins, if decrease the difference in estimated analysis, each episode is grouped into systematically associated with care for margin between individuals in specific the following diagnosis groups based on vulnerable patient populations, may vulnerable subgroups and those not in the primary ICD–9–CM diagnosis code indicate financial disincentives for the subgroups, thereby potentially reported on the OASIS: (1) Orthopedic; HHAs to admit these patients and may decreasing financial incentives to select (2) neurological; (3) diabetes; (4) cancer; create access to care issues for them. certain types of patients over others. (5) skin wounds & lesions; (6) The results of the survey revealed that CMS awarded a follow-on contract to cardiovascular; (7) pulmonary; (8) over 80 percent of HHAs and over 90 Abt Associates to further explore margin gastrointestinal; (9) genito-urinary; (10) percent of physicians reported that differences across patient characteristics mental/emotional disorders; (11) other access to home health care for Medicare and possible payment methodology diagnoses; (12) case-mix V-codes; and fee-for-service beneficiaries in their changes suggested by the results of the (13) non-case-mix V-codes. Unlike the local area was excellent or good. When home health study. Additionally, we current HH PPS case-mix system, the survey respondents reported access have heard from various stakeholders diagnosis on top model does not include issues, specifically their inability to that the current payment system any therapy thresholds. Under the place or admit Medicare fee-for-service methodology is overly complex and diagnosis on top model, episodes are patients into home health, the most does not fully reflect the range of first divided into different diagnosis common reason reported was that the services provided under the home groups, prior to the determination of the patients did not qualify for the Medicare health benefit, and thus this follow-on clinical and functional levels, and home health benefit. HHAs and study would look at these aspects of the payment model regressions would be physicians also cited family or caregiver current payment system as well. run separately for each diagnosis group. issues as an important contributing Under the follow-on contract, Abt This is intended to maximize the factor in the inability to admit or place Associates convened a Clinical statistical performance of the payment patients. About 17.2 percent of HHAs Workgroup meeting on June 25, 2014 to system. The work conducted by Abt and 16.7 percent of physicians reported gain clinical insight from industry Associates also included OASIS and insufficient payment as an important regarding the current HH PPS. Based non-OASIS items (such as whether the contributing factor in the inability to upon the feedback provided during the patient was admitted from an acute or admit or place patients. The survey Clinical Workgroup meeting, as well as post-acute care setting and hierarchical results suggest that much of the CMS concerns about the current model condition categories) not used in the variation in access to Medicare home given the findings from the Home current payment system, but shown to health services is associated with social Health Study, Abt Associates was tasked correlate with resource use. In many and personal conditions and therefore with developing model options for ways, the regression component of the CMS’ ability to improve access for consideration and discussion. In diagnosis on top model is very similar certain vulnerable patient populations September 2014, Abt Associates to the current 4-equation model except through payment policy may be limited. presented several payment model that, in later versions of Abt’s work on Analysis of CY 2010 HHA payment options for CMS consideration, which the diagnosis on top model, the clinical and cost data suggests that margins may were also presented to a Technical and functional levels are replaced with differ substantially across the HH PPS Expert Panel meeting held on January 8, an overall severity level. This change case-mix groups. In addition, particular 2015. allows the diagnosis on top model to beneficiary characteristics appear to be • Diagnosis on Top Model: account for a richer set of variables than strongly associated with margin, and The first model option, referred to as the clinical and functional levels in the thus may create financial incentives to the ‘‘Diagnosis on Top’’ (DOT) model, current payment system. select certain patients over others. combines diagnosis groups with a • Predicted Therapy Model: Margins were estimated to be lower in regression model to create separate The second model option is referred CY 2010 for patients who required weights for patients with different to as the ‘‘Predicted Therapy Model.’’ parenteral nutrition, who had traumatic diagnoses. For its ‘‘Studies in Home The basic structure of this model is wounds or ulcers, or required Health Case Mix’’ project design report similar to that of the current payment substantial assistance in bathing. Given (January 7, 2002), Abt had explored the model. In this model option, actual that these variables are already included possibility of a DOT model for the home therapy visits used in the current HH in the HH PPS case-mix system, the health payment system. At that time, PPS model are replaced with predicted results indicate that modifications to the there was a decision that the potential therapy visits to develop case mix case-mix system may be needed. gains in payment accuracy which would weights and payment amounts based on

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the predicted number of visits. The noted that policy makers have faced threshold for each case-mix group is the weights are constructed via a two-part challenges in defining the role of home episode payment amount for that group, model. The first part of the model uses health.12 We believe that the HHG or the PEP adjustment amount for the a logistic regression to estimate whether model may be one way to better define episode, plus a fixed dollar loss amount or not the episode had any therapy the types of care that patients receive that is the same for all case-mix groups. visits. The second part of this predicted under the home health benefit and thus Second, in addition to the proposed therapy model uses a truncated the role of home care. changes to the regulations text binomial regression (truncated at zero) To inform the model options pertaining to outlier payments under the to estimate the amount of therapy visits discussed above, Abt Associates also HH PPS, we also propose to amend conditional on having any therapy reviewed other Medicare prospective § 409.43(e)(iii) and to add language to visits. This ‘‘hurdle’’ model is payment systems to identify alternative § 484.205(d) to clarify the frequency of commonly used in health economics to methods used in classifying patients review of the plan of care and the describe medical utilization or and to better understand components of provision of Partial Episode Payments expenditures where observing zero each system. In the future, we plan to (PEP) under the HH PPS as a result of health care use during the sample issue a technical report under our a regulations text change in § 424.22(b) period is common.11 We also looked at contract with Abt Associates that would that was finalized in the CY 2015 HH estimating the two part model for each further describe and analyze the three PPS final rule (79 FR 66032). of the diagnosis groups in the diagnosis model options. We also plan to Specifically, we propose to change the on top model referenced above. The reconvene the Clinical Workgroup and definition of an intervening event to predicted therapy model still includes the Technical Experts Panel in the near include transfers and instances where a the four-equation model, the payment future to help further inform CMS on patient is discharged and return to home regression, and the 153 HHRGs as in the the various model options developed health during a 60-day episode, rather current payment model. and next steps. than a discharge and return to the same • Home Health Groupings Model: F. Technical Regulations Text Changes HHA during a 60-day episode. In The third model is referred to as the § 484.220, we propose to update the ‘‘Home Health Groupings ’’ (HHG) First, we propose to make several regulations text to reflect the downward model. The premise of this type of technical corrections in part 484 to adjustments to the 60-day episode better align the payment requirements model is that it starts with a clinical payment rate due to changes in the with recent statutory and regulatory foundation. This groupings model coding or classification of different units changes for home health services. We groups home health episodes by of service that do not reflect real propose to make changes to § 484. diagnoses and the expected types of changes in case-mix (nominal case-mix 205(e) to state that estimated total home health interventions required. growth) applied to calendar years 2012 outlier payments for a given calendar Using expert clinical judgment, each and 2013, which were finalized in the year are limited to no more than 2.5 ICD–9 code is assigned to one of seven CY 2012 HH PPS final rule (76 FR percent of total outlays under the HHA groups based on the intervention 68532). This also includes updating the PPS, rather than 5 percent of total expected to be required. Those seven CY 2011 adjustment to 3.79 percent as outlays, as required by section groups include: (1) Musculoskeletal finalized in the CY 2011 HH PPS final Rehabilitation; (2) Neuro/Stroke 1895(b)(5)(A) of the Act as amended by rule (75 FR 70461). In § 484.225 we are Rehabilitation; (3) Skin/Non-Surgical section 3131(b)(2)(B) of the Affordable proposing to eliminate references to Wound Care; (4) Post-Op Wound Care Act. Similarly, we also propose to outdated market basket index factors by Aftercare; (5) Behavioral Health Care; (6) specify in § 484.240(e) that the fixed removing paragraphs (b), (c), (d), (e), (f) Complex Medical Care; and (7) dollar loss and the loss sharing amounts and (g). In § 484.230 we propose to Medication Management, Teaching, and are chosen so that the estimated total delete the last sentence as a result of a Assessment. Unlike the current HH PPS outlier payment is no more than 2.5 change from a separate LUPA add-on case-mix system, the home health percent of total payments under the HH amount to a LUPA add-on factor groupings model does not include any PPS, rather than 5 percent of total finalized in the CY 2014 HH PPS final therapy thresholds. Abt Associates is payments under the HH PPS as required currently in the process of further by section 1895(b)(5)(A) of the Act as rule (78 FR 72256). Finally, we are delineating the seven groups listed amended by section 3131(b)(2)(B) of the deleting and reserving § 484.245 as we above using OASIS and non-OASIS Affordable Care Act. We also propose to believe that this language is no longer items (such as whether the patient was describe in § 484.240(f) that the applicable under the HH PPS, as it was admitted from an acute or post-acute estimated total amount of outlier meant to facilitate the transition to the care setting and hierarchical condition payments to an HHA in a given year original PPS established in CY 2000. categories) not used in the current may not exceed 10 percent of the Lastly, we propose to make one payment system, but shown to correlate estimated total payments to the specific technical correction in § 424.22 to re- with resource use. The HHG model agency under the HH PPS in a given designate paragraph (a)(1)(v)(B)(1) as groups home health episodes in a way year. This update aligns the regulations (a)(2). that mirrors how clinicians would text at § 484.240(f) with the statutory We invite comments on these differentiate between different types of requirement in 1895(b)(5)(A) of the Act technical corrections and associated beneficiaries and would help explain as amended by section 3131(b)(2)(B) of changes in the regulations at § 409, why the beneficiary is receiving home the Affordable Care Act. Finally, we § 424, and § 484. health, something that the current HH propose a minor editorial change in IV. Proposed Home Health Value-Based PPS case-mix may be lacking. MedPAC § 484.240(b) to specify that the outlier Purchasing (HHVBP) Model

11 ‘‘Modeling Health Care Costs and Counts,’’ 12 Medicare Payment Advisory Commission A. Background ASHE conference course by Partha Deb, Willard (MedPAC), ‘‘Report to the Congress: Medicare In the CY 2015 Home Health Manning and Edward Norton, http:// Payment Policy’’. March 2015. P. 219. Washington, web.harrisschool.uchicago.edu/sites/default/files/ DC. Accessed on 5/5/2015 at: http://medpac.gov/ Prospective Payment System (HH PPS) ASHE2012_Minicourse_Cost_Use_slides_ documents/reports/march-2015-report-to-the- final rule titled ‘‘Medicare and Medicaid corrected.pdf congress-medicare-payment-policy.pdf?sfvrsn=0. Programs; CY 2015 Home Health

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Prospective Payment System Rate framework for proposing to adopt improvement efforts and the incentives. Update; Home Health Quality Reporting measures for subsequent performance HHAs in three of the four regions Requirements; and Survey and years; the performance scoring generated enough savings to have Enforcement Requirements for Home methodology, which includes incentive payments in the first year of Health Agencies (79 FR 66032–66118), performance based on achievement and the Demonstration, but the size of we indicated that we were considering improvement; the review and payments were unknown until after the the development of a home health recalculation period; and the evaluation conclusion of the Demonstration. Also, value-based purchasing (HHVBP) framework. the time lag between quality model. We sought comments on a future The basis for developing this performance and payment incentives HHVBP model, including elements of proposed value-based purchasing (VBP) was too long to provide a sufficient the model; size of the payment model, as described in the proposed motivation for HHAs to take necessary incentives and percentage of payments regulations at § 484.300 et seq., stems steps to improve quality. The results of that would need to be placed at risk in from several important areas of the Demonstration published in a order to spur home health agencies consideration. First, we expect that comprehensive evaluation report 15 (HHAs) to make the necessary tying quality to payment through a suggest that future models could benefit investments to improve the quality of system of value-based purchasing will from ensuring that incentives are care for Medicare beneficiaries; the improve the beneficiaries’ experience reliable enough, of sufficient magnitude, timing of the payment adjustments; and, and outcomes. In turn, we expect and paid in a timely fashion to how performance payments should be payment adjustments that both reward encourage HHAs to be fully engaged in distributed. We also sought comments improved quality and penalize poor the quality of care initiative. on the best approach for selecting states performance will incentivize quality Furthermore, the President’s FY 2015 for participation in this model. We improvement and encourage efficiency, and 2016 Budgets proposed that VBP noted that if the decision was made to leading to a more sustainable payment should be extended to additional move forward with the implementation system. providers including skilled nursing of a HHVBP model in CY 2016, we Second, section 3006(b) of the facilities, home health agencies, would solicit additional comments on a Affordable Care Act directed the ambulatory surgical centers, and more detailed model proposal to be Secretary of the Department of Health hospital outpatient departments. The FY included in future rulemaking. and Human Services (the Secretary) to 2015 Budget called for at least 2 percent In the CY 2015 HH PPS final rule,13 develop a plan to implement a VBP of payments to be tied to quality and we indicated that we received a number program for payments under the efficiency of care on a budget neutral of comments related to the magnitude of Medicare Program for HHAs and the basis. The FY 2016 Budget outlines a the percentage payment adjustments; Secretary issued an associated Report to program which would tie at least 2 evaluation criteria; payment features; a Congress in March of 2012 (2012 percent of Medicare payments to the 14 beneficiary risk adjustment strategy; Report). The 2012 Report included a quality and efficiency of care in the first state selection methodology; and the roadmap for implementation of an 2 years of implementation beginning in approach to selecting Medicare-certified HHVBP model and outlined the need to 2017, and at least 5 percent beginning HHAs. A number of commenters develop an HHVBP program that aligns in 2019 without any impact to the supported the development of a value- with other Medicare programs and budget. We propose in this HHVBP based purchasing model in the home coordinates incentives to improve model to also follow a graduated health industry in whole or in part with quality. The 2012 Report also indicated payment adjustment strategy within consideration of the design parameters that a HHVBP program should build on certain selected states beginning January provided. No commenters provided and refine existing quality measurement 1, 2016. strong counterpoints or alternative tools and processes. In addition, the The Secretary has also set two overall design options which dissuaded CMS 2012 Report indicated that one of the delivery system reform goals for CMS. from moving forward with general ways that such a program could link First, we seek to tie 30 percent of design and framework of the HHVBP payment to quality would be to tie traditional, or fee-for-service, Medicare model as discussed in the CY 2015 HH payments to overall quality payments to quality or value-based PPS proposed rule. All comments were performance. payments through alternative payment considered in our decision to develop Third, section 402(a)(1)(A) of the models by the end of 2016, and to tie an HHVBP model for implementation Social Security Amendments of 1967 (as 50 percent of payments to these models amended) (42 U.S.C. 1395b–1(a)(1)(A)), beginning January 1, 2016. Therefore, in by the end of 2018. Second, we seek to provided authority for us to conduct the this proposed rule, we are proposing to tie 85 percent of all traditional Medicare Home Health Pay-for-Performance implement a HHVBP model, which payments to quality or value by 2016 (HHPFP) Demonstration that ran from includes a randomized state selection and 90 percent by 2018.16 To support 2008 to 2010. The results of that methodology; the reporting framework; these efforts the Health Care Payment Demonstration found modest quality the payment adjustment methodology; Learning and Action Network was improvement in certain measures after payment adjustment schedule by recently launched to help advance the comparing the quality of care furnished performance year and payment work being done across sectors to by Demonstration participants to the adjustment percentage; the quality increase the adoption of value-based quality of care furnished by the control measures selection methodology, payments and alternative payment classifications and weighting, measures group. One important lesson learned from the HHPFP Demonstration was the for performance year one, including the 15 ‘‘CMS Report on Home Health Agency Value- reporting of New Measures, and the need to link the HHA’s quality Based Purchasing Program’’ (February of 2012) available at https://www.cms.gov/Research- 13 Medicare and Medicaid Programs; CY 2015 14 CMS, ‘‘Report to Congress: Plan to Implement Statistics-Data-and-Systems/Statistics-Trends-and- Home Health Prospective Payment System Rate a Medicare Home Health Agency Value-Based Reports/Reports/Downloads/HHP4P_Demo_Eval_ Update; Home Health Quality Reporting Purchasing Program’’ (March 15, 2012) available at Final_Vol1.pdf. Requirements; and Survey and Enforcement http://www.cms.gov/Medicare/Medicare-Fee-for- 16 Content of this announcement can be found at Requirements for Home Health Agencies, 79 FR Service-Payment/HomeHealthPPS/downloads/ http://www.hhs.gov/news/press/2015pres/01/ 66105–66106 (November 6, 2014). stage-2-NPRM.PDF. 20150126a.html.

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models. We believe that testing the measures relative to its peers. We propose to identify Medicare- HHVBP model would support these Specifically, the HHVBP model certified HHAs for participation in this goals. proposes to utilize the waiver authority model using state borders as boundaries. Finally, we have already successfully to adjust Medicare payment rates under We do so under the authority granted in implemented the Hospital Value-Based section 1895(b) of the Act.17 In section 1115A(a)(5) of the Act to elect to Purchasing (HVBP) program, under accordance with the authority granted to limit testing of a model to certain which value-based incentive payments the Secretary in section 1115A(d)(1) of geographic areas. This decision is are made in a fiscal year to hospitals the Act, we would waive section influenced by the 2012 Report to that meet performance standards 1895(b)(4) of the Act only to the extent Congress mandated under section established for a performance period necessary to adjust payment amounts to 3006(b) of the Affordable Care Act. This with respect to measures for that fiscal reflect the value-based payment Report stated that HHAs which year. The percentage of a participating adjustments under this proposed model hospital’s base-operating DRG payment for Medicare-certified HHAs in participated in previous value-based amount for FY 2015 discharges that is specified states selected in accordance purchasing demonstrations ‘‘uniformly at risk, based on the hospital’s with CMS’s proposed selection believed that all Medicare-certified performance under the program for that methodology. We are not proposing to HHAs should be required to participate fiscal year, is 1.5 percent. That implement this model under the in future VBP programs so all agencies percentage will increase to 2.0 by FY authority granted by the Affordable Care experience the potential burdens and 2017. We are proposing an HHVBP Act under section 3131 (‘‘Payment benefits of the program’’ and some model that builds on the lessons learned Adjustments for Home Health Care’’). HHAs expressed concern that absent and guidance from the HVBP program The defined population would mandatory participation, ‘‘low- and other applicable demonstrations as include all Medicare beneficiaries being performing agencies in areas with discussed above, as well as from the provided care by any Medicare-certified limited competition may not choose to evaluation report discussed earlier. HHA delivering care within the selected pursue quality improvement.’’ 18 The proposed HHVBP model presents states. Medicare-certified HHAs that are Section 1115A(b)(2)(A) of the Act an opportunity to improve the quality of delivering care within the boundaries of care furnished to Medicare beneficiaries selected states are considered requires that the Secretary select models and study what incentives are ‘Competing Medicare-certified Home to be tested where the Secretary sufficiently significant to encourage Health Agencies’ within the scope of determines that there is evidence that HHAs to provide high quality care. The this HHVBP Model. If care is delivered the model addresses a defined HHVBP model being proposed would outside of boundaries of selected states, population for which there are deficits offer both a greater potential reward for or inside the boundaries of a non- in care leading to poor clinical high performing HHAs as well as a selected state that does not have a outcomes or potentially avoidable greater potential downside risk for low reciprocal agreement with a selected expenditures. The HHVBP model was performing HHAs. If implemented, the state, payments for those beneficiaries developed to improve care for Medicare model would begin on January 1, 2016, would not be considered within the patients receiving care from HHAs and include an array of measures that scope of the model because we are based on evidence in the March 2014 would capture the multiple dimensions basing participation in the model on MedPAC Report to Congress citing of care that HHAs furnish. state specific CMS Certification quality and cost concerns in the home The proposed model would be tested Numbers (CCNs). Payment adjustments health sector. According to MedPAC, by CMS’s Center for Medicare and for each year of the model would be ‘‘about 29 percent of post-hospital home Medicaid Innovation (CMMI) under calculated based on a comparison of health stays result in readmission, and section 1115A of the Act. Under section how well each competing Medicare- there is tremendous variation in 1115A(d)(1) of the Act, the Secretary certified HHA performed during the performance among providers within may waive such requirements of Titles performance period for that year and across geographic regions.’’ 19 The XI and XVIII and of sections 1902(a)(1), (proposed below to be one year in same report cited limited improvement 1902(a)(13), and 1903(m)(2)(A)(iii) as length, starting in CY 2016) with its may be necessary solely for purposes of performance on the same measures in in quality based on existing measures, carrying out section 1115A with respect 2015 (proposed below to be the baseline and noted that the data on quality ‘‘are to testing models described in section data year). collected only for beneficiaries who do 1115A(b). The Secretary is not issuing The first performance year would be not have their home health care stays any waivers of the fraud and abuse CY 2016, the second would be CY 2017, terminated by a hospitalization,’’ provisions in sections 1128A, 1128B, the third would be CY 2018, the fourth skewing the results in favor of a and 1877 of the SSA or any other would be 2019, and the fifth would be healthier segment of the Medicare Medicare or Medicaid fraud and abuse CY 2020. Greater details on performance population.20 This model would test the laws for this model. Thus, periods are outlined in further detail in use of adjustments to Medicare HH PPS notwithstanding any other provisions of section D—Performance Assessment rates by tying payment to quality this proposed rule, all providers and and Payment Periods. This model performance with the goal of achieving suppliers participating in the HHVBP would test whether being subject to the highest possible quality and model must comply with all applicable significant payment adjustments to the efficiency. fraud and abuse laws and regulations. Medicare payment amounts that would We are proposing to use the section otherwise be made to competing 18 See the Recommendations section of the U.S. 1115A(d)(1) waiver authority to apply a Medicare-certified HHAs would result Department of Health and Human Services. Report reduction or increase of up to 8 percent in statistically significant improvements to Congress: Plan to Implement a Medicare Home to current Medicare payments to in the quality of care being delivered to Health Agency Value-Based Purchasing Program.’’ Medicare-certified HHAs delivering care this specific population of Medicare (March 2012) p. 28. 19 See full citation at note 11. MedPAC Report to to beneficiaries within the boundaries of beneficiaries. Congress (March 2014) p.215. certain states, depending on the HHA’s 20 MedPAC Report to Congress (March 2014) performance on specified quality 17 42 U.S.C. 1395fff. p.226.

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B. Overview Medicare beneficiaries within selected would be subject to adjustment under In § 484.305 we propose definitions states (with rare exceptions given for the proposed model. Requiring all for ‘‘applicable percent’’, ‘‘applicable care delivered when a reciprocal Medicare-certified HHAs within the measure’’, ‘‘benchmark’’, ‘‘home health agreement exists between states). The boundaries of selected states to compete prospective payment system’’, ‘‘larger- distribution of payment adjustments in the model would ensure that: (1) volume cohort’’, ‘‘linear exchange would be based on quality performance, There is no self-selection bias, (2) function’’, ‘‘Medicare-certified home as measured by both achievement and competing HHAs are representative of health agency’’, ‘‘New Measures’’, improvement, across a proposed set of HHAs nationally, and (3) there is quality measures rigorously constructed ‘‘payment adjustment’’, ‘‘performance sufficient participation to generate to minimize burden as much as possible period’’, ‘‘smaller-volume cohort’’, meaningful results. We believe it is and improve care. Competing Medicare- ‘‘selected states’’, ‘‘starter set’’, ‘‘Total necessary to require all HHAs delivering certified HHAs that demonstrate they Performance Score’’, and ‘‘value-based care within boundaries of selected states can deliver higher quality of care in purchasing’’ as they pertain to this to be included in the model because, in comparison to their peers (as defined by subpart. The HHVBP model is being our experience, Medicare-providers are the volume of services delivered within proposed to encompass five generally reluctant to participate the selected state), or their own past performance years and be implemented voluntarily in models in which their performance, could have their payment beginning January 1, 2016 and conclude Medicare payments could be subject to for each episode of care adjusted higher on December 31, 2022. Payment and possible reduction. This reluctance to than the amount that otherwise would participate in voluntary models has service delivery models are developed be paid under section 1895 of the Act. by CMMI in accordance with the been shown to cause self-selection bias Competing Medicare-certified HHAs in statistical assessments and thus, may requirements of section 1115A of the that do not perform as well as other Act. During the development of new present challenges to our ability to competing Medicare-certified HHAs of evaluate the model. In addition, state models, CMMI builds on the ideas the same size in the same state might received from internal and external boundaries represent a natural have their payments reduced and those demarcation in how quality is currently stakeholders and consults with clinical competing Medicare-certified HHAs that and analytical experts. being assessed through OASIS measures perform similarly to others of similar on Home Health Compare (HHC). In this proposed rule, we are outlining size in the same state might have no an HHVBP model for public notice and payment adjustment made. This C. Selection Methodology comment that has an overall purpose of operational concept is similar in improving the quality of home health 1. Identifying a Geographic Demarcation practice to what is used in the HVBP Area care and delivering it to the Medicare program. population in a more efficient manner. We expect that the risk of having We are proposing to adopt a The specific goals of the proposed payments adjusted in this manner methodology that uses state borders as model are to: would provide an incentive among all boundaries for demarcating which 1. Incentivize HHAs to provide better competing Medicare-certified HHAs Medicare-certified HHAs will be quality care with greater efficiency; delivering care within the boundaries of required to compete in the model. We 2. Study new potential quality and selected states to provide significantly are proposing to select nine states from efficiency measures for appropriateness better quality through improved nine geographically-defined groupings in the home health setting; and, planning, coordination, and of five or six states. Groupings were also 3. Enhance current public reporting management of care. The degree of the defined in order to ensure that the processes. payment adjustment would be successful implementation of the model We are proposing that the HHVBP dependent on the level of quality would produce robust and generalizable model would adjust Medicare HHA achieved or improved from the baseline results, as discussed later in this payments over the course of the model year, with the highest upward section. by up to 8 percent depending on the performance adjustments going to We took into account five key factors applicable performance year and the competing Medicare-certified HHAs when deciding to propose selection at degree of quality performance with the highest overall level of the state-level for this model. First, if we demonstrated by each competing performance based on either required some, but not all, Medicare- Medicare-certified HHA. The proposed achievement or improvement in quality. certified HHAs that deliver care within model would reduce the HH PPS final The size of a Medicare-certified HHA’s the boundaries of a selected state to claim payment amount to an HHA for payment adjustment for each year under participate in the model, we believe the each episode in a calendar year by an the model would be dependent upon HHA market for the state could be amount up to the applicable percentage that HHA’s performance with respect to disrupted because HHAs in the model defined in proposed § 484.305. The that calendar year relative to other would be competing against HHAs not timeline of payment adjustments as they competing Medicare-certified HHAs of in the model (herein referenced as either apply to each performance year is similar size in the same state and ‘non-model HHAs’ or ‘non-competing described in greater detail in the section relative to its own performance during HHAs’). Second, we wanted to ensure entitled ‘‘Payment Adjustment the baseline year. that the distribution of payment Timeline.’’ We are proposing that states would be adjustments based on performance The model would apply to all selected randomly from nine regional under the model could be extrapolated Medicare-certified HHAs in each of the groupings for model participation. A to the entire country. Statistically, the selected states, which means that all competing Medicare-certified HHA is larger the sample to which payment HHAs in the selected states would be only measured on performance for care adjustments are applied, the smaller the required to compete. We propose to delivered to Medicare beneficiaries variance of the sampling distribution codify this policy at 42 CFR 484.310. within boundaries of selected states and and the greater the likelihood that the Furthermore, a competing Medicare- only payments for HHA services distribution accurately predicts what certified HHA would only be measured provided to Medicare beneficiaries would transpire if the methodology on performance for care delivered to within boundaries of selected states were applied to the full population of

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HHAs. Third, we considered the need to HHAs operating in the same market as dependent variable (quality) becomes align with other HHA quality program non-model HHAs. confounded by external influences initiatives including HHC. The HHC Using smaller geographic areas than created by these non-competing HHAs. Web site presently provides the public states, such as counties, CSAs, CBSAs, These unintentional external influences and HHAs a state- and national-level rural, and HRRs, could also present on competing HHAs may be made comparison of quality. We expect that challenges for this model. These smaller apparent if non-competing HHAs aligning performance with the HHVBP geographic areas were considered as become incentivized to generate greater benchmark and the achievement score alternate selection options; however, volume at the expense of quality would support how measures are their use could result in too small of a delivered to the beneficiaries they serve currently being reported on HHC. sample size of potential competing and at the expense of competing HHAs Fourth, there is a need to align with HHAs. As a result, we expect the that are paid on quality instead of CMS regulations which require that distribution of payment adjustments volume. Further, the ability to each HHA have a unique CMS could become highly divergent among extrapolate these results to the full Certification Number (CCN) for each fewer HHA competitors. In addition, the population of HHAs and the state in which the HHA provides ability to evaluate the model could beneficiaries they serve becomes service. Fifth, we wanted to ensure become more complex and may be less confounded by an artifact of the model sufficient sample size and the ability to generalizable to the full population of and inferences would be limited from meet the rigorous evaluation Medicare-certified HHAs and the an inability to duplicate these results. requirements for CMMI models. These beneficiaries they serve across the While these concerns would decrease in five factors are important for the nation. Further, the use of smaller some order of magnitude as larger successful implementation and geographic areas than states could regions are considered, the only way to evaluation of this model. increase the proportion of Medicare- eliminate these concerns entirely is to We expect that when there is a risk for certified HHAs that could fall into define participation among Medicare- a downside payment adjustment based groupings with too few agencies to certified HHAs at the state level. on quality performance measures, the generate a stable distribution of In addition, home health quality data use of a self-contained, mandatory payment adjustments. Thus, if we were currently displayed on HHC allows cohort of HHA participants will create to define geographic areas based on users to compare HHA services a stronger incentive to deliver greater CSAs, CBSAs, counties, or HRRs, we furnished within a single state. quality among competing Medicare- would need to develop an approach for Selecting HHAs using other geographic certified HHAs. Specifically, it is consolidating smaller regions into larger regions that are smaller and/or cross possible the market would become regions. state lines could require the model to distorted if non-model HHAs are Home health care is a unique type of deviate from the established process for delivering care within the same market health care service when compared to reporting quality. For these reasons, we as competing Medicare-certified HHAs other Medicare provider types. In believe a selection methodology based because competition, on the whole, general, the HHA’s care delivery setting on the use of Medicare-certified HHAs becomes unfair when payment is is in the beneficiaries’ homes as delivering care within state boundaries predicated on quality for one group and opposed to other provider types that would be the most appropriate for the volume for the other group. In addition, traditionally deliver care at a brick and successful implementation and we expect that evaluation efforts might mortar institution within beneficiaries’ evaluation of this model. be negatively impacted because some respective communities. As a result, the While, for the reasons described HHAs would be competing on quality HHVBP model needs to be designed to above, we are proposing that the and others on volume within the same account for the unique way that HHA geographic basis of selection remain at market. care is provided in order to ensure that the state-level, we nevertheless seek We are proposing the use of state the results are generalizable to the comment on potential alternatives that boundaries after careful consideration of population. HHAs are limited to might use smaller geographic areas. several alternative selection approaches, providing care to beneficiaries in the With consideration of alternatives, the including randomly selecting HHAs state that they have a CCN however; public should reference the five from all HHAs across the country, and HHAs are not restricted from providing aforementioned key factors used to requiring participation from smaller service in a county, CSA, CBSA or HRR consider selection at the state-level for geographic regions including the that they are not located in (as long as this model as they relate to the county; the Combined Statistical Area the other county/CBSA/HRR is in the evaluative framework and operational (CSA); the Core-Based Statistical Area same state in which the HHA is feasibility of this model. In particular, (CBSA); rural provider level; and the certified). As a result, using smaller one potential alternative would be to Hospital Referral Region (HRR) level. geographic areas (than state boundaries) split states into sub-state regions using A methodology using a national could result in similar market distortion a combination of CSAs and sample of HHAs that are randomly and evaluation confounders as selecting metropolitan statistical areas (MSA), a selected from all HHAs across the providers from a randomized national type of CBSA. For example, regions country could be designed to include sampling. The reason is that HHAs in might be defined using the following enough HHAs to ensure robust payment adjacent counties/CSAs/CBSAs/HRRs process: adjustment distribution and a sufficient may not be in the model but, would be • Step 1: Define one sub-state region sample size for the evaluation; however, directly competing for services in the corresponding to each CSA that this approach may present significant same markets or geographic regions. contains an MSA (but not for CSAs that limitations when compared with the Competing HHAs delivering care in the do not include an MSA) and one sub- state boundaries selection methodology same market area as non-competing state region corresponding to each MSA proposed in this model. Of primary HHAs could generate a spillover effect that is not part of a CSA. In cases where concern with randomly selecting at the where non-model HHAs would be vying a CSA or MSA crossed state boundaries, provider-level across the nation is the for the same beneficiaries as competing only the portion of the CSA or MSA that issue with market distortions created by HHAs. This spillover effect presents falls inside the state boundaries would having competing Medicare-certified several issues for evaluation as the be included in the sub-state region.

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• Step 2: Any portions of a state that methodology employed will need to Several of the key characteristics we were not included in a sub-state region provide the strongest evidence of used for grouping state boundaries into based on a CSA or an MSA defined in producing meaningful results clusters for selection into the model are Step 1 would be consolidated in a single representative of the national also used in the impact analysis of our ‘‘remainder of state’’ sub-state region. population of Medicare-certified HHAs annual HHA payment updates, a fact • Step 3: To ensure that all sub-state and, in turn, meet the evaluation that reinforces their relevance for regions have a sufficient number of requirements of section 1115A(b)(4) of evaluation. The additional proposed HHAs to permit stable distribution of the Act. standards for grouping (level of payment adjustments, sub-state regions The state selections listed in proposed utilization and socioeconomic status of based on CSAs or MSAs that contained § 484.310 are based on the described patients) are also important to consider fewer than 25 HHAs would be proposed randomized selection when evaluating the program, because consolidated into the ‘‘remainder of methodology and are subject to change of their current policy relevance. Large state’’ sub-state region. in the CY 2016 HH PPS final rule as a variations in the level of utilization of • Step 4: If a ‘‘remainder of state’’ result of any changes that may be made the home health benefit has received sub-state region had fewer than 25 to the proposed randomized attention from policymakers concerned HHAs, that sub-state region would be methodology in response to comments. with achieving high-value health care consolidated with the geographically However, if the final methodology and curbing fraud and abuse.21 closest sub-state region based on a CSA differs from what we are proposing here, Policymakers’ concerns about the role of or MSA. we will apply the final methodology beneficiary-level characteristics as We note that algorithms like this one and identify the states selected under determinants of resource use and health may generate more than 100 total sub- the final methodology in the final rule. care quality were highlighted in the state regions and over 200 unique We propose to group states by each Affordable Care Act, which mandated a competing cohorts of Medicare-certified state’s geographic proximity to one study 22 of access to home health care HHAs. another and by accounting for key for vulnerable populations 23 and, more We seek comment on advantages and evaluation characteristics (that is, recently, Improving Medicare Post-acute disadvantages of this approach relative proportionality of service utilization, Care Transformation (IMPACT) Act of to defining regions based on state proportionality of organizations with 2014 required the Secretary to study the boundaries. In particular, we note that similar tax-exempt status and HHA size, relationship between individuals’ because this approach would generate a and proportionality of beneficiaries that socioeconomic status and resource use larger number of regions, it could are dually-eligible for Medicare and or quality.24 The parameters used to increase the statistical power of the Medicaid). define each geographic grouping are model evaluation, and might improve Based on an analysis of OASIS quality further described in the next three our ability to determine what effects the data and Medicare claims data, we sections. model has on the quality of home health believe the use of nine geographic care, as well as other outcomes of groupings is necessary to ensure that the a. Geographic Proximity interest. However, we note that because model accounts for the diversity of Under the proposed methodology, in regions would no longer line up with beneficiary demographics, rural and order to ensure that the Medicare- full states in most cases, the regions urban status, cost and quality variations, certified HHAs that would be required selected to participate in the model among other criteria. To provide for to participate in the model are not all in would no longer align directly with comparable and equitable selection one region of the country, the states in those displayed on HHC and therefore, probabilities, these separate geographic each grouping are adjacent to each other quality data would have to be groupings each include a comparable whenever possible while creating recalculated and displayed differently number of states. We are not proposing logical groupings of states based on from what is currently being reported on to adopt census-based geographic common characteristics as described HHC. In addition, using sub-state groupings or the CMS Medicare above. Specifically, analysis based on regions could, as noted above, lead to Administrative Contractor (MAC) quality data and claims data found that undesirable spillover effects between jurisdictions because those groupings HHAs in these neighboring states tend participating and non-participating would not permit an equal opportunity to hold certain characteristics in HHAs. These spillover concerns would of selection of Medicare-certified HHAs common. These include having similar; be mitigated by the fact that none of the by state or an assurance that we would patterns of utilization, proportionality of sub-state regions defined under this be able test the model among a diversity non-profit agencies, and types of approach would cross state lines and of agencies such as is found across the beneficiaries served (for example, the fact that the sub-state regions would nation. Following this logic, under our severity and number, type of co- be larger than under some approaches to proposed methodology, groupings are defining sub-state regions (for example, based on states’ geographic proximity to 21 See MedPAC Report to Congress: Medicare at the county level). Nevertheless, it is one another, having a comparable Payment Policy (March 2014, Chapter 9) available at http://medpac.gov/documents/reports/mar14_ unclear how severe these evaluation and number of states if randomized for an entirereport.pdf. See also the Institute of Medicine operational concerns would be in equal opportunity of selection, and Interim Report of the Committee on Geographic practice and how the extent of these similarities in key characteristics that Variation in Health Care Spending and Promotion concerns would depend on the different would be considered in the evaluation of High-Value Health Care: Preliminary Committee study because the attributes represent Observations (March 2013) available at http:// characteristics of the selected regions. iom.edu/Reports/2013/Geographic-Variation-in- We welcome public comment on these different types of HHAs, regulatory Health-Care-Spending-and-Promotion-of-High- proposed state selection methodologies. oversight, and types of beneficiaries Care-Value-Interim-Report.aspx. served. This is necessary to ensure that 22 This study can be accessed at http:// 2. Overview of the Randomized the evaluation study remains objective www.cms.gov/Center/Provider-Type/Home-Health- Selection Methodology for States and unbiased and that the results of this Agency-HHA-Center.html. 23 Section 3131(d) of the Affordable Care Act. We are requesting comments on the study best represent the entire 24 Improving Medicare Post-acute Care following proposed methodology for population of Medicare-certified HHAs Transformation (IMPACT) Act of 2014 (Public Law selecting states. The selection across the nation. 113–185).

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morbidities, and socio-economic status). These characteristics and expected eligible beneficiaries relative to other Therefore, the proposed groupings of variations must be considered in the states. states are delineated according to states’ evaluation study to enable us to avoid • Group #9: (IL, KY, AR, MI, TN) geographic proximity to one another erroneous inferences about how States in this group tend to have and common characteristics as a means different types of HHAs will respond to HHAs with higher utilization rates of permitting greater comparability. In HHVBP incentives. relative to other states. addition, each of the groupings retains Under this proposed state selection d. Randomized Selection of States similar types of characteristics when methodology, state groupings reflect compared to any other type of grouping regional variations that enhance the Upon the careful consideration of the of states. generalizability of the model. In line aforementioned alternative selection with this methodology, each grouping methodologies, including selecting b. Comparable Number of States in Each states on a non-random basis, we choose Grouping includes states that are similar in at least one important aforementioned to propose the use of a selection Under our proposed randomized characteristic while being methodology based on a randomized selection methodology, each geographic geographically located in close sampling of states within each of the region, or grouping, has a similar proximity to one another. Using the nine regional groupings described number of states. As a result, all states criteria described above, the following above. We examined data on the would have a 16.7 percent to 20 percent geographic groupings were identified evaluation elements listed in this chance of being selected under our using Medicare claims-based data from section to determine if specific states proposed methodology, and Medicare- calendar years 2013–2014. Each of the could be identified in order to fulfill the needs of the evaluation. After careful certified HHAs would have a similar 50 states was assigned to one of the review, we determined that each likelihood of being required to compete following geographic groups: in the model by using this sampling • Group #1: (VT, MA, ME, CT, RI, evaluation element could be measured design. We assert that this sampling NH) by more than one state. As a result, we design would ensure that no single States in this group tend to have determined that it was necessary to entity is singled out for selection, since larger HHAs and have average apply a fair method of selection where all states and Medicare-certified HHAs utilization relative to other states. each state would have a comparable would have approximately the same • Group #2: (DE, NJ, MD, PA, NY) opportunity of being selected and which chance of being selected. In addition, States in this group tend to have would fulfill the need for a robust this sampling approach would mitigate larger HHAs, have lower utilization, and evaluation. The proposed nine the opportunity for HHAs to self-select provide care to an average number of groupings of states as described in this into the model and thereby bias any dually-eligible beneficiaries relative to section permit the model to capture the results of the test. other states. essential elements of the evaluation • including demographic, geographic, and c. Characteristics of State Groupings Group #3: (AL, GA, SC, NC, VA) States in this group tend to have market factors. Without sacrificing an equal larger HHAs, have average utilization The randomized sampling of states is opportunity for selection, the proposed rates, and provide care to a high without bias to any characteristics of state groupings are intended to ensure proportion of minorities relative to other any single state within any specific that important characteristics of states. regional grouping, where no states are Medicare-certified HHAs that deliver • Group #4: (TX, FL, OK, LA, MS) excluded, and no state appears more care within state boundaries can be used States in this group have HHAs that than once across any of the groupings. to evaluate the primary intervention tend to be for-profit, have very high The randomized selection of states was with greater generalizability and utilization rates, and have a higher completed using a scientifically- representativeness of the entire proportion of dually-eligible accepted computer algorithm designed population of Medicare-certified HHAs beneficiaries relative to other states. for randomized sampling. The in the nation. Data analysis of these • Group #5: (WA, OR, AK, HI, WY, ID) randomized selection of states was run characteristics employed the full data States in this group tend to have on each of the previously described set of Medicare claims and OASIS smaller HHAs, have average utilization regional groupings using exactly the quality data. Although some rates, and are more rural relative to same process and, therefore, reflects a characteristics, such as beneficiary age other states. commonly accepted method of and case-mix, yield some variations • Group #6: (NM, CA, NV, UT, CO, randomized sampling. This computer from one state to another, other AZ) algorithm employs the aforementioned important characteristics do vary States in this group tend to have sampling parameters necessary to define substantially and could influence how smaller HHAs, have average utilization randomized sampling and omits any HHAs respond to the incentives of the rates, and provide care to a high human interaction once it runs. model. Specifically, home health proportion of minorities relative to other Based on this sampling methodology, services utilization rates, tax-exemption states. SAS Enterprise Guide (SAS EG) 5.1 status of the provider, the • Group #7: (ND, SD, MT, WI, MN, software was used to run a computer socioeconomic status of beneficiaries (as IA) algorithm designed to randomly select measured by the proportion of dually- States in this group tend to have states from each grouping. SAS EG 5.1 eligible beneficiaries), and agency size smaller HHAs, have very low utilization and the computer algorithm were (as measured by average number of rates, and are more rural relative to employed to conduct the randomized episodes of care per HHA), are other states. selection of states. SAS EG 5.1 important characteristics that could • Group #8: (OH, WV, IN, MO, NE., represents an industry-standard for influence outcomes of the model. KS) generating advanced analytics and Subsequently, we intend to study the States in this group tend to have provided a rigorous, standardized tool impacts of these characteristics for HHAs that are of average size, have by which to satisfy the requirements of purposes of designing future value- average utilization rates, and provide randomized selection. The key SAS based purchasing models and programs. care to a higher proportion of dually- commands employed include a ‘‘PROC

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SURVEYSELECT’’ statement coupled model will remain the same, and D. Performance Assessment and with the ‘‘METHOD=SRS’’ option used therefore, we would expect to take a Payment Periods to specify simple random sampling as broadly similar approach to selecting 1. Performance Reports the sample selection method. A random participating regions to the approach number seed was generated by using the that would be taken when regions are We are proposing the use of quarterly time of day from the computer’s clock. defined based on state boundaries. performance reports, annual payment adjustment reports, and annual The random number seed was used to Specifically, as with the selection publicly-available performance reports produce random number generation. methodology outlined above, we would as a means of developing greater Note that no stratification was used anticipate grouping sub-state regions within any of the nine geographically- transparency of Medicare data on together based on geographic proximity diverse groupings to ensure there is an quality and aligning the competitive and other characteristics into groups of equal probability of selection within forces within the market to deliver care each grouping. For more information on approximately equal size and then based on value over volume. The this procedure and the underlying selecting some number of sub-state publicly-reported reports would inform statistical methodology, please reference regions to participate from each group. home health industry stakeholders SAS support documentation at: http:// The number of selected participants will (consumers, physicians, hospitals) as support.sas.com/documentation/cdl/en/ be dependent on the selection well as all competing HHAs delivering statug/63033/HTML/default/ methodology. We welcome public care to Medicare beneficiaries within viewer.htm#statug_surveyselect_ comment on these proposed state selected state boundaries on their level sect003.htm/. selection methodologies. of quality relative to both their peers In § 484.310, we propose to codify the and their own past performance. names of the states selected utilizing e. Use of CMS Certification Numbers Competing HHAs would be scored for this proposed methodology, where one (CCNs) the quality of care delivered under the model based on their performance on state from each of the nine groupings We are proposing that Total measures compared to both the was selected. For each of these Performance Scores (TPS) and payment groupings, we propose to use state performance of their peers, defined by adjustments would be calculated based borders to demarcate which Medicare the same size cohort (either smaller- or on an HHA’s CCN 25 and, therefore, certified HHAs would be required to larger-volume cohorts as defined in compete in this model: Massachusetts based only on services provided in the § 484.305), and their own past was randomly selected from Group 1, selected states. The exception to this performance on the measures. We Maryland was randomly selected from methodology is where an HHA provides propose in § 484.305 to define larger- Group 2, North Carolina was randomly service in a state that also has a volume cohort to mean the group of selected from Group 3, Florida was reciprocal agreement with another state. Medicare-certified HHAs within the randomly selected from Group 4, Services being provided by the HHA to boundaries of a selected state that are Washington was randomly selected beneficiaries who reside in another state participating in HHCAHPs in from Group 5, Arizona was randomly would be included in the TPS and accordance with § 484.250 and to define selected from Group 6, Iowa was subject to payment adjustments.26 The smaller-volume cohort to mean the randomly selected from Group 7, reciprocal agreement between states group of HHAs within the boundaries of Nebraska was randomly selected from allows for an HHA to provide services a selected state that are exempt from Group 8, and Tennessee was randomly to a beneficiary across state lines using participation in HHCAHPs in selected from Group 9. Thus, if our its original CCN number. Reciprocal accordance with § 484.250. Where there methodology is finalized as proposed, agreements are rare and, as identified are too few HHAs in the smaller-volume all Medicare-certified HHAs that using the most recent Medicare claims cohort in each state to compete in a fair manner (that is, when there is only one provide services in Massachusetts, data from 2014, there was found to be or two HHAs competing within a Maryland, North Carolina, Florida, less than 0.1 percent of beneficiaries specific cohort), these specific HHAs Washington, Arizona, Iowa, Nebraska, that provided services that were being and Tennessee will be required to would be included in the larger-volume served by CCNs with reciprocal compete in this model. cohort [for purposes of calculating the However, should the methodology we agreements across state lines. Due to the total performance score and payment propose in this rule change as a result very low number of beneficiaries served adjustment] without being measured on of comments received during the across state borders as a result of these HHCAHPS. We are requesting rulemaking process, it could result in agreements, we expect there to be an comments on this proposed different states being selected for the inconsequential impact if we were to methodology. model. In such an event, we would include these beneficiaries in the model. Quality performance scores and apply the final methodology and relative peer rankings would be announce the selected states in the final 25 HHAs are required to report OASIS data and determined through the use of a rule. We therefore seek comment from any other quality measures by its own unique CMS baseline year (calendar year 2015) and Certification Number (CCN) as defined under Title subsequent performance periods for all interested parties in every state on 42, Chapter IV, Subchapter G, Part § 484.20 the randomized selection methodology Available at URL http://www.ecfr.gov/cgi-bin/text- each competing HHA. Further, these proposed above and codified at idx?tpl=/ecfrbrowse/Title42/42cfr484_main_02.tpl. reports would provide competing HHAs § 484.310. 26 See Chapter 2 of the State Operations Manual with an opportunity to track their Based on the comments received from (SOM), Section 2184—Operation of HHAs Cross quality performance relative to their State Lines, stating ‘‘When an HHA provides this proposed rule, the selection services across State lines, it must be certified by peers and their own past performance. methodology for participation in the the State in which its CCN is based, and its Using these reports provides a model may change from state personnel must be qualified in all States in which convenient and timely means for boundaries to an approach based on they provide services. The appropriate SA competing HHAs to assess and track completes the certification activities. The involved sub-state regions built from CSAs/ States must have a written reciprocal agreement their own respective performance as MSAs, CBSAs, rural provider level or permitting the HHA to provide services in this capacity is developed to improve or HRRs. In that case, the goals of the manner.’’ sustain quality over time.

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Beginning with the data collected competing HHAs. This report would continue to be provided from the during the first quarter of CY 2016 (that focus primarily on the payment baseline year through the model’s is, data for the period January 1, 2016 adjustment percentage and include an tenure using a dedicated HHVBP web- to March 31, 2016), and for every explanation of when the adjustment based platform specifically designed to quarter of the model thereafter, we are would be applied and how this disseminate data in this model (this proposing to provide each Medicare adjustment was determined relative to ‘‘portal’’ would present and archive the certified HHA with a quarterly report performance scores. Each competing previously described quarterly and that contains information on their HHA would receive its own payment annual quality reports). Further, HHAs performance during the quarter. We adjustment report viewable only to that will provide performance data on the expect to make the first quarterly report HHA. four new quality measures through this available in July 2016, and to make We are also proposing a separate, platform as well. Any new measures performance reports for subsequent annual, publicly available quality report employed through the model’s tenure, quarters available in October, January that would provide home health subject to rulemaking, would use data and April. The final quarterly report industry stakeholders, including from the previous calendar year as the would be made available in April 2021. providers and suppliers that refer their baseline. The quarterly reports would include a patients to HHAs, with an opportunity New market entries (specifically, new competing HHA’s model-specific to ensure that the beneficiaries they are Medicare-certified HHAs delivering care performance results with a comparison referring for home health services are in the boundaries of selected states) to other competing HHAs within its being provided the best possible quality would also be measured from their first cohort (larger- or smaller-volume) of care available. We seek public full calendar year of services in the within the state boundary. These model- comment on the proposed reporting state, which would be treated as specific performance results would framework described above. baseline data for subsequent performance years under this model. complement all quality data sources 2. Payment Adjustment Timeline already being provided through the The delivery of services would be QIES system and any other quality We propose at § 484.325 that measured by the number of episodes of tracking system possibly being Medicare-certified HHAs will be subject care for Medicare beneficiaries and used employed by HHAs. We note that all to upward or downward payment to determine whether an HHA falls into performance measures that Medicare- adjustments based on performance on the smaller- or larger- volume cohort. certified HHAs will report through the quality measures. We propose this Furthermore, these new market entries QIES system are also already made model would consist of 5 performance would be competing under the HHVBP available in the CASPER Reporting years, where each performance year model in the first full calendar year application. The primary difference would link performance to the following the full calendar year baseline between the two reports (CASPER opportunity and risk for payment period. reports and the model-specific adjustment up to an applicable percent HHAs would be notified in advance of performance report) is that the model- as defined in proposed 42 CFR 484.305. their first performance level and specific performance report we are The first performance year would payment adjustment being finalized, proposing here consolidates the transpire from January 1, 2016 through based on the 2016 performance period applicable performance measures used December 31, 2016, and subsequently, (January 1, 2016 to December 31, 2016), in the HHVBP model and provides a all other performance years would be with their first payment adjustment to peer-ranking to other competing assessed on an annual basis through be applied January 1, 2018 through Medicare-certified HHAs within the 2020, unless modified through December 31, 2018. Each HHA would be same state and size-cohort. In addition, rulemaking. The first payment notified of this first pending payment CASPER reports would provide quality adjustment would begin January 1, 2018 adjustment on August 1, 2017 and a data earlier than model-specific applied to that calendar year based on preview period would run for 10 days performance reports because CASPER 2016 performance data. Subsequently, through August 11, 2017. This preview reports are not limited by a quarterly all other payment adjustments would be period would provide each competing run-out of data and a calculation of made on an annual basis through the HHA an opportunity to reconcile any competing peer-rankings. For more conclusion of the model, unless performance assessment issues relating information on the accessibility and modified through rulemaking. We are to the calculation of scores prior to the functionality of the CASPER system, proposing that payment adjustments payment adjustment taking effect, in please reference the CASPER Provider will be increased incrementally over the accordance with the process proposed Reporting Guide.27 course of the model with a maximum in section H—Preview and Period to The model-specific quarterly payment adjustment of (5 percent) Request Recalculation. Once the performance report would be made upward or downward in 2018 and 2019, preview period ends, any changes available to each HHA through a a maximum payment adjustment of 6 would be reconciled and a report dedicated CMMI model-specific percent (upward or downward) in 2020, finalized no later than November 1, platform for data dissemination and and a maximum payment adjustment of 2017 (or 60 days prior to the payment include each HHA’s relative ranking 8 percent (upward or downward) in adjustment taking affect). amongst its peers along with 2021 and 2022. We propose to Subsequent payment adjustments measurement scores and overall implement this model over a total of 7 would be calculated based on the performance rankings. years beginning on January 1, 2016, and applicable full calendar year of We are proposing that a separate ending on December 31, 2022. performance data from the quarterly payment adjustment report would be The baseline year would run from reports, with HHAs notified and provided once a year to each of the January 1, 2015 through December 31, payments adjusted, respectively, every 2015 and provide a basis from which year thereafter. As a sequential example, 27 The Casper Reporting Guide is available at each respective HHA’s performance the second payment adjustment would http://www.cms.gov/Medicare/Quality-Initiatives- would be measured in each of the occur January 1, 2019 based on a full 12 Patient-Assessment-Instruments/ HomeHealthQualityInits/downloads/ performance years. Data related to months of the CY 2017 performance HHQICASPER.pdf). performance on quality measures would period. Notification of the adjustment

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would occur on August 1, 2018, along have a 6-month overlap through the 1. Use a broad measure set that with the preview period transpiring conclusion of the model. HHAs would captures the complexity of the HHA through August 11, 2018 and followed be notified through rulemaking and be service provided; by reconciliation through September 10, given the opportunity to comment on 2. Incorporate the flexibility to 2018. Subsequent payment adjustments any proposed changes to the frequency include Improving Medicare Post-Acute would continue to follow a similar of payment adjustments. We seek public Care Transformation (IMPACT) Act of timeline and process. We seek public comment on the proposed payment 2014 proposed measures that are cross- comment on this payment adjustment adjustment schedule described above. cutting amongst post-acute care settings; schedule. E. Quality Measures 3. Develop second-generation Beginning in CY 2019, we may measures of patient outcomes, health consider revising this payment 1. Objectives and functional status, shared decision adjustment schedule and updating the Initially, we propose the measures for making, and patient activation; payment adjustment more frequently 4. Include a balance of process, than once each year if it is determined the HHVBP model would be predominantly drawn from the current outcome, and patient experience that a more timely application of the measures; adjustment as it relates to performance Outcome and Assessment Information Set (OASIS),28 which is familiar to the 5. Advance the ability to measure cost improvement efforts that have and value; transpired over the course of a calendar home health industry and readily 6. Add measures for appropriateness year would generate increased available for utilization by the proposed or overuse; and, improvement in quality measures. model. In addition, the HHVBP model 7. Promote infrastructure investments. Specifically, we would expect that provides us with an opportunity to having payment adjustments transpire examine a broad array of quality 2. Proposed Methodology for Selection closer together through more frequent measures that address critical gaps in of Quality Measures performance periods would accelerate care. A recent comprehensive review of a. Direct Alignment With National improvement in quality measures the VBP experience over the past Quality Strategy Priorities because HHAs would be able to justify decade, sponsored by the Office of the earlier investments in quality efforts and Assistant Secretary for Planning and A central driver of the proposed be incentivized for improvements. In Evaluation (ASPE), identified several measure selection process was effect, this concept may be near- and long-term objectives for incorporating innovative thinking from operationalized to create a smoothing HHVBP measures.29 The recommended the field while simultaneously drawing effect where payment adjustments are objectives emphasize measuring patient on the most current evidence-based based on overlapping 12-month outcomes and functional status; literature and documented best performance periods that occur every 6 appropriateness of care; and incentives practices. Broadly, we propose measures months rather than annually. As an for providers to build infrastructure to that have a high impact on care delivery example, the normal 12-month facilitate measurement within the and support the combined priorities of performance period occurring from quality framework.30 The following HHS and CMS to improve health January 1, 2020 to December 31, 2020 seven objectives derived from this study outcomes, quality, safety, efficiency, might have an overlapping 12-month served as guiding principles for the and experience of care for patients. To performance period occurring from July selection of the proposed measures for frame the selection process, we utilized 1, 2020 to June 30, 2021. Following the the HHVBP model: the domains described in the CMS regularly scheduled January 1, 2022 Quality Strategy that maps to the six payment adjustments, the next 28 For detailed information on OASIS see the National Quality Strategy (NQS) priority official CMS OASIS web resource available at 31 adjustments could be applied to http://www.cms.gov/Medicare/Quality-Initiatives- areas (see Figure 3 for CMS domains). payments beginning on July 1, 2022 Patient-Assessment-Instruments/OASIS/ through December 31, 2022. Depending index.html?redirect=/oasis. See also industry 3131 The CMS Quality Strategy is discussed in on if and when more frequent payment resource available at http://www.oasisanswers.com/ broad terms at URL http://www.cms.gov/Medicare/ adjustments would be applied, index.htm, specifically updated OASIS component Quality-Initiatives-Patient-Assessment-Instruments/ information available at www.oasisanswers.com/ QualityInitiativesGenInfo/CMS-Quality- performance would be calculated based LiteratureRetrieve.aspx?ID=215074). Strategy.html. CMS Domains appear presentations on the applicable 12-months of 25 U.S. Department of Health and Human by CMS (xxxxx) and ONC (available at http://www. performance data, HHAs notified, and Services. Office of the Assistant Seretary for cms.gov/eHealth/downloads/Webinar_eHealth_ payments adjusted, respectively, every Planning and Evaluation (ASPE) (2014) Measuring March25_eCQM101.pdf) and a CMS discussion of Success in Health Care Value-Based Purchasing the NQS Domains can be found at URL http://www. six months thereafter, until the Programs. Cheryl L. Damberg et. al. on behalf of cms.gov/Regulations-and-Guidance/Legislation/ conclusion of the model. As a result, RAND Health. EHRIncentivePrograms/2014_ separate performance periods would 30 Id. ClinicalQualityMeasures.html.

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b. Referenced Quality Measure measures used within the health care new measures would be proposed for Authorities industry but not currently used in the inclusion in future rulemaking. This home health setting, as well as proposed approach to quality measure selection We propose at § 484.315 that measures required by the IMPACT Act aims to balance the burden of collecting Medicare-certified HHAs would be of 2014. Finally, we searched the data with the inclusion of new and evaluated using a starter set of quality National Quality Measures important measures. We carefully measures (‘‘starter set’’ refers to the Clearinghouse (NQMS) to identify considered the potential burden on proposed quality measures for the first evidence-based measures and measure HHAs to report the measure data when year of this model) designed to sets. developing the proposed starter set, and encompass multiple NQS domains, and prioritized proposed measures that c. Key Policy Considerations and Data provide future flexibility to incorporate would draw both from claims data and Sources and study newly developed measures data already collected in OASIS. over time. New and evolving measures To ensure proposed measures for the The majority of the proposed would be considered for inclusion in HHVBP model take a more holistic view measures in this model would use subsequent years of this model and of the patient beyond a particular OASIS data currently being reported to proposed through future rulemaking. disease state or care setting, we are CMS and linked to state-specific CCNs To create the proposed starter set we proposing measures, which include for selected states in order to promote began researching the current set of outcome measures as well as process consistency and to reduce the data OASIS measures that are being used measures, that have the potential to collection burden for providers. within the health home environment.32 follow patients across multiple settings, Utilizing primarily OASIS data would Following that, we searched for reflect a multi-faceted approach, and allow the model to leverage reporting endorsed quality measures using the foster the intersection of health care structures already in place to evaluate National Quality Forum (NQF) Quality delivery and population health. A key performance and identify weaknesses in Positioning System (QPS),33 selecting consideration behind this approach is to care delivery. This model would also measures that address all possible NQS use in performance year one (PY1) of afford the opportunity to study domains. We further examined the model proven measures that are measures developed in other care measures on the CMS-generated readily available and meet a high impact settings and new to the home health Measures Under Consideration (MUC) need, and in subsequent model years industry (hereinafter referred to as list,34 and reviewed other relevant augment this starter set with innovative ‘‘New Measures’’). Many of the measures that have the potential to be proposed New Measures have been used 32 All data for the starter set measures, not impactful and fill critical measure gap in other health care settings and are including New Measures, is currently collected areas. All substantive changes or readily applicable to the home health from HHAs under §§ 484.20 and 484.210. environment (for example, influenza 33 The NQF Quality Positioning System is additions to the proposed starter set or available at http://www.qualityforum.org/QPS. vaccination coverage for health care 34 To review the MUC List see https:// Partnership/Measures_Under_Consideration_List_ personnel). Proposed New Measures for www.qualityforum.org/Setting_Priorities/ 2014.aspx. PY1 are described in detail below. We

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propose in PY1 to collect data on these 3. Proposed Measures that it is no longer appropriate for the New Measures which have already been The initial set of measures proposed model because, for example, tested for validity, reliability, usability/ for PY1 of the model utilizes data performance on it has topped-out. We feasibility, and sensitivity in other collected via OASIS, Medicare claims, would also consider proposing to health care settings but have not yet HHCAHPS survey data, and data update the measure set if new measures been validated within the home health reported directly from the HHAs to that address gaps within the NQS setting. HHVBP will study if their use in CMS. In total there are 10 process domains became available. We would the home health setting meets validity, measures and 15 outcome measures (see also consider proposing adjustments to reliability, usability/feasibility, and Figure 4a) plus the four New Measures the measure set based on lessons sensitivity to statistical variations (see Figure 4b). Process measures learned during the course of the model. criteria. For PY1, we propose HHA’s evaluate the rate of HHA use of specific For instance, in light of the passage of would earn points to be included in the evidence-based processes of care based the IMPACT Act of 2014, which mandates the collection and use of Total Performance Score (TPS) simply on the evidence available. Outcomes standardized post-acute care assessment for reporting data on New Measures (see measures illustrate the end result of care delivered to HHA patients. When data, we would consider proposing in Section—Performance Scoring future rulemaking to adopt measures Methodology). To the extent we available, NQF endorsed measures would be used. This set of measures that meet the requirements of the determine that one or more of the would be subject to change or IMPACT Act as soon as they became proposed New Measures is valid and retirement during subsequent model available. reliable for the home health setting, we years and revised through the We seek public comment on the will consider proposing in future rulemaking process. For example, we methodology for constructing the rulemaking to score Medicare-certified may propose in future rulemaking to proposed starter set of quality measures HHAs on their actual performance on remove one or more of these measures and on the proposed selected measures. the measure. if, based on the evidence, we conclude

FIGURE 4a—PY1 PROPOSED MEASURES 35

Measure NQS domains Measure title type Identifier Data source Numerator Denominator

Clinical Quality Improvement Outcome NQF0167 ...... OASIS Number of home health epi- Number of home health epi- of Care. in Ambula- (M1860). sodes of care where the sodes of care ending with a tion-Loco- value recorded on the dis- discharge during the report- motion. charge assessment indi- ing period, other than those cates less impairment in covered by generic or ambulation/locomotion at measure-specific exclu- discharge than at the start sions. (or resumption) of care. Clinical Quality Improvement Outcome NQF0175 ...... OASIS Number of home health epi- Number of home health epi- of Care. in Bed (M1850). sodes of care where the sodes of care ending with a Transferring. value recorded on the dis- discharge during the report- charge assessment indi- ing period, other than those cates less impairment in covered by generic or bed transferring at dis- measure-specific exclu- charge than at the start (or sions. resumption) of care. Clinical Quality Improvement Outcome NQF0174 ...... OASIS Number of home health epi- Number of home health epi- of Care. in Bathing. (M1830). sodes of care where the sodes of care ending with a value recorded on the dis- discharge during the report- charge assessment indi- ing period, other than those cates less impairment in covered by generic or bathing at discharge than at measure-specific exclu- the start (or resumption) of sions. care. Clinical Quality Improvement Outcome NA ...... OASIS Number of home health epi- Number of home health epi- of Care. in Dyspnea. (M1400). sodes of care where the sodes of care ending with a discharge assessment indi- discharge during the report- cates less dyspnea at dis- ing period, other than those charge than at start (or re- covered by generic or sumption) of care. measure-specific exclu- sions.

35 For more detailed information on the proposed endorsed measures see The NQF Quality HomeHealthQualityInits/HHQIQuality measures utilizing OASIS refer to the OASIS-C1/ Positioning System available at http:// Measures.html. For information on HHCAHPS ICD-9, Changed Items & Data Collection Resources www.qualityforum.org/QPS. For non-NQF measures measures see https://homehealthcahps.org/Survey dated September 3, 2014 available at using OASIS see links for data tables related to andProtocols/SurveyMaterials.aspx. www.oasisanswers.com/ OASIS measures at http://www.cms.gov/Medicare/ LiteratureRetrieve.aspx?ID=215074. For NQF Quality-Initiatives-Patient-Assessment-Instruments/

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FIGURE 4a—PY1 PROPOSED MEASURES 35—Continued

Measure NQS domains Measure title type Identifier Data source Numerator Denominator

Clinical Quality Timely Initi- Process .. NQF0526 ...... OASIS Number of home health epi- Number of home health epi- of Care. ation of (M0102; sodes of care in which the sodes of care ending with Care. M0030). start or resumption of care discharge, death, or trans- date was either on the Phy- fer to inpatient facility dur- sician-specified date or ing the reporting period, within 2 days of their refer- other than those covered ral date or inpatient dis- by generic or measure-spe- charge date whichever is cific exclusions. later. For resumption of care, per the Medicare Condition of Participation, the patient must be seen within 2 days of inpatient discharge, even if the phy- sician specifies a later date. Communica- Discharged to Outcome NA ...... OASIS Number of home health epi- Number of home health epi- tion & Care Community. (M2420). sodes where the assess- sodes of care ending with Coordination. ment completed at the dis- discharge or transfer to in- charge indicates the patient patient facility during the re- remained in the community porting period, other than after discharge. those covered by generic or measure-specific exclu- sions. Communica- Care Manage- Process .. NA ...... OASIS Multiple data elements ...... Multiple data elements. tion & Care ment: Types (M2102). Coordination. and Sources of Assist- ance. Efficiency & Acute Care Outcome NQF0171; CCW (Claims) Number of home health stays Number of home health stays Cost Reduc- Hospitaliza- NQF2380 for patients who have a that begin during the 12- tion. tion: Un- (Under re- Medicare claim for an ad- month observation period. planned view for mission to an acute care A home health stay is a se- Hospitaliza- Home hospital in the 60 days fol- quence of home health tion during Health). lowing the start of the home payment episodes sepa- first 60 days health stay. rated from other home of Home health payment episodes Health; Hos- by at least 60 days. pitalization during first 30 days of Home Health. Efficiency & Emergency Outcome NQF0173 ...... CCW (Claims) Number of home health stays Number of home health stays Cost Reduc- Department for patients who have a that begin during the 12- tion. Use without Medicare claim for out- month observation period. Hospitaliza- patient emergency depart- A home health stay is a se- tion. ment use and no claims for quence of home health acute care hospitalization in payment episodes sepa- the 60 days following the rated from other home start of the home health health payment episodes stay. by at least 60 days. Patient Safety Pressure Ulcer Process .. NQF0538 ...... OASIS Number of home health epi- Number of home health epi- Prevention (M1300; sodes during which inter- sodes of care ending with and Care. M2400). ventions to prevent pres- discharge, or transfer to in- sure ulcers were included patient facility during the re- in the Physician-ordered porting period, other than plan of care and imple- those covered by generic or mented (since the previous measure-specific exclu- OASIS assessment). sions. Patient Safety Improvement Outcome NQF0177 ...... OASIS Number of home health epi- Number of home health epi- in Pain Inter- (M1242). sodes of care where the sodes of care ending with a fering with value recorded on the dis- discharge during the report- Activity. charge assessment indi- ing period, other than those cates less frequent pain at covered by generic or discharge than at the start measure-specific exclu- (or resumption) of care. sions.

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FIGURE 4a—PY1 PROPOSED MEASURES 35—Continued

Measure NQS domains Measure title type Identifier Data source Numerator Denominator

Patient Safety Improvement Outcome NQF0176 ...... OASIS Number of home health epi- Number of home health epi- in Manage- (M2020). sodes of care where the sodes of care ending with a ment of Oral value recorded on the dis- discharge during the report- Medications. charge assessment indi- ing period, other than those cates less impairment in covered by generic or taking oral medications cor- measure-specific exclusions rectly at discharge than at start (or resumption) of care. Patient Safety Multifactor Fall Process .. NQF0537 ...... OASIS Number of home health epi- Number of home health epi- Risk As- (M1910). sodes in which patients had sodes of care ending with sessment a multi-factor fall risk as- discharge, death, or trans- Conducted sessment at start/resump- fer to inpatient facility dur- for All Pa- tion of care. ing the reporting period, tients who other than those covered Can Ambu- by generic or measure-spe- late. cific exclusions. Patient Safety Prior Func- Outcome NQF0430 ...... OASIS The number (or proportion) of All patients in a risk adjusted tioning ADL/ (M1900). a clinician’s patients in a diagnostic category with a IADL. particular risk adjusted di- Daily Activity goal for an agnostic category who episode of care Cases to meet a target threshold of be included in the denomi- improvement in Daily Activ- nator could be identified ity (that is, ADL and IADL) based on ICD–9 codes or functioning. alternatively, based on CPT codes relevant to treatment goals focused on Daily Ac- tivity function. Patient & Care of Pa- Outcome ...... CAHPS ...... NA ...... NA. Caregiver- tients. Centered Experience. Patient & Communica- Outcome ...... CAHPS ...... NA ...... NA. Caregiver- tions be- Centered tween Pro- Experience. viders and Patients. Patient & Specific Care Outcome ...... CAHPS ...... NA ...... NA. Caregiver- Issues. Centered Experience. Patient & Overall rating Outcome ...... CAHPS ...... NA ...... NA. Caregiver- of home Centered health care Experience. and. Patient & Willingness to Outcome ...... CAHPS ...... NA ...... NA. Caregiver- recommend Centered the agency. Experience. Population/ Depression Process .. NQF0518 ...... OASIS Number of home health epi- Number of home health epi- Community Assessment (M1730). sodes in which patients sodes of care ending with Health. Conducted. were screened for depres- discharge, death, or trans- sion (using a standardized fer to inpatient facility dur- depression screening tool) ing the reporting period, at start/resumption of care. other than those covered by generic or measure-spe- cific exclusions. Population/ Influenza Vac- Process .. NA ...... OASIS NA ...... NA. Community cine Data (M1041). Health. Collection Period: Does this episode of care include any dates on or be- tween Octo- ber 1 and March 31?

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FIGURE 4a—PY1 PROPOSED MEASURES 35—Continued

Measure NQS domains Measure title type Identifier Data source Numerator Denominator

Population/ Influenza Im- Process .. NQF0522 ...... OASIS Number of home health epi- Number of home health epi- Community munization (M1046). sodes during which patients sodes of care ending with Health. Received for (a) received vaccination discharge, or transfer to in- Current Flu from the HHA or (b) had re- patient facility during the re- Season. ceived vaccination from porting period, other than HHA during earlier episode those covered by generic or of care, or (c) was deter- measure-specific exclu- mined to have received sions. vaccination from another provider. Population/ Pneumococcal Process .. NQF0525 ...... OASIS Number of home health epi- Number of home health epi- Community Poly- (M1051). sodes during which patients sodes of care ending with Health. saccharide were determined to have discharge or transfer to in- Vaccine ever received Pneumo- patient facility during the re- Ever Re- coccal Polysaccharide Vac- porting period, other than ceived. cine (PPV). those covered by generic or measure-specific exclu- sions. Population/ Reason Pneu- Process .. NA ...... OASIS NA ...... NA. Community mococcal (M1056). Health. vaccine not received. Clinical Quality Drug Edu- Process .. NA ...... OASIS Number of home health epi- Number of home health epi- of Care. cation on All (M2015). sodes of care during which sodes of care ending with a Medications patient/caregiver was in- discharge or transfer to in- Provided to structed on how to monitor patient facility during the re- Patient/ the effectiveness of drug porting period, other than Caregiver therapy, how to recognize those covered by generic or during all potential adverse effects, measure-specific exclu- Episodes of and how and when to re- sions. Care. port problems (since the previous OASIS assess- ment).

FIGURE 4b—PY1 PROPOSED NEW MEASURES

Measure NQS domains Measure title type Identifier Data source Numerator Denominator

Patient Safety Adverse Event Outcome NA ...... Reported by Number of home health epi- Number of home health epi- for Improper HHAs sodes of care where the sodes of care ending with a Medication through Web discharge/transfer assess- discharge during the report- Administra- Portal. ment indicated the patient ing period, other than those tion and/or required emergency treat- covered by generic or Side Effects. ment from a hospital emer- measure-specific exclu- gency department related sions. to improper administration or medication side effects (adverse drug reactions).

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FIGURE 4b—PY1 PROPOSED NEW MEASURES—Continued

Measure NQS domains Measure title type Identifier Data source Numerator Denominator

Population/ Influenza Vac- Process .. NQF0431 Reported by Healthcare personnel in the Number of healthcare per- Community cination (Used in HHAs denominator population sonnel who are working in Health. Coverage other care through Web who during the time from the healthcare facility for at for Home settings, not Portal. October 1 (or when the least 1 working day be- Health Care Home vaccine became available) tween October 1 and March Personnel. Health). through March 31 of the fol- 31 of the following year, re- lowing year: (a) Received gardless of clinical respon- an influenza vaccination ad- sibility or patient contact. ministered at the healthcare facility, or reported in writ- ing or provided documenta- tion that influenza vaccina- tion was received else- where: Or (b) were deter- mined to have a medical contraindication/condition of severe allergic reaction to eggs or to other compo- nents of the vaccine or his- tory of Guillain-Barre Syn- drome within 6 weeks after a previous influenza vac- cination; or (c) declined in- fluenza vaccination; or (d) persons with unknown vac- cination status or who do not otherwise meet any of the definitions of the above- mentioned numerator cat- egories. Population/ Herpes zoster Process .. NA ...... Reported by Total number of Medicare Total number of Medicare Community (Shingles) HHAs beneficiaries aged 60 years beneficiaries aged 60 years Health. vaccination: through Web and over who report having and over receiving services Has the pa- Portal. ever received zoster vac- from the HHA. tient ever re- cine (shingles vaccine). ceived the shingles vaccination?. Communica- Advanced Process .. NQF0326 ...... Reported by Patients who have an ad- All patients aged 65 years tion & Care Care Plan. HHAs vance care plan or surro- and older. Coordination. through Web gate decision maker docu- Portal. mented in the medical record or documentation in the medical record that an advanced care plan was discussed but the patient did not wish or was not able to name a surrogate decision maker or provide an advance care plan.

4. Additional Information on HHCAHPS scoring methodology or the scoring methodology are available at Figure 5 provides details on the participation requirements in any way. https://homehealthcahps.org/Surveyand elements of the Home Health Care Details on participation requirements Protocols/SurveyMaterials.aspx.37 Consumer Assessment of Healthcare for HHCAHPS can be found at 42 CFR Providers and Systems Survey 484.250 36 and details on HHCAHPS 37 Detailed scoring information is contained in the (HHCAHPS) we propose to include in Protocols and Guidelines manual posted on the HHCAHPS Web site and available at https://home 36 the PY1 starter set. The HHVBP model 76 FR 68606, Nov. 4, 2011, as amended at 77 healthcahps.org/Portals/0/PandGManual_ would not alter the HHCAHPS current FR 67164, Nov. 8, 2012; 79 FR 66118, Nov. 6, 2014. NOAPPS.pdf.

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FIGURE 5—HOME HEALTH CARE CONSUMER ASSESSMENT OF HEALTHCARE PROVIDERS AND SYSTEMS SURVEY (HHCAHPS) COMPOSITES

Response categories

Care of Patients: Q9. In the last 2 months of care, how often did home health providers from this agency seem in- Never, Sometimes, Usually, Always. formed and up-to-date about all the care or treatment you got at home?. Q16. In the last 2 months of care, how often did home health providers from this agency treat Never, Sometimes, Usually, Always. you as gently as possible?. Q19. In the last 2 months of care, how often did home health providers from this agency treat Never, Sometimes, Usually, Always. you with courtesy and respect?. Q24. In the last 2 months of care, did you have any problems with the care you got through this Yes, No. agency?. Communications Between Providers & Patients: Q2. When you first started getting home health care from this agency, did someone from the Yes, No. agency tell you what care and services you would get?. Q15. In the past 2 months of care, how often did home health providers from this agency keep Never, Sometimes, Usually, Always. you informed about when they would arrive at your home?. Q17. In the past 2 months of care, how often did home health providers from this agency explain Never, Sometimes, Usually, Always. things in a way that was easy to understand?. Q18. In the past 2 months of care, how often did home health providers from this agency listen Never, Sometimes, Usually, Always. carefully to you?. Q22. In the past 2 months of care, when you contacted this agency’s office did you get the help Yes, No. or advice you needed?. Q23. When you contacted this agency’s office, how long did it take for you to get the help or ad- Same day; 1 to 5 days; 6 to 14 days; vice you needed?. More than 14 days. Specific Care Issues: Q3. When you first started getting home health care from this agency, did someone from the Yes, No. agency talk with you about how to set up your home so you can move around safely?. Q4. When you started getting home health care from this agency, did someone from the agency Yes, No. talk with you about all the prescription medicines you are taking?. Q5. When you started getting home health care from this agency, did someone from the agency Yes, No. ask to see all the prescription medicines you were taking?. Q10. In the past 2 months of care, did you and a home health provider from this agency talk Yes, No. about pain?. Q12. In the past 2 months of care, did home health providers from this agency talk with you Yes, No. about the purpose for taking your new or changed prescription medicines?. Q13. In the last 2 months of care, did home health providers from this agency talk with you about Yes, No. when to take these medicines?. Q14. In the last 2 months of care, did home health providers from this agency talk with you about Yes, No. the important side effects of these medicines?. Global Type Measures: What is your overall rating of your home health care? ...... Use a rating scale (1–10). Would you be willing to recommend this home health agency to family and friends? ...... Never, Sometimes, Usually, Always.

5. New Measures Also, for those HHAs with a sufficient individual clinician level of analysis. number of episodes of care to be subject We believe its adoption under the As discussed in the previous section, to a payment adjustment, New Measures HHVBP model represents an the New Measures we propose are not scores included in the final TPS for PY1 opportunity to study this measure in the currently reported by Medicare-certified are only based on whether the HHA has home health setting. This is an HHAs to CMS, but we believe fill gaps submitted data to the HHVBP web-based especially pertinent measure for home in the NQS Domains not completely platform or not. We are proposing the health care to ensure that the wishes of covered by existing measures in the following New Measures for competing the patient regarding their medical, home health setting. All Medicare- Medicare-certified HHAs: emotional, or social needs are met certified HHAs in selected states, • Advance Care Planning; across care settings. The Advance Care regardless of cohort size or number of • Adverse Event for Improper Planning measure would focus on episodes, will be required to submit Medication Administration and/or Side Medicare beneficiaries, including data on the New Measures for all Effects; dually-eligible beneficiaries. Medicare beneficiaries to whom they • Influenza Vaccination Coverage for The measure would be numerically provide home health services within the Home Health Care Personnel; and, expressed by a ratio whose numerator state (unless an exception applies). We • Herpes Zoster (Shingles) and denominator are as follows: propose at § 484.315 that HHAs will be Vaccination received by HHA patients. Numerator: The measure would required to report data on these New calculate the percentage of patients age Measures. Competing Medicare-certified a. Advance Care Planning 18 years and older served by the HHA HHAs would submit data through a Advance Care Planning is an NQF- that have an advance care plan or dedicated HHVBP web-based platform. endorsed process measure in the NQS surrogate decision maker 38 documented This web-based platform would domain of Person- and Caregiver- function as a means to collect and centered experience and outcomes (see 38 A surrogate decision maker, also known as a health care proxy or agent, advocates for patients distribute information from and to Figure 3). This measure is currently who are unable to make decisions or speak for competing Medicare-certified HHAs. endorsed at the group practice/ themselves about personal health care such that

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in the clinical record or documentation mishap ‘‘that occur[s] during particularly vulnerable to adverse drug in the clinical record that an advance prescribing, transcribing, dispensing, reactions and are seven times as likely care plan was discussed, but the patient administering, adherence, or monitoring as younger persons to experience an did not wish or was not able to name a drug’’ and should be distinguished adverse drug event requiring a surrogate decision maker or provide from an adverse drug reaction, which is hospitalization.46 Further, we are an advance care plan. harm directly caused by the drug at specifically concerned that ‘‘Analyses of Denominator: All patients aged 65 normal doses, during normal use.42 The cost data indicate that Medicare patients years and older admitted to the HHA. National Quality Forum has included experience significantly higher rates of Information on this numerator and ADEs as a Serious Reportable Event ADEs than both privately insured and denominator would be reported by (SRE) in the category of Care Medicaid-covered patients.’’ 47 HHAs through the HHVBP web-based Management, defining said event as a Prevention of ADEs is a national Patient platform, in addition to other ‘‘patient death or serious injury Safety Priority pursuant to the ADE information related to this measure as associated with a medication error (for National Action Plan, which focuses on the Secretary deems appropriate. example, errors involving the wrong vulnerable population groups, one of Advance care planning ensures that drug, wrong dose, wrong patient, wrong which is the elderly. Most work on the health care plan is consistent with time, wrong rate, wrong preparation, or ADEs has taken place in the hospital the patient’s wishes and preferences. wrong route of administration)’’, noting setting. There is little available data Therefore, studying this measure within that ‘‘. . . the high rate of medication regarding the incidence and types of the HHA environment allows for further errors resulting in injury and death ADEs occurring in home health care for analysis of planning for the ‘‘what ifs’’ makes this event important to endorse the elderly under Medicare. We believe that may occur during the patient’s again.’’ 43 there is a critical need for such lifetime. In addition, the use of this The annual incidence of ADEs in information with regard to patient measure is expected to result in an health care in the United States is high; safety, and we are proposing this increase in the number of patients with authoritative estimates indicate that measure to address that need. advance care plans. Increased advance each year 400,000 preventable ADEs The measure would be numerically care planning among the elderly is occur in hospitals, 800,000 in long term expressed by a ratio whose numerator expected to result in enhanced patient care settings and in excess of 500,000 and denominator are as follows: autonomy and reduced hospitalizations among Medicare patients in outpatient Numerator: Number of home health and in-hospital deaths.39 settings.44 The cost of ADEs occurring in episodes of care where the discharge/ We welcome public comments on this hospitals alone has been estimated at transfer assessment indicated the measure’s proposed adoption under the $5.6 billion.45 Older patients are patient required emergency treatment HHVBP model. from a hospital emergency department b. Adverse Event for Improper pdfs/ADE-Action-Plan-Executive-Summary.pdf, related to improper administration or citing VA Center for Medication Safety And VHA Medication Administration and/or Side medication side effects (adverse drug Pharmacy Benefits Management Strategic reactions). Effects Healthcare Group and the Medical Advisory Panel Adverse Drug Events, Adverse Drug Reactions and Denominator: Number of home health Adverse Event for Improper Medication Errors Frequently Asked Questions episodes of care ending with a discharge Medication Administration and/or Side (November 2006), available at: http://www.va.gov/ during the performance period. Effects is a measure that aligns with the ms/professionals/medications/adverse_drug_ Numbers to be specifically excluded NQS domain of Safety (specifically reaction_faq.pdfhttp://www.va.gov/ms/ professionals/medications/adverse_drug_reaction_ from the ratio as a measure-specific ‘‘medication safety’’—see Figure 3) with faq.pdf. exclusion are those relating to home the goal of making care safer by 42 VA Center for Medication Safety And VHA health episodes of care for which reducing harm caused in the delivery of Pharmacy Benefits Management Strategic emergency department use or the reason care. Healthcare Group and the Medical Advisory Panel for emergency department use is Adverse Drug Events, Adverse Drug Reactions and An adverse drug event (ADE) is an unknown at transfer or discharge. Stated 40 Medication Errors Frequently Asked Questions injury related to medication use. More (November 2006), available at: http://www.va.gov/ otherwise, the measure would be specifically, it is ‘‘an injury resulting ms/professionals/medications/adverse_drug_ expressed by a ratio indicating the _ from medical intervention related to a reaction faq.pdf.http://www.va.gov/ms/ relationship between (i) the number of drug’’ and ‘‘encompasses harms that professionals/medications/adverse_drug_reaction_ faq.pdf. Note that this VA document urges that the emergency treatments transferring or occur during medical care that are term Adverse Drug Reaction should generally be discharged patients sought or received directly caused by the drug including used rather than the term ‘‘side effect’’ because the for OASIS C M2310, ‘‘1-Improper but not limited to medication errors, latter ’’ tends to normalize the concept of injury medication administration, adverse drug from drugs. This approach has been adopted in the adverse drug reactions and reactions, medication side effects, 41 National Action Plan for ADE Prevention, in which overdoses.’’ A medication error is a the term ‘‘side effects’’ does not appear. See: The toxicity, anaphylaxis’’ and (ii) the Office of Disease Prevention and Health Promotion number of emergency treatments sought someone else must provide direction in decision- (ODPHP), National Action Plan for ADE Prevention, or received for one of the other reasons making, as the surrogate decision-maker. available at: http://www.health.gov/hai/pdfs/ADE- 39 Lauren Hersch Nicholas, Ph.D., MPP et al. Action-Plan-Executive-Summary.pdf. identified by OASIS–C M2310. Neither Regional Variation in the Association Between 43 National Quality Forum, Serious Reportable Advance Directives and End-of-Life Medicare Events in Healthcare-2011, at 9. (2011), available at: www.qualityforum.org/WorkArea/ Expenditures. JAMA. 2011; 306(13): 1447–1453. http://www.qualityforum.org/Publications/2011/12/ linkit.aspx?LinkIdentifier=id. doi:10.1001/jama.2011.1410. Serious_Reportable_Events_in_Healthcare_ 46 Emergency Hospitalizations for Adverse Drug 40 Reporting of Adverse Drug Events: Examination 2011.aspxhttp://www.qualityforum.org/ Events in Older Americans Daniel S. Budnitz, M.D., of a Hospital Incident Reporting System. Radhika Publications/2011/12/Serious_Reportable_Events_ M.P.H., Maribeth C. Lovegrove, M.P.H., Nadine Desikan, Melissa J. Krauss, W. Claiborne Dunagan, in_Healthcare_2011.aspx. Shehab, Pharm.D., M.P.H., and Chesley L. Richards, Erin Christensen Rachmiel, Thomas Bailey, Victoria 44 The Institute of Medicine, Preventing M.D., M.P.H.,N Engl J Med 2011; 365: 2002–2012 J. Fraser http://www.ahrq.gov/professionals/quality- Medication Errors (2006), at 5.). Available at: available at: http://www.nejm.org/doi/full/10.1056/ patient-safety/patient-safety-resources/resources/ http://books.nap.edu/openbook.php?record_ NEJMsa1103053. advances-in-patient-safety/vol1/Desikan.pdf. id=11623&page=5. 47 The Office of Disease Prevention and Health 41 The Office of Disease Prevention and Health 45 National Quality Forum, NQF-Endorsed Promotion (ODPHP), National Action Plan for ADE Promotion (ODPHP), National Action Plan for ADE Measures for Patient Safety DRAFT REPORT FOR Prevention, available at: http://www.health.gov/hai/ Prevention, available at: http://www.health.gov/hai/ COMMENT (May 28, 2014), at 6. Available at: pdfs/ADE-Action-Plan-Executive-Summary.pdf.

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number would include (a) incidents (1) Received an influenza vaccination Information on the above numerator where the reason checked on M2310 is administered at the health care agency, and denominator would be reported by ‘‘UK-Reason unknown’’ or (b) incidents or reported in writing (paper or HHAs through the HHVBP web-based where use of emergency department was electronic) or provided documentation platform, in addition to other unknown at transfer or discharge. Data that influenza vaccination was received information related to this measure as for this measure would be reported by elsewhere; or the Secretary deems appropriate. We HHAs through the dedicated HHVBP (2) Were determined to have a welcome public comments on this web-based platform based on OASIS C/ medical contraindication/condition of measure’s proposed adoption under the ICD 9/10 Items M2300 Emergent Care severe allergic reaction to eggs or to HHVBP model. and M2310 Reasons for Emergent Care, other component(s) of the vaccine, or in addition to other information related history of Guillain-Barre´ Syndrome d. Herpes Zoster Vaccine (Shingles to this measure as the Secretary deems within 6 weeks after a previous Vaccine) for Patients appropriate. influenza vaccination; or We are proposing to adopt this We welcome public comments on this (3) Declined influenza vaccination; or (4) Persons with unknown measure for the HHVBP model because measure’s proposed adoption under the it aligns with the NQS Quality Strategy HHVBP model. vaccination status or who do not otherwise meet any of the definitions of Goal to Promote Effective Prevention & c. Influenza Vaccination Coverage for the above-mentioned numerator Treatment of Chronic Disease. Currently Home Health Care Personnel categories. this proposed measure is not endorsed by NQF or collected in OASIS. Staff Immunizations (Influenza Each of the above groups would be Vaccination Coverage among Health divided by the number of health care However, due to the severe physical personnel who are working in the HHA consequences of symptoms associated Care Personnel) (NQF #0431) is an NQF- 50 endorsed measure that addresses the for at least one working day between with shingles, we view its adoption NQS domain of Population Health (see October 1 and March 31 of the following under the HHVBP model as an Figure 3). The measure is currently year, regardless of clinical responsibility opportunity to perform further study on endorsed in Ambulatory Care; or patient contact. this measure. The results of this analysis Ambulatory Surgery Center (ASC), Denominator: This measure collects could provide the necessary data to the number of home health care meet NQF endorsement criteria. The Ambulatory Care; Clinician Office/ 48 Clinic, Dialysis Facility, Hospital/Acute personnel who, during the flu season: measure would calculate the percentage Care Facility, Post-Acute/Long Term Denominators are to be calculated of home health patients who receive the Care Facility; Inpatient Rehabilitation separately for the following three Shingles vaccine, and collect the Facility, Post-Acute/Long Term Care groups: number of patients who did not receive 1. Employees: All persons who Facility; Long Term Acute Care the vaccine. receive a direct paycheck from the Hospital, and Post-Acute/Long Term reporting HHA (that is, on the agency’s Numerator: Equals the total number of Care Facility: Nursing Home/Skilled payroll); Medicare beneficiaries aged 60 years Nursing Facility. Home health care is 2. Licensed independent and over who report having ever among the only remaining settings for practitioners: Include physicians (MD, received herpes zoster vaccine (shingles which the measure has not been DO), advanced practice nurses, and vaccine) during the home health endorsed. We believe the proposed physician assistants only who are episode of care. HHVBP model presents an opportunity affiliated with the reporting agency who Denominator: Equals the total number to study this measure in the home do not receive a direct paycheck from of Medicare beneficiaries aged 60 years health setting. This measure is currently the reporting HHA; and and over receiving services from the reported in multiple CMS quality 3. Adult students/trainees and HHA. reporting programs, including volunteers: Include all adult students/ Ambulatory Surgical Center Quality The Food and Drug Administration trainees and volunteers who do not (FDA) has approved the use of herpes Reporting, Hospital Inpatient Quality receive a direct paycheck from the Reporting, and Long-Term Care Hospital zoster vaccine in adults age 50 and reporting HHA. older. In addition, the Advisory Quality Reporting; we believe its This proposed measure for the Committee on Immunization Practices adoption under the proposed HHVBP HHVBP model is expected to result in (ACIP) currently recommends that model presents an opportunity for increased influenza vaccination among herpes zoster vaccine be routinely alignment in our quality programs. The home health professionals. Reporting documentation of staff immunizations is administered to adults, age 60 years and health care personnel influenza 51 also a standard required by many HHA vaccination status would allow HHAs to older. In 2013, 24.2 percent of adults accrediting organizations. We believe better identify and target unvaccinated 60 years and older reported receiving that this measure would be appropriate personnel. Increased influenza herpes zoster vaccine to prevent for HHVBP because it addresses total shingles, an increase from the 20.1 vaccination coverage among HHA 52 population health across settings of care personnel would be expected to result percent in 2012, yet below the targets by reducing the exposure of individuals in reduced morbidity and mortality to a potentially avoidable virus. related to influenza virus infection workers on mortality of elderly people in long-term The measure would be numerically care: A randomized controlled trial. Lancet 2000; among patients, especially elderly and 355:93–97. expressed by a ratio whose numerator 49 vulnerable populations. 50 For detailed information on Shingles and denominator are as follows: incidences and known complications associated Numerator: The measure would 48 Flu season is generally October 1 (or when the with this condition see CDC information available calculate the percentage of home health vaccine became available) through March 31 of the at http://www.cdc.gov/shingles/about/ care personnel who receive the following year. See URL http://www.cdc.gov/flu/ overview.html. about/season/flu-season.htm for detailed 51 CDC. Morbidity and Mortality Weekly Report influenza vaccine, and document those information. 2011; 60(44):1528. who do not receive the vaccine in the 49 Carman W.F., Elder A.G., Wallace L.A., et al. 52 CDC. Morbidity and Mortality Weekly Report articulated categories below: Effects of influenza vaccination of health-care 2015; 64(04):95–102.

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recommended in the HHS Healthy prevention of PHN.58 The majority of We propose to filter these NQS People 2020 initiative.53 patients reporting PHN are over age 70; domains and the proposed HHVBP The incidence of herpes zoster vaccination of this older population quality measures into four outbreak increases as people age, with a would prevent most cases, followed by classifications to align directly with the significant increase after age 50. Older vaccination at age 60 and then age 50. measure weighting utilized in people are more likely to experience the Studying this measure in the home calculating payment adjustments. The severe nerve pain known as post- health setting presents an ideal four HHVBP classifications we are herpetic neuralgia (PHN),54 the primary opportunity to address a population at proposing are: Clinical Quality of Care, acute symptom of shingles infection, as risk which would benefit greatly from Outcome and Efficiency, Person- and well as non-pain complications, this vaccination strategy. For example, Caregiver-Centered Experience, and hospitalizations,55 and interference with receiving the vaccine will often reduce New Measures reported by the HHAs. activities of daily living.56 Studies have the course and severity of the disease These four classifications capture the shown for adults aged 60 years or older and reduce the risk of post herpetic multi-dimensional nature of health care the vaccine’s efficacy rate for the neuralgia. provided by the HHA. These prevention of herpes zoster is 51.3 Information on the above numerator classifications are further defined as: percent and 66.5 percent for the and denominator would be reported by • Classification I—Clinical Quality of prevention of PHN for up to 4.9 years HHAs through the HHVBP web-based Care: Measures the quality of health care after vaccination.57 The Short-Term platform, in addition to other services provided by eligible Persistence Sub study (STPS) followed information related to this measure as professionals and paraprofessionals patients 4 to 7 years after vaccination the Secretary deems appropriate. We within the home health environment. and found a vaccine efficacy of 39.6 welcome public comments on this • Classification II—Outcome and percent for the prevention of herpes measure’s proposed adoption under the Efficiency: Outcomes measure the end zoster and 60.1 percent for the HHVBP model. result of care provided to the beneficiary. Efficiencies measure 6. HHVBP Model’s Four Classifications 51 CDC. Morbidity and Mortality Weekly Report maximizing quality and minimizing use 2011; 60(44):1528. As previously stated, the quality of resources. 52 CDC. Morbidity and Mortality Weekly Report measures that we are proposing to use • Classification III—Person- and 2015; 64(04):95–102. in the performance years are aligned 53 Healthy People 2020: Objectives and targets for Caregiver-Centered Experience: immunization and infectious diseases. Available at with the six NQS domains: Patient and Measures the beneficiary and their https://www.healthypeople.gov/2020/topics- Caregiver-centered experience and caregivers’ experience of care. objectives/topic/immunization-and-infectious- outcomes; Clinical quality of care; Care • Classification IV—New Measures: diseases/objectives. coordination; Population Health; Measures not currently reported by 54 Yawn B.P., Saddier P., Wollen P.C., St Sauvier J.L., Kurland M.J., Sy L.S. A population-based study Efficiency and cost reduction; and, Medicare-certified HHAs to CMS, but of the incidence and complication rate of herpes Safety (see Figure 6). that may fill gaps in the NQS Domains zoster before zoster vaccine introduction. Mayo not completely covered by existing Clinic Proc 2007; 82:1341–9. 56 Schmader K.E., Johnson G.R., Saddier P., et al. measures in the home health setting. 55 Lin F., Hadler J.L. Epidemiology of primary Effect of a zoster vaccine on herpes zoster-related varicella and herpes zoster hospitalizations: The interference with functional status and health- We seek public comment on our pre-varicella vaccine era. J Infect Dis 2000; related quality-of-life measures in older adults. J proposed measure classifications for the 181:1897–905. Am Geriatr Soc 2010; 58:1634–41. HHVBP model.

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7. Weighting payment adjustments among HHAs so New Measures. We considered several We propose that measures within that HHAs achieving the highest factors when developing the proposed each classification will be weighted the performance scores would receive the performance scoring methodology for same for the purposes of payment largest upward payment adjustment. the HHVBP model. First, we believe it adjustment. We are weighting at the The methodology we are proposing is important that the performance includes three primary features: scoring methodology be straightforward individual measure level and not the • classification level. Classifications are The HHA’s Total Performance Score and transparent to HHAs, patients, and for organizational purposes only. We (TPS) would be determined using the other stakeholders. HHAs must be able selected this approach since we did not higher of an HHA’s achievement or to clearly understand performance scoring methods and performance want any one measure within a improvement score for each measure; • All measures in the Clinical Quality expectations to maximize quality classification to be more important than of Care, Outcome and Efficiency, and improvement efforts. The public must another measure. This approach ensures Person and Caregiver-Centered understand performance score methods that a measure’s weight will remain the Experience classifications will have to utilize publicly-reported information same even if some of the measures equal weight and will account for 90 when choosing HHAs. within a classification group have no percent of the TPS (see section 2 below) Second, we believe the proposed available data. Weighting will be re- regardless of the number of measures in performance scoring methodology for examined in subsequent years of the the three classifications. Points for New the HHVBP model should be aligned model and be subject to the rulemaking Measures are awarded for submission of appropriately with the quality process. measurements adopted for other We welcome public comments on this data on the New Measures via the HHVBP web-based platform, and Medicare value-based purchasing proposed weighting methodology under programs including those introduced in the HHVBP model. withheld if data is not submitted. Data reporting for each New Measure will the hospital and skilled nursing home F. Performance Scoring Methodology have equal weight and will account for settings. This alignment would facilitate the public’s understanding of quality 1. Performance Calculation Parameters 10 percent of the TPS for the first performance year; and, measurement information disseminated The methodology we are proposing • The HHA performance score would in these programs and foster more for assessing each HHA’s total annual reflect all of the measures that apply to informed consumer decision-making performance is based on a score the HHA based on a minimum number about their health care choices. calculated using the proposed starter set of cases defined below. Third, we believe that differences in of quality measures that apply to the performance scores must reflect true HHA (based on a minimum number of 2. Considerations for Calculating the differences in quality performance. To cases, as discussed herein). The Total Performance Score ensure that this point is addressed in methodology we propose would provide In § 484.320 we propose to calculate the proposed performance scoring an assessment on a quarterly basis for the TPS by adding together points methodology for the HHVBP model, we each HHA and would result in an awarded to Medicare-certified HHAs on assessed quantitative characteristics of annual distribution of value-based the starter set of measures, including the the measures, including the current

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state of measure development, number Implement a Medicare Hospital Value- performance year. In total, the New of measures, and the number and Based Purchasing Program’’ (hereinafter Measures would account for 10 percent grouping of measure classifications. referred to as ‘‘The 2007 HVBP of the TPS regardless of the number of Fourth, we believe that both quality Report’’).59 The 2007 HVBP Report measures applied to an HHA in the achievement and improvement must be describes a Performance Assessment other three classifications. measured appropriately in the Model with core elements that can We propose to calculate the TPS for performance scoring methodology for easily be replicated for other value- the HHVBP methodology similarly to the HHVBP model. The proposed based purchasing programs or models, the TPS calculation that has been methodology specifies that performance including the HHVBP. finalized under the HVBP program. The scores under the HHVBP model are In the HVBP Program, the performance scoring methodology for calculated utilizing the higher of Performance Assessment Model the HHVBP model would include achievement or improvement scores for aggregates points on the individual determining performance standards each measure. The impact of quality measures across different quality (benchmarks and thresholds) using the performance scores utilizing measurement domains to calculate a 2015 baseline period performance year’s achievement and improvement on hospital’s TPS. Similarly, the proposed quality measure data, scoring HHAs HHAs’ behavior and the resulting HHVBP model would aggregate points based on their achievement and/or payment implications was also on individual measures across four improvement with respect to those considered. Using the higher of measure classifications derived from the performance standards, and weighting achievement or improvement scores 6 CMS/NQS domains as described each of the classifications by the allows the model to recognize HHAs above (see Figure 3) to calculate the number of measures employed, as that have made great improvements, HHA’s TPS. In addition, the proposed presented in further detail in Section G though their measured performance HHVBP payment methodology is also below. score may still be relatively lower in aligned with the HVBP Program with comparison to other HHAs. respect to evaluating an HHA’s 4. Setting Performance Benchmarks and Fifth, through careful measure performance on each quality measure Thresholds selection we intend to eliminate, or at based on the higher of an achievement For scoring HHAs’ performance on least control for, unintended or improvement score in the measures in the proposed Clinical consequences such as undermining performance period. The proposed Quality of Care, Outcome and better outcomes to patients or rewarding model is not only designed to provide Efficiency, and Person and Caregiver- inappropriate care. As discussed above, incentives for HHAs to provide the Centered Experience classifications, we when available, NQF endorsed highest level of quality, but also to propose that the HHVBP model would measures would be used. In addition we provide incentives for HHAs to improve adopt an approach using several key propose to adopt measures that we the care they provide to Medicare elements from the scoring methodology believe are closely associated with beneficiaries. By rewarding HHAs that set forth in the 2007 HVBP Report and better outcomes in the HHA setting in provide high quality and/or high the successfully implemented HVBP order to incentivize genuine improvement, we believe the proposed Program 60 including allocating points improvements and sustain positive HHVBP model would ensure that all based on achievement or improvement, achievement while retaining the HHAs would be incentivized to commit and calculating those points based on integrity of the model. the resources necessary to make the industry benchmarks and thresholds. Sixth, we intend to ensure the model organizational changes that would result In determining the achievement utilizes the most currently available in better quality. points for each measure, HHAs would data to assess HHA performance. We Under the proposed model an HHA receive points along an achievement recognize that these data would not be would be awarded points only for range, which is a scale between the available instantaneously due to the ‘‘applicable measures.’’ An ‘‘applicable achievement threshold and a time required to process quality measure’’ is one for which the HHA has benchmark. We propose to calculate the measurement information accurately; provided 20 home health episodes of achievement threshold as the median of however, we intend to make every effort care per year. Points awarded for each all HHAs’ performance on the specified to process data in the timeliest fashion. applicable measure would be aggregated quality measure during the baseline Using more current data would result in to generate a TPS. As described in the period and to calculate the benchmark a more accurate performance score benchmark section below, HHAs would as the mean of the top decile of all while recognizing that HHAs need time have the opportunity to receive 0 to 10 HHAs’ performance on the specified to report measure data. points for each measure in the Clinical Quality of Care, Outcome and quality measure during the baseline 3. Additional Considerations for the Efficiency, and Person and Caregiver- period. Unlike the HVBP Program that Proposed HHVBP Total Performance Centered Experience classifications. uses a national sample, this model Scores Each measure would have equal weight would calculate both the achievement Many of the key elements of the regardless of the total number of threshold and the benchmark separately proposed HHVBP model performance measures in each of the first three for each selected state and for HHA scoring methodology would be aligned classifications. In contrast, we propose cohort size. Under this proposed with the scoring methodology of the to score the New Measures in a different methodology, we would have Hospital Value-Based Purchasing way. For each New Measure, HHAs benchmarks and achievement Program (HVBP) in order to leverage the would receive 10 points if they report 58 Schmader K.E., Oxman M.N., Levin M.J., rigorous analysis and review the New Measure or 0 points if they do Johnson G., Zhang J.H., Betts R., Morrison V.A., underpinning that Program’s approach not report the measure during the Gelb L., Guatelli J.C., Harbecke R., Pachucki C., to value-based purchasing in the Keay S., Menzies B., Griffin M.R., Kauffman C., hospital sector. The HVBP Program 57 Schmader K.E., Johnson G.R., Saddier P., et al. Marques A., Toney J., Keller P.M., LI,X, Chan L.S.F., includes as one of its core elements the Effect of a zoster vaccine on herpes zoster0-related Annumziato P. Persistence of the Efficacy of Zoster interference with functional status and health- Vaccine in the Shingles Prevention Study and the scoring methodology included in the related quality-of-life measures in older adults. J Short Term Persistence Substudy. Clinical 2007 Report to Congress ‘‘Plan to Am Geriatr Soc 2010; 58:1634–41. Infectious Disease 2012; 55:1320–8.

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thresholds for both the larger-volume between an HHA’s performance during be based on the Performance cohort and for the smaller-volume the performance period and the baseline Assessment Model set forth in the 2007 cohort of HHAs (defined in each state period. In addition, as in the HVBP Report and as implemented based on a baseline period and achievement calculation, the benchmark under the HVBP Program. An HHA proposed to run from January 1, 2015 and threshold would be calculated would earn 0–10 points for achievement through December 31, 2015). Another separately for each state and for HHA for each measure in the Clinical Quality way HHVBP differs from the Hospital cohort size to ensure that HHAs would of Care, Outcome and Efficiency, and VBP is this model only uses 2015 as the only be competing with those HHAs in Person and Caregiver-Centered baseline year for the measures included their state and their size cohort. Experience classifications based on in the proposed starter set. For the Grouping HHAs by state and size is where its performance during the starter set used in the model, 2015 will another way that the HHVBP payment performance period falls relative to the consistently be used as the baseline methodology differs from the HVBP. period in order to evaluate the degree of achievement threshold and the change that may occur over the multiple 5. Calculating Achievement and benchmark, according to the following years of the model. In determining Improvement Points formula: improvement points for each measure, a. Achievement Scoring we propose that HHAs would receive points along an improvement range, We are proposing that achievement which is a scale indicating change scoring under the HHVBP model would

All achievement points would be achievement, by applying the formula performance period improved from its rounded up or down to the nearest point above. performance on each measure in the (for example, an achievement score of • An HHA with performance less proposed Clinical Quality of Care, 4.555 would be rounded to 5). HHAs than the achievement threshold would Outcome and Efficiency, and Person would receive an achievement score as receive 0 points for achievement. and Caregiver-Centered Experience follows: We welcome public comment on this classifications during the baseline period. A unique improvement range for • An HHA with performance equal to proposed methodology for scoring HHAs on achievement under the each measure would be established for or higher than the benchmark would proposed HHVBP model. each HHA that defines the difference receive the maximum of 10 points for between the HHA’s baseline period achievement. b. Improvement Scoring score and the same state and size level • An HHA with performance equal to In keeping with the approach used by benchmark for the measure used in the or greater than the achievement the HVBP program, we propose that an achievement scoring calculation threshold (but below the benchmark) HHA would earn 0–10 points based on described previously, according to the would receive 1–9 points for how much its performance during the following formula:

All improvement points would be HHAs on improvement under the development of the HHVBP permutation rounded to the nearest point. If an proposed HHVBP model. of the Performance Assessment Model, HHA’s performance on the measure and all performance scores are c. Examples of Calculating Achievement during the performance period was: calculated for the pneumonia measure, and Improvement Scores • Equal to or higher than the with respect to the number of benchmark score, the HHA would For illustrative purposes we present individuals assessed and administered receive an improvement score of 10 the following examples of how the the pneumococcal vaccine. points; proposed performance scoring Figure 7 shows the scoring for HHA • Greater than its baseline period methodology would be applied in the ‘A’, as an example. The benchmark score but below the benchmark (within context of the proposed measures in the calculated for the pneumonia measure the improvement range), the HHA proposed Clinical Quality of Care, in this case was 0.87 (the mean value of would receive an improvement score of Outcome and Efficiency, and Person the top decile in 2013), and the 0–10, based on the formula above; or and Caregiver-Centered Experience achievement threshold was 0.47 (the • Equal to or lower than its baseline classifications. These HHA examples performance of the median or the 50th period score on the measure, the HHA were selected from an empirical percentile among HHAs in 2013). HHA would receive 0 points for database created from 2013/2014 data A’s 2014 performance rate of 0.91 improvement. from the Home Health Compare during the performance period for this We welcome public comments on this archived data, claims data and measure exceeds the benchmark, so proposed methodology for scoring enrollment data to support the HHA A would earn 10 (the maximum)

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points for its achievement score. The Figure 7 also shows the scoring for Checking HHA B’s improvement score HHA’s performance rate on a measure is HHA ‘B’. As referenced below, HHA B’s yields the following result: Based on expressed as a decimal. In the performance on this measure went from HHA B’s period-to-period improvement, illustration, HHA A’s performance rate 0.21 (which was below the achievement from 0.21 in the baseline year to 0.70 in of 0.91 means that 91 percent of the threshold) in the baseline period to 0.70 the performance year, HHA B would applicable patients that were assessed (which is above the achievement earn 7 points, calculated as follows: [10 were given the pneumococcal vaccine. threshold) in the performance period. * ((0.70 ¥ 0.21)/(0.87 ¥ 0.21))] ¥ 0.5 In this case, HHA A has earned the Applying the achievement scale, HHA B = 6.92, rounded to 7 points. Because the maximum number of 10 possible would earn 6 points for achievement, ¥ higher of the achievement and achievement points for this measure and calculated as follows: [9 * ((0.70 improvement scores is used, HHA B thus, its improvement score is irrelevant 0.47)/(0.87 ¥ 0.47))] + 0.5 = 5.675, and would receive 7 points for this measure. in the calculation. then rounded to 6 points.

In Figure 8, HHA ‘C’ yielded a decline period is lower than the achievement during the performance period is lower in performance on the pneumonia threshold of 0.47 and, as a result, than its performance during the baseline measure, falling from 0.57 to 0.46 (a receives 0 points based on achievement. period. decline of 0.11 points). HHA C’s It also receives 0 points for performance during the performance improvement, because its performance

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6. Proposed Scoring Methodology for leading-edge measures as well as retire HHAs’ volume will remain very low and New Measures measures that no longer require such the HHAs would continue to not have The HHVBP model provides us with analysis. We request comment on this their payment adjusted in future years. the opportunity to study new quality proposed scoring methodology for new Based on the most recent data available measures. The four New Measures that measures. at this time, a very small number of HHAs are reporting on less than five of we have proposed to adopt for the 7. Minimum Number of Cases for the total number of measures included model for PY1 would be reported Outcome and Clinical Quality Measures directly by the HHA and would account in the Clinical Quality of Care, Outcome for 10 percent of the TPS regardless of While no HHA in a selected state and Efficiency, and Person and the number of measures in the other would be exempt from the HHVBP Caregiver-Centered Experience three classifications. We are proposing model, there may be periods when an classifications and account for less than that HHAs that report on these measures HHA does not receive a payment 0.5 percent of the claims made over would receive 10 points out of a adjustment because there are not an 1,900 HHAs delivering care within the maximum of 10 points for each of the adequate number of episodes of care to nine proposed selected states. We 4 measures in the New Measure generate sufficient quality measure data. expect very little impact of very low classification. Hence a HHA that reports The minimum threshold for an HHA to service volume HHAs on the model due on all four measures would receive 40 receive a score on a given measure is 20 to the low number of low volume HHAs points out of a maximum of 40. An HHA home health episodes of care per year and because it is unlikely that a HHA would receive 0 points for each measure for HHAs that have been certified for at will reduce the amount of service to that it fails to report on. If an HHA least 6-months. If an HHA does not meet such a low level to avoid a payment reports on all four measures, it would this threshold to generate scores on five adjustment. Although these HHAs receive 40 points for the classification or more of the Clinical Quality of Care, would not be subject to payment and 10 points (40/40 * 10 points) would Outcome and Efficiency, and Person adjustments, they would remain in the be added to its TPS because the New and Caregiver-Centered Experience model and have access to the same Measure classification has a maximum measures, no payment adjustment will technical assistance as all other HHAs weight of 10 percent. If an HHA reports be made, and the Medicare-certified in the model, and would receive quality on 3 of 4 measures, it would receive 30 HHA would be paid for HHA services in reports on any measures for which they points of 40 points available for the an amount equivalent to the amount it do have 20 episodes of care, and a classification and 7.5 points (30/40 * 10 would have been paid under section future opportunity to compete for 61 points) added to its TPS. If an HHA 1895 of the Act. payment adjustments. reports on 2 of 4 measures, they would HHAs with very low volumes will We propose the HHA’s TPS would be receive 20 points of 40 points available either increase their volume in later based on all the Clinical Quality of Care, for the classification and 5.0 points (20/ performance years and be subject to Outcome and Efficiency, Person and 40 * 10 points) added to their TPS. If an future payment adjustment, or the Caregiver-Centered Experience HHA reports on 0 of 4 measures, they measures and the New Measures that would receive 0 points and have no 61 HHVBP would follow the Home Health apply to the HHA. As described above, Compare Web site policy not to report measures on points added to their TPS. We intend to HHAs that have less than 20 observations for each measure in the Clinical Quality of update these measures through future statistical reasons concerning the power to detect Care, Outcome and Efficiency and rulemaking to allow us to study newer, reliable differences in the quality of care. Person and Caregiver-Centered

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Experience classifications would be home health services under the HHVBP Step #2 involves the calculation of the weighted equally. Each measure would model. Payment adjustments would be ‘8 percent Payment Reduction Amount’ have an equal weight relative to the total made to the HH PPS final claim (C3 of Figure 9) for each HHA. The score of the three classifications payment amount as calculated in ‘Prior Year Aggregate HHA Payment regardless of the number of measures accordance with § 484.205 using a linear Amount’ is multiplied by the ‘8 percent that are applicable. exchange function (LEF) similar to the Payment Reduction Rate’. The aggregate As an example, HHA ‘‘A’’ has at least methodology utilized by the HVBP of the ‘8-percent Payment Reduction 20 episodes of care in a 12-month Program. The LEF is used to translate an Amount’ is the numerator of the LEF. period for only 9 quality measures out HHA’s TPS into a percentage of the Step #3 involves the calculation of the of a possible 25 measures from three of value-based payment adjustment earned ‘Final TPS Adjusted Reduction Amount’ the four classifications (except the New by each HHA under the HHVBP model. (C4 of Figure 9) by multiplying the ‘8- Measures). Under the proposed scoring The LEF was identified by the HVBP percent Payment Reduction Amount’ methodology outlined above, HHA A Program as the simplest and most from Step #2 by the TPS (C1) divided would be awarded 0, 0, 3, 4, 5, 7, 7, 9, straightforward option to provide the by 100. The aggregate of the ‘TPS and 10 points, respectively, for these same marginal incentives to all Adjusted Reduction Amount’ is the measures. HHA A’s total earned points hospitals, and we believe the same to be denominator of the LEF. for the three classifications would be true for HHAs. We propose the Step #4 involves calculating the LEF calculated by adding together all the function’s intercept at zero percent, (C5 of Figure 9) by dividing the points awarded to HHA A, resulting in meaning those HHAs that have a TPS aggregate ‘8 percent Payment Reduction a total of 45 points. HHA A’s total that is average in relationship to other Amount’ by the aggregate ‘TPS Adjusted possible points would be calculated by HHAs in their cohort (a zero percent), Reduction Amount’. multiplying the total number of would not receive any payment Step #5 involves the calculation of the measures for which the HHA reported adjustment. Payment adjustments for ‘Final TPS Adjusted Payment Amount’ on least 20 episodes (nine) by the each HHA with a score above zero (C6 of Figure 9) by multiplying the ‘TPS maximum number of points for those percent would be determined by the Adjusted Reduction Amount’ (C4) by measures (10), yielding a total of 90 slope of the LEF. In addition we propose the LEF (C5). This is an intermediary possible points. HHA A’s score for the to set the slope of the LEF for the first value used to calculate ‘Quality three classifications would be the total performance year, CY 2016, so that the Adjusted Payment Rate’. earned points (45) divided by the total estimated aggregate value-based Step #6 involves the calculation of the possible points (90) multiplied by 90 payment adjustments for CY 2016 are ‘Quality Adjusted Payment Rate’ (C7 of because as mentioned in section E7, the equal to 5 percent of the estimated Figure 9) that the HHA would receive Clinical Quality of Care, Outcome and aggregate base operating episode instead of the 8 percent reduction in Efficiency, and Person and Caregiver- payment amount for CY 2018. The payment. This is an intermediary step to Centered Experience classifications estimated aggregate base operating determining the payment adjustment account for 90 percent of the TPS and episode payment amount is the total rate. For CYs 2021 and 2022, the the New Measures classification amount of episode payments made to all payment adjustment in this column accounts for 10 percent of the TPS, the HHAs by Medicare in each would range from 0 percent to 16 which yields a result of 45. In this individual state in the larger- and percent depending on the quality of care example, HHAs also reported all four smaller-volume cohorts respectively (we provided. numbers and would receive the full 10 are proposing nine states, which would Step #7 involves the calculation of the points for the new measure. As a result, create 18 separate aggregate base ‘Final Percent Payment Adjustment’ (C8 the TPS for HHA A would be 55 (45 operating episode payment amounts). of Figure 9) that would be applied to the plus 10). In addition, as specified in Figure 9 provides an example of how HHA payments after the performance Section E:7—Weighting, all measures the LEF is calculated and how it is period. It simply involves the CY have equal weights regardless of their applied to calculate the percentage payment adjustment percent (in 2018, 5 classification (except for New Measures) payment adjustment to a HHA’s TPS. percent; in 2019, 5 percent; in 2020, 6 and the total earned points for the three For this example, we applied the 8 percent; in 2021, 8 percent; and in 2022, classifications can be calculated by percent payment adjustment level that 8 percent). In this example, we use the adding the points awarded for each such is proposed for the final two years of the maximum eight-percent (8 percent) measure together. We seek public HHVBP model. The proposed rate for subtraction to the ‘Quality Adjusted comment on our proposal of the the payment adjustments for other years Payment Rate’. Note that the payment minimum number of cases for outcome would be proportionally less. adjustment percentage is capped at no and clinical quality measures. Step #1 involves the calculation of the more than plus or minus 8 percent for ‘Prior Year Aggregate HHA Payment each respective performance period and G. The Payment Adjustment Amount’ (See C2 in Figure 9) that each the payment adjustment would occur on Methodology HHA was paid in the prior year. From the final claim payment amount. We propose to codify at 42 CFR claims data, all payments are summed We invite public comments on this 484.330 a methodology for applying together for each HHA for CY 2015, the proposed payment adjustment value-based payment adjustments to year prior to the HHVBP Model. methodology.

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FIGURE 9—8-PERCENT REDUCTION SAMPLE

Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Linear Quality Final percent Prior year 8-Percent pay- TPS adjusted exchange Final TPS adjusted payment HHA TPS aggregate ment reduction function adjusted payment rate adjustment HHA reduction amount (LEF) payment (C6/C2) +/¥ payment * amount (C1/100)*C3 (Sum of C3/ amount *100 (C7–8%) (C2*8%) Sum of C4) (C4*C5) % %

(C1) (C2) (C3) (C4) (C5) (C6) (C7) (C8)

HHA1 ...... 38 $ 100,000 $ 8,000 $ 3,040 1.93 $ 5,867 5.9 ¥2.1 HHA2 ...... 55 145,000 11,600 6,380 1.93 12,313 8.5 0.5 HHA3 ...... 22 800,000 64,000 14,080 1.93 27,174 3.4 ¥4.6 HHA4 ...... 85 653,222 52,258 44,419 1.93 85,729 13.1 5.1 HHA5 ...... 50 190,000 15,200 7,600 1.93 14,668 7.7 ¥0.3 HHA6 ...... 63 340,000 27,200 17,136 1.93 33,072 9.7 1.7 HHA7 ...... 74 660,000 52,800 39,072 1.93 75,409 11.4 3.4 HHA8 ...... 25 564,000 45,120 11,280 1.93 21,770 3.9 ¥4.1

Sum ...... 276,178 143,007 ...... 276,002 ...... * Example cases.

H. Preview and Period To Request TPS and payment adjustment amount authority to sign on behalf of the HHA Recalculation from the date information is made and be submitted within 10 days of We are proposing to provide HHAs available. For both the quarterly reports receiving the quarterly data report or the two separate opportunities to review and the annual report containing the annual TPS and payment adjustment scoring information under the HHVBP TPS and payment adjustments, report. model. First, HHAs will have the Medicare-certified HHAs will only be Requests for both quarterly report opportunity to review their quarterly permitted to request scoring measure score recalculations or TPS and quality reports following each quarterly recalculations, and must include a payment adjustment recalculations posting; second, Medicare-certified specific basis for the requested would contain the following HHAs will have the opportunity to recalculation. We will not be information: • review their TPS and payment responsible for providing HHAs with The provider’s name, address adjustment calculations, and request a the underlying source data utilized to associated with the services delivered, recalculation if a discrepancy is generate performance measure scores. and CMS Certification Number (CCN); • identified due to a CMS error as Each HHA has access to this data via the The basis for requesting described in this section. These QIES system. The final TPS and recalculation to include the specific processes would also help educate and payment adjustment would then be quality measure data that the HHA inform each competing Medicare- provided to competing Medicare- believes is inaccurate or the calculation certified HHA on the direct relation certified HHAs in a final report no later the HHA believes is incorrect; between the payment adjustment and than 60 days in advance of the payment • Contact information for a person at performance measure scores. adjustment taking effect. the HHA with whom CMS or its agent The proposed model design calls for The TPS from the annual performance can communicate about this request, us to inform HHA quarterly of their report would be calculated based on the including name, email address, performance on each of the individual calculation of performance measures telephone number, and mailing address quality measures used to calculate the contained in the quarterly reports that (must include physical address, not just TPS. We propose that HHAs will have have already been provided and a post office box); and, 10 days after the quarterly reports are reviewed by the HHAs. As a result, we • A copy of any supporting provided to request a recalculation of a believe that quarterly reviews would documentation the HHA wishes to measure scores if it believes there is provide substantial opportunity to submit in electronic form via the model- evidence of a discrepancy. We would identify and correct errors and resolve specific Web page. adjust the score if it is determined that discrepancies, thereby minimizing the Following receipt of a request for the discrepancy in the calculated challenges to the annual performance quarterly report measure score measure scores was the result of our scores linked to payment adjustment. recalculations or a request for TPS and failure to follow measurement As described above, a quarterly payment adjustment recalculation, CMS calculation protocols. performance report would be provided or its agent would: In addition, the proposed model to all Medicare-certified HHAs within + Provide an email design also calls for us to inform each the selected states beginning with the acknowledgement, using the contact Medicare-certified HHA of the TPS and first quarter of CY 2016 being reported information provided in the payment adjustment amount in an in July 2016. We propose that HHAs recalculation request, to the HHA annual report. We propose that these would submit recalculation requests for contact notifying the HHA that the annual reports be provided to Medicare- both quarterly quality performance request has been received; certified HHAs each August prior to the measure reports and for the TPS and + Review the request to determine calendar year for which the payment payment adjustment reports via an validity, and determine whether the adjustment would be applied. Similar to email link provided on the model- requested recalculation would result in quarterly reports, HHAs will have 10 specific Web page. The request form a score change altering performance days to request a recalculation of their would be entered by a person who has measure scores or the HHA’s TPS;

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+ If recalculation would result in a proposed model, we cannot provide a result in payment rates under the Home performance measure score or TPS detailed description of the evaluation Health PPS for a year being less than change, conduct a review of quality data methodology here. payment rates for the preceding year. and if an error is found, recalculate the We intend to use a multilevel Section 2(a) of the Improving TPS using the corrected performance approach to evaluation. Here, we intend Medicare Post-Acute Care data; and, to conduct analyses at the state, HHA, Transformation Act of 2014 (the + Provide a formal response to the and patient levels. Based on the state IMPACT Act) (Pub. L. 113–185, enacted HHA contact, using the contact groupings discussed in the section on on Oct. 6, 2014) amended Title XVIII of information provided in the selection of Medicare certified HHAs, the Act, in part, by adding a new section recalculation request, notifying the HHA we believe there are several ways in 1899B, which imposes new data of the outcome of the review and which we can draw comparison groups reporting requirements for certain post- recalculation process. and remain open to scientifically-sound, acute care (PAC) providers, including Recalculation and subsequent rigorous methods for evaluating the HHAs. New section 1899B of the Act is communication of the results of these effect of the model intervention. titled, ‘‘Standardized Post-Acute Care determinations would occur as soon as The evaluation effort may require of (PAC) Assessment Data for Quality, administratively feasible following the HHAs participating in the Model Payment, and Discharge Planning’’. submission of requests. We request additional data specifically for Under section 1899B(a)(1) of the Act, comment on our proposed quarterly evaluation purposes. Such requirements certain post-acute care (PAC) providers quality report measure review, TPS for additional data to carry out model (defined in section 1899B(a)(2)(A) of the preview period, and our proposed evaluation would be in compliance with Act to include HHAs, SNFs, IRFs, and process for requesting recalculation of 42 CFR 403.1105 which, as of January LTCHs) must submit standardized the quarterly performance measure 1, 2015, requires entities participating in patient assessment data in accordance scores, and the TPS and payment the testing of a model under section with section 1899B(b) of the Act, data adjustment. We intend to codify these 1115A to collect and report such on quality measures required under processes in regulation text in future information, including protected health section 1899B(c)(1) of the Act, and data rulemaking. information (as defined at 45 CFR on resource use, and other measures Additionally, we will develop and 160.103), as the Secretary determines is required under section 1899B(d)(1) of adopt an appeals mechanism under the necessary to monitor and evaluate the the Act. The Act also sets out specified model through future rulemaking in model. We would consider all application dates for each of the advance of the application of any Medicare-certified HHAs providing measures. The Secretary must specify payment adjustments. services within a state selected for the the quality, resource use, and other I. Evaluation Model to be participating in the testing measures no later than the applicable of this model because the competing specified application date defined in We propose to codify at 484.315(c) section 1899B(a)(2)(E) of the Act. that HHAs in selected states would be HHAs would be receiving payment from CMS under the model.63 Section 1899B(b) of the Act describes required to collect and report the standardized patient assessment information to CMS necessary for the We invite public comments on this proposed evaluation plan. data that PAC providers are required to purposes of monitoring and evaluating submit in accordance with section this model as required by statute.62 We V. Proposed Provisions of the Home 1899B(b)(1) of the Act; requires the plan to conduct an evaluation of the Health Care Quality Reporting Program Secretary, to the extent practicable, to proposed HHVBP model in accordance (HH QRP) match claims data with standardized with section 1115A(b)(4) of the Act, A. Background and Statutory Authority patient assessment data in accordance which requires the Secretary to evaluate with section 1899B(b)(2) of the Act; and each model tested by CMMI. We Section 1895(b)(3)(B)(v)(II) of the Act requires the Secretary, as soon as consider an independent evaluation of requires that for 2007 and subsequent practicable, to revise or replace existing the model to be necessary to understand years, each HHA submit to the Secretary patient assessment data to the extent its impacts on care quality in the home in a form and manner, and at a time, that such data duplicate or overlap with health setting. The evaluation would be specified by the Secretary, such data standardized patient assessment data, in focused primarily on understanding that the Secretary determines are accordance with section 1899B(b)(3) of how successful the model is in appropriate for the measurement of the Act. achieving quality improvement as health care quality. To the extent that an Sections 1899B(c)(1) and (d)(1) of the evidenced by HHAs’ performance on HHA does not submit data in Act direct the Secretary to specify clinical care process measures, clinical accordance with this clause, the measures that relate to at least five outcome measures (for example, Secretary is directed to reduce the home stated quality domains and three stated functional status), utilization/outcome health market basket percentage resource use and other measure measures (for example, hospital increase applicable to the HHA for such domains. Section 1899B(c)(1) of the Act readmission rates, emergency room year by 2 percentage points. As provides that the quality measures on visits), access to care, and patient’s provided at section 1895(b)(3)(B)(vi) of which PAC providers, including HHAs, experience of care, and Medicare costs. the Act, depending on the market basket are required to submit standardized We also intend to examine the percentage for a particular year, the 2 patient assessment data and other likelihood of unintended consequences. percentage point reduction under necessary data specified by the We intend to select an independent section 1895(b)(3)(B)(v)(I) of the Act Secretary must be in accordance with, at evaluation contractor to perform this may result in this percentage increase, least, the following domains: evaluation. However, because the after application of the productivity • Functional status, cognitive procurement for the selection of the adjustment under section function, and changes in function and evaluation contractor is in progress and 1895(b)(3)(B)(vi)(I) of the Act, being less cognitive function; is subject to the finalization of the than 0.0 percent for a year, and may • Skin integrity and changes in skin integrity; 62 See 1115A(b)(4) of the Act (42 U.S.C. 1315a). 63 79 FR 67751 through 67755. • Medication reconciliation;

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• Incidence of major falls; and for which a feasible or practical measure Section 2(c)(1) of the IMPACT Act • Accurately communicating the has not been endorsed by the NQF, as amended section 1895 of the Act to existence of and providing for the long as due consideration is given to address the payment consequences for transfer of health information and care measures that have been endorsed or HHAs with respect to the additional preferences of an individual to the adopted by a consensus organization data which HHAs are required to submit individual, family caregiver of the identified by the Secretary. Section under section 1899B of the Act. These individual, and providers of services 1899B(e)(3) of the Act provides that the changes include the addition of a new furnishing items and services to the pre-rulemaking process required by section 1895(3)(B)(v)(IV), which individual when the individual section 1890A of the Act applies to requires HHAs to submit the following transitions (1) from a hospital or Critical quality, resource use, and other additional data: (1) For the year Access Hospital (CAH) to another measures specified under sections beginning on the applicable specified applicable setting, including a PAC 1899B(c)(1) and (d)(1) of the Act, but application date and subsequent years, provider or the home of the individual, authorizes exceptions under which the data on the quality, resource use, and or (2) from a PAC provider to another Secretary may (1) use expedited other measures required under sections applicable setting, including a different procedures, such as ad hoc reviews, as 1899B(c)(1) and (d)(1) of the Act; and (2) PAC provider, hospital, CAH, or the necessary in the case of a measure for 2019 and subsequent years, the home of the individual. required with respect to data standardized patient assessment data Section 1899B(c)(2)(A) provides that, submissions during the 1-year period required under section 1899B(b)(1) of to the extent possible, the Secretary before the applicable specified the Act. Such data must be submitted in must require such reporting through the application date, or (2) alternatively, the form and manner, and at the time, use of a PAC assessment instrument and waive section 1890A of the Act in the specified by the Secretary. modify the instrument as necessary to case of such a measure if applying As stated above, the IMPACT Act enable such use. section 1890A of the Act (including adds a new section 1899B that imposes Section 1899B(d)(1) of the Act through the use of expedited new data reporting requirements for provides that the resource use and other procedures) would result in the inability certain post-acute care (PAC) providers, measures on which PAC providers, of the Secretary to satisfy any deadline including HHAs. Sections 1899B(c)(1) including HHAs, are required to submit specified under section 1899B of the Act and 1899B(d)(1) collectively require that any necessary data specified by the with respect to the measure. the Secretary specify quality measures Secretary, which may include Section 1899B(f)(1) of the Act requires and resource use and other measures standardized assessment data in the Secretary to provide confidential with respect to certain domains not later addition to claims data, must be in feedback reports to PAC providers on than the specified application date that accordance with, at least, the following the performance of such PAC providers applies to each measure domain and domains: with respect to quality, resource use, PAC provider setting. Section • Resource use measures, including and other measures required under 1899B(a)(2)(E) delineates the specified total estimated Medicare spending per sections 1899B(c)(1) and (d)(1) of the application dates for each measure beneficiary; Act beginning 1 year after the applicable domain and PAC provider. The IMPACT • Discharge to community; and specified application date. • Measures to reflect all-condition Section 1899B(g) of the Act requires Act also amends other sections of the risk-adjusted potentially preventable the Secretary to establish procedures for Act, including section 1895(b)(3)(B)(v), hospital readmission rates. making available to the public to require the Secretary to reduce the Sections 1899B(c) and (d) of the Act information regarding the performance otherwise applicable PPS payment to a indicate that data satisfying the eight of individual PAC providers with PAC provider that does not report the measure domains in the IMPACT Act is respect to quality, resource use, and new data in a form and manner, and at the minimum data reporting other measures required under sections a time, specified by the Secretary. For requirement. Therefore, the Secretary 1899B(c)(1) and (d)(1) beginning not HHAs, amended section 1895(b)(3)(B)(v) may specify additional measures and later than 2 years after the applicable would require the Secretary to reduce additional domains. specified application date. The the payment update for any HHA that Section 1899B(e)(1) of the Act procedures must ensure, including does not satisfactorily submit the new requires that the Secretary implement through a process consistent with the required data. the quality, resource use, and other process applied under section Under the current HH QRP, the measures required under sections 1886(b)(3)(B)(viii)(VII) for similar general timeline and sequencing of 1899B(c)(1) and (d)(1) of the Act in purposes, that each PAC provider has measure implementation occurs as phases consisting of measure the opportunity to review and submit follows: Specification of measures; specification, data collection, and data corrections to the data and information proposal and finalization of measures analysis; the provision of feedback that are to be made public with respect through notice-and-comment reports to PAC providers in accordance to the PAC provider prior to such data rulemaking; HHA submission of data on with section 1899B(f) of the Act; and being made public. the adopted measures; analysis and public reporting of PAC providers’ Section 1899B(h) of the Act sets out processing of the submitted data; performance on such measures in requirements for removing, suspending, notification to HHAs regarding their accordance with section 1899B(g) of the or adding quality, resource use, and quality reporting compliance with Act. Section 1899B(e)(2) of the Act other measures required under sections respect to a particular year; generally requires that each measure 1899B(c)(1) and (d)(1) of the Act. In consideration of any reconsideration specified by the Secretary under section addition, section 1899B(j) of the Act requests; and imposition of a payment 1899B of the Act be NQF-endorsed, but requires the Secretary to allow for reduction in a particular year for failure authorizes an exception under which stakeholder input, such as through town to satisfactorily submit data with respect the Secretary may select non-NQF- halls, open door forums, and mailbox to that year. Any payment reductions endorsed quality measures in the case of submissions, before the initial that are taken with respect to a year specified areas or medical topics rulemaking process to implement begin approximately 1 year after the end determined appropriate by the Secretary section 1899B of the Act. of the data submission period for that

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year and approximately 2 years after we coincide with the original continuous evaluation to identify and first adopt the measure. implementation date of the ICD–10. The address performance gaps and reduce To the extent that the IMPACT Act approved OASIS–C1 included changes the unintended consequences that may could be interpreted to shorten this to accommodate coding of diagnoses arise in treating a large, vulnerable, and timeline, so as to require us to reduce using the ICD–10–CM coding set and aging population. Quality reporting HH PPS payment for failure to other important stakeholder concerns programs, coupled with public reporting satisfactorily submit data on a measure such as updating clinical concepts, and of quality information, are critical to the specified under section 1899B(c)(1) or revised item wording and response advancement of health care quality (d)(1) of the IMPACT Act beginning categories to improve item clarity. This improvement efforts. with the same year as the specified version included five (5) data items that We seek to adopt measures for the HH application date for that measure, such required the use of ICD–10 codes. QRP that promotes better, safer, and a timeline would not be feasible. The Since OASIS–C1 was revised to more efficient care. Valid, reliable, current timeline discussed above incorporate ICD–10 coding, it is not relevant quality measures are reflects operational and other practical feasible to implement the OASIS–C1/ fundamental to the effectiveness of our constraints, including the time needed ICD–10 version prior to October 1, 2015, quality reporting programs. Therefore, to specify and adopt valid and reliable when ICD–10 is scheduled to be selection of quality measures is a measures, collect the data, and implemented. Due to this delay, we had priority for CMS in all of its quality determine whether a HHA has complied to ensure the collection and submission reporting programs. with our quality reporting requirements. of OASIS data continued, until ICD–10 The measures selected would address It also takes into consideration our could be implemented. Therefore, we the measure domains as specified in the desire to give HHAs enough notice of have made interim changes to the IMPACT Act and would be in alignment new data reporting obligations so that OASIS–C1 data item set to allow use with the CMS Quality Strategy, which is they are prepared to timely start with ICD–9 until ICD–10 is adopted. framed using the three broad aims of the reporting data. Therefore, we intend to The OASIS–C1/ICD–9 version was National Quality Strategy: follow the same timing and sequence of submitted to OMB for approval until the • Better Care: Improve the overall events for measures specified under OASIS–C1/ICD–10 version could be quality of care by making healthcare sections 1899B(c)(1) and (d)(1) of the implemented. A 6-month emergency more patient-centered, reliable, Act that we currently follow for other approval was granted on October 7, accessible, and safe. measures specified under the HH QRP. 2014 and CMS subsequently applied for • Healthy People, Healthy We intend to specify each of these an extension. The extension of the Communities: Improve the health of the measures no later than the specified OASIS–C1/ICD–9 version was U.S. population by supporting proven application dates set forth in section reapproved under OMB control number interventions to address behavioral, 1899B(a)(2)(E) of the Act and propose to 0938–0760 with a current expiration social, and environmental determinants adopt them consistent with the date of March 31, 2018. It is important of health in addition to delivering requirements in the Act and to note, that this version of the OASIS higher-quality care. • Administrative Procedure Act. To the will be discontinued once the OASIS– Affordable Care: Reduce the cost of extent that we finalize a proposal to C1/ICD–10 version is approved and quality healthcare for individuals, adopt a measure for the HH QRP that implemented. In addition, to facilitate families, employers, and government. satisfies an IMPACT Act measure the reporting of OASIS data as it relates In addition, our measure selection domain, we intend to require HHAs to to the planned implementation of ICD– activities for the HH QRP take into report data on the measure for the year 10 on October 1, 2015, we submitted a consideration input we receive from the that begins 2 years after the specified new request for approval to OMB for the Measure Applications Partnership application date for that measure. OASIS–C1/ICD–10 version under the (MAP), convened by the NQF, as part of Likewise, we intend to require HHAs to Paperwork Reduction Act (PRA) the established CMS pre-rulemaking begin reporting any other data process. We are requesting a new OMB process required under section 1890A of specifically required under the IMPACT control number for the proposed revised the Act. The MAP is a public-private Act for the year that begins 2 years after OASIS item as announced in the 30-day partnership comprised of multi- we adopt requirements that would Federal Register notice (80 FR 15797). stakeholder groups convened for the govern the submission of that data. The new information collection request primary purpose of providing input to Lastly, on April 1, 2014, the Congress is currently pending OMB approval. us on the selection of certain categories passed the Protecting Access to Information regarding the OASIS–C1 of quality and efficiency measures, as Medicare Act of 2014 (PAMA) (Pub. L. can be located at http://www.cms.gov/ required by section 1890A(a)(3) of the 113–93), which stated the Secretary may Medicare/Quality-Initiatives-Patient- Social Security Act (the Act). By not adopt ICD–10 prior to October 1, Assessment-Instruments/ February 1st of each year, the NQF must 2015. On August 4, 2014, HHS HomeHealthQualityInits/OASIS- provide that input to us. Input from the published a final rule titled C1.html. Additional information MAP is located at http:// ‘‘Administrative Simplification: Change regarding the adoption of ICD–10 can be www.qualityforum.org/Setting_ to the Compliance Date for the located at http://www.cms.gov/ Priorities/Partnership/Measure_ International Classification of Diseases, Medicare/Coding/ICD10/ Applications_Partnership.aspx. In 10th Revision (ICD–10–CM and ICD– index.html?redirect=/icd10. addition, we take into account national 10–PCS Medical Data Code Sets’’ (79 FR priorities, such as those established by 45128), which announced October 1, B. General Considerations Used for the the National Priorities Partnership at 2015 as the new compliance date. The Selection of Quality Measures for the http://www.qualityforum.org/npp/, and OASIS–C1 data item set had been HH QRP the HHS Strategic Plan at http:// previously approved by the Office of We strive to promote high quality and www.hhs.gov/secretary/about/priorities/ Management and Budget (OMB) on efficiency in the delivery of health care priorities.html. February 6, 2014 and scheduled for to the beneficiaries we serve. We initiated an Ad Hoc MAP process implementation on October 1, 2014. We Performance improvement leading to for the review of the measures under intended to use the OASIS–C1 to the highest quality health care requires consideration for implementation in

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preparation of the measures for 1890(b)(7)(B). The NQF must convene IMPACT Act domains; (d) we sought adoption into the HH QRP that we must these stakeholders and provide us with public comment as part of our measure propose through this fiscal year’s rule, the stakeholders’ input on the selection maintenance work; and (e) we in order to begin implementing such of such measures. We, in turn, must take implemented a public mail box for the measures by 2017. We included under this input into consideration in submission of comments in January, the List of Measures under selecting such measures. In addition, 2015 located at PACQualityInitiative@ Consideration (MUC List) a list of the Secretary must make available to the cms.hhs.gov. The CMS public mailbox measures that the Secretary must make public by December 1 of each year a list can be accessed on our post-acute care available to the public, as part of the of such measures that the Secretary is quality initiatives Web site: http:// pre-rulemaking process, as described in considering under Title XVIII of the Act. www.cms.gov/Medicare/Quality- section 1890A(a)(2) of the Act. The MAP As discussed in section V.A. of this Initiatives-Patient-Assessment- Off-Cycle Measures under Consideration proposed rule 1899B(e)(3) provides that Instruments/Post-Acute-Care-Quality- for PAC–LTC Settings can be accessed the pre-rulemaking process required by Initiatives/IMPACT-Act-of-2014-and- on the National Quality Forum Web site section 1890A of the Act applies to the Cross-Setting-Measures.html. Lastly, we at: http://www.qualityforum.org/map/. measures required under section 1899B, held a National Stakeholder Special The NQF MAP met in February 2015 subject to certain exceptions for Open Door Forum to seek input on the and provided input to us as required expedited procedures or, alternatively, measures on February 25, 2015. under section 1890A(a)(3) of the Act. waiver of section 1890A. We initiated In the absence of NQF endorsement The MAP issued a pre-rulemaking an ad hoc MAP process for the review on measures for the home health setting, or measures that are not fully supported report on March 6, 2015 entitled MAP of the quality measures under by the MAP for the HH QRP, we intend Off-Cycle Deliberations 2015: Measures consideration for proposal, in to propose for adoption measures that under Consideration to Implement preparation for adoption of those quality most closely align with the national Provisions of the IMPACT Act—Final measures into the HH QRP that are priorities discussed above and for which Report, which is available for download required by the IMPACT Act, and that the MAP supports the measure concept. at: http://www.qualityforum.org/ must be implemented by January 1, _ _ Further discussion as to the importance Publications/2015/03/MAP Off-Cycle 2017. The List of Measures under _ _ _ _ and high-priority status of these Deliberations 2015 - Final Consideration (MUC List) under the measures in the HH setting is included Report.aspx. The MAP’s input for the IMPACT Act was made public on proposed measure is discussed in this under each quality measure proposal in February 5, 2015. Under the IMPACT this proposed rule. In addition, for section. Act, these measures must be To meet the first specified application measures not endorsed by the NQF, we standardized so they can be applied date applicable to HHAs under section have sought, to the extent practicable, to across PAC settings and must 1899B(a)(2)(E) of the Act, which is adopt measures that have been endorsed correspond to measure domains October 1, 2017, we have focused on or adopted by a national consensus specified in sections 1899B(c)(1) and measures that: organization, recommended by multi- • Correspond to a measure domain in (d)(1) of the IMPACT Act. The MAP stakeholder organizations, and/or sections 1899B(c)(1) or (d)(1) of the Act reviewed each IMPACT Act-related developed with the input of providers, and are setting-agnostic: For example quality measure proposed in this purchasers/payers, and other falls with major injury and the proposed rule for the HH QRP, in light stakeholders. of its intended cross-setting use. We incidence of pressure ulcers; C. HH QRP Quality Measures and • Are currently adopted for 1 or more refer to sections V.A. and V.C. of this Measures Under Consideration for of our PAC quality reporting programs, proposed rule for more information on Future Years are already either NQF-endorsed and in the MAP’s recommendations. The use or finalized for use, or already MAP’s final report, MAP Off-Cycle In the CY 2014 HH PPS final rule, (78 previewed by the Measure Applications Deliberations 2015: Measures under FR 72256–72320), we finalized a Partnership (MAP) with support; Consideration to Implement Provisions proposal to add two claims-based • Minimize added burden on HHAs; of the IMPACT Act: Final Report, is measures to the HH QRP, and stated that • Minimize or avoid, to the extent available at http:// we would begin reporting the data from feasible, revisions to the existing items www.qualityforum.org/Setting_ these measures to HHAs beginning in in assessment tools currently in use (for Priorities/Partnership/MAP_ CY 2014. These claims based measures example, the OASIS); and Reports.aspx. As discussed in section are: (1) Rehospitalization during the first • Where possible, the avoidance V.A. of this proposed rule, section 30 days of HH; and (2) Emergency duplication of existing assessment 1899B(j) of the Act, requires that we Department Use without Hospital items. allow for stakeholder input, such as Readmission during the first 30 days of In our selection and specification of through town halls, open door forums, HH. In an effort to align with other measures, we employ a transparent and mailbox submissions, before the updates to Home Health Compare, process in which we seek input from initial rulemaking process to implement including the transition to quarterly stakeholders and national experts and section 1899B. To meet this provider preview reports, we have made engage in a process that allows for pre- requirement, we provided the following the decision to delay the reporting of rulemaking input on each measure, as opportunities for stakeholder input: (a) data from these measures until July required by section 1890A of the Act. We convened a technical expert panel 2015 (http://www.cms.gov/Medicare/ This process is based on a private public (TEP) that included stakeholder experts Quality-Initiatives-Patient-Assessment- partnership, and it occurs via the MAP. and patient representatives on February Instruments/HomeHealthQualityInits/ The MAP is composed of 3, 2015; (b) we provided two separate HHQISpotlight.html). Also in that rule, multistakeholder groups convened by listening sessions on February 10th and we finalized our proposal to reduce the the NQF, our current contractor under March 24, 2015; (c) we sought public number of process measures reported on section 1890 of the Act, to provide input input during the February 2015 ad hoc the Certification and Survey Provider on the selection of quality and MAP process regarding the measures Enhanced Reporting (CASPER) reports efficiency measures described in section under consideration with respect to by eliminating the stratification by

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episode length for nine (9) process ulcers are a serious medical condition The IMPACT Act requires the measures. The removal of these that result in pain, decreased quality of specification of quality measures that measures from the CASPER folders life, and increased mortality in aging are harmonized across PAC settings. occurred in October 2014. The CMS populations.65 66 67 68 Pressure ulcers This requirement is consistent with the Home Health Quality Initiative Web site typically are the result of prolonged NQF Steering Committee report, which identifies the current HH QRP measures periods of uninterrupted pressure on the stated that to understand the impact of located at http://www.cms.gov/ skin, soft tissue, muscle, and bone.69 70 71 pressure ulcers across settings, quality Medicare/Quality-Initiatives-Patient- Elderly individuals are prone to a wide measures addressing prevention, Assessment-Instruments/ range of medical conditions that incidence, and prevalence of pressure HomeHealthQualityInits/ increase their risk of developing ulcers must be harmonized and HHQIQualityMeasures.html. In pressure ulcers. These include impaired aligned.83 NQF #0678, Percent of addition, as stated in the CY 2012 and mobility or sensation, malnutrition or Residents or Patients with Pressure CY 2013 HH PPS final rules (76 FR undernutrition, obesity, stroke, diabetes, Ulcers That Are New or Worsened 68575 and 77 FR 67093, respectively), dementia, cognitive impairments, (Short Stay) is NQF-endorsed and has we finalized that we will also use circulatory diseases, dehydration, bowel been successfully implemented using a measures derived from Medicare claims or bladder incontinence, the use of harmonized set of data elements in IRF, data to measure home health quality. wheelchairs, the use of medical devices, LTCH, and SNF settings. A new item, This effort ensures that providers do not polypharmacy, and a history of pressure M1309 was added to the OASIS–C1/ have an additional burden of reporting ulcers or a pressure ulcer at ICD–9 version to collect data on new quality of care measures through a admission.72 73 74 75 76 77 78 79 80 81 82 and worsened pressure ulcers in home separate mechanism, and that the costs health patients to support associated with the development and Pacific Pressure Injury Alliance. Prevention and harmonization with NQF #0678; data testing of a new reporting mechanism Treatment of Pressure Ulcers: Clinical Practice collection for this item began January 1, are avoided. Guideline. Emily Haesler (Ed.) Cambridge Media; 2015. A new measure, based on this (a) We are proposing one standardized Osborne Park, Western Australia; 2014. 65 Casey, G. (2013). ‘‘Pressure ulcers reflect item, was included in the 2014 MUC list cross-setting new measure for CY 2016 and received conditional endorsement to meet the requirements of the IMPACT quality of nursing care.’’ Nurs N Z 19(10): 20–24. 66 Gorzoni, M. L., and S. L. Pires (2011). ‘‘Deaths from the National Quality Forum. That Act. The proposed quality measure that in nursing homes.’’ Rev Assoc Med Bras 57(3): 327– measure was harmonized with NQF addresses the domain of skin integrity 331. #0678, but differed in the consideration 67 and changes in skin integrity is the Thomas, J. M., et al. (2013). ‘‘Systematic of unstageable pressure ulcers. In this National Quality Forum (NQF)-endorsed review: health-related characteristics of elderly hospitalized adults and nursing home residents rule, we are proposing a HH measure measure: Percent of Residents or associated with short-term mortality.’’ J Am Geriatr that is fully-standardized with NQF Patients with Pressure Ulcers That Are Soc 61(6): 902–911. #0678. New or Worsened (Short Stay) (NQF 68 White-Chu, E. F., et al. (2011). ‘‘Pressure ulcers A TEP convened by our measure #0678) (http://www.qualityforum.org/ in long-term care.’’ Clin Geriatr Med 27(2): 241–258. 69 Bates-Jensen BM. Quality indicators for development contractor provided input QPS/0678). on the technical specifications of this The IMPACT Act requires the prevention and management of pressure ulcers in vulnerable elders. Ann Int Med. 2001;135 (8 Part 2), quality measure, including the specification of a quality measure to 744–51. feasibility of implementing the measure address skin integrity and changes in 70 Institute for Healthcare Improvement (IHI). across PAC settings. The TEP was Relieve the pressure and reduce harm. May 21, skin integrity in the home health setting supportive of the implementation of this by January 1, 2017. We are proposing 2007. Available from http://www.ihi.org/IHI/ Topics/PatientSafety/SafetyGeneral/ measure across PAC settings and the implementation of the quality ImprovementStories/ applauded CMS’s efforts to standardize measure NQF #0678, Percent of FSRelievethePressureandReduceHarm.htm. this measure for cross-setting Residents or Patients with Pressure 71 Russo CA, Steiner C, Spector W. Hospitalizations related to pressure ulcers among development. Additionally, the NQF Ulcers that are New or Worsened (Short MAP met on February 9, 2015 and Stay) in the HH QRP as a cross-setting adults 18 years and older, 2006 (Healthcare Cost and Utilization Project Statistical Brief No. 64). quality measure to meet the December 2008. Available from http:// 78 Michel, J. M., et al. (2012). ‘‘As of 2012, what requirements of the IMPACT Act for the www.hcupus.ahrq.gov/reports/statbriefs/sb64.pdf. are the key predictive risk factors for pressure CY 2018 payment determination and 72 Agency for Healthcare Research and Quality ulcers? Developing French guidelines for clinical subsequent years. This measure reports (AHRQ). Agency news and notes: pressure ulcers practice.’’ Ann Phys Rehabil Med 55(7): 454–465. 79 the percent of patients with Stage 2 are increasing among hospital patients. January National Pressure Ulcer Advisory Panel 2009. Available from http://www.ahrq.gov/ (NPUAP) Board of Directors; Cuddigan J, Berlowitz through 4 pressure ulcers that are new research/jan09/0109RA22.htm.=. DR, Ayello EA (Eds). Pressure ulcers in America: or worsened since the beginning of the 73 Bates-Jensen BM. Quality indicators for prevalence, incidence, and implications for the episode of care. prevention and management of pressure ulcers in future. An executive summary of the National Pressure ulcers are high-volume in vulnerable elders. Ann Int Med. 2001;135 (8 Part 2), Pressure Ulcer Advisory Panel Monograph. Adv 744–51. Skin Wound Care. 2001;14(4):208–15. post-acute care settings and high-cost 74 Cai, S., et al. (2013). ‘‘Obesity and pressure 80 Park-Lee E, Caffrey C. Pressure ulcers among adverse events. According to the 2014 ulcers among nursing home residents.’’ Med Care nursing home residents: United States, 2004 (NCHS Prevention and Treatment Guidelines 51(6): 478–486. Data Brief No. 14). Hyattsville, MD: National Center published by the National Pressure 75 Casey, G. (2013). ‘‘Pressure ulcers reflect for Health Statistics, 2009. Available from http:// Ulcer Advisory Panel, European quality of nursing care.’’ Nurs N Z 19(10): 20–24. www.cdc.gov/nchs/data/databriefs/db14.htm. 76 Hurd D, Moore T, Radley D, Williams C. 81 Reddy, M. (2011). ‘‘Pressure ulcers.’’ Clin Evid Pressure Ulcer Advisory Panel, and Pan Pressure ulcer prevalence and incidence across (Online) 2011. Pacific Pressure Injury Alliance, post-acute care settings. Home Health Quality 82 Teno, J. M., et al. (2012). ‘‘Feeding tubes and pressure ulcer care is estimated to cost Measures & Data Analysis Project, Report of the prevention or healing of pressure ulcers.’’ Arch approximately $11 billion annually, and Findings, prepared for CMS/OCSQ, Baltimore, MD, Intern Med 172(9): 697–701. under Contract No. 500–2005–000181 TO 0002. 83 National Quality Forum. National voluntary between $500 and $70,000 per 2010. 64 consensus standards for developing a framework for individual pressure ulcer. Pressure 77 MacLean DS. Preventing & managing pressure measuring quality for prevention and management sores. Caring for the Ages. March 2003;4(3):34–7. of pressure ulcers. April 2008. Available from 64 National Pressure Ulcer Advisory Panel, Available from http://www.amda.com/publications/ http://www.qualityforum.org/Projects/Pressure_ European Pressure Ulcer Advisory Panel and Pan caring/march2003/policies.cfm. Ulcers.aspx.

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February 27, 2015 and provided input to HomeHealthQualityInits/ panel members recommended that these CMS. The MAP supported the use of HHQIOASISUserManual.html. be included in the numerator of NQF NQF #0678, Percent of Residents or The calculation of the proposed #0678, the Percent of Residents, or Patients with Pressure Ulcers that are measure would be based on the items Patients with Pressure Ulcers That Are New or Worsened (Short Stay) in the M1308 (Current Number of Unhealed New or Worsened (Short Stay), as a new HH QRP as a cross-setting quality Pressure Ulcers at Each Stage or pressure ulcer if developed during a measure implemented under the Unstageable) and M1309 (Worsening in home health episode. The TEP also IMPACT Act. More information about Pressure Ulcer Status Since SOC/ROC). recommended that a Stage 1 or 2 the MAPs recommendations for this The specifications and data items for pressure ulcer that becomes unstageable measure is available at http:// NQF #0678, the Percent of Residents or due to slough or eschar should be www.qualityforum.org/map/. Patients with Pressure Ulcers that are considered worsened because the We propose that data for the New or Worsened (Short Stay), are presence of slough or eschar indicates a standardized quality measure would be available at http://www.cms.gov/ full thickness (equivalent to Stage 3 or collected using the OASIS–C1 with Medicare/Quality-Initiatives-Patient- 4) wound.84 85 These recommendations submission through the Quality Assessment-Instruments/Post-Acute- were supported by technical and Improvement and Evaluation System Care-Quality-Initiatives/PAC-Quality- clinical advisors and the National (QIES) Assessment Submission and Initiatives.html. Pressure Ulcer Advisory Panel.86 Processing (ASAP) system. HHAs began We invite public comment on our Additionally, exploratory data analysis submitting data in January 2015 for the proposal to adopt NQF #0678 Percent of conducted by our measure development OASIS items used to calculate NQF Residents or Patients with Pressure contractor suggests that the addition of #0678, the Percent of Residents, or Ulcers that are New or Worsened (Short unstageable pressure ulcers, including Stay) for the HH QRP to fulfill the Patients with Pressure Ulcers That Are sDTIs, would increase the observed timeline requirements for New or Worsened (Short Stay), as part incidence of new or worsened pressure implementation under the IMPACT Act, of the Home Health Quality Initiative to ulcers at the agency level and may for CY2018 HH payment determination assess the number of new or worsened improve the ability of the quality and subsequent years. measure to discriminate between poor- pressure ulcers in January 2015. By As part of our ongoing measure building on the existing reporting and and high-performing facilities. development efforts, we are considering In addition, we are also considering submission infrastructure for HHAs, we a future update to the numerator of the intend to minimize the administrative whether body mass index (BMI) should quality measure NQF #0678, Percent of be used as a covariate for risk-adjusting burden related to data collection and Residents or Patients with Pressure submission for this measure under the NQF #0678 in the home health setting, Ulcers that are New or Worsened (Short as is done in other post-acute care HH QRP. For more information on HH Stay). This update would hold providers reporting using the QIES ASAP system, settings. We invite public feedback to accountable for the development of inform our direction to include refer to: http://www.cms.gov/Medicare/ unstageable pressure ulcers and Quality-Initiatives-Patient-Assessment- unstageable pressure ulcers and sDTIs suspected deep tissue injuries (sDTIs). in the numerator of the quality measure Instruments/HomeHealthQualityInits/ Under this proposed change the HHQIOASISUserManual.html and NQF #0678 Percent of Residents or numerator of the quality measure would Patients with Pressure Ulcers that are http://www.cms.gov/Medicare/Quality- be updated to include unstageable Initiatives-Patient-Assessment- New or Worsened (Short Stay), as well pressure ulcers, including sDTIs that are as on the possible collection of height Instruments/OASIS/ new/developed while the patient is index.html?redirect=/oasis/. receiving home health care, as well as 84 Schwartz, M., Nguyen, K.H., Swinson Evans, Data collected through the OASIS–C1 Stage 1 or 2 pressure ulcers that become T.M., Ignaczak, M.K., Thaker, S., and Bernard, S.L.: would be used to calculate this quality unstageable due to slough or eschar Development of a Cross-Setting Quality Measure for measure. Data items in the OASIS–C1 (indicating progression to a full Pressure Ulcers: OY2 Information Gathering, Final Report. Centers for Medicare & Medicaid Services, include M1308 (Current Number of thickness [that is, stage 3 or 4] pressure November 2013. Available: http://www.cms.gov/ Unhealed Pressure Ulcers at Each Stage ulcer) after admission. This would be Medicare/Quality-Initiatives-Patient-Assessment- or Unstageable) and M1309 (Worsening consistent with the specifications of the Instruments/Post-Acute-Care-Quality-Initiatives/ in Pressure Ulcer Status Since SOC/ ‘‘New and Worsened Pressure Ulcer’’ Downloads/Development-of-a-Cross-Setting- Quality-Measure-for-Pressure-Ulcers-Information- ROC). Data collected through the measure for HH patients presented to Gathering-Final-Report.pdf OASIS–C1 would be used for risk the MAP on the 2014 MUC list. At this 85 Schwartz, M., Ignaczak, M.K., Swinson Evans, adjustment of this measure. We time, we are not proposing the T.M., Thaker, S., and Smith, L.: The Development anticipate risk adjustment items would implementation of this change (that is, of a Cross-Setting Pressure Ulcer Quality Measure: include, but is not limited to M1850 including sDTIs and unstageable Summary Report on November 15, 2013, Technical Expert Panel Follow-Up Webinar. Centers for (Activities of Daily Living Assistance, pressure ulcers in the numerator) in the Medicare & Medicaid Services, January 2014. Transferring), and M1620 (Bowel HH QRP, but are soliciting public Available: http://www.cms.gov/Medicare/Quality- Incontinence Frequency). OASIS C1 feedback on this potential area of Initiatives-Patient-Assessment-Instruments/Post- items M1016 (Diagnoses Requiring measure development. Acute-Care-Quality-Initiatives/Downloads/ Development-of-a-Cross-Setting-Pressure-Ulcer- Medical or Treatment Change Within Our measure development contractor Quality-Measure-Summary-Report-on-November- past 14 Days), M1020 (Primary convened a cross-setting pressure ulcer 15-2013-Technical-Expert-Pa.pdf Diagnoses) and M1022 (Other TEP that strongly recommended that 86 Schwartz, M., Nguyen, K.H., Swinson Evans, Diagnoses) would be used to identify CMS hold providers accountable for the T.M., Ignaczak, M.K., Thaker, S., and Bernard, S.L.: Development of a Cross-Setting Quality Measure for patients with a diagnosis of peripheral development of new unstageable Pressure Ulcers: OY2 Information Gathering, Final vascular disease, diabetes, or pressure ulcers and sDTIs by including Report. Centers for Medicare & Medicaid Services, malnutrition. More information about these pressure ulcers in the numerator November 2013. Available: http://www.cms.gov/ the OASIS items is available in the of the quality measure. Although the Medicare/Quality-Initiatives-Patient-Assessment- Instruments/Post-Acute-Care-Quality-Initiatives/ OASIS Manual http://www.cms.gov/ TEP acknowledged that unstageable Downloads/Development-of-a-Cross-Setting- Medicare/Quality-Initiatives-Patient- pressure ulcers and sDTIs cannot and Quality-Measure-for-Pressure-Ulcers-Information- Assessment-Instruments/ should not be assigned a numeric stage, Gathering-Final-Report.pdf

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and weight data for risk-adjustment, as condition risk-adjusted potentially are shown in Table 22; we would like part of our future measure development preventable hospital readmission rates; to solicit public feedback to inform efforts. (2) resource use, including total future measure development of these (b) We have also identified four estimated Medicare spending per constructs as it relates to meeting the future, cross-setting measure constructs beneficiary; (3) discharge to community; IMPACT Act requirements in these to potentially meet requirements of the and (4) medication reconciliation. These areas. IMPACT Act domains of: (1) All-

TABLE 22—FUTURE CROSS-SETTING MEASURE CONSTRUCTS UNDER CONSIDERATION TO MEET IMPACT ACT REQUIREMENTS [Home Health Timeline for Implementation—January 1, 2017]

IMPACT Act domain Measures to reflect all-condition risk-adjusted potentially preventable hospital readmission rates

Measures ...... Application of (NQF #2510): Skilled Nursing Facility 30-Day All-Cause Readmission Measure (SNFRM) CMS is the steward. Application of the LTCH/IRF All-Cause Unplanned Readmission Measure for 30 Days Post Dis- charge from LTCHs/IRFs. IMPACT Act Domain ...... Resource Use, including total estimated Medicare spending per beneficiary. Measure ...... Payment Standardized Medicare Spending Per Beneficiary (MSPB). IMPACT Act Domain ...... Discharge to community. Measure ...... Percentage residents/patients at discharge assessment, who discharged to a higher level of care versus to the community. IMPACT Act Domain ...... Medication Reconciliation. Measure ...... Percent of patients for whom any needed medication review actions were completed.

(c) We are working with our measure development, we take into such as those established by the development and maintenance consideration results of environmental National Priorities Partnership, the HHS contractor to identify setting-specific scans and resulting gaps analysis for Strategic Plan, the National Strategy for measure concepts for future relevant home health quality measure Quality Improvement in Healthcare, and implementation in the HH QRP that constructs, along with input from the CMS Quality Strategy. Based on align with or complement current numerous stakeholders, including the input from stakeholders, CMS has measures and new measures to meet Measures Application Partnership identified several high priority concept domains specified in the IMPACT Act. (MAP), the Medicare Payment Advisory areas for future measure development in In identifying priority areas for future Commission (MedPAC), Technical Table 23. measure enhancement and Expert Panels, and national priorities,

TABLE 23—FUTURE SETTING-SPECIFIC MEASURE CONSTRUCTS UNDER CONSIDERATION

National quality strategy domain Measure construct

Safety ...... Falls risk composite process measure: Percentage of home health patients who were as- sessed for falls risk and whose care plan reflects the assessment, and which was imple- mented appropriately. Effective Prevention and Treatment ...... Nutrition assessment composite measure: Percentage of home health patients who were as- sessed for nutrition risk with a validated tool and whose care plan reflects the assessment, and which was implemented appropriately. Improvement in Dyspnea in Patients with a Primary Diagnosis of Congestive Heart Failure (CHF), Chronic Obstructive Pulmonary Disease (COPD), and/or Asthma: Percentage of home health episodes of care during which a patient with a primary diagnosis of CHF, asthma and/or COPD became less short of breath or dyspneic. Improvement in Patient-Reported Interference due to Pain: Percent of home health patients whose self-reported level of pain interference on the Patient-Reported Objective Measure- ment Information System (PROMIS) tool improved. Improvement in Patient-Reported Pain Intensity: Percent of home health patients whose self- reported level of pain severity on the PROMIS tool improved. Improvement in Patient-Reported Fatigue: Percent of home health patients whose self-re- ported level of fatigue on the PROMIS tool improved. Stabilization in 3 or more Activities of Daily Living (ADLs): Percent of home health patients whose functional scores remain the same between admission and discharge for at least 3 ADLs.

These measure concepts are under priority concept areas for future D. Form, Manner, and Timing of OASIS development, and details regarding measure development. Data Submission and OASIS Data for measure definitions, data sources, data Annual Payment Update collection approaches, and timeline for 1. Regulatory Authority implementation would be communicated in future rulemaking. We The HH conditions of participation invite feedback about these seven high (CoPs) at § 484.55(d) require that the

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comprehensive assessment must be 2. Home Health Quality Reporting extent to which CMS was overseeing the updated and revised (including the Program Requirements for CY 2016 accuracy and completeness of OASIS administration of the OASIS) no less Payment and Subsequent Years data submitted by HHAs. Based on the frequently than: (1) The last 5 days of In the CY 2014 HH PPS Final rule (78 OIG report we proposed a performance every 60 days beginning with the start FR 72297), we finalized a proposal to requirement for submission of OASIS of care date, unless there is a consider OASIS assessments submitted quality data, which would be responsive beneficiary-elected transfer, significant by HHAs to CMS in compliance with to the recommendations of the OIG. In response to these requirements and change in condition, or discharge and HH CoPs and Conditions for Payment the OIG report, we designed a pay-for- return to the same HHA during the 60- for episodes beginning on or after July reporting performance system model day episode; (2) within 48 hours of the 1, 2012, and before July 1, 2013 as patient’s return to the home from a that could accurately measure the level fulfilling one portion of the quality of an HHA’s submission of OASIS data. hospital admission of 24-hours or more reporting requirement for CY 2014. for any reason other than diagnostic The performance system is based on the In addition, we finalized a proposal to principle that each HHA is expected to tests; and (3) at discharge. continue this pattern for each It is important to note that to calculate submit a minimum set of two matching subsequent year beyond CY 2014. assessments for each patient admitted to quality measures from OASIS data, OASIS assessments submitted for there must be a complete quality their agency. These matching episodes beginning on July 1st of the assessments together create what is episode, which requires both a Start of calendar year 2 years prior to the Care (initial assessment) or Resumption considered a quality episode of care, calendar year of the Annual Payment consisting ideally of a Start of Care of Care OASIS assessment and a Update (APU) effective date and ending Transfer or Discharge OASIS (SOC) or Resumption of Care (ROC) June 30th of the calendar year one year assessment and a matching End of Care assessment. Failure to submit sufficient prior to the calendar year of the APU OASIS assessments to allow calculation (EOC) assessment. However, it was effective date, fulfill the OASIS portion determined that there are several of quality measures, including transfer of the HH QRP requirement. and discharge assessments, is a failure scenarios that could meet this matching to comply with the CoPs. 3. Previously Established Pay-for- assessment requirement of the new pay- HHAs do not need to submit OASIS Reporting Performance Requirement for for-reporting performance requirement. data for those patients who are excluded Submission of OASIS Quality Data These scenarios or quality assessments from the OASIS submission are defined as assessments that create a Section 1895(b)(3)(B)(v)(I) of the Act quality episode of care during the requirements. As described in the states that for 2007 and each subsequent December 23, 2005 Medicare and reporting period or could create a year, the home health market basket quality episode if the reporting period Medicaid Programs: Reporting Outcome percentage increase applicable under were expanded to an earlier reporting and Assessment Information Set Data as such clause for such year shall be period or into the next reporting period. Part of the Conditions of Participation reduced by 2 percentage points if a Seven types of assessments submitted for Home Health Agencies final rule (70 home health agency does not submit by an HHA fit this definition of a quality FR 76202), we defined the exclusion as data to the Secretary in accordance with assessment. These are: those patients: subclause (II) with respect to such a • 1. A Start of Care (SOC; M0100 = ‘01’) Receiving only non-skilled services; year. This pay-for-reporting requirement or Resumption of Care (ROC; M0100 = • For whom neither Medicare nor was implemented on January 1, 2007. In ‘03’) assessment that can be matched to Medicaid is paying for HH care (patient the CY 2015 HH PPS Final rule (79 FR an End of Care (EOC; M0100 = ‘06’, ‘07’, receiving care under a Medicare or 38387), we finalized a proposal to ‘08’, or ‘09’) assessment. These SOC/ Medicaid Managed Care Plan are not define the quantity of OASIS ROC assessments are the first excluded from the OASIS reporting assessments each HHA must submit to assessment in the pair of assessments requirement); meet the pay-for-reporting requirement. that create a standard quality of care • Receiving pre- or post-partum We believe that defining a more episode describe in the previous services; or explicit performance requirement for paragraph. • Under the age of 18 years. the submission of OASIS data by HHAs 2. An End of Care (EOC) assessment As set forth in the CY 2008 HH PPS would better meet section 5201(c)(2) of that can be matched to a Start of Care final rule (72 FR 49863), HHAs that the Deficit Reduction Act of 2005 (SOC) or Resumption of Care (ROC) become Medicare certified on or after (DRA), which requires that each home assessment. These EOC assessments are May 31 of the preceding year are not health agency shall submit to the the second assessment in the pair of subject to the OASIS quality reporting Secretary such data that the Secretary assessments that create a standard requirement nor any payment penalty determines are appropriate for the quality of care episode describe in the for quality reporting purposes for the measurement of health care quality. previous paragraph. following year. For example, HHAs Such data shall be submitted in a form 3. A SOC/ROC assessment that could certified on or after May 31, 2014 are and manner, and at a time, specified by begin an episode of care, but the not subject to the 2 percentage point the Secretary for purposes of this clause. assessment occurs in the last 60 days of reduction to their market basket update In the CY 2015 HH PPS Final rule (79 the performance period. This is labeled for CY 2015. These exclusions only FR 38387), we reported information on as a Late SOC/ROC quality assessment. affect quality reporting requirements a study performed by the Department of The assumption is that the EOC and do not affect the HHAs’ reporting Health & Human Services, Office of the assessment will occur in the next responsibilities as announced in the Inspector General (OIG) in February reporting period. December 23, 2005 final rule, Medicare 2012 to: (1) Determine the extent to 4. An EOC assessment that could end and Medicaid Programs; Reporting which HHAs met federal reporting an episode of care that began in the Outcome and Assessment Information requirements for the OASIS data; (2) to previous reporting period, (that is, an Set Data as Part of the Conditions of determine the extent to which states met EOC that occurs in the first 60 days of Participation for Home Health Agencies federal reporting requirements for the performance period). This is labeled (70 FR 76202). OASIS data; and (3) to determine the as an Early EOC quality assessment. The

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assumption is that the matching SOC/ 7. A SOC/ROC assessment that is part Compliance with this performance ROC assessment occurred in the of a known one-visit episode. This is requirement can be measured through previous reporting period. labeled as a One-Visit episode quality the use of an uncomplicated 5. A SOC/ROC assessment that is assessment. This determination is made mathematical formula. This pay-for- followed by one or more follow-up by consulting HH claims data. reporting performance requirement assessments, the last of which occurs in metric has been titled as the ‘‘Quality the last 60 days of the performance SOC, ROC, and EOC assessments that do not meet any of these definitions are Assessments Only’’ (QAO) formula period. This is labeled as an SOC/ROC because only those OASIS assessments Pseudo Episode quality assessment. labeled as Non-Quality assessments. 6. An EOC assessment is preceded by Follow-up assessments (that is, where that contribute, or could contribute, to one or more follow-up assessments, the the M0100 Reason for Assessment = ‘04’ creating a quality episode of care are first of which occurs in the first 60 days or ‘05’) are considered Neutral included in the computation. of the performance period. This is assessments and do not count toward or The formula based on this definition labeled an EOC Pseudo Episode quality against the pay-for-reporting is as follows: assessment. performance requirement.

Our ultimate goal is to require all 2013 and 2014, to make a determination during submission can be an indication HHAs to achieve a pay-for-reporting about what the pay-for-reporting of a problem that occurred during the performance requirement compliance performance requirement should be. submission process and could also be an rate of 90 percent or more, as calculated Specifically, we reviewed OASIS data indication that the OASIS assessment using the QAO metric illustrated above. from this time period simulating the was rejected. Successful submission can In the CY 2015 HH PPS final rule (79 pay-for-reporting performance 70 be verified by ascertaining that the FR 66074), we proposed implementing percent submission requirement to submitted assessment data resides in the a pay-for-reporting performance determine the hypothetical performance national database after the assessment requirement over a three-year period. of each HHA as if the pay-for-reporting has met all of the quality standards for After consideration of the public performance requirement were in effect completeness and accuracy during the comments received, we adopted as final during the reporting period preceding submission process. Should one or more our proposal to establish a pay-for- its implementation. This analysis OASIS assessments submitted by a HHA reporting performance requirement for indicated a nominal increase of 10 be rejected due to an IT/servers issue assessments submitted on or after July 1, percent each year would provide the caused by CMS, we may, at our 2015 and before June 30, 2016 with greatest opportunity for successful discretion, excuse the non-submission appropriate start of care dates, HHAs implementation versus an increase of 20 of OASIS data. We anticipate that such must score at least 70 percent on the percent from year 1 to year 2. a scenario would rarely, if ever, occur. QAO metric of pay-for-reporting Based on this analysis, we propose to In the event that a HHA believes, they performance requirement or be subject set the performance threshold at 80 were unable to submit OASIS to a 2 percentage point reduction to percent for the reporting period from assessments due to an IT/server issue on their market basket update for CY 2017. July 1, 2016 through June 30, 2017. For the part of CMS, the HHA should be HHAs have been statutorily required the reporting period from July 1, 2017 prepared to provide any documentation to report OASIS for a number of years through June 30, 2018 and thereafter, we or proof available, which demonstrates and therefore should have many years of propose the performance threshold that no fault on their part contributed to experience with the collection of OASIS would be 90 percent. the failure of the OASIS records to data and transmission of this data to We provided a report to each HHA of transmit to CMS. CMS. Given the length of time that their hypothetical performance under The initial performance period for the HHAs have been mandated to report the pay-for-reporting performance pay-for-reporting performance OASIS data and based on preliminary requirement during the 2014–2015 pre- requirement would be July 1, 2015 analyses that indicate that the majority implementation reporting period in June through June 30, 2016. Prior to and of HHAs are already achieving the target 2015. On January 1, 2015, the data during this performance period, we goal of 90 percent on the QAO metric, submission process for OASIS have scheduled Open Door Forums and we believe that HHAs would adapt converted from the current state-based webinars to educate HHA personnel as quickly to the implementation of the OASIS submission system to a new needed about the pay-for-reporting pay-for-reporting performance national OASIS submission system performance requirement program and requirement, if phased in over a three- known as the Assessment Submission the pay-for- reporting performance QAO year period. and Processing (ASAP) System. On July metric, and distributed individual In the CY2015 rule, we did not 1, 2015, when the pay-for-reporting provider preview reports. Additionally, finalize a proposal to increase the performance requirement of 70 percent OASIS Education Coordinators (OECs) reporting requirement in 10 percent goes into effect, providers would be would be trained to provide state-level increments over a two-year period until required to submit their OASIS instruction on this program and metric. the maximum rate of 90 percent is assessment data into the ASAP system. We have already posted a report, which reached, but instead proposed to Successful submission of an OASIS provides a detailed explanation of the analyze historical data to set the assessment would consist of the methodology for this pay-for-reporting reporting requirements. To set the submission of the data into the ASAP QAO methodology. To view this report, threshold for the 2nd year, we analyzed system with a receipt of no fatal error go to: http://www.cms.gov/Medicare/ the most recently available data, from messages. Error messages received Quality-Initiatives-Patient-Assessment-

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Instruments/HomeHealthQualityInits/ which is downloadable from https:// information for a specific condition or Home-Health-Quality-Reporting- homehealthcahps.org. illness that the patient has; or Requirements.html. Training For public reporting purposes, we • No Publicity patients, defined as announcements and additional report five measures from the patients who on their own initiative at educational information related to the HHCAHPS Survey—three composite their first encounter with the HHAs pay-for-reporting performance measures and two global ratings of care make it very clear that no one outside requirement would be provided on the that are derived from the questions on of the agencies can be advised of their HH Quality Initiatives Web page. We the HHCAHPS survey. The publicly patient status, and no one outside of the invite public comment on our proposal reported data are adjusted for HHAs can contact them for any reason. to implement an 80 percent Pay-for- differences in patient mix across HHAs. We stated in previous rules that Reporting Performance Requirement for We update the HHCAHPS data on Home Medicare-certified HHAs are required to Submission of OASIS Quality Data for Health Compare on www.medicare.gov contract with an approved HHCAHPS Year 2 reporting period July 1, 2016 to quarterly. HHCAHPS data was first survey vendor. This requirement June 30, 2017 as described previously, publicly reported in April 2012 on continues, and Medicare-certified for the HH QRP. Home Health Compare. Each HHCAHPS agencies also must provide on a composite measure consists of four or monthly basis a list of all their survey- E. Home Health Care CAHPS Survey more individual survey items regarding eligible home health care patients (HHCAHPS) one of the following related topics: served to their respective HHCAHPS In the CY 2015 HH PPS final rule (79 • Patient care (Q9, Q16, Q19, and survey vendors. Agencies are not FR 66031), we stated that the home Q24); allowed to influence at all how their • health quality measures reporting Communications between providers patients respond to the HHCAHPS requirements for Medicare-certified and patients (Q2, Q15, Q17, Q18, Q22, survey. agencies include the Home Health Care and Q23); and As previously required, HHCAHPS • CAHPS® (HHCAHPS) Survey for the CY Specific care issues on medications, survey vendors are required to attend 2015 Annual Payment Update (APU). home safety, and pain (Q3, Q4, Q5, Q10, introductory and all update trainings We maintained the stated HHCAHPS Q12, Q13, and Q14). conducted by CMS and the HHCAHPS data requirements for CY 2015 set out in The two global ratings are the overall Survey Coordination Team, as well as to previous rules, for the continuous rating of care given by the HHA’s care pass a post-training certification test. monthly data collection and quarterly providers (Q20), and the patient’s Update training is required annually for data submission of HHCAHPS data. willingness to recommend the HHA to all approved HHCAHPS survey vendors. family and friends (Q25). We have approximately 30 approved 1. Background and Description of The HHCAHPS survey is currently HHCAHPS survey vendors. The most HHCAHPS available in English, Spanish, Chinese, current list of approved HHCAHPS Russian, and Vietnamese. The OMB As part of the HHS Transparency survey vendors is available at https:// number on these surveys is the same Initiative, we implemented a process to homehealthcahps.org. (0938–1066). All of these surveys are on measure and publicly report patient 2. HHCAHPS Oversight Activities the Home Health Care CAHPS® experiences with home health care, Web site, https://homehealthcahps.org. If We stated in prior final rules that all using a survey developed by the Agency approved HHCAHPS survey vendors are for Healthcare Research and Quality’s you need additional language translations of the HHCAHPS Survey, required to participate in HHCAHPS (AHRQ’s) Consumer Assessment of oversight activities to ensure Healthcare Providers and Systems please contact us at [email protected]. All of the requirements about home compliance with HHCAHPS protocols, (CAHPS®) program and originally health patient eligibility for the guidelines, and survey requirements. endorsed by the NQF in March 2009 HHCAHPS survey and conversely, The purpose of the oversight activities (NQF Number 0517) and recently NQF which home health patients are is to ensure that approved HHCAHPS re-endorsed in 2015. The HHCAHPS ineligible for the HHCAHPS survey are survey vendors follow the HHCAHPS survey is part of a family of CAHPS® delineated and detailed in the Protocols and Guidelines Manual. As surveys that asks patients to report on HHCAHPS Protocols and Guidelines stated previously in the six prior final and rate their experiences with health Manual, which is downloadable at rules to this proposed rule, all care. The HHCAHPS Survey is approved https://homehealthcahps.org. We HHCAHPS approved survey vendors under OMB Control Number 0938–1066 update the HHCAHPS Protocols and must develop a Quality Assurance Plan through May 31, 2017. The Home Guidelines Manual annually, and the (QAP) for survey administration in Health Care CAHPS® (HHCAHPS) current version is 7.0. Home health accordance with the HHCAHPS survey presents home health patients patients are eligible for HHCAHPS if Protocols and Guidelines Manual. An with a set of standardized questions they received at least two skilled home HHCAHPS survey vendor’s first QAP about their home health care providers health visits in the past 2 months, must be submitted within 6 weeks of the and about the quality of their home which are paid for by Medicare or data submission deadline date after the health care. Medicaid. vendor’s first quarterly data submission. Prior to the HHCAHPS survey, there Home health patients are ineligible for The QAP must be updated and was no national standard for collecting inclusion in HHCAHPS surveys if one of submitted annually thereafter and at any information about patient experiences these conditions pertains to them: time that changes occur in staff or that enabled valid comparisons across • Are under the age of 18; vendor capabilities or systems. A model all HHAs. The history and development • Are deceased prior to the date the QAP is included in the HHCAHPS process for HHCAHPS has been sample is pulled; Protocols and Guidelines Manual. The described in previous rules and is also • Receive hospice care; QAP must include the following: available on the official HHCAHPS Web • Receive routine maternity care only; • Organizational Background and site at https://homehealthcahps.org and • Are not considered survey eligible Staff Experience; in the annually-updated HHCAHPS because the state in which the patient • Work Plan; Protocols and Guidelines Manual, lives restricts release of patient • Sampling Plan;

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• Survey Implementation Plan; deadline is firm; no exceptions are CMS verification of the HHA patient • Data Security, Confidentiality and permitted. counts. Agencies with fewer than 60 Privacy Plan; and For the CY 2016 APU, we required HHCAHPS-eligible, unduplicated or • Questionnaire Attachments. that all HHAs that had fewer than 60 unique patients in the period of April 1, As part of the oversight activities, the HHCAHPS-eligible unduplicated or 2014 through March 31, 2015, are HHCAHPS Survey Coordination Team unique patients in the period of April 1, required to submit their patient counts conducts on-site visits to all approved 2013 through March 31, 2014 are on the HHCAHPS Participation HHCAHPS survey vendors. The purpose exempted from the HHCAHPS data Exemption Request form for the CY of the site visits is to allow the collection and submission requirements 2017 APU posted on https:// HHCAHPS Coordination Team to for the CY 2016 APU, upon completion homehealthcahps.org by 11:59 p.m., observe the entire HHCAHPS Survey of the CY 2016 HHCAHPS Participation EST on March 31, 2016. This deadline implementation process, from the Exemption Request form, and upon is firm, as are all of the quarterly data sampling stage through file preparation CMS verification of the HHA patient submission deadlines for the HHAs that and submission, as well as to assess data counts. Agencies with fewer than 60 participate in HHCAHPS. security and storage. The HHCAHPS HHCAHPS-eligible, unduplicated or We automatically exempt HHAs Survey Coordination Team reviews the unique patients in the period of April 1, receiving Medicare certification after the HHCAHPS survey vendor’s survey 2013, through March 31, 2014, were period in which HHAs do their patient systems, and assesses administration required to submit their patient counts counts. HHAs receiving Medicare protocols based on the HHCAHPS on the HHCAHPS Participation certification on or after April 1, 2015 are Protocols and Guidelines Manual posted Exemption Request form for the CY exempt from the HHCAHPS reporting at https://homehealthcahps.org. The 2016 APU posted on https:// requirement for the CY 2017 APU. systems and program site visit review homehealthcahps.org by 11:59 p.m., These newly-certified HHAs did not includes, but is not limited to the EST on March 31, 2015. This deadline need to complete a HHCAHPS following: was firm, as are all of the quarterly data Participation Exemption Request form • Survey management and data submission deadlines for the HHAs that for the CY 2017 APU. participate in HHCAHPS. systems; 5. HHCAHPS Requirements for the CY • Printing and mailing materials and We automatically exempt HHAs 2018 APU facilities; receiving Medicare certification after the • Telephone call center facilities; period in which HHAs do their patient For the CY 2018 APU, we require • Data receipt, entry and storage counts. HHAs receiving Medicare continued monthly HHCAHPS data facilities; and certification on or after April 1, 2014 are collection and reporting for four • Written documentation of survey exempt from the HHCAHPS reporting quarters. The data collection period for processes. requirement for the CY 2016 APU. the CY 2018, APU includes the second After the site visits, HHCAHPS survey These newly-certified HHAs did not quarter 2016 through the first quarter vendors are given a defined time period need to complete a HHCAHPS 2017 (the months of April 2016 through in which to correct any identified issues Participation Exemption Request form March 2017). HHAs would be required and provide follow-up documentation for the CY 2016 APU. to submit their HHCAHPS data files to of corrections for review. HHCAHPS the HHCAHPS Data Center for the survey vendors are subject to follow-up 4. HHCAHPS Requirements for the CY second quarter 2016 by 11:59 p.m., EST 2017 APU site visits on an as-needed basis. on October 20, 2016; for the third In the CY 2013 HH PPS final rule (77 For the CY 2017 APU, we require quarter 2016 by 11:59 p.m., EST on FR 67094, 67164), we codified the continued monthly HHCAHPS data January 19, 2017; for the fourth quarter current guideline that all approved collection and reporting for four 2016 by 11:59 p.m., EST on April 20, HHCAHPS survey vendors fully comply quarters. The data collection period for 2017; and for the first quarter 2017 by with all HHCAHPS oversight activities. the CY 2017, APU includes the second 11:59 p.m., EST on July 20, 2017. These We included this survey requirement at quarter 2015 through the first quarter deadlines will be firm; no exceptions § 484.250(c)(3). 2016 (the months of April 2015 through will be permitted. March 2016). HHAs would be required For the CY 2018 APU, we require that 3. HHCAHPS Requirements for the CY to submit their HHCAHPS data files to all HHAs that have fewer than 60 2016 APU the HHCAHPS Data Center for the HHCAHPS-eligible unduplicated or In the CY 2015 HH PPS final rule (79 second quarter 2015 by 11:59 p.m., EST unique patients in the period of April 1, FR 66031), we stated that for the CY on October 15, 2015; for the third 2015 through March 31, 2016 are 2016 APU, we would require continued quarter 2015 by 11:59 p.m., EST on exempted from the HHCAHPS data monthly HHCAHPS data collection and January 21, 2016; for the fourth quarter collection and submission requirements reporting for four quarters. The data 2015 by 11:59 p.m., EST on April 21, for the CY 2018 APU, upon completion collection period for CY 2016, APU 2016; and for the first quarter 2016 by of the CY 2018 HHCAHPS Participation includes the second quarter 2014 11:59 p.m., EST on July 21, 2016. These Exemption Request form, and upon through the first quarter 2015 (the deadlines will be firm; no exceptions CMS verification of the HHA patient months of April 2014 through March will be permitted. counts. Agencies with fewer than 60 2015). Although these dates are past, we For the CY 2017 APU, we require that HHCAHPS-eligible, unduplicated or wished to state them in this proposed all HHAs that have fewer than 60 unique patients in the period of April 1, rule so that HHAs are again reminded of HHCAHPS-eligible unduplicated or 2015 through March 31, 2016, are what months constituted the unique patients in the period of April 1, required to submit their patient counts requirements for the CY 2016 APU. 2014 through March 31, 2015 are on the HHCAHPS Participation HHAs are required to submit their exempted from the HHCAHPS data Exemption Request form for the CY HHCAHPS data files to the HHCAHPS collection and submission requirements 2018 APU posted on https:// Data Center for the HHCAHPS data from for the CY 2017 APU, upon completion homehealthcahps.org by 11:59 p.m., the first quarter of 2015 data by 11:59 of the CY 2017 HHCAHPS Participation EST on March 31, 2017. This deadline p.m., EST on July 16, 2015. This Exemption Request form, and upon is firm, as are all of the quarterly data

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submission deadlines for the HHAs that the 2 percent reduction via the Provider Reports (for all Process Measures and participate in HHCAHPS. Reimbursement Review Board (PRRB) Outcome Measures) on a quarterly, We automatically exempt HHAs appeals process. The PRRB contact rather than annual, basis. The receiving Medicare certification after the information is provided to the HHAs opportunity for providers to review period in which HHAs do their patient receiving letters in December about the their data and to submit corrections counts. HHAs receiving Medicare CMS reconsideration decisions. prior to public reporting aligns with the Certification on or after April 1, 2016 Providers who wish to submit a other quality reporting programs and the are exempt from the HHCAHPS reconsideration request should continue requirement for provider review under reporting requirement for the CY 2018 to follow the reconsideration and the IMPACT Act. We provide quality APU. These newly-certified HHAs did appeals process as finalized in the CY measure data to HHAs via the not need to complete a HHCAHPS 2012, CY 2013, CY 2014, and CY 2015 Certification and Survey Provider Participation Exemption Request form Home Health Prospective Payment Enhanced Reports (CASPER reports), for the CY 2018 APU. System Rate Update Final Rules. which are available through the CMS 6. HHCAHPS Reconsiderations and 7. Summary Health Care Quality Improvement and Appeals Process Evaluation System (QIES). We are not proposing any changes to As part of our ongoing efforts to make HHAs should monitor their respective the participation requirements, or to the healthcare more transparent, affordable, HHCAHPS survey vendors to ensure requirements pertaining to the and accountable, the HH QRP has that vendors submit their HHCAHPS implementation of the Home Health developed a CMS Compare Web site for ® data on time, by accessing their CAHPS Survey (HHCAHPS). We only home health agencies, which identifies HHCAHPS Data Submission Reports on updated the information to reflect the home health providers based on the https://homehealthcahps.org. This dates in the future APU years. We again areas they serve. Consumers can search would help HHAs ensure that their data strongly encourage HHAs to keep up-to- for all Medicare-certified home health are submitted in the proper format for date about the HHCAHPS by regularly providers that serve their city or ZIP data processing to the HHCAHPS Data viewing the official Web site for the code and then find the agencies offering Center. HHCAHPS at https:// the types of services they need. A subset We will continue HHCAHPS homehealthcahps.org. HHAs can also of the HH quality measures has been oversight activities as finalized in the send an email to the HHCAHPS Survey publicly reported on the Home Health CY 2014 rule. In the CY 2013 HH PPS Coordination Team at HHCAHPS@ Compare (HH Compare) Web site since final rule (77 FR 6704, 67164), we rti.org, or telephone toll-free (1–866– 2003. The selected measures that are codified the current guideline that all 354–0985) for more information about made available to the public can be approved HHCAHPS survey vendors HHCAHPS. viewed on the HH Compare Web site must fully comply with all HHCAHPS located at http://www.medicare.gov/ oversight activities. We included this F. Public Display of Home Health Quality Data for the HH QRP HHCompare/Home.asp. survey requirement at § 484.250(c)(3). The Affordable Care Act calls for We propose to continue the OASIS Section 1895(b)(3)(B)(v)(III) of the Act transparent, easily understood and HHCAHPS reconsiderations and and section 1899B(f) of the IMPACT Act information on provider quality to be appeals process that we have finalized states the Secretary shall establish publicly reported and made widely and that we have used for prior periods procedures for making data submitted available. To provide home health care for the CY 2012, CY 2013, CY 2014, and under subclause (II) available to the consumers with a summary of existing CY 2015 APU determinations. We have public. Such procedures shall ensure quality measures in an accessible described the reconsiderations process that a home health agency has the format, we plan to publish a star rating requirements in the CMS Technical opportunity to review the data that is to based on the quality of care measures Direction Letter that we sent to the be made public with respect to the for home health agencies on Home affected HHAs, on or in late September. agency prior to such data being made Health Compare starting in July 2015. HHAs have 30 days from their receipt of public. We recognize that public This is part of our plan to adopt star the Technical Direction Letter informing reporting of quality data is a vital ratings across all Medicare.gov Compare them that they did not meet the OASIS component of a robust quality reporting Web sites. Star ratings are currently and HHCAHPS requirements for the CY program and are fully committed to publicly displayed on Nursing Home period, to send all documentation that ensuring that the data made available to Compare, Physician Compare, the supports their requests for the public be meaningful and that Medicare Advantage Plan Finder, and reconsideration to CMS. It is important comparing performance across home Dialysis Facility Compare, and they are that the affected HHAs send in health agencies requires that measures scheduled to be displayed on Hospital comprehensive information in their be constructed from data collected in a Compare in 2015. reconsideration letter/package because standardized and uniform manner. We The Quality of Patient Care star rating we would not contact the affected HHAs also recognize the need to ensure that methodology assigns each home health to request additional information or to each home health agency has the agency a rating between one (1) and five clarify incomplete or inconclusive opportunity to review the data before (5) stars, using half stars for adjustment information. If clear evidence to support publication. Medicare home health and reporting. All Medicare-certified a finding of compliance is not present, regulations, as codified at § 484.250(a), home health agencies are eligible to the 2 percent reduction in the APU requires HHAs to submit OASIS receive a Quality of Patient Care star would be upheld. If clear evidence of assessments and Home Health Care rating providing that they have quality compliance is present, the 2 percent Consumer Assessment of Healthcare data reported on at least 5 out of the 9 reduction for the APU would be Providers and Systems Survey® quality measures that are included in reversed. We notify affected HHAs by (HHCAHPS) data to meet the quality the calculation. December 31st annually for the APU reporting requirements of section Home health agencies would continue period that begins on January 1st. If we 1895(b)(3)(B)(v) of the Act. to have prepublication access to their determine to uphold the 2 percent In addition, beginning April 1, 2015 agency’s quality data, which enables reduction, the HHA may further appeal HHAs began to receive Provider Preview each agency to know how it is

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performing before public posting of the Management and Budget (OMB) on variation in costs among different units data on the Compare Web site. Starting February 6, 2014 and scheduled for of services. Lastly, section 1895(b)(4)(C) in April 2015, HHAs are receiving implementation on October 1, 2014. The of the Act requires the establishment of quarterly preview reports showing their extension of OASIS–C1/ICD–9 version wage adjustment factors that reflect the Quality of Patient Care star rating and was reapproved under OMB control relative level of wages, and wage-related how it was derived well before public number 0938–0760 with a current costs applicable to HH services posting, and they have several weeks to expiration date of March 31, 2018. This furnished in a geographic area review and provide feedback. version of the OASIS will be compared to the applicable national The Quality of Patient Care star discontinued once the OASIS–C1/ICD– average level. ratings methodology was developed 10 version is approved and Section 1895(b)(3)(B)(iv) of the Act through a transparent process the implemented. In addition, to facilitate provides the Secretary with the included multiple opportunities for the reporting of OASIS data as it relates authority to implement adjustments to stakeholder input, which was to the implementation of ICD–10 on the standard prospective payment subsequently the basis for refinements October 1, 2015, CMS submitted a new amount (or amounts) for subsequent to the methodology. An initial proposed request for approval to OMB for the years to eliminate the effect of changes methodology for calculating the Quality OASIS–C1/ICD–10 version under the in aggregate payments during a previous of Patient Care star ratings was posted Paperwork Reduction Act (PRA) year or years that was the result of on the CMS.gov Web site in December process. CMS is requesting a new OMB changes in the coding or classification 2014. CMS then held two Special Open control number for the proposed revised of different units of services that do not Door Forums (SODFs) on December 17, OASIS item as announced in the 30-day reflect real changes in case-mix. Section 2014 and February 5, 2015 to present Federal Register notice (80 FR 15797). 1895(b)(5) of the Act provides the the proposed methodology and solicit The new information collection request Secretary with the option to make input. At each SODF, stakeholders is currently pending OMB approval. changes to the payment amount provided immediate input, and were otherwise paid in the case of outliers invited to submit additional comments VII. Response to Comments because of unusual variations in the via the Quality of Patient Care star Because of the large number of public type or amount of medically necessary ratings Help Desk mailbox: HHC_Star_ comments we normally receive on care. Section 1895(b)(3)(B)(v) of the Act [email protected]. CMS Federal Register documents, we are not requires HHAs to submit data for refined the methodology, based on able to acknowledge or respond to them purposes of measuring health care comments received and additional individually. We will consider all quality, and links the quality data analysis. The final methodology report comments we receive by the date and submission to the annual applicable is posted on the new star ratings Web time specified in the DATES section of percentage increase. page: http://www.cms.gov/Medicare/ this preamble, and, when we proceed Section 421(a) of the MMA requires Quality-Initiatives-Patient-Assessment- with a subsequent document, we will that HH services furnished in a rural Instruments/HomeHealthQualityInits/ respond to the comments in the area, for episodes and visits ending on HHQIHomeHealthStarRatings.html. A preamble to that document. or after April 1, 2010, and before Frequently-Asked-Questions (FAQ) January 1, 2016, receive an increase of document is also posted on the same VIII. Regulatory Impact Analysis 3 percent of the payment amount Web page, addressing the issues raised A. Statement of Need otherwise made under section 1895 of in the comments that were received. We the Act. Section 210 of the MACRA tested the Web site language used to Section 1895(b)(1) of the Act requires amended section 421(a) of the MMA to present the Quality of Patient Care star the Secretary to establish a HH PPS for extend the 3 percent increase to the ratings with Medicare beneficiaries to all costs of HH services paid under payment amounts for serviced furnished assure that it allowed them to accurately Medicare. In addition, section in rural areas for episodes and visits understand the significance of the 1895(b)(3)(A) of the Act requires (1) the ending before January 1, 2018. various star ratings. computation of a standard prospective Section 3131(a) of the Affordable Care Additional information regarding the payment amount include all costs for Act mandates that starting in CY 2014, Quality of Patient Care star rating would HH services covered and paid for on a the Secretary must apply an adjustment be posted on the star ratings Web page reasonable cost basis and that such to the national, standardized 60-day at http://www.cms.gov/Medicare/ amounts be initially based on the most episode payment rate and other Quality-Initiatives-Patient-Assessment- recent audited cost report data available amounts applicable under section Instruments/HomeHealthQualityInits/ to the Secretary, and (2) the 1895(b)(3)(A)(i)(III) of the Act to reflect HHQIHomeHealthStarRatings.html. standardized prospective payment factors such as changes in the number Additional communications regarding amount be adjusted to account for the of visits in an episode, the mix of the Quality of Patient Care star ratings effects of case-mix and wage levels services in an episode, the level of would be announced via regular HH among HHAs. Section 1895(b)(3)(B) of intensity of services in an episode, the QRP communication channels. the Act addresses the annual update to average cost of providing care per the standard prospective payment episode, and other relevant factors. In VI. Collection of Information amounts by the HH applicable addition, section 3131(a) of the Requirements percentage increase. Section 1895(b)(4) Affordable Care Act mandates that While this proposed rule contains of the Act governs the payment rebasing must be phased-in over a 4- information collection requirements, computation. Sections 1895(b)(4)(A)(i) year period in equal increments, not to this rule does not add new, nor revise and (b)(4)(A)(ii) of the Act require the exceed 3.5 percent of the amount (or any of the existing information standard prospective payment amount amounts) as of the date of enactment collection requirements, or burden to be adjusted for case-mix and (2010) under section 1895(b)(3)(A)(i)(III) estimate. The information collection geographic differences in wage levels. of the Act, and be fully implemented in requirements discussed in this rule for Section 1895(b)(4)(B) of the Act requires CY 2017. the OASIS–C1 data item set had been the establishment of appropriate case- The proposed HHVBP model would previously approved by the Office of mix adjustment factors for significant apply a payment adjustment based on

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an HHA’s performance on quality following analysis describes the impact percent of HHAs. Therefore, the measures to test the effects on quality in CY 2016 only. We estimate that the Secretary has determined that this HH and costs of care. This proposed HHVBP net impact of the proposals in this rule PPS proposed rule will have a model was developed based on the is approximately $350 million in significant economic impact on a experiences we gained from the decreased payments to HHAs in CY substantial number of small entities. implementation of the Home Health 2016. We applied a wage index budget Further detail is presented in Table 24, Pay-for-Performance (HHPP) neutrality factor and a case-mix weights by HHA type and location. demonstration as well as the successful budget neutrality factor to the rates as With regards to options for regulatory implementation of the HVBP program. discussed in section III.C.3 of this relief, we note that in the CY 2014 HH The model design was also developed proposed rule; therefore, the estimated PPS final rule we finalized rebasing from the public comments received on impact of the 2016 wage index proposed adjustments to the national, the discussion of a HHVBP model being in section III.C.3 of this proposed rule standardized 60-day episode rate, non- considered in the CY 2015 HH PPS and the recalibration of the case-mix routine supplies (NRS) conversion proposed and final rules. Value-based weights for 2016 proposed in section factor, and the national per-visit purchasing programs have also been III.B. of this proposed rule is zero. The payment rates for each year, 2014 included in the President’s budget for ¥$350 million impact reflects the through 2017 as described in section most providers types, including Home distributional effects of the 2.3 percent II.C and III.C.3 of this proposed rule. Health. HH payment update percentage ($420 Since the rebasing adjustments are mandated by section 3131(a) of the B. Overall Impact million increase), the effects of the third year of the four-year phase-in of the Affordable Care Act, we cannot offer We have examined the impacts of this rebasing adjustments to the national, HHAs relief from the rebasing rule as required by Executive Order standardized 60-day episode payment adjustments for CY 2016. For the 12866 on Regulatory Planning and amount, the national per-visit payment proposed reduction to the national, Review (September 30, 1993), Executive rates, and the NRS conversion factor for standardized 60-day episode payment Order 13563 on Improving Regulation an impact of ¥2.5 percent ($470 million amount of 1.72 percent for CY 2016 and Regulatory Review (January 18, decrease), and the effects of the ¥1.72 described in section III.B.2 of this 2011), the Regulatory Flexibility Act percent adjustment for nominal case- proposed rule, we believe it is (RFA) (September 19, 1980, Pub. L. 96– mix growth ($300 million decrease). The appropriate to reduce the national, 354), section 1102(b) of the Act, section $350 million in decreased payments is standardized 60-day episode payment 202 of the Unfunded Mandates Reform reflected in the last column of the first amount to account for the estimated Act of 1995 (UMRA, March 22, 1995; row in Table 24 as a 0.1 percent increase in nominal case-mix in order to Pub. L. 104–4), Executive Order 13132 decrease in expenditures when move towards more accurate payment on Federalism (August 4, 1999), and the comparing CY 2015 payments to for the delivery of home health services Congressional Review Act (5 U.S.C. estimated CY 2016 payments. where payments better align with the 804(2)). costs of providing such services. In the Executive Orders 12866 and 13563 The RFA requires agencies to analyze alternatives considered section below, direct agencies to assess all costs and options for regulatory relief of small we note that we considered proposing benefits of available regulatory entities, if a rule has a significant impact the full 3.41 percent reduction to the 60- alternatives and, if regulation is on a substantial number of small day episode rate in CY 2016 to account necessary, to select regulatory entities. For purposes of the RFA, small for nominal case-mix growth between approaches that maximize net benefits entities include small businesses, CY 2012 and CY 2014. However, we (including potential economic, nonprofit organizations, and small instead proposed to reduce the 60-day environmental, public health and safety governmental jurisdictions. Most episode rate by 1.72 percent in CY 2016 effects, distributive impacts, and hospitals and most other providers and and 1.72 percent in CY 2017 to account equity). Executive Order 13563 suppliers are small entities, either by for estimated nominal case-mix growth emphasizes the importance of nonprofit status or by having revenues between CY 2012 and CY 2014. quantifying both costs and benefits, of of less than $7.5 million to $38.5 Executive Order 13563 specifies, to reducing costs, of harmonizing rules, million in any one year. For the the extent practicable, agencies should and of promoting flexibility. The net purposes of the RFA, we estimate that assess the costs of cumulative transfer impacts related to the proposed almost all HHAs are small entities as regulations. However, given potential changes in payments under the HH PPS that term is used in the RFA. utilization pattern changes, wage index for CY 2016 are estimated to be ¥$350 Individuals and states are not included changes, changes to the market basket million. The savings impacts related to in the definition of a small entity. The forecasts, and unknowns regarding the proposed HHVBP model are economic impact assessment is based on future policy changes, we believe it is estimated at a total projected 5-year estimated Medicare payments neither practicable nor appropriate to gross savings of $380 million assuming (revenues) and HHS’s practice in forecast the cumulative impact of the a very conservative savings estimate of interpreting the RFA is to consider rebasing adjustments on Medicare a 6 percent annual reduction in effects economically ‘‘significant’’ only payments to HHAs for future years at hospitalizations and a 1.0 percent if greater than 5 percent of providers this time. Changes to the Medicare annual reduction in SNF admissions. In reach a threshold of 3 to 5 percent or program may continue to be made as a accordance with the provisions of more of total revenue or total costs. The result of the Affordable Care Act, or new Executive Order 12866, this regulation majority of HHAs’ visits are Medicare- statutory provisions. Although these was reviewed by the Office of paid visits and therefore the majority of changes may not be specific to the HH Management and Budget. HHAs’ revenue consists of Medicare PPS, the nature of the Medicare program payments. Based on our analysis, we is such that the changes may interact, 1. HH PPS conclude that the policies proposed in and the complexity of the interaction of The update set forth in this rule this rule will result in an estimated total these changes would make it difficult to applies to Medicare payments under HH impact of 3 to 5 percent or more on predict accurately the full scope of the PPS in CY 2016. Accordingly, the Medicare revenue for greater than 5 impact upon HHAs for future years

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beyond CY 2016. We note that the percent or more of total revenue or total Since this regulation does not impose rebasing adjustments to the national, costs. Among the over 1900 HHAs in the any costs on state or local governments, standardized 60-day episode payment selected states that would be expected the requirements of Executive Order rate and the national per-visit rates are to be included in the proposed HHVBP 13132 are not applicable. capped at the statutory limit of 3.5 model, we estimate that the maximum In accordance with the provisions of percent of the CY 2010 amounts (as percent payment adjustment resulting Executive Order 12866, this regulation described in the preamble in section from this proposed rule will only be was reviewed by the Office of II.C. of this proposed rule) for each year, greater than ¥5 percent for 10 percent Management and Budget. 2014 through 2017. The NRS rebasing of the HHAs included in the model C. Detailed Economic Analysis adjustment will be ¥2.82 percent in (using the 8 percent maximum payment each year, 2014 through 2017. adjustment threshold applied in CY2021 1. HH PPS In addition, section 1102(b) of the Act and CY2022). As a result, only 2 percent This proposed rule sets forth updates requires us to prepare a RIA if a rule of all HHA providers nationally would for CY 2016 to the HH PPS rates may have a significant impact on the be significantly impacted, falling well contained in the CY 2015 HH PPS final operations of a substantial number of below the RFA threshold. In addition, rule (79 FR 66032 through 66118). The small rural hospitals. This analysis must only HHAs that are impacted with lower impact analysis of this proposed rule conform to the provisions of section 603 payments are those providers that presents the estimated expenditure of RFA. For purposes of section 1102(b) provide the poorest quality which is the effects of policy changes proposed in of the Act, we define a small rural main tenet of the model. This falls well this rule. We use the latest data and best hospital as a hospital that is located below the threshold for economic analysis available, but we do not make outside of a metropolitan statistical area significance established by HHS for adjustments for future changes in such and has fewer than 100 beds. This requiring a more detailed impact variables as number of visits or case- proposed rule applies to HHAs. assessment under the RFA. Thus, we are mix. Therefore, the Secretary has determined not preparing an analysis under the RFA This analysis incorporates the latest that the HH PPS proposed rule will not because the Secretary has determined estimates of growth in service use and have a significant economic impact on that this proposed rule would not have payments under the Medicare HH the operations of small rural hospitals. a significant economic impact on a benefit, based primarily on preliminary 2. Proposed HHVBP Model substantial number of small entities. In addition, section 1102(b) of the Act Medicare claims data from 2014. We To test the impact of upside and requires us to prepare a regulatory note that certain events may combine to downside value-based payment impact analysis if a rule may have a limit the scope or accuracy of our adjustments, beginning in calendar year significant impact on the operations of impact analysis, because such an 2018 and in each succeeding calendar a substantial number of small rural analysis is future-oriented and, thus, year through calendar year 2022, the HHAs. This analysis must conform to susceptible to errors resulting from proposed model would adjust the final the provisions of section 603 of the other changes in the impact time period claim payment amount for a home RFA. For purposes of section 1102(b) of assessed. Some examples of such health agency for each episode in a the Act, we have identified less than 5 possible events are newly-legislated calendar year by an amount equal to the percent of HHAs included in the general Medicare program funding applicable percent. For purposes of this proposed selected states that primarily changes made by the Congress, or proposed rule, we have limited our serve beneficiaries that reside in rural changes specifically related to HHAs. In analysis of the economic impacts to the areas (greater than 50 percent of addition, changes to the Medicare value-based incentive payment beneficiaries served). We are not program may continue to be made as a adjustments. Under the proposed model preparing an analysis under section result of the Affordable Care Act, or new design, the incentive payment 1102(b) of the Act because the Secretary statutory provisions. Although these adjustments would be limited to the has determined that the proposed changes may not be specific to the HH total payment reductions to home health HHVBP model would not have a PPS, the nature of the Medicare program agencies included in the model and significant impact on the operations of is such that the changes may interact, would be no less than the total amount a substantial number of small rural and the complexity of the interaction of available for value-based incentive HHAs. these changes could make it difficult to payment adjustment. Overall, the Section 202 of the Unfunded predict accurately the full scope of the distributive impact of this proposed rule Mandates Reform Act of 1995 also impact upon HHAs. is estimated at $380 million for CY requires that agencies assess anticipated Table 24 represents how HHA 2018–2022. Therefore, this proposed costs and benefits before issuing any revenues are likely to be affected by the rule is economically significant and rule whose mandates require spending policy changes proposed in this rule. thus a major rule under the in any 1 year of $100 million in 1995 For this analysis, we used an analytic Congressional Review Act. The dollars, updated annually for inflation. file with linked CY 2014 HH claims data proposed model would test the effect on In 2015, that threshold is approximately (as of December 31, 2014) for dates of quality and costs of care by applying $144 million. This rule will have no service that ended on or before payment adjustments based on HHAs’ consequential effect on state, local, or December 31, 2014, and OASIS performance on quality measures. This tribal governments or on the private assessments. The first column of Table proposed rule was developed based on sector. 24 classifies HHAs according to a extensive research and experience with Executive Order 13132 establishes number of characteristics including value-based purchasing models. certain requirements that an agency provider type, geographic region, and Guidance issued by the Department of must meet when it promulgates a urban and rural locations. The second Health and Human Services interpreting proposed rule (and subsequent final column shows the number of facilities the Regulatory Flexibility Act considers rule) that imposes substantial direct in the impact analysis. The third the effects economically ‘significant’ requirement costs on State and local column shows the payment effects of only if greater than 5 percent of governments, preempts state law, or proposed CY 2016 wage index. The providers reach a threshold of 3 to 5 otherwise has Federalism implications. fourth column shows the payment

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effects of the proposed CY 2016 case- decrease in payments. The seventh providers and by location. We note that mix weights. The fifth column shows column shows the effects of the CY 2016 some individual HHAs within the same the effects the proposed reduction of home health payment update percentage group may experience different impacts 1.72 percent to the national, (the home health market basket update on payments than others due to the standardized 60-day episode payment adjusted for multifactor productivity as distributional impact of the CY 2016 amount to account for nominal case-mix discussed in section III.C.1. of this wage index, the extent to which HHAs growth. The sixth column shows the proposed rule). had episodes in case-mix groups where effects of the rebasing adjustments to the The last column shows the combined the case-mix weight decreased for CY national, standardized 60-day episode effects of all the proposed policies for 2016 relative to CY 2015, the percentage payment rate, the national per-visit HH PPS. Overall, it is projected that of total HH PPS payments that were payment rates, and NRS conversion aggregate payments in CY 2016 will subject to the low-utilization payment factor. For CY 2016, the average impact decrease by 1.8 percent. As illustrated adjustment (LUPA) or paid as outlier for all HHAs due to the effects of in Table 24, the combined effects of all payments, and the degree of Medicare rebasing is an estimated 2.5 percent of the changes vary by specific types of utilization.

TABLE 24—ESTIMATED HOME HEALTH AGENCY IMPACTS BY FACILITY TYPE AND AREA OF THE COUNTRY, CY 2016

60-day HH payment CY 2016 wage CY 2016 episode rate Number of case-mix Rebasing 3 update index 1 nominal case- Total (percent) agencies weights 2 (percent) percentage 4 (percent) mix reduction (percent) (percent) (percent)

All Agencies ...... 11,432 0.0 0.0 ¥1.6 ¥2.5 2.3 ¥1.8

Facility Type and Control

Free-Standing/Other Vol/ NP ...... 1,054 0.2 ¥0.2 ¥1.6 ¥2.5 2.3 ¥1.8 Free-Standing/Other Pro- prietary ...... 8,917 0.0 0.0 ¥1.6 ¥2.5 2.3 ¥1.8 Free-Standing/Other Gov- ernment ...... 379 ¥0.2 ¥0.1 ¥1.6 ¥2.5 2.3 ¥2.1 Facility-Based Vol/NP ...... 741 0.1 ¥0.2 ¥1.6 ¥2.5 2.3 ¥1.9 Facility-Based Proprietary 116 ¥0.3 ¥0.1 ¥1.6 ¥2.5 2.3 ¥2.2 Facility-Based Govern- ment ...... 225 ¥0.2 ¥0.2 ¥1.6 ¥2.5 2.3 ¥2.2 Subtotal: Freestanding ..... 10,350 0.0 0.0 ¥1.6 ¥2.5 2.3 ¥1.8 Subtotal: Facility-based .... 1,082 0.0 ¥0.2 ¥1.6 ¥2.5 2.3 ¥2.0 Subtotal: Vol/NP ...... 1,795 0.1 ¥0.2 ¥1.6 ¥2.5 2.3 ¥1.9 Subtotal: Proprietary ...... 9,033 0.0 0.0 ¥1.6 ¥2.5 2.3 ¥1.8 Subtotal: Government ...... 604 ¥0.2 ¥0.1 ¥1.6 ¥2.5 2.3 ¥2.1

Facility Type and Control: Rural

Free-Standing/Other Vol/ NP ...... 188 ¥0.8 ¥0.2 ¥1.6 ¥2.4 2.3 ¥2.7 Free-Standing/Other Pro- prietary ...... 143 ¥0.2 ¥0.1 ¥1.6 ¥2.5 2.3 ¥2.1 Free-Standing/Other Gov- ernment ...... 448 ¥0.5 ¥0.1 ¥1.6 ¥2.5 2.3 ¥2.4 Facility-Based Vol/NP ...... 231 ¥0.6 ¥0.2 ¥1.6 ¥2.5 2.3 ¥2.6 Facility-Based Proprietary 25 0.0 ¥0.2 ¥1.6 ¥2.5 2.3 ¥2.0 Facility-Based Govern- ment ...... 136 ¥0.4 ¥0.1 ¥1.6 ¥2.5 2.3 ¥2.3

Facility Type and Control: Urban

Free-Standing/Other Vol/ NP ...... 912 0.2 ¥0.2 ¥1.6 ¥2.5 2.3 ¥1.8 Free-Standing/Other Pro- prietary ...... 8,604 0.0 0.0 ¥1.6 ¥2.5 2.3 ¥1.8 Free-Standing/Other Gov- ernment ...... 152 ¥0.4 ¥0.1 ¥1.6 ¥2.5 2.3 ¥2.3 Facility-Based Vol/NP ...... 510 0.2 ¥0.2 ¥1.6 ¥2.5 2.3 ¥1.8 Facility-Based Proprietary 91 ¥0.3 ¥0.1 ¥1.6 ¥2.4 2.3 ¥2.1 Facility-Based Govern- ment ...... 89 ¥0.1 ¥0.2 ¥1.6 ¥2.5 2.3 ¥2.1

Facility Location: Urban or Rural

Rural ...... 1,074 ¥0.5 ¥0.1 ¥1.6 ¥2.5 2.3 ¥2.4 Urban ...... 10,358 0.1 0.0 ¥1.6 ¥2.5 2.3 ¥1.7

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TABLE 24—ESTIMATED HOME HEALTH AGENCY IMPACTS BY FACILITY TYPE AND AREA OF THE COUNTRY, CY 2016— Continued

60-day CY 2016 HH payment CY 2016 wage episode rate Number of case-mix Rebasing 3 update index 1 nominal case- Total (percent) agencies weights 2 (percent) percentage 4 (percent) mix reduction (percent) (percent) (percent)

Facility Location: Region of the Country

Northeast ...... 837 0.2 ¥0.1 ¥1.6 ¥2.4 2.3 2.3 Midwest ...... 3,044 ¥0.1 0.0 ¥1.6 ¥2.5 2.3 ¥1.9 South ...... 5,623 ¥0.1 0.0 ¥1.6 ¥2.5 2.3 ¥1.9 West ...... 1,837 0.4 ¥0.1 ¥1.6 ¥2.5 2.3 ¥1.5 Other ...... 91 0.4 0.1 ¥1.6 ¥2.5 2.3 ¥1.3

Facility Location: Region of the Country (Census Region)

New England ...... 296 0.2 ¥0.1 ¥1.6 ¥2.4 2.3 2.3 Mid Atlantic ...... 541 0.3 ¥0.1 ¥1.6 ¥2.5 2.3 ¥1.6 East North Central ...... 2,407 ¥0.1 0.0 ¥1.6 ¥2.6 2.3 ¥2.0 West North Central ...... 637 0.0 0.0 ¥1.6 ¥2.5 2.3 ¥1.8 South Atlantic ...... 1,826 0.2 0.1 ¥1.6 ¥2.5 2.3 ¥1.5 East South Central ...... 444 ¥0.4 0.0 ¥1.6 ¥2.6 2.3 ¥2.3 West South Central ...... 3,353 ¥0.2 ¥0.1 ¥1.6 ¥2.5 2.3 ¥2.1 Mountain ...... 602 0.2 0.0 ¥1.6 ¥2.5 2.3 ¥1.6 Pacific ...... 1,235 0.5 ¥0.2 ¥1.6 ¥2.5 2.3 ¥1.5

Facility Size (Number of 1st Episodes)

< 100 episodes ...... 3,171 0.1 ¥0.1 ¥1.6 ¥2.5 2.3 2.3 100 to 249 ...... 2,861 0.1 0.0 ¥1.6 ¥2.5 2.3 ¥1.7 250 to 499 ...... 2,425 0.1 0.0 ¥1.6 ¥2.5 2.3 ¥1.7 500 to 999 ...... 1,679 0.0 0.0 ¥1.6 ¥2.5 2.3 ¥1.8 1,000 or More ...... 1,296 0.0 ¥0.1 ¥1.6 ¥2.5 2.3 ¥1.9 Source: CY 2014 Medicare claims data for episodes ending on or before December 31, 2014 (as of December 31, 2014) for which we had a linked OASIS assessment. 1 The impact of the proposed CY 2016 home health wage index is offset by the wage index budget neutrality factor described in section III.C.3 of this proposed rule. 2 The impact of the proposed CY 2016 home health case-mix weights reflects the recalibration of the case-mix weights as outlined in section III.B.1 of this proposed rule offset by the case-mix weights budget neutrality factor described in section III.C.3 of this proposed rule. 3 The impact of rebasing includes the rebasing adjustments to the national, standardized 60-day episode payment rate (-2.74 percent after the CY 2016 payment rate was adjusted for the wage index and case-mix weight budget neutrality factors and the nominal case-mix reduction), the national per-visit rates (+2.9 percent), and the NRS conversion factor (-2.82 percent). The estimated impact of the NRS conversion factor re- basing adjustment is an overall -0.01 percent decrease in estimated payments to HHAs 4 The CY 2016 home health payment update percentage reflects the home health market basket update of 2.9 percent, reduced by a 0.6 per- centage point multifactor productivity (MFP) adjustment as required under section 1895(b)(3)(B)(vi)(I) of the Act, as described in section III.C.1 of this proposed rule. Region Key: New England=Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont; Middle Atlantic=Pennsylvania, New Jersey, New York; South Atlantic=Delaware, District of Columbia, Florida, Georgia, Maryland, North Carolina, South Carolina, Virginia, West Virginia; East North Central=Illinois, Indiana, Michigan, Ohio, Wisconsin; East South Central=Alabama, Kentucky, Mississippi, Tennessee; West North Central=Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota, South Dakota; West South Central=Arkansas, Louisiana, Oklahoma, Texas; Mountain=Arizona, Colorado, Idaho, Montana, Nevada, New Mexico, Utah, Wyoming; Pacific=Alaska, California, Hawaii, Oregon, Washington; Other=Guam, Puerto Rico, Virgin Islands

2. Proposed HHVBP Model providing information on the estimated during the rulemaking process, it could impact of this proposed rule. We note result in different states being selected Table 25 displays our analysis of the that this impact analysis is based on the for the model. In such an event, we distribution of possible payment adjustments at the 5 percent, 6 percent aggregate value of all nine states would apply the final methodology and and 8 percent rates that are being (identified in section IV.C.2. of this announce the selected states in the final proposed in the model based on 2013– proposed rule) by applying the rule. The estimates presented here may 2014 data, providing information on the proposed state selection methodology. also change accordingly. estimated impact of this proposed rule. If our methodology is finalized as Value-based incentive payment We note that this impact analysis is proposed, all Medicare-certified HHAs adjustments for the estimated 1,900 plus based on the aggregate value of all 9 that provide services in Massachusetts, HHAs in the proposed selected states states identified in section IV.C.2. of this Maryland, North Carolina, Florida, that would compete in the HHVBP proposed rule by applying the proposed Washington, Arizona, Iowa, Nebraska, model are stratified by the size as state selection methodology. and Tennessee will be required to defined in section F. For example, Table 26 displays our analysis of the compete in this model. However, should Arizona has 31 HHAs that do not distribution of possible payment the methodology we propose in this rule provide services to enough beneficiaries adjustments based on 2013–2014 data, change as a result of comments received to be required to complete CAHPS

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surveys and therefore are considered value-based incentive payment at the The TPS score and the payment lower-volume under the proposed 50th percentile is 0.56 percent. methodology at the state and size level model. Using 2013–2014 data and the The smaller-volume HHA cohorts were calculated so that each home highest payment adjustment of 5 table identifies that some consideration health agency’s payment adjustment percent (which we propose to be will have to be made for MD, WA and was calculated as it would be in the applied in CYs 2021 and 2022), based TN where there are too few HHAs in the model. Hence, the values of each on 10 process and outcome measures smaller-volume cohort and would be separate analysis in the tables are currently available on home health included in the larger-volume cohort representative of what they would be if compare, the small HHAs in Arizona without being measured on HHCAHPS. the baseline year was 2013 and the Table 27 provides the payment would have a mean payment adjustment performance year was 2014. of positive 0.64 percent. Only 10 adjustment distribution based on percent of home health agencies would proportion of dual-eligible beneficiaries, There were 1,931 HHAs in the nine be subject to downward payment average case mix (using HCC scores), selected states out of 1,991 HHAs that adjustments of more than ¥3.3 percent. proportion that reside in rural areas, as were found in the HHA data sources The next columns provide the well as HHA organizational status. which yielded the sufficient measures to distribution of scores by percentile; we Besides the observation that higher be included in the model. It is expected see that the value-based incentive proportion of dually-eligible that a certain number of HHAs will not percentage payments for home health beneficiaries serviced is related to better be subject to the payment adjustment agencies in Arizona range from ¥3.3 performance, the payment adjustment because they may be servicing too small percent at the 10th percentile to +5.0 distribution is consistent with respect to of a population to report on an adequate percent at the 90th percentile, while the these four categories. number of measures to calculate a TPS.

TABLE 25—ADJUSTMENT DISTRIBUTION BY PERCENTILE LEVEL OF QUALITY TOTAL PERFORMANCE SCORE AT DIFFERENT MODEL PAYMENT ADJUSTMENT RATES

Lowest quality providers Highest quality providers Payment adjustment Range Lowest Highest distribution 10th 20th 30th 40th 50th 60th 70th 80th 10th pctile* pctile* pctile* pctile* pctile* pctile* pctile* pctile* pctile*

5% Payment Adjust- ment for Year 1 and Year 2 of Model ...... 7.69 ¥2.98 ¥2.04 ¥1.23 ¥0.54 0.15 0.83 1.74 3.08 4.71 6% Payment Adjust- ment for Year 3 of Model ...... 9.24 ¥3.60 ¥2.46 ¥1.50 ¥0.66 0.18 1.02 2.10 3.72 5.64 8% Payment Adjust- ment for Year 4 and Year 5 of Model ...... 12.31 ¥4.77 ¥3.27 ¥1.97 ¥0.86 0.25 1.33 2.78 4.92 7.54 *pctile = percentile

TABLE 26—HHA COHORT PAYMENT ADJUSTMENT DISTRIBUTIONS BY STATE [Based on a 5 percent payment adjustment]

Average Number of payment State HHAs adjustment 10% 20% 30% 40% 50% 60% 70% 80% 90% (%)

Smaller-Volume HHA Cohort by State

AZ ...... 31 0.64 ¥3.33 ¥2.72 ¥2.17 ¥0.82 0.56 1.31 3.36 4.75 5.00 FL ...... 353 0.44 ¥3.01 ¥1.76 ¥1.00 ¥0.39 0.21 0.94 1.84 3.04 4.38 IA ...... 23 0.17 ¥3.14 ¥2.53 ¥2.01 ¥1.41 ¥0.97 0.31 2.74 3.25 5.00 MA ...... 29 0.39 ¥3.68 ¥1.75 ¥0.70 ¥0.10 0.39 0.79 1.33 2.46 4.68 MD ...... 2 ¥0.47 ¥2.71 ¥2.71 ¥2.71 ¥2.71 ¥0.47 1.78 1.78 1.78 1.78 NC ...... 9 0.72 ¥2.38 ¥1.84 ¥1.41 ¥1.23 ¥0.68 0.34 3.67 5.00 5.00 NE ...... 16 ¥0.51 ¥2.26 ¥1.80 ¥1.64 ¥1.43 ¥1.13 ¥0.44 0.40 0.42 1.46 TN ...... 2 2.48 ¥0.05 ¥0.05 ¥0.05 ¥0.05 2.48 5.00 5.00 5.00 5.00 WA ...... 1 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00

Larger-volume HHA Cohort by State

AZ ...... 82 0.39 ¥3.31 ¥2.75 ¥2.19 ¥0.81 0.56 1.31 3.38 4.75 5.00 FL ...... 672 0.41 ¥3.00 ¥1.75 ¥1.60 ¥0.38 0.19 0.94 1.81 3.06 4.38 IA ...... 129 ¥0.31 ¥3.13 ¥2.31 ¥2.70 ¥1.13 ¥0.56 0.13 0.56 1.19 3.50 MA ...... 101 0.64 ¥2.88 ¥2.19 ¥1.50 ¥0.38 0.63 1.25 2.06 3.81 4.88 MD ...... 50 0.41 ¥2.75 ¥2.06 ¥2.30 ¥0.88 0.00 0.81 2.38 2.94 4.13 NC ...... 163 0.65 ¥2.75 ¥1.56 ¥1.30 ¥0.06 0.38 0.94 1.88 3.06 4.88 NE ...... 48 0.37 ¥2.63 ¥2.19 ¥1.40 ¥0.56 ¥0.19 0.50 1.31 2.31 5.00

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TABLE 26—HHA COHORT PAYMENT ADJUSTMENT DISTRIBUTIONS BY STATE—Continued [Based on a 5 percent payment adjustment]

Average Number of payment State HHAs adjustment 10% 20% 30% 40% 50% 60% 70% 80% 90% (%)

TN ...... 134 0.39 ¥2.56 ¥1.81 ¥2.00 ¥0.63 ¥0.06 0.81 1.44 2.50 4.69 WA ...... 55 0.39 ¥2.75 ¥1.63 ¥2.00 ¥0.94 ¥0.19 0.69 1.94 3.31 4.06

TABLE 27—PAYMENT ADJUSTMENT DISTRIBUTIONS BY CHARACTERISTICS [based on a 5 percent payment adjustment]

Number of Percentage Dually-eligible HHAs 10% 20% 30% 40% 50% 60% 70% 80% 90%

Low % Dually-eligible ...... 498 ¥3.21 ¥2.57 ¥1.86 ¥1.29 ¥0.60 0.12 0.78 2.13 3.97 Medium % Dually-eligible ...... 995 ¥2.91 ¥2.10 ¥1.33 ¥0.63 0.01 0.67 1.39 2.47 4.12 High % Dually-eligible ...... 498 ¥2.46 ¥1.04 ¥0.24 0.59 1.29 2.34 3.38 4.53 5.00 Acuity (HCC): Low Acuity ...... 499 ¥2.83 ¥1.76 ¥0.94 ¥0.23 0.46 1.16 2.03 3.40 5.00 Middle acuity ...... 993 ¥3.05 ¥2.08 ¥1.24 ¥0.50 0.19 0.90 1.71 2.81 4.51 High Acuity ...... 499 ¥3.04 ¥2.04 ¥1.29 ¥0.51 0.26 1.06 2.00 3.16 4.91 % Rural Beneficiaries: All non-rural ...... 800 ¥2.81 ¥1.51 ¥0.66 0.08 0.78 1.54 2.64 3.94 5.00 Up to 35% rural ...... 925 ¥3.12 ¥2.37 ¥1.71 ¥1.01 ¥0.42 0.32 1.18 2.24 3.97 over 35% rural ...... 250 ¥2.91 ¥2.01 ¥1.17 ¥0.62 ¥0.11 0.56 1.32 2.86 4.58 Organizational Type: Church ...... 62 ¥2.92 ¥2.04 ¥1.33 ¥0.46 0.12 0.64 1.30 2.58 4.22 Private Not-For-Profit ...... 194 ¥2.78 ¥1.74 ¥0.97 ¥0.42 0.27 0.85 1.77 2.89 4.55 Other ...... 93 ¥2.62 ¥1.68 ¥0.95 ¥0.38 0.36 1.08 1.86 3.09 4.63 Private For-Profit ...... 1538 ¥3.09 ¥2.08 ¥1.27 ¥0.53 0.24 1.02 1.88 3.02 4.83 Federal ...... 83 ¥2.44 ¥1.61 ¥0.67 0.01 0.53 1.13 1.80 3.09 4.58 State ...... 5 ¥3.03 ¥1.11 ¥.37 ¥0.01 0.24 0.42 1.66 2.96 3.24 Local ...... 61 ¥2.30 ¥1.28 ¥0.48 0.16 0.98 1.91 2.88 4.11 5.00

D. Alternatives Considered mix growth from CY 2012 through CY Affordable Care Act requires a four year As described in section III.B.2 of this 2014 as outlined in section III.B.2 of this phase-in of rebasing, in equal proposed rule, we considered proposing proposed rule. increments, to start in CY 2014 and be to reduce the national, standardized 60- Section 3131(a) of the Affordable Care fully implemented in CY 2017, we do day episode payment rate by 3.41 Act mandates that starting in CY 2014, not have the discretion to delay, change, percent in CY 2016 to account for the Secretary must apply an adjustment or eliminate the rebasing adjustments nominal case-mix growth between CY to the national, standardized 60-day once we have determined that rebasing 2012 and CY 2014. If we were to reduce episode payment rate and other is necessary (78 FR 72283). the national, standardized 60-day amounts applicable under section Section 1895(b)(3)(B) of the Act episode payment rate by 3.41 percent, 1895(b)(3)(A)(i)(III) of the Act to reflect requires that the standard prospective we estimate that the aggregate impact factors such as changes in the number payment amounts for CY 2016 be would be a net decrease of $650 million of visits in an episode, the mix of increased by a factor equal to the in payments to HHAs, resulting from a services in an episode, the level of applicable HH market basket update for $470 million decrease (¥2.5 percent) intensity of services in an episode, the those HHAs that submit quality data as due to the third year of the Affordable average cost of providing care per required by the Secretary. For CY 2016, Care Act mandated rebasing episode, and other relevant factors. In section 3401(e) of the Affordable Care adjustments, a $420 million increase addition, section 3131(a) of the Act, requires that, in CY 2015 (and in (2.3 percent) due to the home health Affordable Care Act mandates that subsequent calendar years), the market payment update percentage, and a $600 rebasing must be phased-in over a 4- basket update under the HHA million decrease due to reducing the year period in equal increments, not to prospective payment system, as national, standardized 60-day episode exceed 3.5 percent of the amount (or described in section 1895(b)(3)(B) of the payment rate by 3.41 percent. However, amounts) as of the date of enactment Act, be annually adjusted by changes in instead of proposing a one-time (2010) under section 1895(b)(3)(A)(i)(III) economy-wide productivity. Beginning reduction in the national, standardized of the Act, and be fully implemented in in CY 2015, section 1895(b)(3)(B)(vi)(I) 60-day episode payment rate of 3.41 CY 2017. Therefore, in the CY 2014 HH of the Act, as amended by section percent in CY 2016 to account for PPS final rule (78 FR 77256), we 3401(e) of the Affordable Care Act, nominal case-mix growth from CY 2012 finalized rebasing adjustments to the requires the application of the through CY 2014, we proposed to national, standardized 60-day episode productivity adjustment described in reduce the national, standardized 60- payment amount, the national per-visit section 1886(b)(3)(B)(xi)(II) of the Act to day episode payment rate by 1.72 rates and the NRS conversion factor. As the HHA PPS for CY 2015 and each percent in CY 2016 and 1.72 percent in we noted in the CY 2014 HH PPS final subsequent CY. The ¥0.6 percentage CY 2017 to account for nominal case- rule, because section 3131(a) of the point productivity adjustment to the

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proposed CY 2016 home health market ($300 million decrease), and the third ■ 2. Section 409.43 is amended by basket update (2.9 percent), is discussed year of the 4-year phase-in of the revising paragraph (e)(1)(iii) to read as in the preamble of this rule and is not rebasing adjustments required by follows: discretionary as it is a requirement in section 3131(a) of the Affordable Care section 1895(b)(3)(B)(vi)(I) of the Act (as Act of ¥2.5 percent ($470 million § 409.43 Plan of care requirements. amended by the Affordable Care Act). decrease). This analysis, together with * * * * * We invite comments on the the remainder of this preamble, (e) * * * alternatives discussed in this analysis. provides an initial Regulatory (1) * * * Flexibility Analysis. (iii) Discharge with goals met and/or E. Accounting Statement and Table no expectation of a return to home As required by OMB Circular A–4 2. Proposed HHVBP Model health care and the patient returns to home health care during the 60 day (available at http:// In conclusion, we estimate there will episode. www.whitehouse.gov/omb/ be no net impact of the proposals in this circulars_a004_a-4), in Table 27, we rule in Medicare payments to HHAs for * * * * * have prepared an accounting statement CY 2016. However, the overall showing the classification of the PART 424—CONDITIONS FOR economic impact of the HHVBP model transfers and costs associated with the MEDICARE PAYMENT provision is an estimated $380 million HH PPS provisions of this proposed in total savings from a reduction in ■ 3. The authority citation for part 424 rule. Table 27 provides our best estimate unnecessary hospitalizations and SNF of the decrease in Medicare payments continues to read as follows: usage as a result of greater quality under the HH PPS as a result of the Authority: Secs. 1102 and 1871 of the improvements in the HH industry over changes presented in this proposed rule Social Security Act (42 U.S.C. 1302 and the life of the proposed model. for the HH PPS provisions. 1395hh). IX. Federalism Analysis § 424.22 [Amended] TABLE 27—ACCOUNTING STATEMENT: ■ 4. Section 424.22 is amended by HH PPS CLASSIFICATION OF ESTI- Executive Order 13132 on Federalism (August 4, 1999) establishes certain redesignating paragraph (a)(1)(v)(B)(1) MATED TRANSFERS AND COSTS, requirements that an agency must meet as paragraph (a)(2) and by removing FROM THE CYS 2015 TO 2016 * when it promulgates a final rule that reserved paragraph (a)(1)(v)(B)(2). imposes substantial direct requirement Category Transfers PART 484—HOME HEALTH SERVICES costs on state and local governments, Annualized Monetized ¥$350 million. preempts state law, or otherwise has ■ 5. The authority citation for part 484 Transfers. Federalism implications. We have continues to read as follows: From Whom to Federal Government reviewed this proposed rule under the Authority: Secs 1102 and 1871 of the Whom?. to HHAs. threshold criteria of Executive Order Social Security Act (42 U.S.C. 1302 and * The estimates reflect 2016 dollars. 13132, Federalism, and have 1395(hh)) unless otherwise indicated. determined that it will not have ■ 6. Section 484.205 is amended by Table 28 provides our best estimate of substantial direct effects on the rights, the decrease in Medicare payments revising paragraphs (d) and (e) to read roles, and responsibilities of states, local as follows: under the proposed HHVBP model. or tribal governments. § 484.205 Basis of payment. TABLE 28—ACCOUNTING STATEMENT: List of Subjects * * * * * HHVBP MODEL CLASSIFICATION OF 42 CFR Part 409 (d) Partial episode payment ESTIMATED TRANSFERS AND COSTS adjustment. (1) An HHA receives a Health facilities, Medicare FOR CY 2018–2022 national 60-day episode payment of a 42 CFR Part 424 predetermined rate for home health Category Transfers services unless CMS determines an Emergency medical services, Health intervening event, defined as a Annualized Monetized ¥$380 million. facilities, Health professions, Medicare, Transfers. beneficiary elected transfer or discharge and Reporting and recordkeeping with goals met or no expectation of From Whom to Federal Government requirements. Whom?. to Hospitals and return to home health and the SNFs. 42 CFR Part 484 beneficiary returned to home health during the 60-day episode, warrants a F. Conclusion Health facilities, Health professions, new 60-day episode for purposes of Medicare, and Reporting and payment. A start of care OASIS 1. HH PPS recordkeeping requirements. assessment and physician certification In conclusion, we estimate that the For the reasons set forth in the of the new plan of care are required. net impact of the HH PPS proposals in preamble, the Centers for Medicare & (2) The PEP adjustment will not apply this rule is a decrease in Medicare Medicaid Services proposes to amend in situations of transfers among HHAs of payments to HHAs of $350 million for 42 CFR chapter IV as set forth below: common ownership. Those situations CY 2016. The $350 million decrease in will be considered services provided estimated payments to HHAs for CY PART 409—HOSPITAL INSURANCE under arrangement on behalf of the 2016 reflects the distributional effects of BENEFITS originating HHA by the receiving HHA the 2.3 percent CY 2016 HH payment with the common ownership interest for update percentage ($420 million ■ 1. The authority citation for part 409 the balance of the 60-day episode. The increase), the proposed reduction to the continues to read as follows: common ownership exception to the national, standardized 60-day episode Authority: Secs. 1102 and 1871 of the transfer PEP adjustment does not apply payment rate in CY 2016 of 1.72 percent Social Security Act (42 U.S.C. 1302 and if the beneficiary moves to a different to account for nominal case-mix growth 1395hh). MSA or Non-MSA during the 60-day

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episode before the transfer to the national prospective 60-day episode rate 484.305 Definitions. receiving HHA. The transferring HHA in is equal to the rate for the previous 484.310 Applicability of the Home Health situations of common ownership not calendar year increased by the Value-Based Purchasing (HHVBP) only serves as a billing agent, but must applicable home health market basket model. 484.315 Data reporting for measures and also exercise professional responsibility index amount. evaluation under the Home Health over the arranged-for services in order (c) For 2007 and subsequent calendar Value-Based Purchasing (HHVBP) for services provided under years, in accordance with section model. arrangements to be paid. 1895(b)(3)(B)(v) of the Act, in the case 484.320 Calculation of the Total (3) If the intervening event warrants a of a home health agency that does not Performance Score. new 60-day episode payment and a new submit home health quality data, as 484.325 Payments for home health services physician certification and a new plan specified by the Secretary, the under Home Health Value-Based of care, the initial HHA receives a unadjusted national prospective 60-day Purchasing (HHVBP) model. partial episode payment adjustment episode rate is equal to the rate for the 484.330 Process for determining and previous calendar year increased by the applying the value-based payment reflecting the length of time the patient adjustment under the Home Health remained under its care. A partial applicable home health market basket Value-Based Purchasing (HHVBP) episode payment adjustment is index amount minus 2 percentage model. determined in accordance with points. Any reduction of the percentage § 484.235. change will apply only to the calendar Subpart F—Home Health Value-Based (e) Outlier payment. An HHA receives year involved and will not be taken into Purchasing (HHVBP) Model a national 60-day episode payment of a account in computing the prospective Components for Medicare-Certified predetermined rate for a home health payment amount for a subsequent Home Health Agencies Within State service, unless the imputed cost of the calendar year. Boundaries 60-day episode exceeds a threshold amount. The outlier payment is defined § 484.230 [Amended] § 484.300 Basis and scope of subpart. to be a proportion of the imputed costs ■ 9. Section 484.230 is amended by This subpart is established under beyond the threshold. An outlier removing the last sentence. section 1115A(a)(1) of the Act (42 U.S.C. payment is a payment in addition to the ■ 10. Section 484.240 is amended by 1315a), which authorizes the Secretary national 60-day episode payment. The revising paragraphs (b) and (e) and to test innovative payment and service total of all outlier payments is limited adding paragraph (f) to read as follows: delivery models to improve coordination, quality, and efficiency of to no more than 2.5 percent of total § 484.240 Methodology used for the outlays under the HHA PPS. An outlier calculation of the outlier payment. health care services furnished under Title XVIII. payment is determined in accordance * * * * * with § 484.240. (b) The outlier threshold for each § 484.305 Definitions. ■ 7. Section 484.220 is amended by case-mix group is the episode payment revising paragraph (a)(3) and adding As used in this subpart— amount for that group, or the PEP Applicable measure means a measure paragraphs (a)(4) through (6) to read as adjustment amount for the episode, plus for which the Medicare-certified HHA follows: a fixed dollar loss amount that is the has provided 20 home health episodes § 484.220 Calculation of the adjusted same for all case-mix groups of care per year. national prospective 60-day episode * * * * * Applicable percent means a payment rate for case-mix and area wage (e) The fixed dollar loss amount and maximum upward or downward levels. the loss sharing proportion are chosen adjustment for a given performance * * * * * so that the estimated total outlier year, not to exceed the following: (a) * * * payment is no more than 2.5 percent of (1) For CY 2018 and 2019, 5 percent. (3) For CY 2011, the adjustment is total payment under home health PPS. (2) For CY 2020, 6 percent. 3.79 percent. (f) The total amount of outlier (3) For CY 2021 and 2022, 8 percent. (4) For CY 2012, the adjustment is payments to a specific home health Benchmark refers to the mean of the 3.79 percent. agency for a year may not exceed an top decile of Medicare-certified HHA (5) For CY 2013, the adjustment is amount equal to 10 percent of the total performance on the specified quality 1.32 percent. payments to the specific agency under measure during the baseline period, (6) For CY 2016 and CY 2017, the home health PPS for the year. calculated separately for the larger- adjustment is 1.72 percent in each year. volume and smaller-volume cohorts § 484.245 [Removed and Reserved] * * * * * within each state. ■ ■ 8. Section 484.225 is revised to read 11. Section 484.245 is removed and Home health prospective payment as follows: reserved. system (HH PPS) refers to the basis of payment for home health agencies as set § 484.225 Annual update of the unadjusted § 484.250 [Amended] forth in §§ 484.200 through 484.245. national prospective 60-day episode ■ 12. Section § 484.250(a)(2) is amended Larger-volume cohort means the payment rate. by removing the reference ‘‘§ 484.225(i)’’ group of Medicare-certified home health (a) CMS updates the unadjusted and adding in its place the reference agencies within the boundaries of national 60-day episode payment rate ‘‘§ 484.225(c)’’. selected states that are participating in on a fiscal year basis (as defined in ■ 13. Subpart F is added to read as HHCAHPs in accordance with section 1895(b)(1)(B) of the Act). follows: § 484.250. (b) For 2007 and subsequent calendar Subpart F—Home Health Value-Based Linear exchange function is the means years, in accordance with section Purchasing (HHVBP) Model Components to translate a Medicare-certified HHA’s 1895(b)(3)(B)(v) of the Act, in the case for Medicare-Certified Home Health Total Performance Score into a value- of a home health agency that submits Agencies Within State Boundaries based payment adjustment percentage. home health quality data, as specified Sec. Medicare-certified home health by the Secretary, the unadjusted 484.300 Basis and scope of subpart. agency means an agency:

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(1) That has a current Medicare health agencies (HHAs) in selected HHA’s Total Performance Score for the certification; and, states. calendar year. (2) Is being reimbursed by CMS for (b) Nine states are selected in home health care delivered within any accordance with CMS’s selection § 484.325 Payments for home health of the states specified in accordance services under Home Health Value-Based methodology. All Medicare-certified Purchasing (HHVBP) model. with CMS’s selection methodology. HHAs that provide services in New measures means those measures Massachusetts, Maryland, North CMS will determine a payment to be reported by Medicare-certified Carolina, Florida, Washington, Arizona, adjustment up to the maximum HHAs under the HHVBP model that are Iowa, Nebraska, and Tennessee will be applicable percentage, upward or not otherwise reported by Medicare- required to compete in this model. downward, under the HHVBP model for certified HHAs to CMS and were each Medicare-certified home health identified to fill gaps to cover National § 484.315 Data reporting for measures and agency based on the agency’s Total Quality Strategy Domains not evaluation under the Home Health Value- Performance Score using a linear Based Purchasing (HHVBP) model. completely covered by existing exchange function. Payment measures in the home health setting. (a) Medicare-certified home health adjustments made under the HHVBP Payment adjustment means the agencies will be evaluated using a model will be calculated as a percentage amount by which a Medicare-certified starter set of quality measures. of otherwise-applicable payments for HHA’s final claim payment amount (b) Medicare-certified home health home health services provided under under the HH PPS is changed in agencies in selected states will be section 1895 of the Act (42 U.S.C. accordance with the methodology required to report information on New 1395fff). described in § 484.325. Measures, as determined appropriate by Performance period means the time the Secretary, to CMS in the form, § 484.330 Process for determining and period during which data are collected manner, and at a time specified by the applying the payment adjustment under the for the purpose of calculating a Secretary. Home Health Value-Based Purchasing Medicare-certified HHA’s performance (c) Medicare-certified home health (HHVBP) model. on measures. agencies in selected states will be (a) General. Medicare-certified home Selected state(s) means those nine required to collect and report such health agencies will be ranked within states that were randomly selected to information as the Secretary determines the larger-volume and smaller-volume compete/participate in the HHVBP is necessary for purposes of monitoring cohorts in selected states based on the model via a computer algorithm and evaluating the HHVBP model under performance standards that apply to the designed for random selection. section 1115A(b)(4) of the Act (42 U.S.C. HHVBP model for the baseline year, and Smaller-volume cohort means the 1315a). CMS will make value-based payment group of Medicare-certified home health adjustments to the Medicare-certified agencies within the boundaries of § 484.320 Calculation of the Total HHAs as specified in this section. selected states that are exempt from Performance Score. participation in HHCAHPs in A Medicare-certified home health (b) Calculation of the value-based accordance with § 484.250. agency’s Total Performance Score for a payment adjustment amount. The Starter set means the quality measures model year is calculated as follows: value-based payment adjustment selected for the first year of this model. (a) CMS will award points to the amount is calculated by multiplying the Total Performance Score means the Medicare-certified home health agency Home Health Prospective Payment final numeric score ranging from 0 to 100 for performance on each of the claim payment amount as calculated in awarded to each Medicare-certified applicable measures in the starter set, accordance with § 484.205 by the HHA based on its performance under other than New Measures. payment adjustment percentage. the HHVBP model. (b) CMS will award points to the (c) Calculation of the payment Value-based purchasing means Medicare-certified home health agency adjustment percentage. The payment measuring, reporting, and rewarding for reporting on each of the New adjustment percentage is calculated as excellence in health care delivery that Measures in the starter set, worth up to the product of: The applicable percent takes into consideration quality, ten percent of the Total Performance as defined in § 484.320, the Medicare- efficiency, and alignment of incentives. Score. certified HHA’s Total Performance Effective health care services and high performing health care providers may be (c) CMS will sum all points awarded Score divided by 100, and the linear rewarded with improved reputations for each applicable measure in the exchange function slope. through public reporting, enhanced starter set, weighted equally at the Dated: June 25, 2015. individual measure level, to calculate a payments through differential Andrew M. Slavitt, reimbursements, and increased market value worth up to 90 percent of the Total Performance Score. Administrator, Centers for Medicare & share through purchaser, payer, and/or Medicaid Services. consumer selection. (d) The sum of the points awarded to a Medicare-certified HHA for each Dated: June 26, 2015. § 484.310 Applicability of the Home Health applicable measure in the starter set and Sylvia M. Burwell, Value-Based Purchasing (HHVBP) model. the points awarded to a Medicare- Secretary. (a) General rule. The HHVBP model certified HHA for reporting data on each [FR Doc. 2015–16790 Filed 7–6–15; 4:15 pm] applies to all Medicare-certified home New Measure is the Medicare-certified BILLING CODE 4120–01–P

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Part III

Department of Transportation

Pipeline and Hazardous Materials Safety Administration 49 CFR Parts 190, 191, 192, et al. Pipeline Safety: Operator Qualification, Cost Recovery, Accident and Incident Notification, and Other Pipeline Safety Proposed Changes; Proposed Rule

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DEPARTMENT OF TRANSPORTATION 5:00 p.m., Monday through Friday, The proposed changes are listed in except Federal holidays. detail below: Pipeline and Hazardous Materials Instructions: If you submit your • Specifying an operator’s accident Safety Administration comments by mail, please submit two and incident reporting time to not later copies. To receive confirmation that than one hour after confirmed discovery 49 CFR Parts 190, 191, 192, 195, and PHMSA received your comments, and requiring revision or confirmation 199 include a self-addressed stamped of initial notification within 48 hours of postcard. [Docket No. PHMSA–2013–0163] the confirmed discovery of the accident Note: Comments are posted without or incident; RIN 2137–AE94 changes or edits to http:// • www.regulations.gov, including any personal Setting up a cost recovery fee structure for design review of new gas Pipeline Safety: Operator Qualification, information provided. There is a privacy and hazardous liquid pipelines with Cost Recovery, Accident and Incident statement published on http:// www.regulations.gov. either overall design and construction Notification, and Other Pipeline Safety costs totaling at least $2,500,000,000 or Proposed Changes Privacy Act Statement that contain new and novel AGENCY: Pipeline and Hazardous Anyone may search the electronic technologies; Materials Safety Administration form of all comments received for any • Expanding the existing Operator (PHMSA), Department of Transportation of our dockets. You may review DOT’s Qualification (OQ) scope to cover new (DOT). complete Privacy Act Statement construction and previously excluded ACTION: Notice of proposed rulemaking. published in the Federal Register on operation and maintenance tasks, April 11, 2000 (70 FR 19477), or visit addressing the National Transportation SUMMARY: PHMSA is proposing http://dms.dot.gov. Safety Board’s (NTSB) recommendation amendments to the pipeline safety FOR FURTHER INFORMATION CONTACT: to clarify OQ requirements for control regulations to address requirements of Tewabe Asebe by telephone at 202–366– rooms, and extending the requirements the Pipeline Safety, Regulatory 5523 or by email at Tewabe.Asebe@ to operators of Type A gathering lines in Certainty, and Job Creation Act of 2011 dot.gov. Class 2 locations and Type B onshore (2011 Act), and to update and clarify SUPPLEMENTARY INFORMATION: gas gathering lines; certain regulatory requirements. Among • Providing a renewal procedure for other provisions, PHMSA is proposing Executive Summary expiring special permits; to add a specific time frame for A. Purpose of the Regulatory Action • Excluding farm taps from the telephonic or electronic notifications of (Statement of Need) accidents and incidents and add requirements of the Distribution provisions for cost recovery for design The purpose of this proposed Integrity Management Program (DIMP) reviews of certain new projects, for the rulemaking action is to strengthen the requirements while proposing safety renewal of expiring special permits, and Federal pipeline safety regulations, and requirements for the farm taps; for submitters of information to request to address sections 9 and 13 of the • Requiring pipeline operators to PHMSA keep the information Pipeline Safety, Regulatory Certainty, report to PHMSA permanent reversal of confidential. We are also proposing and Job Creation Act of 2011 (2011 Act). flow that lasts more than 30 days or a changes to the operator qualification The proposal associated with section 9 change in product (e.g., from liquid to (OQ) requirements and drug and alcohol would limit the accident and incident gas, from crude oil to highly volatile testing requirements and incorporating reporting requirements to within one liquids (HVL)); hour. PHMSA expects that quicker consensus standards by reference for in- • Providing methods for assessment line inspection (ILI) and Stress accident and incident reporting would lead to a safety benefit to the public, the tool selection by incorporating Corrosion Cracking Direct Assessment consensus standards by reference in part (SCCDA). environment, and limit property damage. The proposal associated with 195 for stress corrosion cracking direct DATES: Submit comments by September section 13 would allow PHMSA to assessment (SCCDA) that were not 8, 2015. recover its costs for design review work developed when the Integrity ADDRESSES: Comments should reference PHMSA would conduct on behalf of the Management (IM) regulations were Docket No. PHMSA–2013–0163 and operators, which would allow PHMSA issued; may be submitted in the following ways: to use its limited resources in protecting • Requiring electronic reporting of • E-Gov Web site: http:// the public safety. PHMSA is also drug and alcohol testing results in part www.regulations.gov. This Web site proposing to expand the existing 199; allows the public to enter comments on Operator Qualification (OQ) scope to • Modifying the criteria used to make any Federal Register notice issued by cover new construction and certain decisions about conducting post- any agency. Follow the instructions for other currently uncovered tasks, require accident drug and alcohol tests and submitting comments. operators use trained and qualified requiring operators to keep for at least • Fax: 202–493–2251. individuals when performing new three years a record of the reason why • Mail: Docket Management System: construction work, and add program post-accident drug and alcohol test was U.S. Department of Transportation effectiveness requirements for operators not conducted; (DOT), Docket Operations, M–30, Room to gauge the effectiveness of the OQ • Adding a procedure to request W12–140, 1200 New Jersey Avenue SE., programs. PHMSA believes that PHMSA keep submitted information Washington, DC 20590–0001. requiring operators to use trained and confidential; • Hand Delivery: DOT Docket qualified individuals would decrease • Management System, West Building human errors. PHMSA is also proposing Adding reference to Appendix B of Ground Floor, Room W12–140, 1200 to provide a renewal procedure for API 1104 related to in-service welding New Jersey Avenue SE., Washington, expiring special permits and proposing in parts 192 and 195; and DC 20590–0001 between 9:00 a.m. and other minor and administrative changes. • Aaking minor editorial corrections.

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B. Pipeline Safety, Regulatory Certainty, Background requires reporting after ‘‘confirmed and Job Creation Act of 2011 PHMSA requires pipeline owners and discovery,’’ PHMSA proposes to define the term in §§ 191.3 and 195.2 as ‘‘when Several of the proposed changes operators to notify the National Response Center (NRC) by telephone or there is sufficient information to would address sections 9 and 13 of the determine that a reportable event has 2011 Act, which was signed into law on electronically at the earliest practicable moment following discovery of an occurred even if an evaluation has not January 3, 2012. (Pub. L. 112–90). been completed.’’ After a more thorough Section 9 of the 2011 Act requires incident or accident (§§ 191.5 and 195.52). In an advisory bulletin investigation, the operator can submit PHMSA to specify a time limit for more detailed information in the written telephonic or electronic reporting of published on September 6, 2002; 67 FR 57060, PHMSA advised owners and incident report. This policy of erring on pipeline accidents and incidents. the side of caution ensures that delays Section 13 of the 2011 Act (codified at operators of gas and hazardous liquids pipeline systems and liquefied natural in reporting incidents would be 49 U.S.C. 60117) allows PHMSA to gas (LNG) facilities that reporting at the avoided. PHMSA seeks comment on the prescribe a fee structure and assessment earliest practicable opportunity usually proposed definition of ‘‘confirmed methodology to recover costs associated means one to two hours after discovery discovery’’ and how it would affect with design reviews. of the incident. operators in their evaluation of an C. Costs and Benefits incident or accident. In particular, Justification for the Recommended PHMSA is interested in alternative PHMSA has estimated annual Change definitions of ‘‘confirmed discovery’’ compliance costs at $3.1 million; less On January 3, 2012, President Obama (e.g., if an operator were to receive two savings to be realized from the removal signed into law the 2011 Act. Section 9 different notifications that validate each of farm taps from the DIMP of the 2011 Act directs PHMSA to other) and the advantages the alternative requirements. Annual safety benefits require pipeline operators to make definitions have over the proposed cannot be quantified as readily due to incident/accident telephonic definition. data limitations, but are expected to be notifications at the earliest practicable II. Cost Recovery for Design Reviews $1.6 million per year in avoided moment following confirmed discovery incident costs, plus numerous of an accident or incident and not later Summary intangible benefits from the improved than 1 hour following the time of such This proposed rulemaking action clarity and consistency of regulations confirmed discovery. would amend the Federal pipeline and required post-incident drug and PHMSA proposes to revise the safety regulations to prescribe a fee alcohol test decision justification. pipeline safety regulations to require structure and assessment methodology Although the quantified benefits do not operators to provide telephonic or for recovering costs associated with exceed the estimated costs, PHMSA electronic notification of an accident or design reviews of new gas and believes that these non-quantified incident at the earliest practicable hazardous liquid pipelines with either benefits are significant enough to moment, including the amount of overall design and construction costs outweigh the costs of compliance. product loss, following the confirmed totaling at least $2,500,000,000 or that PHMSA believes that updating discovery of an accident or incident, but contain new and novel technologies. regulations, providing clarification, and not later than one hour following the providing methods for assessment tools time of such confirmed discovery. Background by incorporating consensus standards Further, we are proposing to require Section 13 of the 2011 Act allows all help to improve compliance with operators to revise or confirm that initial PHMSA to prescribe a fee structure and pipeline safety regulations and to notification within 48 hours of assessment methodology to recover reduce the likelihood of a serious confirmed discovery of the accident or costs associated with any project with pipeline incident. In particular, incident. Prompt reporting of a pipeline design review and construction costs proposed operator qualification incident to the NRC is crucial to Federal totaling at least $2,500,000,000 and for provisions ensure that pipeline investigators’ ability to investigate and new or novel technologies or design, as construction personnel and operations resolve pipeline safety concerns. Once a determined by the Secretary. and maintenance personnel have the report is made, investigators must PHMSA issued guidance in January appropriate skills for the functions they decide at the outset whether a full 2013, on its Web site to clarify the are performing. This would reduce the Federal investigation is necessary. meaning of the term ‘‘new or novel likelihood of human error-related Failure to report promptly hinders the technologies or design’’ as meaning, incidents. At an annual compliance cost decision making process and could ‘‘any products, designs, materials, of $3.1 million, the proposed changes jeopardize the outcome of any testing, construction, inspection, or would be cost effective if they prevented subsequent investigation and threaten operational procedures that are not a single fatal incident over a three-year public safety. Delays in reporting caused addressed in title 49 Code of Federal period. by an operator waiting until the operator Regulations (CFR) parts 192, 193, or 195 definitely determines an event meets the due to technology or design advances I. Accident and Incident Notification reporting criteria would defeat a and innovation.’’ PHMSA developed Summary fundamental purpose of the 2011 Act, this definition to include any which is to give PHMSA and other technologies that are developed or have This proposed rulemaking action agencies the earliest opportunity to existed and are being adopted widely would amend the Federal pipeline assess whether an immediate response due to developments other than safety regulations to require operators to to a pipeline incident is needed. technology or innovation. provide telephonic or electronic As demonstrated by PHMSA’s past notification of an accident or incident at enforcement actions, ‘‘discovery’’ has Justification for the Recommended the earliest practicable moment, been evaluated on a case-by-case basis Changes including the amount of product loss, considering the totality of the PHMSA conducts facility design following confirmed discovery. circumstances. Because the statute safety reviews in connection with

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proposals to construct, expand, or requirements. The sample master cost certified to perform such functions. operate gas or hazardous liquid recovery agreement will be posted on PHMSA published a final rule on pipelines or liquefied natural gas PHMSA’s Web site and in Docket No. August 27, 1999; 64 FR 46853 for the pipeline facilities. Reviews include PHMSA–2013–0163. A master cost qualification of pipeline personnel. design, construction, and operational recovery agreement would include at a 1. Public Meeting inspections and oversight. These minimum: reviews divert a significant amount of (1) Itemized list of direct costs to be Over 650 individuals from various PHMSA’s limited resources from the recovered by PHMSA; stakeholder groups attended PHMSA’s agency’s pipeline safety enforcement (2) Scope of work for conducting the public meeting on OQ History and responsibilities. facility design safety review and an Milestones in January 2003 in San While PHMSA’s pipeline account is estimated total cost; Antonio, Texas to discuss gaps between funded entirely by user fees on the (3) Description of the method of the OQ rule and actual operations in the pipeline industry, PHMSA does not periodic billing, payment, and auditing field. currently recover costs incurred of cost recovery fees; 2. ASME Standard specifically while conducting these (4) Minimum account balance which reviews for pipeline operators. Section the applicant must maintain with ASME standard, ASME B31Q 13 of the 2011 Act permits PHMSA to PHMSA at all times; (‘‘Pipeline Personnel Qualification’’) require the entity or individual (5) Provisions for reconciling was revised in October 2010, to address proposing the project to pay the costs differences between total amount billed many OQ issues identified at the public incurred by PHMSA relating to such and the final cost of the design review, meeting. An OQ team reviewed the reviews. including provisions for returning any standard in detail and determined that Historically, PHMSA’s pipeline safety excess payments to the applicant at the while the standard provided detailed costs associated with new pipeline conclusion of the project; guidance in most areas, PHMSA should design and construction reviews and (6) A principal point of contact for instead amend the current regulation to inspections have been paid for through both PHMSA and the applicant; address areas that had not been Pipeline User Fee collections. As major (7) Provisions for terminating the addressed in the revised ASME 1 pipeline construction projects increase, agreement; and standard. PHMSA’s inspection hours and costs (8) A project reimbursement cost 3. NTSB Recommendation have increased on major projects, schedule based upon the project timing The NTSB issued the following safety diverting resources away from other and scope. Agency priorities. In this NPRM recommendation to PHMSA on July 25, PHMSA is taking the first step in III. Operator Qualification 2012, (P–12–8): proposing to exercise the cost recovery Requirements Extend operator qualification requirements authority described in Section 13(a) of Summary in Title 49 Code of Federal Regulations Part the 2011 Act by prescribing a fee 195 Subpart G to all hazardous liquid and gas structure and assessment methodology This proposed rulemaking action transmission control center staff involved in that is based on the costs of providing would amend the Federal pipeline pipeline operational decisions. these reviews that are initiated by the safety regulations in 49 CFR parts 192 Although our existing Control Room pipeline operator. However, in terms of and 195 relative to operator Frequently Asked Questions (B.01, B.03 budgetary scoring, Section 13 allows for qualification requirements. The & B.05) (http://primis.phmsa.dot.gov/ the collection of the fee as a mandatory amendments would include: Expanding crm/faqs.htm) all touch on the topic of receipt. However, the Administration the scope of OQ requirements to cover supervisors or others intervening in would like to use these fees as an offset new construction and certain previously control room operations, there are no for discretionary spending, and as such, excluded operation and maintenance specific OQ program requirements. PHMSA has proposed that tasks, extending the OQ requirements to Therefore, PHMSA is proposing explicit appropriations language in the last operators of Type A gas gathering lines control room team training requirement several Budgets to make this a in Class 2 locations, Type B onshore gas for all individuals who would be discretionary offsetting fee. Neither the gathering lines, and regulated rural reasonably expected to interface with Consolidated Appropriations Act of hazardous liquid gathering lines, controllers during normal, abnormal or 2014 nor the Consolidated and Further requiring a program effectiveness emergency situations in §§ 192.631(h) Continuing Appropriations Act of 2015 review, and adding new recordkeeping and 195.446(h). enacted language that would make this requirements. The proposed changes a discretionary offsetting fee. Hence, would enhance the OQ requirements by 4. Gathering Lines PHMSA is proposing this portion of the clarifying existing requirements and PHMSA issued a final rule on March ANPRM under the assumption that addressing NTSB recommendation to 15, 2006; 71 FR 13289 that revises the Congress will enact a revision to make extend operator qualification methodology used to identify regulated this a discretionary offsetting fee before requirements to control center staff onshore gas gathering lines and PHMSA would issue a final rule to involved in pipeline operational implemented a tiered compliance implement the fee. decisions (Safety Recommendation approach to address potential risk. In a PHMSA believes that a review of a P–12–8). final rule issued on June 3, 2008; 73 FR large project or new technology that has Background 31634, PHMSA defined the criteria to safety benefits in quality control would identify a regulated onshore hazardous drain the agency’s resources without Sections 101 and 201 of the Pipeline liquid gathering line. In both instances, any cost recovery mechanism. PHMSA Safety Reauthorization Act of 1988 (Pub. PHMSA allowed a modified approach has developed a sample master cost L. 100–561; October 31, 1988) authorize for recordkeeping, requiring only a recovery agreement that would be used PHMSA to require all individuals description of the processes used to between PHMSA and the applicant for responsible for the operation and a project proposal meeting the criteria of maintenance of pipeline facilities to be 1 The OQ team consists of members from PHMSA proposed 49 CFR part 190, subpart D tested for qualifications and to be and several State pipeline safety agencies.

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qualify personnel instead of a awareness of the roles and rule to define covered tasks is clearer description of qualification methods for responsibilities of controllers. In many and helps to eliminate confusion over each individual who is allowed to cases, they are also included in whether performance based tasks are perform tasks on Type A gas gathering discussions or meetings that involve ‘‘performed as a requirement of this lines in Class 2 locations or regulated control room personnel. However, these part.’’ Most of the proposed OQ changes hazardous liquids gathering lines in individuals may not always get together are not significant because the existing rural locations. PHMSA has determined to be trained on how to work together sections are renumbered or combined that this approach fails to ensure that as a team. Therefore, as recommended with other sections. However, this individuals possess the requisite by NTSB, PHMSA is proposing to proposed rule includes two new knowledge, skills, and abilities to require control room team training in requirements: (1) Includes OQ perform the actual work. Additionally, §§ 192.631(h) and 195.446(h). requirements for new constructions by in the March 2006 rulemaking, PHMSA changing the Scope; and (2) adds a new Justification for the Proposed Changes subjected operators of Type B onshore program effectiveness requirement to gas gathering lines to a very limited set The industry standard, ASME B31Q, ensure that operators complete a review of required compliance activities, Pipeline Personnel Qualification, of the effectiveness of their OQ program. excluding and OQ requirements. Having defines covered task as ‘‘those tasks that PHMSA’s proposed changes to the OQ a properly trained and qualified can affect the safety or integrity of the rule at parts 192 and 195 are as follows: workforce is necessary and paramount pipeline’’. 1. Change the scope of the OQ rule in to perform work on any category of The current rule is not prescriptive §§ 192.801 and 195.501 to revise the pipeline and to solidify a consistent and the resulting flexibility built into method of determining a ‘‘covered application of OQ across all sectors of the performance-based rule makes it task.’’ Instead of determining a covered pipeline transportation. difficult to measure operator’s task by the ‘‘4-part test,’’ PHMSA is compliance with the rule. Under the proposing to define a covered task as 5. Control Room Team Training current regulation, a covered task is an any maintenance, construction or NTSB issued the following safety activity, defined by the operator that emergency response task the operator recommendation to PHMSA on July 25, meets the 4-part test: identifies as affecting the safety or 2012, (P–12–7): (1) Is performed on a pipeline facility; integrity of the pipeline facility. The ‘‘4- (2) Is an operations or maintenance part test’’ omitted important tasks, such Develop requirements for team training of task; as all construction tasks on new control center staff involved in pipeline (3) Is performed as a requirement of operations similar to those used in other pipelines and certain operation and transportation modes. this part; and maintenance tasks. (4) Affects the operation or integrity of 2. Update the ‘‘General’’ sections of Although not an explicit requirement, the pipeline. §§ 192.809 and 195.509 to remove the a number of the sections in the Control Many of the pipeline safety implementation dates that no longer Room Management regulations, along regulations are performance based, affect the implementation requirements with the inspection guidance and rather than prescriptive requirements. for operators. In addition, after they are related Frequently Asked Questions, The OQ regulations require operators to updated §§ 192.809 and 195.509 are already touch on the concept of team identify covered tasks for all of their renumbered as §§ 192.805 and 195.505. training for control room personnel and operations and maintenance activities 3. Change the requirements in others who would likely work together that are required by parts 192 and 195, §§ 192.805 and 195.505 by adding new as a team during normal, abnormal, and regardless of whether such activities definitions, deleting an obsolete date for emergency situations. PHMSA believes arise from performance-based training requirements and clarify the a requirement for control room team regulations or from more prescriptive need for training individuals performing training would better prepare all requirements. It’s the operator’s covered tasks. Additionally, we are individuals who would be reasonably responsibility to identify their unique adding a new requirement for evaluators expected to interface with controllers and specific tasks and terminology in of individuals performing covered tasks, (control room personnel) during normal, both their operations and maintenance including training requirements for new abnormal or emergency situations. documentation, as well as ensure these construction tasks as the current OQ While the CRM regulations call out tasks are covered tasks in the Operator requirements do not include new certain specific individuals such as Qualification Program. construction tasks. controllers, supervisors, and field Many O&M tasks (part 2 of the 4-part 4. Add a ‘‘Program Effectiveness’’ personnel, understanding of the test) that an operator performs are not requirement at §§ 192.807 and 195.507 requirements of CRM and appropriate specifically called out in the regulation to ensure that operators complete a training is essential for other (part 3 of the 4-part test). review of the effectiveness of their OQ individuals that interact with Performance based tasks may include program. The review would include controllers, particularly those that may activities, such as those involved in ensuring that procedures that were affect the ability of a controller to safely making repairs (while repairs are called amended have been captured in the monitor and control the pipeline during out as a requirement of the regulations, necessary portions of the OQ program. normal, abnormal, and emergency specific terminology such as mud 5. Add record requirements in situations. Other individuals to which plugging, pipefitting, installing §§ 192.809 and 195.509 that are team training might pertain likely vary Clockspring, etc. associated with normally reviewed during the by operator and control room depending making repairs is not). Making pipeline inspection of OQ programs and are on specific procedures and roles in the repairs in a safe manner involves necessary to provide a thorough control room, but they could include myriad tasks that may vary from one job overview of an OQ program. The individuals such as technical advisors, to another and from one operator to additional records would include engineers, leak detection analysts, and another. While the current performance records that document evaluators’ on-call support. These individuals are based regulations provide flexibility for performance and program effectiveness. typically already trained in their each operator to identify those 6. Add a new paragraph (b)(5) to specific job function and have some particular repair tasks, the proposed §§ 192.631 and 195.446 to require each

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operator to define the roles and to be used if it is no longer in the best • Currently the regulator and relief responsibilities and qualifications of interest of public safety. equipment with farm taps are not others who have the authority to direct PHMSA is proposing to add a renewal subject to over pressurization protection or supersede the specific technical procedure to the pipeline safety requirements associated with pressure actions of controllers. PHMSA believes regulations for those Special Permits limiting stations. this change would reinforce that that have expiration dates. This special This proposal originated with the operators need to declare the roles, permit renewal procedure will ensure NAPSR DIMP Implementation Task responsibilities, and qualifications of all the permit conditions are still valid for Force and was subsequently approved others who, at times, could intervene in the pipeline and if changes and updates by the NAPSR Board in January 2013. control room operations. are required to maintain safety and the As NAPSR described it, ‘‘farm tap’’ is 7. Add a new subparagraph in the environment. industry jargon for a pipeline that branches from a transmission, gathering, ‘‘Qualification Program’’ sections as V. Farm Taps §§ 192.805(b)(7) and 195.505(b)(7) or production pipeline to deliver gas to a farmer or other landowner. proposing requirements addressing Summary Historically, PHMSA and its management of change and the This proposed rulemaking action predecessor agencies have held that communication of those changes. This would amend the Federal pipeline farm taps are service lines—a subset of proposed section would ensure that safety regulations in 49 CFR part 192 to distribution pipelines. Rulemaking weaknesses of a program are found and add a new § 192.740 to cover regulators proceedings and responses to requests corrections are made with notification and overpressure protection equipment for interpretation have recognized this to those affected, and for an individual service line that originates from a transmission, dating as far back as 1971. 8. Modify §§ 192.9 and 195.11 to On December 4, 2009, PHMSA gathering, or production pipeline (i.e., a require operators to establish and published the DIMP final rule (74 FR farm tap), and to revise § 192.1003 to administer an OQ program covering 63906) for gas distribution pipelines. exclude farm taps from the requirements personnel who perform work on Type A That rule applies IM requirements to all of the Distribution Integrity gas gathering lines in Class 2 locations, distribution pipelines. Unlike the IM Management Program (DIMP). regulated Type B onshore gas gathering requirements for hazardous liquid or gas lines and regulated hazardous liquids Background transmission pipelines, the DIMP gathering lines in rural locations. On October 29, 2012, PHMSA requirements do not focus on a subset IV. Special Permit Renewal received a request from the Interstate of pipelines in ‘‘high consequence Natural Gas Association of America areas,’’ but instead apply to all Summary (INGAA), asking if PHMSA covers the distribution pipelines, including farm taps. This proposed rulemaking action farm tap issue on the upcoming would amend § 190.341 of the Federal miscellaneous issue rulemaking. In Justification for the Recommended pipeline safety regulations to add addition, PHMSA received a February Changes 15, 2013, written letter from the procedures for renewing a special Farm taps are mostly located in less- National Association of Pipeline Safety permit. populated areas (Class 1 and 2 Representatives (NAPSR) requesting an locations). The risk to the public from Background and Justification exemption of farm taps from the DIMP farm taps is generally low, but the risk requirements as follows: As defined in § 190.341(a), a special is dependent upon the service line in The letter requested PHMSA to take permit is an order by which PHMSA which the farm tap is employed, the the following actions relative to the waives compliance with one or more of environment in which it operates, and applicability of DIMP to ‘‘Farm Taps’’: the pipeline safety regulations if it the consequence of an determines that granting the permit 1. Amend the applicable part 192 sections to exempt those pipelines overpressurization event. DIMP is would ‘‘not be inconsistent with written to identify needed risk control pipeline safety.’’ Special permits are commonly referred to as ‘‘farm taps’’ (a term originating from industry jargon) practices for threats associated with authorized by statute in 49 U.S.C. distribution systems, whereas threats to 60118(c), and the application process is from the requirements of Subpart P, Gas Distribution Pipeline Integrity typical farm taps are limited, and most set forth in § 190.341. PHMSA performs are already addressed within part 192. extensive technical analysis on special Management; and 2. Amend part 192 to include periodic Therefore, in response to the INGAA permit applications and typically inspection requirements in a new and NAPSR requests, PHMSA is conditions a grant of a special permit on section covering ‘‘pressure regulating proposing to amend part 192 to exempt the performance of alternative measures and over-pressure-relief equipment’’ on farm taps from the requirements of part that would provide an equal or greater a pipeline that originates from a 192, subpart P—Gas Distribution level of safety. PHMSA is committed to transmission, gathering, or production Pipeline Integrity Management. public involvement and transparency in pipeline that serves a service line. However, to better protect customers special permit proceedings and In support of the above, NAPSR served by these lines, PHMSA is publishes notice of every special permit offered the following: proposing to amend part 192, subpart application received in the Federal • Farm taps are distribution service M—Maintenance by adding a new Register for comment. lines per § 192.3 ; section that prescribes inspection In the past, PHMSA has included an • During the DIMP rulemaking, little activities under the existing States and expiration date for certain special consideration was given to the potential Federal pipeline safety inspection permits depending on the nature of the impact or appropriateness of subjecting programs for pressure regulators and permit. By doing so, PHMSA is able to farm taps to DIMP; overpressurization protection ensure that these special permits will be • The risk to the public from a failure equipment on service lines that reviewed again no later than the on a farm tap is generally lower in Class originate from transmission, gathering, expiration date. This process ensures 1 and Class 2 locations in which farm or production pipelines. Currently, that a special permit will not continue taps are typically located and operated; Federal pipeline safety requirements do

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not include overpressurization operators conduct assessments This proposed rule would incorporate protection for farm taps. Therefore, this periodically thereafter. by reference consensus standards for requirement would include inspection Section 195.452 specifies the assessing the physical condition of in- of farm-tap pressure regulating/limiting techniques that must be used to perform service hazardous liquids pipelines device, relief device, and automatic the required periodic IM assessments.2 using ILI and SCCDA. Incorporation of shutoff device every 3-years to make ILI is among the allowed techniques. the consensus standards would assure sure these safety equipment are in good Supervisory Control and Data better consistency, accuracy and quality working conditions. Acquisition (SCADA) system is a in pipeline assessments conducted technique allowed for gas transmission using these techniques. This proposal VI. Reversal of Flow or Change in addresses those parts of NTSB Product pipelines but is not specifically addressed in § 195.452 although it is Recommendation P–12–3—identifying Summary also applicable to hazardous liquid crack defects and seam corrosion by using crack tools and circumferential PHMSA published a final rule on pipelines. tools—by incorporating the above cited November 26, 2010 (75 FR 72878) that When the IM regulations were industry standards. The remainder of established and required participation established, consensus standards did NTSB Recommendation P–12–3 will be in the National Registry of Pipeline and not exist in addressing how these addressed in PHMSA’s rulemaking LNG Operators. The final rule amended techniques should be applied. Since titled ‘‘Pipeline Safety—Safety of On- the Federal pipeline safety regulations then, the American Petroleum Institute Shore Hazardous Liquid Pipelines.’’ to require operators to notify PHMSA (API), National Association of Corrosion Therefore, PHMSA proposes to electronically of the occurrence of Engineers (NACE), and the American incorporate by reference the following certain events no later than 60 days Society for Non-Destructive Testing consensus standards into 49 CFR part before the event occurs. (ASNT) published standards for using 195: API STD 1163, ‘‘In-Line Inspection In this notice of proposed rulemaking ILI and SCCDA as assessment Systems Qualification Standard’’ (NPRM), PHMSA proposes to expand techniques. Also, PHMSA received a (August 2005); NACE Standard Practice the list of events in §§ 191.22 and petition from NACE requesting that SP0102–2010 ‘‘Inline Inspection of 195.64 that require electronic PHMSA incorporate ANSI/NACE Pipelines’’ NACE SP0204–2008 ‘‘Stress notification to include the reversal of Standard RP0204, NACE Standard Corrosion Cracking Direct Assessment;’’ flow of product or change in product in RP0102–2002, and seven other NACE and ANSI/ASNT ILI–PQ–2010, ‘‘In-line a mainline pipeline. This notification is standards into 49 CFR parts 192 and Inspection Personnel Qualification and not required for pipeline systems 195. These referenced consensus Certification’’ (2010). Also, PHMSA already designed for bi-directional flow, standards address the selection of in- proposes to allow pipeline operators to or when the reversal is not expected to line inspection tools for assessing the conduct assessments using tethered or last for 30 days or less. The proposed physical condition of in-service remote control tools not explicitly rule would require operators to notify hazardous liquids pipelines. Since the discussed in NACE SP0102–2010, PHMSA electronically no later than 60 NACE petition, two of these standards provided the operators comply with days before there is a reversal of the have been developed from applicable sections of NACE SP0102– flow of product through a pipeline and recommended practices into NACE 2010. also when there is a change in the Standard Practice (SP0102–2010 and Note that this proposed rulemaking product flowing through a pipeline. NACE SP0204–2008.) action addresses only part 195, but Examples include, but may not be In addition, NTSB issued the PHMSA is considering a similar limited to, changing a transported following safety recommendation to proposed requirement in 49 CFR part product from liquid to gas, from crude PHMSA on July 10, 2012, (P–12–3): 192. oil to HVL, and vice versa. In addition, a modification is proposed to §§ 192.14 Revise Title 49 Code of Federal Regulations Justification for the Recommended and 195.5 to reflect the 60-day 195.452 to clearly state (1) when an Incorporation notification and requiring operators to engineering assessment of crack defects, including environmentally assisted cracks, Incorporation of the consensus notify PHMSA when over 10 miles of must be performed; (2) the acceptable standards would assure better pipeline is replaced because the methods for performing these engineering consistency, accuracy and quality in replacement would be a major assessments, including the assessment of pipeline assessments conducted using modification with safety impacts. cracks coinciding with corrosion with a ILI and SCCDA. safety factor that considers the uncertainties VII. Pipeline Assessment Tools associated with sizing of crack defects; (3) Standards for ILI Section 195.452 of the pipeline safety criteria for determining when a probable When the part 195 IM requirements regulations specifies requirements for crack defect in a pipeline segment must be were issued, there were no consensus assuring the integrity of pipeline excavated and time limits for completing industry standards that addressed ILI. segments where a hazardous liquid those excavations; (4) pressure restriction limits for crack defects that are not excavated Since then the following standards have release could affect a high consequence by the required date; and (5) acceptable been published: area (referred to in this notice as methods for determining crack growth for 1. In 2002, NACE International ‘‘covered segments’’). Among other any cracks allowed to remain in the pipe, published the first consensus industry requirements, the regulations require including growth caused by fatigue, standard that specifically addressed ILI that operators of covered segments corrosion fatigue, or stress corrosion cracking (NACE Recommended Practice RP0102, conduct assessments, which consist of as applicable. ‘‘Inline Inspection of Pipelines’’). NACE direct or indirect inspection of the International revised this document in pipelines, to detect evidence of 2 Operators are allowed to use techniques not 2010 and republished it as a Standard degradation. Section 195.452(d) requires specifically identified in these sections provided Practice, SP0102. that the techniques provide an equivalent operators to conduct a baseline understanding of pipe condition and that operators PHMSA considers that the assessment of all covered segments. notify PHMSA in advance of their use of such other consistency, accuracy, and quality of Section 195.452(j) requires that techniques. pipeline ILI would be improved by

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incorporating the NACE International operators to use the SCCDA technique Part 195 presently includes no 2010 standard into the regulations. and ASNT is one of them. The ASNT requirements applicable to the use of PHMSA asked the Standards standard addresses in detail each of the SCCDA. Experience has shown that Developing Organizations to develop following aspects, which are not pipelines can go through SCC this and the other standards and currently addressed in the regulations: degradation in areas where the PHMSA is now proposing to adopt them • Requirements for written surrounding soil has a pH near neutral to bring consistency throughout the procedures. (referred to as near-neutral SCC). NACE industry. These standards provide tables • Personnel qualification levels. Standard Practice SP0204–2008 to improve tool selection. PHMSA is • Education, training, and experience addresses near-neutral SCC. In addition, providing hazardous liquids pipeline requirements. the NACE International recommended operators choices of tools to assess their • Training programs. practice provides technical guidelines pipelines and, therefore, PHMSA does • Examinations (testing of personnel). and process requirements that are both • not believe that these tool selections Personnel certification and more comprehensive and rigorous for incur additional costs to the pipeline recertification. conducting SCCDA than are provided • operators. The NACE International Personnel technical performance by § 192.929 or ASME/ANSI B31.8S. standard applies to ‘‘free swimming’’ evaluations. The NACE standard provides inspection tools that are carried down 3. In 2005, API published API STD additional guidance as follows: the pipeline by the transported fluid. It 1163, ‘‘In-Line Inspection Systems • The factors that are important in the does not apply to tethered or remotely Qualification Standard.’’ formation of SCC on a pipeline and controlled ILI tools. While the usage of This Standard serves as an umbrella what data should be collected; tethered or remotely controlled ILI tools document that is to be used with and • Additional factors, such as existing is less prevalent than the usage of free complements the NACE International corrosion, which could cause SCC to swimming tools, some pipeline IM and ASNT standards that are form; assessments have been conducted using incorporated by reference in API STD • Comprehensive data collection these tools. PHMSA believes many of 1163. The API standard is more guidelines, including the relative the provisions in the NACE comprehensive than the requirements importance of each type of data; International standard can be applied to currently in part 195. The incorporation • Requirements to conduct close tethered or remotely controlled ILI tools of this standard into the Federal interval surveys of cathodic protection and, therefore, is proposing that use of pipeline safety regulations would or other aboveground surveys to these tools continue to be allowed promote a higher level of safety by supplement the data collected during provided they generally comply with establishing a consistent methodology to pre-assessment; applicable sections of the NACE qualify the equipment, people, • Ranking factors to consider for standard. The NACE standards were processes, and software utilized by the selecting excavation locations for both reviewed by PHMSA experts, and they ILI industry. The API standard near-neutral and high pH SCC; • agree with the provisions in the addresses, in detail, each of the Requirements on conducting direct standards. Many operators are already following aspects of ILI inspections: examinations, including procedures for following those guidelines. Our • Systems qualification process. collecting environmental data, inspection guides would provide further • Personnel qualification. preparing the pipe surface for instructions when final rule is • ILI system selection. examination, and conducting Magnetic implemented. • Qualification of performance Particle Inspection (MPI) examinations 2. In 2005, the ASNT published specifications. of the pipe; and ANSI/ASNT ILI–PQ, ‘‘In-line Inspection • System operational validation. • Post assessment analysis of results Personnel Qualification and • System results qualification. to determine SCCDA effectiveness and Certification.’’ • Reporting requirements. assure continual improvement. The ASNT standard provides for • Quality management system. In general, NACE SP0204–2008 qualification and certification provides thorough and comprehensive Stress Corrosion Cracking (SCC) Direct requirements that are not addressed in guidelines for conducting SCCDA and is Assessment part 195. In 2010 ASNT published more comprehensive in scope than ANSI/ASNT ILI–PQ with editorial 4. NACE SP0204–2008 ‘‘Stress Appendix A3 of ASME/ANSI B31.8S. changes. The incorporation of this Corrosion Cracking Direct Assessment.’’ PHMSA believes that requiring the use standard into the Federal pipeline safety SCC is a degradation mechanism in of NACE SP0204–2008 would enhance regulations would promote a higher which steel pipe develops closely the quality and consistency of SCCDA level of safety by establishing consistent spaced tight cracks through the conducted under IM requirements. standards to qualify the equipment, combined action of corrosion and SCC has also been the subject of people, processes, and software utilized tensile stress (circumferential, residual, research and development (R&D) by the ILI industry. This and the other or applied). These cracks can grow or programs that have been funded in standards are being used by many coalesce to affect the integrity of the whole or in part by PHMSA in recent operators but not all. This rule would pipeline. SCC is one of several threats years. PHMSA reviewed the results of ensure that all operators use these that can impact pipeline integrity. IM several R&D programs concerning SCC standards. Overall cost would not regulations in Part 195 require that as part of its consideration of whether change, because these consensus pipeline operators assess covered pipe it was appropriate to incorporate the standards would help operators segments periodically to detect NACE standard into the regulations. eliminate problems before they arise. degradation from threats that their Among the reports PHMSA reviewed SCCDA is a technique allowed for gas analyses have indicated could affect the was ‘‘Development of Guidelines for transmission pipelines but is not segment. Not all covered segments are Identification of SCC Sites and specifically addressed in § 195.452 subject to an SCC threat, but for those Estimation of Re-inspection Intervals for although it is also applicable to that are, SCCDA is an assessment SCC Direct Assessment,’’ published by hazardous liquid pipelines. This technique that can be used to address Integrity Corrosion Consulting Ltd. in rulemaking action would allow HL this threat. May 2010 (https://

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primis.phmsa.dot.gov/matrix/ suggested that PHMSA should require required at § 199.119 and alcohol testing PrjHome.rdm?prj=199). This report an assessment for SCC any time there is results required at § 199.229. Pipeline evaluated the results of numerous a credible threat of its occurrence; operators with fewer than 50 covered studies conducted since the 1960s however, API–AOPL suggested that employees are required to submit these regarding SCC. The report used the requiring assessment for ‘‘any credible reports only when PHMSA provides conclusions from the studies to identify threat’’ was too extreme and that some written notice. PHMSA proposes to a group of 109 guidelines that pipeline significance threshold should be used. modify these regulations to specify that operators could use to help identify The National Resources Defense Council PHMSA will provide notice to operators sites where SCC might occur and suggested the need for special attention in the PHMSA Portal. to sulfide-assisted SCC in pipelines determine appropriate re-inspection IX. Post-Accident Drug and Alcohol carrying diluted bitumen (i.e., tar sands intervals when SCC is found. The Testing guidelines address both high-pH and oil). No commenters indicated near-neutral-pH conditions. This report knowledge of statistics supporting the The NTSB issued the following safety noted that the information used in efficacy of any current SCC standard or recommendation to PHMSA (September developing the NACE standard guideline. 26, 2011, NTSB Recommendation P–11– consisted primarily of empirical data PHMSA acknowledges that the NACE 12): gathered from operators examining standard may not address all aspects of Amend §§ 199.105 and 199.225 to pipeline field conditions and failures. In SCC management, but PHMSA eliminate operator discretion with regard to contrast, the studies examined by considers it better to incorporate testing of covered employees. The revised Integrity Corrosion Consulting were additional structured guidance that is language should require drug and alcohol available now rather than await future testing of each employee whose performance mechanistic studies, and their results either contributed to the accident or cannot serve to complement the information standards. There is continual improvement in technology to detect be completely discounted as a contributing operators have gained through field factor to the accident. experience. PHMSA’s review of the and address various SCC threats. Three PHMSA proposes to modify guidelines in this report identified a different standards organizations are §§ 199.105 and 199.225 by requiring number of areas not addressed in detail currently working to improve standards drug testing of employees after an in the NACE standard. Accordingly, on SCC: ASME B31.8, NACE 204 and accident and allowing exemption from PHMSA has included additional factors API 1160. PHMSA participates on these drug testing only when there is in this proposed rule (proposed technical committees. As more sufficient information that establishes § 195.588) that an operator must knowledge is gained on other types of the employee(s) had no role in the consider if the operator uses direct SCC, such as sulfide assisted SCC and accident. assessment to assess SCC. when newer standards get published, PHMSA would adopt them. PHMSA’s regulations require the SCC was also a topic in an advance As for NAPSR’s comment on documentation of decisions not to notice of proposed rulemaking assessing any credible SCC threat, administer a post-accident alcohol test (ANPRM) published by PHMSA on PHMSA believes that any proposed but the requirement to document October 18, 2010 (75 FR 63774). The requirements for SCC would need to be decisions not to administer a post- ANPRM addressed several potential considered in a separate rulemaking accident drug test is only implied in the changes to the regulations governing the effort. States always have option to regulation, and the implied requirement safety of hazardous liquids pipelines. make requirements more stringent. is generally followed. PHMSA proposes Among other topics, it posed a number PHMSA will consider incorporating to add a section to the post-accident of questions concerning SCC, including updates to API 1160 once that standard drug testing regulation to require whether the NACE standard addresses is published. PHMSA will also continue documentation of the decision and to the full life cycle concerns associated to consider the comments received in keep the documentation for at least with SCC, NACE’s efficacy, and whether response to its ANPRM. three years. the NACE standard or any other PHMSA is proposing to revise X. Information Made Available to the standards should be adopted to govern § 195.588, which specifies requirements Public and Request for Confidential the conduct of SCC assessments. for the use of external corrosion direct Treatment PHMSA received a limited number of assessment on hazardous liquid comments to the ANPRM that addressed pipelines, to include reference to NACE When any information is submitted to the SCC questions. Joint comments from SP0204–2008 for the conduct of SCCDA. PHMSA during a rulemaking the American Petroleum Institute and The proposal would not require that proceeding, as part of an application for the Association of Oil Pipelines (API– SCCDA assessments be conducted, but a special permit, or for any other reason, AOPL) noted that NACE SP0204–2008 it would require that the NACE standard PHMSA may make that information is a reasonable standard but does not be followed if an operator elects to publicly available. PHMSA does not address all aspects of SCC control. API– perform such assessments. PHMSA has currently have a procedure in the AOPL noted that forthcoming updates of included additional factors that an pipeline safety regulations by which a API Standard 1160, ‘‘Managing System operator must consider to address these request can be made for confidential Integrity for Hazardous Liquid if the operator uses direct pipeline to treatment of information. PHMSA has Pipelines,’’ and API Standard 1163, ‘‘In- assess SCC. such a procedure in its hazardous Line Inspection Systems Qualification materials safety regulations. Therefore, Standard,’’ would be better references to VIII. Electronic Reporting of Drug and for consistency in the way we treat address SCC management. The Texas Alcohol Testing Results submitted information, PHMSA Pipeline Association recommended PHMSA’s pipeline safety regulations proposes a procedure where anyone against adopting the NACE standard, at §§ 191.7 and 195.58 require electronic who submits information may request contending that it is too new for reporting of most pipeline safety reports for confidential treatment of that operators to have significant experience through the PHMSA Portal. PHMSA information. As part of the procedure, if with it. The National Association of proposes to also require electronic PHMSA receives a request for the Pipeline Safety Representatives reporting for anti-drug testing results record(s), PHMSA would conduct a

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review of the records under the concerns of welding to an in-service Summary of Correction to § 195.64(a) Freedom of Information Act. pipeline. Welding procedures and § 195.64(c)(1)(ii) In accordance with Departmental developed to API 1104 Appendix B FOIA regulations, if a request is consider the risks associated with PHMSA published a final rule on received for information that has been hydrogen in the weld metal, type of November 26, 2010; 75 FR 72878, which designated by the submitter as welding electrode, sleeve/fitting and established the National Registry of confidential, we would notify the carrier pipe materials, accelerated Pipeline and LNG Operators. In the rule, submitter and provide an opportunity to cooling, and stresses across the fillet PHMSA inadvertently omitted the the submitter to submit any written welds. At the present time, typical inclusion of carbon dioxide in the objections. Whenever a decision is made industry developed in-service welding operating commodity types. To to disclose such information over the procedures utilize all or some maintain consistency with the rest of objections of a submitter, we would combinations of low hydrogen part 195, this proposed rule would notify the submitter in writing at least electrodes, preheat, temper bead amend the language in §§ 195.64(a) and five days before the date the information deposition sequence, heat input control, 195.64(c)(1)(ii) to correct the term is publicly disclosed.3 cooling rate analysis, analysis based on ‘‘hazardous liquid’’ to read ‘‘hazardous liquid or carbon dioxide.’’ XI. In Service Welding pipe/sleeve/fitting material carbon equivalence, and address wall In § 195.248, the conversion to 100 In 1987, the U.S. Department of thickness/burn-through concerns. The feet is mistakenly stated as 30 Transportation, Office of Pipeline Safety Office of Pipeline Safety alert notice millimeters. Therefore, PHMSA issued Alert Notice ALN–87–01 which encouraged the development and use of proposes to replace the phrase ‘‘100 feet advised pipeline owners and operators welding procedures that address (30 millimeters)’’ to correctly read ‘‘100 of a pipeline incident involving the improvements in pipeline safety and feet (30.5 meters).’’ welding of a full encirclement repair many operators have developed in- In addition, low stress pipelines are sleeve on a 14’’ API 5L X52 pipeline service welding procedures. near King of Prussia, PA. The pipeline not specified in § 195.452. Section Unfortunately, parts 192 and 195 were 195.452 applies to each hazardous failure released thousands of barrels of not modified to include the addition of gasoline and was directly related to liquid pipeline and carbon dioxide API 1104 Appendix B as an acceptable pipeline that could affect a high cracks developed in a fillet weld of a section for the development of welding Type B full encirclement repair sleeve. consequence area, including any procedures and welder qualification. At pipeline located in a high consequence The metallurgical analysis conducted by the present time, parts 192 and 195 only Battelle Laboratories concluded area unless the operator effectively adopt into Federal Regulation Sections demonstrates by risk assessment that the hydrogen and stress caused cracking of 5, 6, 9 and Appendix A. This proposed pipeline could not affect the area. the excessively hard heat affected rule seeks to rectify this oversight and Therefore, PHMSA proposes to add a material in the carrier pipe. state the acceptability of developing new paragraph (a)(4) to clarify the Contributing factors included poor procedures and qualifying welders to applicability of § 195.452 to low stress weldability of the carrier pipe due to its Appendix B of API 1104. Currently, pipelines as described in § 195.12. high carbon equivalent, a very high PHMSA does not allow in service cooling rate of the weld due to liquid welding, but this proposal would allow XIII. Availability of Standards product being present inside the the operators to follow Appendix B of Incorporated by Reference pipeline during welding, the presence of API 1104 for in service welding. hydrogen in the welding environment Therefore, PHMSA proposes to revise 49 PHMSA currently incorporates by due to the use of cellulosic coated CFR 192.225, 192.227, 195.214, and reference into 49 CFR parts 192, 193, electrodes, residual stresses, and high 195.222 to add reference to API 1104, and 195 all or parts of more than 60 restraint inherent in the geometry of the Appendix B. standards and specifications developed sleeve weldment. The alert notice and published by standard developing strongly recommended that the use of XII. Editorial Amendments organizations (SDOs). In general, SDOs welding procedures similar to the one In this NPRM, PHMSA is also update and revise their published that failed (use of cellulosic electrodes) proposing to make the following standards every 3 to 5 years to reflect be discontinued and that magnetic editorial amendments to the pipeline modern technology and best technical particle inspection has been proven to safety regulations: practices. The National Technology be an accurate method for detecting Transfer and Advancement Act of 1995 Summary of Correction to § 192.175(b) cracked in-service fillet welds. (Pub. L. 104–113) directs Federal In response to this failure and PHMSA’s predecessor agency, the agencies to use voluntary consensus advancements in pipeline and welding Research and Special Programs standards in lieu of government-written engineering, the American Petroleum Administration, issued a final rule on standards whenever possible. Voluntary Institute (API) developed, improved, July 13, 1998; 63 FR 37500 to provide consensus standards are standards and now includes Appendix B In- metric equivalents to the English units developed or adopted by voluntary service Welding to the API Standard for informational purposes only. bodies that develop, establish, or 1104 Welding of Pipelines and Related Operators were required to continue coordinate technical standards using Facilities. API 1104 Appendix B using the English units for purposes of agreed-upon procedures. In addition, contains provisions for the development compliance and enforcement. The Office of Management and Budget of welding procedures and welder metric equivalent provided in (OMB) issued OMB Circular A–119 to qualifications that address the safety § 192.175(b) ‘‘C=(DxPxF/48.33) implement Section 12(d) of Public Law (C=(3DxPxF/1,000)’’—is incorrect. The 104–113 relative to the utilization of 3 Note—the Departmental FOIA regulations say correct formula is: ‘‘C = (3D*P*F)/1000) consensus technical standards by that a written notice of intent to disclose will be (C = (3D*P*F*)/6,895)’’, where, ‘‘C = Federal agencies. This circular provides forwarded a reasonable number of days prior to the guidance for agencies participating in specified date upon which disclosure is intended. (3D*P*F)/1000)’’ is in inches (English See 49 CFR 7.17. See also the Hazmat regulations unit), and ‘‘(C = (3D*P*F*)/6,895)’’ is in voluntary consensus standards bodies in 49 CFR 105.30. millimeters (metric conversion). and describes procedures for satisfying

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the reporting requirements in Public by the Office of Management and avoided incident costs, plus numerous Law 104–113. Budget. This proposed rule is non- intangible benefits from the improved In accordance with the preceding significant under the Regulatory Policies clarity and consistency of regulations provisions, PHMSA has the and Procedures of the Department of and improved abilities to conduct post- responsibility for determining, via Transportation (44 FR 11034) because of incident investigations. Although the petitions or otherwise, which currently substantial congressional, State, quantified benefits do not exceed the referenced standards should be updated, industry, and public interest in pipeline quantified costs, PHMSA believes that revised, or removed, and which safety. these non-quantified benefits are standards should be added to 49 CFR Executive Orders 12866 and 13563 significant enough to outweigh the costs parts 192, 193, and 195. Revisions to require agencies regulate in the most of compliance. In particular, incorporate by reference materials in 49 cost-effective manner, make a reasoned improvements to Operator Qualification CFR parts 192, 193, and 195 are handled determination that the benefits of the and post-incident investigation may via the rulemaking process, which intended regulation justify its costs, and prevent a future high-consequence allows for the public and regulated develop regulations that impose the event. At an annual compliance cost of entities to provide input. During the least burden on society. In this notice, $3.1 million, the proposed new rulemaking process, PHMSA must also PHMSA is proposing to: Operator Qualification and post- obtain approval from the Office of the • Add a specific time frame for accident testing requirements would be Federal Register to incorporate by telephonic or electronic notifications of cost-effective if they prevented a single reference any new materials. accidents and incidents; fatal incident over a 3-year period. On January 3, 2012, President Obama • Establish PHMSA’s cost recovery signed the Pipeline Safety, Regulatory procedures for new projects that cost COSTS VS BENEFITS TABLE Certainty, and Job Creation Act of 2011, over $2,500,000,000 or use new and Public Law 112–90. Section 24 requires novel technologies; Annual Costs ...... $3.1 million. the Secretary not to issue guidance or a • Modify operator qualification Annual Benefits ...... $1.6 million plus regulation to incorporate by reference requirements including addressing a unquantified safety any documents or portions thereof NTSB recommendation to clarify OQ benefits and farm unless the documents or portions requirements for control rooms; tap savings. • thereof are made available to the public, Add provisions for the renewal of free of charge, on an Internet Web site. expiring special permits; A regulatory evaluation containing a • 49 U.S.C. 60102(p). Exclude farm taps from the statement of the purpose and need for On August 9, 2013, Public Law 113– requirements of the DIMP requirements this rulemaking and an analysis of the 30 revised 49 U.S.C. 60102(p) to replace while proposing safety requirements for costs and benefits is available in Docket ‘‘1 year’’ with ‘‘3 years’’ and remove the the farm taps No. PHMSA–2013–0163. • phrases ‘‘guidance or’’ and, ‘‘on an To address NTSB recommendations Regulatory Flexibility Act for control room team training and other Internet Web site.’’ Under the Regulatory Flexibility Act Further, the Office of the Federal recommendations; • (5 U.S.C. 601 et seq.), PHMSA must Register issued a November 7, 2014, Require pipeline operators to report consider whether rulemaking actions rulemaking (79 FR 66278) that revised 1 to PHMSA permanent reversal of flow would have a significant economic CFR 51.5 to require that agencies detail that lasts more than 30 days or to a impact on a substantial number of small in the preamble of a proposed change in product; • entities. PHMSA is proposing to add rulemaking the ways the materials it Provide methods for assessment new requirements and make changes to proposes to incorporate by reference are tools by incorporating consensus the existing pipeline safety regulations. reasonably available to interested standards by reference in part 195 for ILI and SCCDA; Description of the reasons why action parties, or how the agency worked to • by PHMSA is being considered. make those materials reasonably Require electronic reporting of drug and alcohol testing results in part 199; PHMSA is proposing to amend the available to interested parties. In • regulations to address the 2011 Act’s relation to this proposed rulemaking, Modify the criteria used to make decisions about conducting post- Section 9 (Accident and Incident PHMSA has contacted each SDO and reporting requirements) to within one has requested free public access of each accident drug and alcohol tests and require operators to keep for at least hour so that timely actions can be taken standard that has been proposed for to pipeline accidents and incidents, and incorporation by reference. Access to three years a record of the reason why post-accident drug and alcohol test was Section 13 (Cost Recovery) so that these standards will be granted until the PHMSA’s limited resources for end of the comment period for this not conducted; • Add a procedure to ensure PHMSA enforcement and other safety activities proposed rulemaking. Access to these keeps submitted information are not used for operators design documents can be found on the PHMSA confidential. reviews. NTSB recommendations for Web site at the following URL: http:// • Adding reference to Appendix B of control room training and drug and www.phmsa.dot.gov/pipeline/regs API 1104 related to in-service welding alcohol reporting requirements are under ‘‘Standards Incorporated by in parts 192 and 195; and addressed under this proposed rule. A Reference.’’ • Making minor editorial corrections. special permit renewal procedure is XIV. Regulatory Analyses and Notices As a summary of the costs/benefits proposed so that pipeline operators the annual compliance costs were would have a renewal procedure to Executive Order 12866, Executive Order estimated at approximately $3.1 million, follow to renew their expiring special 13563, and DOT Regulatory Policies and less savings to be realized from the permits. The OQ requirements scope is Procedures removal of farm taps from the DIMP expanded for new constructions and a This proposed rule is a non- requirements. Annual safety benefits program effectiveness review is required significant regulatory action under could not be quantified as readily due so that Operators can review their OQ Section 3(f) of Executive Order 12866 to data limitations but were estimated in programs for effectiveness. In addition, (58 FR 51735), and therefore is reviewed the range of $1.6 million per year in other non-substantive changes are

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proposed to correct language and accomplish the stated objectives of Training’’ identified under Office of provide methods for assessment tools as applicable statutes and that minimize Management and Budget (OMB) Control recommended by incorporating any significant economic impact of the Number 2137–0600; and ‘‘National consensus standards (this addresses proposed rule on small entities, Registry of Pipeline and LNG parts of NTSB recommendations P–12– including alternatives considered. Operators’’ identified under Office of 3 and the NACE recommendations). PHMSA is unaware of any Management and Budget (OMB) Control Specifically, these amendments address: alternatives which would produce Number 2137–0627. Farm tap requirements to address the smaller economic impacts on small PHMSA also proposes to create a new NAPSR and INGAA concerns in entities while at the same time meeting information collection to cover the including farm taps under the DIMP the objectives of the relevant statutes. recordkeeping requirement for post- requirements; notification for reversal of accident drug testing: ‘‘Post-Accident Questions for Comment on Regulatory flow or change in product for more than Drug Testing for Pipeline Operators.’’ Flexibility Analysis 60 days so that PHMSA is aware of the PHMSA will request a new Control transported product; incorporation by PHMSA is requesting public Number from the Office of Management reference of standards to address ILI and comments for the Regulatory Flexibility and Budget (OMB) for this information SCCDA; and additional testing of drug Analysis as follows: collection. and alcohol tests, electronic reporting of 1. Provide any data concerning the PHMSA will submit an information drug and alcohol testing results, number of small entities that may be collection revision request to OMB for modifying the criteria used to make affected. approval based on the requirements that decisions about conducting post- 2. Provide comments on any or all of need information collection in this accident drug and alcohol tests and the provisions in the proposed rule with proposed rule. The information post-accident drug and alcohol testing regard to (a) the impact of the collection is contained in the pipeline recordkeeping to address a NTSB provisions, if any, and (b) any safety regulations, 49 CFR parts 190 recommendation; process to request alternatives PHMSA should consider, through 199. The following information submitted information be kept paying specific attention to the effect of is provided for each information confidential similar to the current the rule on small entities. collection: (1) Title of the information Hazmat process in 49 CFR 105.30; and, 3. Describe ways in which the rule collection; (2) OMB control number; (3) editorial amendments to correct some could be modified to reduce any costs Current expiration date; (4) Type of errors or outdated deadlines. or burdens for small entities. request; (5) Abstract of the information Succinct statement of the objectives 4. Identify all relevant Federal, state, collection activity; (6) Description of of, and legal basis for, the proposed local, or industry rules or policies that affected public; (7) Estimate of total rule. may duplicate, overlap, or conflict with annual reporting and recordkeeping Under the Federal Pipeline Safety the proposed rule and have not already burden; and (8) Frequency of collection. Laws, 49 U.S.C. 60101 et seq., the been incorporated by reference. The information collection burdens are Secretary of Transportation must Executive Order 13175 estimated to be revised as follows: prescribe minimum safety standards for 1. Title: Transportation of Hazardous pipeline transportation and for pipeline PHMSA has analyzed this proposed Liquids by Pipeline: Recordkeeping and facilities. The Secretary has delegated rule according to the principles and Accident Reporting. this authority to the PHMSA criteria in Executive Order 13175, OMB Control Number: 2137–0047. Administrator (49 CFR 1.97(a)). The ‘‘Consultation and Coordination with Current Expiration Date: July 31, proposed rule would create changes in Indian Tribal Governments.’’ The 2015. the regulations consistent with the funding and consultation requirements Abstract: This information collection protection of persons and property. of Executive Order 13175 do not apply covers recordkeeping and accident Description of small entities to which because this proposed rule does not reporting by hazardous liquid pipeline the proposed rule will apply. significantly or uniquely affect the operators who are subject to 49 CFR part The Initial Regulatory Flexibility communities of Indian tribal 195. Section 195.50 specifies the Analysis finds that the proposed rule governments or impose substantial definition of an ‘‘accident’’ and the could affect a substantial number of direct compliance costs. reporting criteria for submitting a small entities because of the market Paperwork Reduction Act Hazardous Liquid Accident Report structure of the gas and hazardous (form PHMSA F7000–1) is detailed in liquids pipeline industry, which Pursuant to 5 CFR 1320.8(d), PHMSA § 195.54. PHMSA is proposing to revise includes many small entities. However, is required to provide interested the form PHMSA F7000–1 instructions these impacts would not be significant. members of the public and affected for editorial and clarification purposes. The OQ provision would entail new agencies with an opportunity to This proposal would result in a costs for small entities in the range of comment on information collection and modification to the Hazardous Liquid $160.00 per employee per year, or about recordkeeping requests. PHMSA Accident Report form (Form PHMSA F 0.3% of salary for a typical pipeline estimates that the proposals in this 7000–1) to include the concept of employee. The provision to document rulemaking will impact the following ‘‘confirmed discovery’’ as proposed in the reason for not drug testing post- information collections: this rule. accident would add $74.00 in ‘‘Transportation of Hazardous Liquids Affected Public: Hazardous liquid documentation costs per reportable by Pipeline: Record keeping and pipeline operators. incident. The other provisions would Accident Reporting’’ identified under Annual Reporting and Recordkeeping not add appreciable costs, and at least Office of Management and Budget Burden: one provision (Farm Taps) would yield (OMB) Control Number 2137–0047; Total Annual Responses: 847. compliance cost savings, though those ‘‘Incident and Annual Reports for Gas Total Annual Burden Hours: 52,429. savings are not expected to be Pipeline Operators’’ identified under Frequency of collection: On Occasion. significant. Office of Management and Budget 2. Title: Incident and Annual Reports Description of any significant (OMB) Control Number 2137–0522; for Gas Pipeline Operators. alternatives to the proposed rule that ‘‘Qualification of Pipeline Safety OMB Control Number: 2137–0522.

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Current Expiration Date: October 31, miles of a new or replacement pipeline; performance of the functions of the 2017. construction of a new LNG plant or LNG agency, including whether the Abstract: This proposal would result facility; reversal of product flow information will have practical utility; in a modification to the Gas Distribution direction when the reversal is expected (b) The accuracy of the agency’s Incident Report form (Form PHMSA F to last more than 30 days; if a pipeline estimate of the burden of the revised 7100.1) to include the concept of is converted for service under § 192.14, collection of information, including the ‘‘confirmed discovery’’ as proposed in or has a change in commodity as validity of the methodology and this rule. reported on the annual report as assumptions used; Affected Public: Gas pipeline required by § 191.17. (c) Ways to enhance the quality, operators. These notifications are estimated to be utility, and clarity of the information to Annual Reporting and Recordkeeping rare but would fall under the scope of be collected; and Burden: Operator Notifications required by (d) Ways to minimize the burden of Total Annual Responses: 12,164. PHMSA as a result of this proposed the collection of information on those Total Annual Burden Hours: 92,321. rule. PHMSA estimates that this new who are to respond, including the use Frequency of Collection: On occasion. reporting requirement will add .10 new of appropriate automated, electronic, 3. Title: Qualification of Pipeline responses and 10 annual burden hours mechanical, or other technological Safety Training’’ to the currently approved information collection techniques. OMB Control Number: 2137–0600. collection. Send comments directly to the Office Current Expiration Date: July 31, Affected Public: Operators of PHMSA- of Management and Budget, Office of 2018. Regulated Pipelines Information and Regulatory Affairs, Abstract: All individuals responsible Annual Reporting and Recordkeeping Attn: Desk Officer for the Department of for the operation and maintenance of Burden: Transportation, 725 17th Street NW., pipeline facilities are required to be Total Annual Responses: 640. Washington, DC 20503. Comments properly qualified to safely perform Total Annual Burden Hours: 640. should be submitted on or prior to their tasks and keep proper Frequency of Collection: On occasion. September 8, 2015. documentation as required by PHMSA 5. Title: ‘‘Post-Accident Drug Testing regulations. As a result of the changes for Pipeline Operators’’ Unfunded Mandates Reform Act of 1995 proposed in this NPRM, PHMSA OMB Control Number: Will request PHMSA has determined that the estimates a total of 16,008 new one from OMB. proposed rule would not impose annual employees will be subject to participate Current Expiration Date: New expenditures on State, local, or tribal in an OQ plan either as a result of new Collection—To be determined. governments of the private sector in gathering line requirements or because Abstract: This NPRM proposes to excess of $153 million, and thus, does of newly covered tasks. Participation in amend 49 CFR 199.227 to require not require an Unfunded Mandates Act an OQ plan necessitates the retention of operators to retain records for three analysis.4 records associated with those plans. years if they decide not to administer This proposal will impose a post-accident/incident drug testing on National Environmental Policy Act recordkeeping requirement for Operator affected employees). As a result, The National Environmental Policy Qualifications on the estimated 16,008 operators who choose not to perform Act (42 U.S.C. 4321 through 4375) newly covered employees that will be post-accident drug and alcohol tests on requires that Federal agencies analyze affected by this rule. As a result, 16,008 affected employees are required to keep proposed actions to determine whether responses and 42,668 annual burden records explaining their decision not to those actions will have a significant hours will be added to the existing do so. PHMSA estimates this impact on the human environment. The information collection burden. recordkeeping requirement will result in Council on Environmental Quality Affected Public: Operators of PHMSA- 609 responses and 609 burden hours for regulations require Federal agencies to Regulated Pipelines. recordkeeping. PHMSA does not conduct an environmental review Annual Reporting and Recordkeeping currently have an information collection considering: (1) The need for the Burden: which covers this requirement and will proposed action, (2) alternatives to the Total Annual Responses: 31,835 request the approval of this new proposed action, (3) probable Total Annual Burden Hours: 509,360. collection, along with a new OMB environmental impacts of the proposed Frequency of Collection: On occasion. Control Number, from the Office of action and alternatives, and (4) the 4. Title: ‘‘National Registry of Pipeline Management and Budget. agencies and persons consulted during and LNG Operators’’ Affected Public: Operators of PHMSA- the consideration process (40 CFR OMB Control Number: 2137–0627. Regulated Pipelines 1508.9(b)). Current Expiration Date: May 31, Annual Reporting and Recordkeeping 2018. Burden: 1. Purpose and Need Abstract: The National Registry of Total Annual Responses: 609 PHMSA’s mission is to protect people Pipeline and LNG Operators serves as Total Annual Burden Hours: 1,218. and the environment from the risks of the storehouse of data on regulated Frequency of Collection: On occasion. hazardous materials transportation. The operators or those subject to reporting Requests for copies of these purpose of this proposed rule is to requirements under 49 CFR parts 192, information collections should be enhance pipeline integrity and safety to 193, or 195. This registry incorporates directed to Angela Dow, Office of lessen the frequency and consequences the use of two forms: (1) The Operator Pipeline Safety (PHP–30), Pipeline and of pipeline incidents that cause Assignment Request Form (PHMSA F Hazardous Materials Safety environmental degradation, personal 1000.1) and, (2) the Operator Registry Administration, 2nd Floor, 1200 New injury, and loss of life. Notification Form (PHMSA F 1000.2). Jersey Avenue SE., Washington, DC This proposed rule would amend 20590–0001. Telephone: 202–366–1246. 4 The Unfunded Mandates Act threshold was § 191.22 to require operators to notify Comments are invited on: $100 million in 1995. Using the non-seasonally PHMSA upon the occurrence of the (a) The need for the proposed adjusted CPI–U (Index series CUUR000SA0), that following: Construction of 10 or more collection of information for the proper number is $153 million in 2013 dollars.

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The need for this action stems from 3. Analysis of Environmental Impacts from PHMSA and Volpe National the statutory mandates in Sections 9 and The Nation’s pipelines are located Transportation Systems Center (Office 13 of the 2011 Act, NTSB throughout the United States in a of the Secretary for Research and recommendations, and the need to add variety of diverse environments; from Technology (OST–R)). new reference material and make non offshore locations, to highly populated 4. Finding of No Significant Impact substantive edits. Section 9 of the 2011 urban sites, to unpopulated rural areas. Act directs PHMSA to require a specific PHMSA has preliminarily determined The pipeline infrastructure is a network that the selected alternative would have time limit for telephonic or electronic of over 2.6 million miles of pipelines reporting of pipeline accidents and a positive, non-significant, impact on that move millions of gallons of the human environment and welcomes incidents, and Section 13 of the 2011 hazardous liquids and over 55 billion Act allows PHMSA to recover costs comments on PHMSA’s conclusion. The cubic feet of natural gas daily. The preliminary environmental assessment associated with pipeline design reviews. biggest source of energy is petroleum, NTSB has made recommendations is available in Docket No. PHMSA– including oil and natural gas. Together, 2013–0163. regarding the clarification of OQ these commodities supply 65 percent of requirements in control rooms, and to the energy in the United States. Executive Order 13132 eliminate operator discretion with The physical environments PHMSA has analyzed this proposed regard to post-accident drug and alcohol potentially affected by the proposed rule testing of covered employees. In rule according to Executive Order 13132 includes the airspace, water resources (‘‘Federalism’’). The proposed rule does addition, PHMSA’s safety regulations (e.g., oceans, streams, lakes), cultural require periodic updates and not have a substantial direct effect on and historical resources (e.g., properties the States, the relationship between the clarifications to enhance compliance listed on the National Register of and overall safety. national government and the States, or Historic Places), biological and the distribution of power and 2. Alternatives ecological resources (e.g., coastal zones, responsibilities among the various wetlands, plant and animal species and levels of government. This proposed In developing the proposed rule, their habitats, forests, grasslands, rule does not impose substantial direct PHMSA considered two alternatives: offshore marine ecosystems), and compliance costs on State and local (1) No action, or special ecological resources (e.g., governments. This proposed rule does threatened and endangered plant and (2) Propose revisions to the pipeline not preempt State law for intrastate animal species and their habitats, pipelines. Therefore, the consultation safety regulations to incorporate the national and State parklands, biological proposed amendments as described in and funding requirements of Executive reserves, wild and scenic rivers) that Order 13132 do not apply. this document. exist directly adjacent to and within the Alternative 1: vicinity of pipelines. Executive Order 13211 PHMSA has an obligation to ensure Because the pipelines subject to the This proposed rule is not a the safe and effective transportation of proposed rule contain hazardous ‘‘significant energy action’’ under hazardous liquids and gases by pipeline. materials, resources within the Executive Order 13211 (‘‘Actions The changes proposed in this proposed physically affected environments, as Concerning Regulations That rule serve that purpose by clarifying the well as public health and safety, may be Significantly Affect Energy Supply, pipeline safety regulations and affected by pipeline incidents such as Distribution, or Use’’). It is not likely to addressing Congressional mandates and spills and leaks. Incidents on pipelines have a significant adverse effect on NTSB safety recommendations. A can result in fires and explosions, supply, distribution, or energy use. failure to undertake these actions would resulting in damage to the local Further, the Office of Information and be non-responsive to the Congressional environment. In addition, since Regulatory Affairs has not designated mandates and the NTSB pipelines often contain gas streams this proposed rule as a significant recommendations. Accordingly, laden with condensates and natural gas energy action. liquids, failures also result in spills of PHMSA rejected the ‘‘no action’’ List of Subjects alternative. these liquids, which can cause environmental harm. Depending on the 49 CFR Part 190 Alternative 2: size of a spill or gas leak and the nature Administrative practice and PHMSA is proposing to make certain of the impact zone, the impacts could procedure, Penalties, Cost recovery, amendments and non-substantive vary from property damage and Special permits. changes to the pipeline safety environmental damage to injuries or, on regulations to add a specific time frame rare occasions, fatalities. 49 CFR Part 191 for telephonic or electronic notifications The proposed amendments are Incident, Pipeline safety, Reporting of accidents and incidents and add improvements to the existing pipeline and recordkeeping requirements, provisions for cost recovery for design safety requirements and would have Reversal of flow. reviews of certain new projects, for the little or no impact on the human renewal of expiring special permits, and environment. On a national scale, the 49 CFR Part192 to request PHMSA keep submitted cumulative environmental damage from Control room, Distribution integrity information confidential. We are also pipelines would most likely be reduced management program, Gathering lines, proposing changes to the OQ slightly. Incorporation by reference, Operator requirements and drug and alcohol For these reasons, PHMSA has qualification, Pipeline safety, Safety testing requirements and proposing concluded that neither of the devices, Security measures. methods for assessment tools by alternatives discussed above would incorporating consensus standards by result in any significant impacts on the 49 CFR Part 195 reference for in-line inspection and environment. Ammonia, Carbon dioxide, Control stress corrosion cracking direct Preparers: This Environmental room, Corrosion control, Direct and assessment. Assessment was prepared by DOT staff indirect costs, Gathering lines, Incident,

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Incorporation by reference, Operator Associate Administrator determines that fittings, flanges, and any other facilities qualification, Petroleum, Pipeline the application does not comply with included in the special permit. Material safety, Reporting and recordkeeping the requirements of this section or that documentation must include: yield requirements, Reversal of flow, Safety a waiver is not justified, the application strength, tensile strength, chemical devices. will be denied. Whenever the Associate composition, wall thickness, and seam Administrator grants or denies an type; 49 CFR Part 199 application, notice of the decision will (E) Test Pressure: Hydrostatic test Alcohol testing, Drug testing, Pipeline be provided to the applicant. PHMSA pressure and date including pressure safety, Reporting and recordkeeping will post all special permits on its Web and temperature charts and logs and any requirements, Safety, Transportation. site at http://www.phmsa.dot.gov/. known test failures; In consideration of the foregoing, (e) How does PHMSA handle special (F) In-line inspection (ILI): ILI survey PHMSA is proposing to amend 49 CFR permit renewals? (1) To continue using results from all ILI tools used on the parts 190, 191, 192, 195, and 199 as a special permit after the expiration special permit segments during the follows: date, the grantee of the special permit previous five years; must apply for a renewal of the permit. (G) Integrity Data and Integration: The PART 190—PIPELINE SAFETY (2) If, at least 180 days before an following information, as applicable, for ENFORCEMENT AND REGULATORY existing special permit expires the the past five (5) years: Hydrostatic test PROCEDURES holder files an application for renewal pressure including any known test that is complete and conforms to the failures; casings(any shorts); any in- ■ 1. The authority citation for part 190 requirements of this section, the special service ruptures or leaks; close interval is revised to read as follows: permit will not expire until final survey (CIS) surveys; depth of cover Authority: 33 U.S.C. 1321(b); 49 U.S.C. administrative action on the application surveys; rectifier readings; test point 60101 et seq.; 49 CFR 1.97(a). for renewal has been taken: survey readings; AC/DC interference ■ 2. In § 190.3, add the definition ‘‘New (i) Direct fax to PHMSA at: 202–366– surveys; pipe coating surveys; pipe and novel technologies’’ in alphabetical 4566; or coating and anomaly evaluations from order to read as follows: (ii) Express mail, or overnight courier pipe excavations; SCC, selective seam to the Associate Administrator for corrosion and hard spot excavations and § 190.3 Definitions. Pipeline Safety, Pipeline and Hazardous findings; and pipe exposures from * * * * * Materials Safety Administration, 1200 encroachments; New and novel technologies means New Jersey Avenue SE., East Building, (H) In-service: Any in-service ruptures any products, designs, materials, testing, Washington, DC 20590. or leaks including repair type and construction, inspection, or operational (f) What information must be failure investigation findings; and procedures that are not addressed in 49 included in the renewal application? (1) (I) Aerial Photography: Special permit CFR parts 192, 193, or 195, due to The renewal application must include a segment and special permit inspection technology or design advances and copy of the original special permit, the area, if applicable. innovation. docket number on the special permit, (2) PHMSA may request additional * * * * * and the following information: operational, integrity or environmental ■ 3. Amend § 190.341 by: (i) A summary report in accordance assessment information prior to granting ■ a. Revising paragraph (c)(8) and with the requirements of the original any request for special permit renewal. removing, paragraph (c)(9); special permit including verification (3) The existing special permit will ■ b. Re-designating paragraphs (e) that the grantee’s operations and remain in effect until PHMSA acts on through (j) as paragraphs (g) through (l) maintenance plan (O&M Plan) is the application for renewal by granting and adding new paragraphs (e) and (f). consistent with the conditions of the or denying the request. The additions and revisions read as special permit; * * * * * follows: (ii) Name, mailing address and ■ 4. Section 190.343 is added to subpart telephone number of the special permit D to read as follows: § 190.341 Special permits. grantee; * * * * * (iii) Location of special permit—areas § 190.343. Information made available to (c) * * * on the pipeline where the special permit the public and request for confidential (8) Any other information PHMSA is applicable including: diameter, mile treatment. may need to process the application posts, county, and state; When you submit information to including environmental analysis where (iv) Applicable usage of the special PHMSA during a rulemaking necessary. permit—original and future; and proceeding, as part of your application (d) * * * (v) Data for the special permit for special permit or renewal, or for any (2) Grants, renewals, and denials. If segment and area identified in the other reason, we may make that the Associate Administrator determines special permit as needing additional information publicly available unless that the application complies with the inspections to include: you ask that we keep the information requirements of this section and that the (A) Pipe attributes: Pipe diameter, confidential. waiver of the relevant regulation or wall thickness, grade, and seam type; (a) Asking for confidential treatment. standard is not inconsistent with pipe coating including girth weld You may ask us to give confidential pipeline safety, the Associate coating; treatment to information you give to the Administrator may grant the (B) Operating Pressure: Maximum agency by taking the following steps: application, in whole or in part, for a allowable operating pressure (MAOP); (1) Mark ‘‘confidential’’ on each page period of time from the date granted. class location (including boundaries on of the original document you would like Conditions may be imposed on the grant aerial photography); to keep confidential. if the Associate Administrator (C) High Consequence Areas (HCAs): (2) Send us, along with the original concludes they are necessary to assure HCA boundaries on aerial photography; document, a second copy of the original safety, environmental protection, or are (D) Material Properties: Pipeline document with the confidential otherwise in the public interest. If the material documentation for all pipe, information deleted.

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(3) Explain why the information you Regulatory Commission application (2) Scope of work for conducting the are submitting is confidential. referenced in § 190.403(a)(1)(i) for a gas facility design safety review and an (b) PHMSA Decision. PHMSA will or LNG facility. In addition, an estimated total cost; decide whether to treat your applicant must take into account all (3) Description of the method of information as confidential. We will survey, design, material, permitting, periodic billing, payment, and auditing notify you, in writing, of a decision to right-of way acquisition, construction, of cost recovery fees; grant or deny confidentiality at least five testing, commissioning, start-up, (4) Minimum account balance which days before the information is publicly construction financing, environmental the applicant must maintain with disclosed, and give you an opportunity protection, inspection, material PHMSA at all times; to respond transportation, sales tax, project (5) Provisions for reconciling ■ 5. In part 190, subpart E is added to contingency, and all other applicable differences between total amount billed read asfollows: costs, including all segments, facilities, and the final cost of the design review, and multi-year phases of the project; including provisions for returning any Subpart E—Cost Recovery for Design (2) Uses new or novel technologies or excess payments to the applicant at the Reviews design, as defined in § 190.3. conclusion of the project; (6) A principal point of contact for Sec. (b) The Associate Administrator may both PHMSA and the applicant; and 190.401 Scope. not collect design safety review fees 190.403 Applicability. (7) Provisions for terminating the under this section and 49 U.S.C. 60301 agreement. 190.405 Notification. for the same design safety review. 190.407 Master Agreement. (8) A project reimbursement cost 190.409 Fee structure. (c) The Associate Administrator, after schedule based upon the project timing 190.411 Procedures for billing and payment receipt of the design specifications, and scope. of fee. construction plans and procedures, and (b) [Reserved] related materials, determines if cost § 190.401 Scope. recovery is necessary. The Associate § 190.409 Fee structure. If PHMSA conducts a facility design Administrator’s determination is based The fee charged is based on the direct and/or construction safety review or on the amount of PHMSA resources costs that PHMSA incurs in conducting inspection in connection with a needed to ensure safety and the facility design safety review proposal to construct, expand, or environmental protection. (including construction review and operate a gas, hazardous liquid or inspections), and will be based only on carbon dioxide pipeline facility, or a § 190.405 Notification. costs necessary for conducting the liquefied natural gas facility that meets For any new pipeline facility facility design safety review. ‘‘Necessary the applicability requirements in construction project in which PHMSA for’’ means that but for the facility § 190.403, PHMSA may require the will conduct a design review, the design safety review, the costs would applicant proposing the project to pay applicant proposing the project must not have been incurred and that the the costs incurred by PHMSA relating to notify PHMSA and provide the design costs cover only those activities and such review, including the cost of specifications, construction plans and items without which the facility design design and construction safety reviews procedures, project schedule and related safety review cannot be completed. or inspections. materials at least 120 days prior to the (a) Costs qualifying for cost recovery § 190.403 Applicability. commencement of any of the following include, but are not limited to— activities: Construction route surveys, (1) Personnel costs based upon total The following paragraph specifies permitting activities, material cost to PHMSA; which projects will be subject to the purchasing and manufacturing, right of (2) Travel, lodging and subsistence; cost recovery requirements of this way acquisition, offsite facility (3) Vehicle mileage; section. fabrications, construction equipment (4) Other direct services, materials (a) This section applies to any project move-in activities, onsite or offsite and supplies; that— fabrications, personnel support facility (5) Other direct costs as may be (1) Has design and construction costs construction, and any offsite or onsite specified in the Master Agreement. totaling at least $2,500,000,000, as facility construction. To the maximum (b) [Reserved] periodically adjusted by PHMSA, to extent practicable, but not later than 90 take into account increases in the § 190.411 Procedures for billing and days after receiving such design Consumer Price Index for all urban payment of fee. specifications, construction plans and consumers published by the Department All PHMSA cost calculations for procedures, and related materials, of Labor, based on— billing purposes are determined from PHMSA will provide written comments, (i) The cost estimate provided to the the best available PHMSA records. feedback, and guidance on the project. Federal Energy Regulatory Commission (a) PHMSA bills an applicant for cost in an application for a certificate of § 190.407 Master Agreement. recovery fees as specified in the Master public convenience and necessity for a Agreement, but the applicant will not be PHMSA and the applicant will enter gas pipeline facility or an application billed more frequently than quarterly. into an agreement within 60 days after for authorization for a liquefied natural (1) PHMSA will itemize cost recovery PHMSA received notification from the gas pipeline facility; or bills in sufficient detail to allow applicant provided in § 190.405, (ii) A good faith estimate developed independent verification of calculations. outlining PHMSA’s recovery of the costs by the applicant proposing a hazardous (2) [Reserved] liquid or carbon dioxide pipeline associated with the facility design safety (b) PHMSA will monitor the facility and submitted to the Associate review. applicant’s account balance. Should the Administrator. The good faith estimate (a) A Master Agreement, at a account balance fall below the required for design and construction costs must minimum, includes: minimum balance specified in the include all of the applicable cost items (1) Itemized list of direct costs to be Master Agreement, PHMSA may request contained in the Federal Energy recovered by PHMSA; at any time the applicant submit

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payment within 30 days to maintain the amount of product released, an estimate (2) If a regulated onshore gathering minimum balance. of the number of fatalities and injuries, line existing on April 14, 2006 was not (c) PHMSA will provide an updated and all other significant facts that are previously subject to this part, an estimate of costs to the applicant on or known by the operator that are relevant operator has until the date stated in the near October 1st of each calendar year. to the cause of the incident or extent of second column to comply with the (d) Payment of cost recovery fees is the damages. If there are no changes or applicable requirement for the line due within 30 days of issuance of a bill revisions to the initial report, the listed in the first column, unless the for the fees. If payment is not made operator must confirm the estimates in Administrator finds a later deadline is within 30 days, PHMSA may charge an its initial report. justified in a particular case: annual rate of interest (as set by the ■ 9. In § 191.22, paragraph (c)(1)(ii) is Department of Treasury’s Statutory Debt revised and paragraphs (c)(1)(iv) and Requirement Compliance Collection Authorities) on any (c)(1)(v) are added to read as follows: deadline outstanding debt, as specified in the Control corrosion according April 15, 2009. Master Agreement. § 191.22 National Registry of Pipeline and LNG operators. to Subpart I requirements (e) Payment of the cost recovery fee by * * * * * for transmission lines. the applicant does not obligate or Carry out a damage preven- October 15, prevent PHMSA from taking any (c) * * * tion program under 2007. particular action during safety (1) * * * § 192.614. inspections on the project. (ii) Construction of 10 or more miles Establish MAOP under October 15, of a new or replacement pipeline; § 192.619. 2007. PART 191—TRANSPORTATION OF * * * * * Install and maintain line April 15, 2008. NATURAL AND OTHER GAS BY (iv) Reversal of product flow direction markers under § 192.707. PIPELINE; ANNUAL REPORTS, when the reversal is expected to last Establish a public education April 15, 2008. INCIDENT REPORTS, AND SAFETY- more than 30 days. This notification is program under § 192.616. RELATED CONDITION REPORTS not required for pipeline systems Establish an operator quali- [date one year fication program accord- after publica- already designed for bi-directional flow; ■ 6. The authority citation for part 191, ing to Subpart N require- tion of a final or ments if an operator of a rule]. as revised in 80 FR12762 (March 11, (v) A pipeline converted for service 2015), effective October 1, 2015, Type A or Type B regu- under § 192.14 of this chapter, or a lated onshore gathering continues to read as follows: change in commodity as reported on the line. Authority: 49 U.S.C. 5121, 60102, 60103, annual report as required by § 191.17. Other provisions of this part April 15, 2009. 60104, 60108, 60117, 60118, and 60124, and * * * * * as required by paragraph 49 CFR 1.97. (c) of this section for Type ■ 7. In § 191.3, add the definition PART 192—TRANSPORTATION OF A lines. ‘‘Confirmed discovery’’ in alphabetical NATURAL AND OTHER GAS BY order to read as follows: PIPELINE: MINIMUM FEDERAL * * * * * SAFETY STANDARDS ■ 12. In § 192.14, paragraph (c) is added § 191.3 Definitions. to read as follows * * * * * ■ 10. The authority citation for part 192, Confirmed discovery means there is as revised in 80 FR 12762 (March 11, § 192.14 Conversion to service subject to sufficient information to determine that 2015), effective October 1, 2015, this part. a reportable event may have occurred continues to read as follows: * * * * * even if an evaluation has not been Authority: 49 U.S.C. 5103, 60102, 60104, (c) An operator converting a pipeline completed. 60108, 60109, 60110, 60113, 60118, and from service not previously covered by * * * * * 60137; and 49 CFR 1.97. this part must notify PHMSA 60 days ■ 8. In § 191.5, paragraph (a) is revised, ■ 11. In § 192.9, paragraph (c) is revised, before the conversion occurs as required paragraph (b)(5) is re-designated as paragraph (d)(8) is added, and the table by § 191.22 of this chapter. paragraph (b)(6) and new paragraph in paragraph (e)(2) is revised to read as ■ 13. In Section 192.175, paragraph (b) (b)(5) and paragraph (c) are added to follows: is revised to read as follows: read as follows: § 192.9 What requirements apply to § 192.175 Pipe-type and bottle-type § 191.5 Immediate notice of certain gathering lines? holders. incidents. * * * * * * * * * * (a) At the earliest practicable moment (c) Type A lines. An operator of a (b) Each pipe-type or bottle-type following discovery, but no later than Type A regulated onshore gathering line holder must have minimum clearance one hour after confirmed discovery, must comply with the requirements of from other holders in accordance with each operator must give notice in this part applicable to transmission the following formula: accordance with paragraph (b) of this lines, except the requirements in section of each incident as defined in § 192.150 and in subpart O of this part. C = (3D*P*F)/1000) in inches; (C = § 191.3. An operator must establish and (3D*P*F*)/6,895) in millimeters in (b) * * * implement an operator qualification which: (5) The amount of product loss. program in accordance with Subpart N C = Minimum clearance between pipe * * * * * of this part. containers or bottles in inches (c) Within 48 hours after the (d) * * * (millimeters). (8) Establish and implement an D = Outside diameter of pipe containers or confirmed discovery of an incident, to bottles in inches (millimeters). the extent practicable, an operator must operator qualification program in P = Maximum allowable operating pressure, revise or confirm its initial telephonic accordance with Subpart N of this part. psi (kPa) gauge. notice required in paragraph (b) of this * * * * * F = Design factor as set forth in § 192.111 of section with a revised estimate of the (e) * * * this part.

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■ 14. In § 192.225, paragraph (a) is providing an opportunity for controllers (1) Indicate a condition exceeding revised to read as follows: to review relevant procedures in design limits; or advance of their application; and (2) Result in a hazard(s) to persons, § 192.225 Welding procedures. (6) Control room team training and property, or the environment. (a) Welding must be performed by a exercises that include both controllers Adversely affects means a negative qualified welder or welding operator in and other individuals who would impact on the safety or integrity of the accordance with welding procedures reasonably be expected to interact with pipeline facilities. qualified under section 5, section 12, controllers (control room personnel) Covered task means an activity Appendix A or Appendix B of API Std during normal, abnormal or emergency identified by the operator that affects 1104 (incorporated by reference, see situations. the safety or integrity of the pipeline § 192.7) or section IX of the ASME * * * * * facility. A covered task includes, but is Boiler and Pressure Vessel Code (ASME ■ 17. Section 192.740 is added to read not limited to, the performance of any BPVC) (incorporated by reference, see as follows: operations, maintenance, construction § 192.7) to produce welds meeting the or emergency response task. requirements of this subpart. The § 192.740 Pressure regulating, limiting, Direct and observe means the process quality of the test welds used to qualify and overpressure protection—Individual where a qualified individual personally welding procedures must be determined service lines originating on production, gathering, or transmission pipelines. observes the work activities of an by destructive testing in accordance individual not qualified to perform a with the applicable welding standard(s). (a) This section applies, except as single covered task, and is able to take * * * * * provided in paragraph (c) of this immediate corrective action when ■ 15. In § 192.227, paragraph (a) is section, to any service line that necessary. revised to read as follows: originates from a production, gathering, Emergency response tasks are those or transmission pipeline that is not § 192.227 Qualification of welders. identified operations and maintenance operated as part of a distribution covered tasks that could reasonably be (a) Except as provided in paragraph system. expected to be performed during an (b) of this section, each welder or (b) Each pressure regulating/limiting emergency to return the pipeline welding operator must be qualified in device, relief device, automatic shutoff facilities to a safe operating condition. accordance with section 6, section 12, device, and associated equipment must Evaluation means a process, Appendix A or Appendix B of API Std be inspected and tested at least once established and documented by the 1104 (incorporated by reference, see every 3 calendar years, not exceeding 39 operator, to determine an individual’s § 192.7) or section IX of the ASME months, to determine that it is: ability to perform a covered task by any Boiler and Pressure Vessel Code (ASME (1) In good mechanical condition; of the following: BPVC) (incorporated by reference, see (2) Adequate from the standpoint of (1) Written examination; § 192.7). However, a welder or welding capacity and reliability of operation for (2) Oral examination; operator qualified under an earlier the service in which it is employed; (3) Work performance history review; edition than the listed in § 192.7 of this (3) Set to control or relieve at the (4) Observation during; part may weld but may not requalify correct pressure consistent with the (i) Performance on the job; under that earlier edition. pressure limits of § 192.197; and to limit (ii) On the job training; or the pressure on the inlet of the service * * * * * (iii) Simulations; and ■ 16. In § 192.631, paragraphs (b)(3), regulator to 60 psi (414 kPa) gage or less (5) Other forms of assessment (b)(4), (h)(4) and (h)(5) are revised and in case the upstream regulator fails to Knowledge, skills and abilities, as it paragraphs (b)(5) and (h)(6) are added to function properly; and applies to individuals performing a read as follows: (4) Properly installed and protected covered task, means that an individual from dirt, liquids, or other conditions can apply information to the § 192.631 Control room management. that might prevent proper operation. performance of a covered task, has the * * * * * (c) This section does not apply to ability to perform mental and physical (b) * * * equipment installed on service lines activities developed or acquired through (3) A controller’s role during an that only serve engines that power training, and has the mental and emergency, even if the controller is not irrigation pumps. the first to detect the emergency, ■ 18. Section 192.801 is revised to read physical capacity to perform the including the controller’s responsibility as follows: covered task. to take specific actions and to Qualified as it applies to an communicate with others; § 192.801 Scope. individual performing a covered task, (4) A method of recording controller This subpart prescribes the minimum means that an individual has been shift-changes and any hand-over of requirements for operator qualification evaluated and can: responsibility between controllers; and of individuals performing covered tasks (1) Perform assigned covered tasks; (5) The roles, responsibilities and as defined in § 192.803 on a pipeline (2) Recognize and react to abnormal qualifications of others with the facility. operating conditions that may be authority to direct or supersede the ■ 19. Section 192.803 is revised to read encountered while performing a specific technical actions of a controller. as follows: particular covered task; * * * * * (3) Demonstrate technical knowledge (h) * * * § 192.803 Definitions. required to perform the covered task, (4) Training that will provide a For purposes of the subpart the such as: equipment selection, controller a working knowledge of the following definitions apply: maintenance of equipment, calibration pipeline system, especially during the Abnormal operating condition means and proper operation of equipment, development of abnormal operating a condition identified by the operator including variations that may be conditions; that may indicate a malfunction of a encountered in the covered task (5) For pipeline operating setups that component or deviation from normal performance due to equipment and are periodically, but infrequently used, operations that may: environmental differences;

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(4) Demonstrate the technical skills (i) Review of work performance ■ 21. Section 192.807 is revised to read required to perform the covered task, for history is not used as a sole evaluation as follows: example: method. (i) Variations required in the covered (ii) Observation of on-the-job § 192.807 Program effectiveness. task performance due to equipment and/ performance is not used as a sole (a) General. The qualification program or new operations differences or method of evaluation. However, when must include a written process to changes; on-the-job performance is used to measure the program’s effectiveness. An (ii) Variations required in covered complete an individual’s competency effective program minimizes human task performance due to conditions or for a covered task, the operator error caused by an individual’s lack of context differences (e.g., hot work qualification procedure must define the knowledge, skills and abilities (KSAs) to versus work on evacuated pipeline); and measures used to determine successful perform covered tasks. An operator (5) Meet the physical abilities completion of the on-the-job must conduct the program effectiveness required to perform the specific covered performance evaluation. review once each calendar year not to task (e.g., color vision or hearing). (4) Allow any individual who is not exceed 15 months. Safety or integrity means the reliable qualified to perform a covered task to (b) Process. The process to measure condition of a pipeline facility perform the covered task if directed and program effectiveness must: (operationally sound or having the observed by a qualified individual (1) Evaluate if the qualification ability to withstand stresses imposed) within the limitations of the established program is being implemented and affected by any operation, maintenance span of control for the particular executed as written; and or construction task, and/or an covered task. (2) Establish provisions to amend the emergency response. (5) Evaluate an individual if the program to include any changes Significant changes means the operator has reason to believe that the necessary to address the findings of the following as it relates to operator individual’s performance of a covered program effectiveness review. qualification: task contributed to an incident as (c) Measures. The operator must (1) Wholesale changes to the program; defined in part 191 of this chapter; develop program measures to determine (2) Change in evaluation methods (i.e. (6) Evaluate an individual if the the effectiveness of the qualification performance and written to written operator has reason to believe that the program. The operator must, at a only); individual is no longer qualified to minimum, include and use the (3) Increases in evaluation intervals perform a covered task; following measures to evaluate the (i.e. from 1 to 5 years); or (7) Establish and maintain a effectiveness of the program. (4) Removal of covered tasks (not Management of Change program that (1) Number of occurrences caused by including combining covered tasks). will communicate changes that affect any individual whose performance of a Span of control means the ratio of covered tasks to individuals performing covered task(s) adversely affected the nonqualified to qualified individuals those covered tasks; safety or integrity of the pipeline due to where the nonqualified individual may (8) Identify all covered tasks and the any of the following deficiencies: be directed and observed by a qualified intervals at which evaluation of an (i) Evaluation was not conducted individual when performing a covered individual’s qualifications is needed; properly; task, with consideration to complexity (9) Provide training to ensure that any (ii) KSAs for the specific covered of the covered task and the operational individual performing a covered task task(s) were not adequately determined; conditions when performing the has the necessary knowledge, skills, and (iii) Training was not adequate for the covered task. abilities to perform the task in a manner specific covered task(s); ■ 20. Section 192.805 is revised to read that ensures the safety and integrity of (iv) Change made to a covered task or as follows: the operator’s pipeline facilities; the KSAs was not adequately evaluated (10) Provide supplemental training for for necessary changes to training or § 192.805 Qualification program. the individual when procedures and evaluation; (a) General. An operator must have specifications are changed for the (v) Change to a covered task(s) or the and follow a written operator covered task; KSAs was not adequately qualification program that meets the (11) Establish the requirements to be communicated; requirements of paragraph (b) of this an Evaluator, including the necessary (vi) Individual failed to recognize an section for all pipelines regulated under training; and abnormal operating condition, whether part 192. The written program must be (12) Develop and implement a process it is task specific or non-task specific, available for review by the to measure the program’s effectiveness which occurs anywhere on the system; Administrator or by a state agency in accordance with § 192.805 (vii) Individual failed to take the participating under 49 U.S.C. chapter (c) Changes. An operator must notify appropriate action following the 601 if the program is under the the Administrator or a State agency recognition of an abnormal operating authority of that state agency. participating under 49 U.S.C. Chapter condition (task specific or non-task (b) Program Requirements. The 601 if the operator significantly specific) that occurs anywhere on the operator qualification program must, at modifies the program after the system; a minimum, include provisions to: Administrator or state agency has (viii) Individual was not qualified; (1) Identify covered tasks; verified that it complies with this (ix) Nonqualified individual was not (2) Complete the qualification of each section. Notifications to PHMSA may be being directed and observed by a individual performing a covered task submitted by electronic mail to qualified individual; prior to the individual performing the [email protected], (x) Individual did not follow covered task; or by mail to ATTN: Information approved procedures and/or use (3) Ensure through evaluation that Resources Manager DOT/PHMSA/OPS, approved equipment; each individual performing a covered East Building, 2nd Floor, E22–321, New (xi) Span of control was not followed; task is qualified to perform the covered Jersey Avenue SE., Washington, DC (xii) Evaluator or training did not task provided that: 20590. follow program or meet requirements; or

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(xiii) The qualified individual § 192.1003 What do the regulations in this flaw that would fail at a stress level of supervised more than one covered task subpart cover? 110% of SMYS. at the time. (a) General. Unless excepted in * * * * * (2) [Reserved] paragraph (b) of this section this subpart ■ 26. In § 195.3: ■ 22. Section 192.809 is revised to read prescribes minimum requirements for ■ a. Add paragraph (b)(23); as follows: an IM program for any gas distribution ■ b. Redesignate paragraphs (d) through pipeline covered under this part, § 192.809 Recordkeeping. (h) as (e) through (i) respectively and including liquefied petroleum gas add a new paragraph (d); and Each operator must maintain records systems. A gas distribution operator, ■ c. Add paragraphs (g)(3) and (4) to the that demonstrate compliance with this other than a master meter operator or a newly redesignated paragraph (g). subpart. small LPG operator, must follow the The additions read as follows: (a) Individual qualification records. requirements in §§ 192.1005 through Individual qualification records must 192.1013 of this subpart. A master meter § 195.3 Incorporation by reference. include: operator or small LPG operator of a gas * * * * * (1) Identification of qualified distribution pipeline must follow the (b) * * * individual(s), requirements in § 192.1015 of this (23) API Standard 1163, ‘‘In-Line (2) Identification of the covered tasks subpart. Inspection Systems Qualification the individual is qualified to perform; (b) Exceptions. This subpart does not Standard’’ 1st edition, August 2005, (3) Date(s) of current qualification; apply to a service line that originates (API Std 1163), IBR approved for (4) Qualification method(s); directly from a transmission, gathering, § 195.591. (5) Evaluation to recognize and react or production pipeline. * * * * * to an abnormal operating condition, (d) American Society for PART 195—TRANSPORTATION OF whether it is task-specific non-task Nondestructive Testing, P.O. Box 28518, HAZARDOUS LIQUIDS BY PIPELINE specific, which occurs anywhere on the 1711 Arlingate Lane, Columbus, OH, system; ■ 24. The authority citation for part 195, 43228. https://asnt.org. (6) Name of evaluator and date of as revised in 80 FR12762 (March 11, (1) ANSI/ASNT ILI–PQ–2010, ‘‘In-line evaluation; and 2015), effective October 1, 2015, Inspection Personnel Qualification and (7) Training required to support an continues to read as follows: Certification’’ (2010), (ANSI/ASNT ILI– individual’s qualification or PQ), IBR approved for § 195.591. Authority: 49 U.S.C. 5103, 60102, 60104, requalification. 60108, 60109, 60118, 60137, and 49 CFR (2) [Reserved] (b) Program records. Program records 1.97. * * * * * must include, at a minimum, the ■ 25. In § 195.2, add the definitions (g) * * * following: ‘‘Confirmed discovery,’’ ‘‘In-Line (3) NACE SP0102–2010, Standard (1) Program effectiveness reviews; Inspection (ILI),’’ ‘‘In-Line Inspection Practice, ‘‘Inline Inspection of (2) Program changes; Tool or Instrumented Internal Pipelines’’ approved March 3, 2010, (3) List of program abnormal Inspection Device,’’ and ‘‘Significant (NACE SP0102), IBR approved for operating conditions; stress corrosion cracking’’ in § 195.591 (4) Program management of change alphabetical order to read as follows: (4) NACE SP0204–2008, Standard notifications; Practice, ‘‘Stress Corrosion Cracking § 195.2 Definitions. (5) Covered task list to include all task Direct Assessment’’ approved specific and non-task specific covered * * * * * September 18, 2008, (NACE SP0204), tasks; Confirmed discovery means there is IBR approved for § 195.588(c). (6) Span of control ratios for each sufficient information to determine that ■ 27. In § 195.5, paragraph (d) is added covered task: a reportable event may have occurred to read as follows: (7) Reevaluation intervals for each even if an evaluation has not been completed. § 195.5 Conversion to service subject to covered task; this part. * * * * * (8) Evaluations method(s) for each * * * * * In-Line Inspection (ILI) means the covered task; and (d) An operator converting a pipeline inspection of a pipeline from the (9) Criteria and training for evaluators. from service not previously covered by interior of the pipe using an in-line (c) Retention period—(1) Individual this part must notify PHMSA 60 days inspection tool. Also called intelligent qualification records. An operator must before the conversion occurs as required or smart pigging. maintain records of qualified by § 195.64 individuals who performed covered In-Line Inspection Tool or ■ 28. In § 195.11 paragraph (b)(11) is tasks. Records supporting an Instrumented Internal Inspection Device revised to read as follows: individual’s current qualification must means a device or vehicle that uses a be retained while the individual is non-destructive testing technique to § 195.11 What is a regulated rural performing the covered task. Records of inspect the pipeline from the inside. gathering line and what requirements prior qualification and records of Also known as intelligent or smart pig. apply? individuals no longer performing * * * * * * * * * * covered tasks must be retained for a Significant Stress Corrosion Cracking (b) * * * period of five years. means a stress corrosion cracking (SCC) (11) Establish and implement an (2) Program records. An operator must cluster in which the deepest crack, in a operator qualification program in maintain records required by paragraph series of interacting cracks, is greater accordance with Subpart G of this part (b) of this section for a period of five than 10% of the wall thickness and the before [DATE ONE YEAR AFTER DATE years. total interacting length of the cracks is OF PUBLICATION OF A FINAL RULE ■ 23. Section 192.1003 is revised to read equal to or greater than 75% of the IN THE FEDERAL REGISTER]. as follows: critical length of a 50% through-wall * * * * *

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■ 29. In § 195.52, paragraph (a) § 195.120 Passage of In-Line Inspection (3) A controller’s role during an introductory text and paragraph (d) are tools. emergency, even if the controller is not revised to read as follows: (a) Except as provided in paragraphs the first to detect the emergency, (b) and (c) of this section, each new including the controller’s responsibility § 195.52 Immediate notice of certain to take specific actions and to accidents. pipeline and each replacement of line pipe, valve, fitting, or other line communicate with others; (a) Notice requirements. At the component in a pipeline must be (4) A method of recording controller earliest practicable moment following designed and constructed to shift-changes and any hand-over of discovery, of a release of the hazardous accommodate the passage of an In-Line responsibility between controllers; and liquid or carbon dioxide transported Inspection tool, in accordance with (5) The roles, responsibilities and resulting in an event described in NACE SP0102–2010, Section 7 qualifications of others who have the § 195.50, but no later than one hour after (incorporated by reference, see § 195.3). authority to direct or supersede the confirmed discovery, the operator of the specific technical actions of controllers. system must give notice, in accordance * * * * * with paragraph (b) of this section of any ■ 33. In § 195.214, as amended at 80 FR * * * * * failure that: 12762 (March 11, 2015), effective (h) * * * October 1, 2015, paragraph (a) is revised * * * * * (4) Training that will provide a to read as follows: (d) New information. Within 48 hours controller a working knowledge of the after the confirmed discovery of an § 195.214 Welding procedures. pipeline system, especially during the development of abnormal operating accident, to the extent practicable, an (a) Welding must be performed by a operator must revise or confirm its conditions; qualified welder or welding operator in (5) For pipeline operating setups that initial telephonic notice required in accordance with welding procedures paragraph (b) of this section with a are periodically, but infrequently used, qualified under Section 5, section 12, providing an opportunity for controllers revised estimate of the amount of Appendix A or Appendix B of API Std product released, location of the failure, to review relevant procedures in 1104 (incorporated by reference, see advance of their application; and time of the failure, a revised estimate of § 195.3), or Section IX of the ASME (6) Control room team training that the number of fatalities and injuries, Boiler and Pressure Vessel Code (ASME includes both controllers and other and all other significant facts that are BPVC) (incorporated by reference, see individuals who would reasonably be known by the operator that are relevant § 195.3). The quality of the test welds expected to interact with controllers to the cause of the accident or extent of used to qualify the welding procedures (control room personnel) during normal, the damages. If there are no changes or must be determined by destructive abnormal or emergency situations. revisions to the initial report, the testing. operator must confirm the estimates in * * * * * * * * * * its initial report. ■ 37. In § Section 195.452, paragraph ■ 34. In § 195.222, as amended at 80 FR (a)(4) is added, paragraphs (c)(1)(i)(A) § 195.64 [Amended] 12762 (March 11, 2015), effective and (j)(5)(i) are revised to read as ■ October 1, 2015, paragraph (a) is revised 30. In § 195.64, in paragraph (a), the follows: term ‘‘hazardous liquid’’ is removed and to read as follows: replaced with the term ‘‘hazardous § 195.452 Pipeline integrity management in § 195.222 Welders and welding operators: high consequence areas. liquid or carbon dioxide’’ in the first Qualification of welders and welding sentence. operators. (a) * * * ■ 31. In § 195.64, as amended at 80 FR (a) Each welder or welding operator (4) Low stress pipelines as specified 12762 (March 11, 2015), effective in § 195.12. October 1, 2015, paragraph (c)(1)(ii) is must be qualified in accordance with revised and paragraphs (c)(1)(iii) and section 6, section 12, Appendix A or * * * * * (c)(1)(iv) are added to read as follows: Appendix B of API Std 1104 (c) * * * (incorporated by reference, see § 195.3) (1) * * * § 195.64 National Registry of Pipeline and or section IX of the ASME Boiler and (i) * * * LNG operators. Pressure Vessel Code (ASME BPVC), (A) In-Line Inspection tool or tools * * * * * (incorporated by reference, see § 195.3) capable of detecting corrosion, cracks, (c) * * * except that a welder or welding operator and deformation anomalies including (1) * * * qualified under an earlier edition than dents, gouges and grooves. When (ii) Construction of 10 or more miles listed in § 195.3, may weld but may not performing an assessment using an In- of a new or replacement hazardous requalify under that earlier edition. Line Inspection Tool, an operator must liquid or carbon dioxide pipeline; * * * * * comply with § 195.591; (iii) Reversal of product flow direction when the reversal is expected to last § 195.248 [Amended] * * * * * (j) * * * more than 30 days. This notification is ■ 35. In § 195.248, the phrase ‘‘100 feet not required for pipeline systems (30 millimeters)’’ is removed and (5) * * * already designed for bi-directional flow; replaced with the phrase ‘‘100 feet (30.5 (i) In-Line Inspection tool or tools or meters)’’ in the table to paragraph (a). capable of detecting corrosion, cracks, (iv) A pipeline converted for service ■ 36. In § 195.446, revise paragraphs and deformation anomalies including under § 195.5, or a change in (b)(3) and (b)(4), add paragraph (b)(5), dents, gouges and grooves. When commodity as reported on the annual revise paragraphs (h)(4) and (h)(5), and performing an assessment using an In- report as required by § 195.49. add paragraph (h)(6) to read as follows: Line Inspection tool, an operator must * * * * * comply with § 195.591; ■ 32. In § 195.120, the title and § 195.446 Control room management. * * * * * paragraph (a) are revised to read as * * * * * ■ 38. Section 195.501 is revised to read follows: (b) * * * as follows:

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§ 195.501 Scope. means that an individual has been available for review by the This subpart prescribes the minimum evaluated and can: Administrator or by a state agency requirements for operator qualification (1) Perform assigned covered tasks; participating under 49 U.S.C. Chapter of individuals performing covered tasks (2) Recognize and react to abnormal 601 if the program is under the as defined in § 195.503 on a pipeline operating conditions that may be authority of that state agency. facility. encountered while performing a (b) Program requirements. The ■ 39. Section 195.503 is revised to read particular covered task; operator qualification program must, at as follows: (3) Demonstrate technical knowledge a minimum, include provisions to: required to perform the covered task, § 195.503 Definitions. (1) Identify covered tasks; such as: Equipment selection, (2) Complete the qualification of each For purposes of this subpart the maintenance of equipment, calibration individual performing a covered task following definitions apply: and proper operation of equipment, prior to the individual performing the Abnormal operating condition means including variations that may be covered task; a condition identified by the operator encountered in the covered task (3)(i) Ensure through evaluation that that may indicate a malfunction of a performance due to equipment and each individual performing a covered component or deviation from normal environmental differences; task is qualified to perform the covered operations that may: (4) Demonstrate the technical skills task provided that: (1) Indicate a condition exceeding required to perform the covered task, for design limits; or example: (A) Review of work performance (2) Result in a hazard(s) to persons, (i) Variations required in the covered history is not used as a sole evaluation property, or the environment. task performance due to equipment and/ method. Adversely affects means a negative or new operations differences or (B) Observation of on-the-job impact on the safety or integrity of the changes; performance is not used as a sole pipeline facilities. (ii) Variations required in covered method of evaluation. (ii) However, Covered task means an activity task performance due to conditions or when on-the-job performance is used to identified by the operator that affects context differences (e.g., hot work complete an individual’s competency the safety or integrity of the pipeline versus work on evacuated pipeline); and for covered tasks, the operator facility. A covered task includes, but is (5) Meet the physical abilities qualification procedure must define the not limited to, the performance of any required to perform the specific covered measures used to determine successful operations, maintenance, construction task (e.g., color vision or hearing). completion of the on-the-job or emergency response task Safety or integrity means the reliable performance evaluation. Direct and observe means the process condition of a pipeline facility (4) Allow any individual who is not where a qualified individual personally (operationally sound or having the qualified pursuant to this subpart to observes the work activities of an ability to withstand stresses imposed) perform a covered task if directed and individual not qualified to perform a affected by any operation, maintenance observed by a qualified individual single covered task, and is able to take or construction task, and/or an within the limitations of the established immediate corrective action when emergency response. span of control for the particular necessary. Significant changes means the covered task; Emergency response tasks are those following as it relates to operator (5) Evaluate an individual if the identified operations and maintenance qualification: operator has reason to believe that the covered tasks that could reasonably be (1) Wholesale changes to the program; individual’s performance of a covered expected to be performed during an (2) Change in evaluation methods (i.e. task contributed to an accident as emergency to return the pipeline performance and written to written defined in § 195.52; facilities to a safe operating condition. only); (6) Evaluate an individual if the Evaluation means a process, (3) Increases in evaluation intervals operator has reason to believe that the established and documented by the (i.e. from 1 to 5 years); or individual is no longer qualified to operator, to determine an individual’s (4) Removal of covered tasks (not perform a covered task; ability to perform a covered task by any including combining covered tasks). (7) Establish and maintain a of the following: Span of control means the ratio of Management of Change program that (1) Written examination; nonqualified to qualified individuals will communicate changes that affect (2) Oral examination; where the nonqualified individual may covered tasks to individuals performing (3) Work performance history review; be directed and observed by a qualified those covered tasks; (4) Observation during; individual when performing a covered (8) Identify all covered tasks and the (i) Performance on the job; task, with consideration to complexity intervals at which evaluation of an (ii) On the job training; or of the covered task and the operational individual’s qualifications is needed; (iii) Simulations; and conditions when performing the (5) Other forms of assessment covered task. (9) Provide training to ensure that any Knowledge, skills and abilities, as it ■ 40. Section 195.505, as amended at 80 individual performing a covered task applies to individuals performing a FR 12762 (March 11, 2015), effective has the necessary knowledge, skills, and covered task, means that an individual October 1, 2015, is revised to read as abilities to perform the task in a manner can apply information to the follows: that ensures the safety and integrity of performance of a covered task, has the the operator’s pipeline facilities; ability to perform mental and physical § 195.505 Qualification program. (10) Provide supplemental training for activities developed or acquired through (a) General. An operator must have the individual when procedures and training, and has the mental and and follow a written operator specifications are changed for the physical capacity to perform the qualification program that meets the covered task; covered task. requirements of paragraph (b) of this (11) Establish the requirements to be Qualified as it applies to an section for all pipelines regulated under an Evaluator, including the necessary individual performing a covered task, part 195. The written program must be training; and

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(12) Develop and implement a process (vii) Individual failed to take the tasks. Records supporting an to measure the program’s effectiveness appropriate action following the individual’s current qualification must in accordance with § 195.505 recognition of an abnormal operating be retained while the individual is (c) Changes. An operator must notify condition (task-specific or non-task- performing the covered task. Records of the Administrator or a State agency specific) that occurs anywhere on the prior qualification and records of participating under 49 U.S.C. Chapter system; individuals no longer performing 601 if the operator significantly (viii) Individual was not qualified; covered tasks must be retained for a modifies the program after the (ix) Nonqualified individual was not period of five years. Administrator or state agency has being directed and observed by a (ii) Program records. An operator verified that it complies with this qualified individual; must maintain records as required in section. Notifications to PHMSA may be (x) Individual did not follow paragraph (b) of this section for a period submitted by electronic mail to approved procedures and/or use of five years. [email protected], approved equipment; ■ 43. In § 195.588, paragraph (a) is or by mail to ATTN: Information (xi) Span of control was not followed; revised and paragraph (c) is added to Resources Manager DOT/PHMSA/OPS, (xii) Evaluator or training did not read as follows: East Building, 2nd Floor, E22–321, New follow program or meet requirements; or § 195.588 What standards apply to direct Jersey Avenue SE., Washington, DC (xiii) The qualified individual assessment? 20590. supervised more than one covered task (a) If you use direct assessment on an ■ 41. Section 195.507 is revised to read at the time. onshore pipeline to evaluate the effects as follows: (2) [Reserved] of external corrosion or stress corrosion ■ 42. Section 195.509 is revised to read § 195.507 Program effectiveness. cracking, you must follow the as follows: (a) General. The qualification program requirements of this section. This must include a written process to § 195.509 Recordkeeping. section does not apply to methods measure the program’s effectiveness. An Each operator must maintain records associated with direct assessment, such effective program minimizes human that demonstrate compliance with this as close interval surveys, voltage error caused by an individual’s lack of subpart. gradient surveys, or examination of knowledge, skills and abilities (KSAs) to (a) Individual qualification records. exposed pipelines, when used perform covered tasks. An operator Individual qualification records must separately from the direct assessment must conduct the program effectiveness include at a minimum: process. review once each calendar year not to (1) Identification of qualified * * * * * exceed 15 months. individual(s), (c) If you use direct assessment on an (b) Process. The process to measure (2) Identification of the covered tasks onshore pipeline to evaluate the effects program effectiveness must: the individual is qualified to perform; of stress corrosion cracking, you must (1) Evaluate if the qualification (3) Date(s) of current qualification; develop and follow a Stress Corrosion program is being implemented and (4) Qualification method(s); Cracking Direct Assessment plan that executed as written; and (5) Evaluation to recognize and react meets all requirements and (2) Establish provisions to amend the to an abnormal operating condition, recommendations of NACE SP0204– program to include any changes whether it is task-specific or non-task- 2008 (incorporated by reference, see necessary to address the findings of the specific, which occurs anywhere on the § 195.3) and that implements all four program effectiveness review. system; steps of the Stress Corrosion Cracking (c) Measures. The operator must Direct Assessment process including develop program measures to determine (6) Name of evaluator and date of evaluation; and pre-assessment, indirect inspection, the effectiveness of the qualification detailed examination and post- program. The operator must, at a (7) Training required to support an individual’s qualification or assessment. As specified in NACE minimum, include and use the SP0204–2008, Section 1.1.7, Stress following measures to evaluate the requalification. (b) Program records. Program records Corrosion Cracking Direct Assessment is effectiveness of the program. complementary with other inspection (1) Number of occurrences caused by must include, at a minimum, the methods such as in-line inspection or any individual whose performance of a following: hydrostatic testing and is not covered task(s) adversely affected the (1) Program effectiveness reviews; necessarily an alternative or safety or integrity of the pipeline due to (2) Program changes; any of the following deficiencies: (3) List of program abnormal replacement for these methods in all (i) Evaluation was not conducted operating conditions; instances. In addition, the plan must properly; (4) Program management of change provide for— (ii) KSAs for the specific covered notifications; (1) Data gathering and integration. An task(s) were not adequately determined; (5) Covered task list to include all operator’s plan must provide for a (iii) Training was not adequate for the task-specific and non-task specific systematic process to collect and specific covered task(s); covered tasks; evaluate data to identify whether the (iv) Change made to a covered task or (6) Span of control ratios for each conditions for stress corrosion cracking the KSAs was not adequately evaluated covered task: are present and to prioritize the for necessary changes to training or (7) Reevaluation intervals for each segments for assessment in accordance evaluation; covered task; with NACE SP0204–2008, Sections 3 (v) Change to a covered task(s) or the (8) Evaluations method(s) for each and 4, and Table 1. This process must KSAs was not adequately covered task; and also include gathering and evaluating communicated; (9) Criteria and training for evaluators. data related to SCC at all sites an (vi) Individual failed to recognize an (c) Retention period—(i) Individual operator excavates during the conduct abnormal operating condition, whether qualification records. An operator must of its pipeline operations (both within it is task-specific or non-task specific, maintain records of qualified and outside covered segments) where which occurs anywhere on the system; individuals who performed covered the criteria in NACE SP0204–2008

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indicate the potential for Stress remaining strength of the pipe at the Systems Qualification Standard; ANSI/ Corrosion Cracking Direct Assessment. repair location must be determined ASNT ILI–PQ–2010, Inline Inspection This data gathering process must be using ASME/ANSI B31G or RSTRENG Personnel Qualification and conducted in accordance with NACE and must be sufficient to meet the Certification; and NACE SP0102–2010, SP0204–2008, Section 5.3, and must design requirements of subpart C of this Inline Inspection of Pipelines include, at a minimum, all data listed in part. (incorporated by reference, see § 195.3). NACE SP0204–2008, Table 2. Further, (ii) Significant SCC must be mitigated An in-line inspection may also be an operator must analyze the following using a hydrostatic testing program with conducted using tethered or remote factors as part of this evaluation: a minimum test pressure between 100% control tools provided they generally (i) The effects of a carbonate- up to 110% of the specified minimum comply with those sections of NACE bicarbonate environment, including the yield strength of the pipe for a 30 SP0102–2010 that are applicable. implications of any factors that promote minute spike test immediately followed the production of a carbonate- by a pressure test in accordance with PART 199—DRUG AND ALCOHOL bicarbonate environment such as soil subpart E of this part. The test pressure TESTING temperature, moisture, factors that affect for the entire sequence must be the rate of carbon dioxide generation, continuously maintained for at least 8 ■ 45. The authority citation for part 199 and/or cathodic protection. hours, in accordance with subpart E of is revised to read as follows: (ii) The effects of cyclic loading this part. Any test failures due to SCC Authority: 49 U.S.C. 5103, 60102, 60104, conditions on the susceptibility and must be repaired by replacement of the 60108, 60117, and 60118; 49 CFR 1.97. propagation of SCC in both high-pH and pipe segment, and the segment retested ■ near-neutral-pH environments. until the pipe passes the complete test 47. In § 199.105, paragraph (b) is (iii) The effects of variations in without leakage. Pipe segments that revised to read as follows: applied cathodic protection such as have SCC present, but that pass the § 199.105 Drug tests required. overprotection, cathodic protection loss pressure test, may be repaired by * * * * * for extended periods, and high negative grinding in accordance with paragraph potentials. (c)(4)(i) of this section. (b) Post-accident testing. (1) As soon (iv) The effects of coatings that shield (5) Post assessment. In addition to the as possible but no later than 32 hours cathodic protection when disbonded requirements and recommendations of after an accident, an operator must drug from the pipe. NACE SP0204–2008, sections 6.3, test each surviving covered employee (v) Other factors that affect the periodic reassessment, and 6.4, whose performance of a covered mechanistic properties associated with effectiveness of Stress Corrosion function either contributed to the SCC including but not limited to Cracking Direct Assessment, the plan’s accident or cannot be completely operating pressures, high tensile procedures for post assessment must discounted as a contributing factor to residual stresses, and the presence of include development of a reassessment the accident. An operator may decide sulfides. plan based on the susceptibility of the not to test under this paragraph but such (2) Indirect inspection. In addition to operator’s pipe to Stress Corrosion a decision must be based on specific the requirements and recommendations Cracking as well as on the behavior information that the covered employee’s of NACE SP0204–2008, Section 4, the mechanism of identified cracking. performance had no role in the cause(s) plan’s procedures for indirect Factors to be considered include, but are or severity of the accident or because of inspection must include provisions for not limited to: the time between that performance and conducting at least two different, but (i) Evaluation of discovered crack the accident, it is not likely that a drug complementary, indirect assessment clusters during the direct examination test would reveal whether the electrical surveys, and the basis on the step in accordance with NACE SP0204– performance was affected by drug use. selections as the most appropriate for 2008, sections 5.3.5.7, 5.4, and 5.5; (2) If a test required by this section is the pipeline segment based on the data (ii) Conditions conducive to creation not administered within the 32 hours gathering and integration step. of the carbonate-bicarbonate (3) Direct examination. In addition to following the accident, the operator environment; must prepare and maintain its decision the requirements and recommendations (iii) Conditions in the application (or of NACE SP0204–2008, Section 5, the stating the reasons why the test was not loss) of cathodic protection that can promptly administered. If a test required plan’s procedures for direct examination create or exacerbate SCC; must provide for conducting a by paragraph (b)(1) of this section is not (iv) Operating temperature and administered within 32 hours following minimum of four direct examinations pressure conditions; within the SCC segment at locations the accident, the operator must cease (v) Cyclic loading conditions; attempts to administer a drug test and determined to be the most likely for SCC (vi) Conditions that influence crack to occur. must state in the record the reasons for initiation and growth rates; not administering the test. (4) Remediation and mitigation. If any (vii) The effects of interacting crack indication of SCC is discovered in a clusters; * * * * * segment, an operator must mitigate the (viii) The presence of sulfides; and ■ 47. In § 199.117, paragraph (a)(5) is threat in accordance with one of the (ix) Disbonded coatings that shield CP added to read as follows: following applicable methods: from the pipe. § 199.117 Recordkeeping. (i) Non-significant SCC, as defined by ■ 44. Section 195.591 is added to read NACE SP0204–2008, may be mitigated as follows: (a) * * * by either hydrostatic testing in (5) Records of decisions not to accordance with paragraph (b)(4)(ii) of § 195.591 In-Line inspection of pipelines. administer post-accident employee drug this section, or by grinding out with When conducting in-line inspection tests must be kept for at least 3 years. verification by Non-Destructive of pipelines required by this part, each Examination (NDE) methods that the operator must comply with the * * * * * SCC defect is removed and repairing the requirements and recommendations of ■ 48. In § 199.119, paragraphs (a) and pipe. If grinding is used for repair, the API STD 1163–2005, Inline Inspection (b) are revised to read as follows:

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§ 199.119 Reporting of anti-drug testing before an authorization or denial is calendar year (January 1 through results. received. December 31). The Administrator may (a) Each large operator (having more * * * * * require by notice in the PHMSA Portal than 50 covered employees) must ■ 49. In § 199.225, the introductory text (https://portal.phmsa.dot.gov/ submit an annual Management and paragraph (a)(1) are revised to read phmsaportallanding) that small Information System (MIS) report to as follows: operators (50 or fewer covered employees), not otherwise required to PHMSA of its anti-drug testing using the § 199.225 Alcohol tests required. MIS form and instructions as required submit annual MIS reports, to prepare by 49 CFR part 40 (at § 40.26 and Each operator must conduct the and submit such reports to PHMSA. appendix H to part 40), not later than following types of alcohol tests for the * * * * * March 15 of each year for the prior presence of alcohol: (c) Each report required under this calendar year (January 1 through (a) * * * section must be submitted electronically December 31). The Administrator may (1) As soon as practicable following at http://damis.dot.gov. An operator require by notice in the PHMSA Portal an accident, each operator must test may obtain the user name and password (https://portal.phmsa.dot.gov/ each surviving covered employee for needed for electronic reporting from the alcohol if that employee’s performance phmsaportallanding) that small PHMSA Portal (https:// of a covered function either contributed operators (50 or fewer covered portal.phmsa.dot.gov/ to the accident or cannot be completely employees), not otherwise required to phmsaportallanding). If electronic discounted as a contributing factor to submit annual MIS reports, to prepare reporting imposes an undue burden and the accident. The decision not to and submit such reports to PHMSA. hardship, the operator may submit a administer a test under this section written request for an alternative (b) Each report required under this must be based on specific information reporting method to the Information section must be submitted electronically that the covered employee’s Resources Manager, Office of Pipeline at http://damis.dot.gov. An operator performance had no role in the cause(s) Safety, Pipeline and Hazardous may obtain the user name and password or severity of the accident. Materials Safety Administration, 1200 needed for electronic reporting from the * * * * * New Jersey Avenue SE., Washington, PHMSA Portal (https://portal.phmsa. ■ 50. In § 199.227, paragraph (b)(4) is DC 20590. The request must describe dot.gov/phmsaportallanding). If added to read as follows: the undue burden and hardship. electronic reporting imposes an undue PHMSA will review the request and burden and hardship, the operator may § 199.227 Retention of records. may authorize, in writing, an alternative submit a written request for an * * * * * reporting method. An authorization will alternative reporting method to the (b) * * * state the period for which it is valid, Information Resources Manager, Office (4) Three years. Records of decisions which may be indefinite. An operator of Pipeline Safety, Pipeline and not to administer post-accident must contact PHMSA at 202–366–8075, Hazardous Materials Safety employee alcohol tests must be kept for or electronically to Administration, 1200 New Jersey a minimum of three years. [email protected] Avenue SE., Washington, DC 20590. * * * * * to make arrangements for submitting a The request must describe the undue ■ 51. In § 199.229, paragraphs (a) and (c) report that is due after a request for burden and hardship. PHMSA will are revised as follows: alternative reporting is submitted but review the request and may authorize, before an authorization or denial is in writing, an alternative reporting § 199.229 Reporting of alcohol testing received. method. An authorization will state the results. * * * * * period for which it is valid, which may (a) Each large operator (having more be indefinite. An operator must contact than 50 covered employees) must Issued in Washington, DC, on June 26, PHMSA at 202–366–8075, or submit an annual MIS report to PHMSA 2015, under authority delegated in 49 CFR electronically to of its alcohol testing results using the part 1.97. [email protected] MIS form and instructions as required Jeffrey D. Wiese, to make arrangements for submitting a by 49 CFR part 40 (at § 40.26 and Associate Administrator for Pipeline Safety. report that is due after a request for appendix H to part 40), not later than [FR Doc. 2015–16264 Filed 7–9–15; 8:45 am] alternative reporting is submitted but March 15 of each year for the prior BILLING CODE 4910–60–P

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Reader Aids Federal Register Vol. 80, No. 132 Friday, July 10, 2015

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING JULY

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. 241...... 37536 Presidential Documents 3 CFR 271...... 37536 Executive orders and proclamations 741–6000 Executive Orders: 275...... 37538 The United States Government Manual 741–6000 13699...... 37529 276...... 37536 Other Services Administrative Orders: Proposed Rules: 1...... 37921 240...... 38995 Electronic and on-line services (voice) 741–6020 275...... 38050 Privacy Act Compilation 741–6064 5 CFR 279...... 38050 Public Laws Update Service (numbers, dates, etc.) 741–6043 Proposed Rules: TTY for the deaf-and-hard-of-hearing 741–6086 Ch. XXII ...... 38019 18 CFR Proposed Rules: 7 CFR ELECTRONIC RESEARCH 284...... 39719 929...... 37531 342...... 39010 932...... 37533 World Wide Web 19 CFR 4279...... 39377 Full text of the daily Federal Register, CFR and other publications 4287...... 39377 201...... 39377 is located at: www.fdsys.gov. Proposed Rules: 206...... 39377 Federal Register information and research tools, including Public 986...... 38021 208...... 39377 Inspection List, indexes, and Code of Federal Regulations are 1211...... 37555 213...... 39377 located at: www.ofr.gov. 214...... 39377 9 CFR 215...... 39377 E-mail 94...... 37923, 37935 216...... 39377 217...... 39377 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 112...... 39669 218...... 39377 an open e-mail service that provides subscribers with a digital 219...... 39377 form of the Federal Register Table of Contents. The digital form 10 CFR 220...... 39377 of the Federal Register Table of Contents includes HTML and 430...... 37953, 37954 221...... 39377 PDF links to the full text of each document. Proposed Rules: 222...... 39377 Ch. II ...... 38019 To join or leave, go to http://listserv.access.gpo.gov and select 223...... 39377 Ch. III ...... 38019 Online mailing list archives, FEDREGTOC-L, Join or leave the list 224...... 39377 Ch. IX...... 38019 (or change settings); then follow the instructions. 225...... 39377 429...... 39486, 39644 226...... 39377 PENS (Public Law Electronic Notification Service) is an e-mail 430...... 39644 227...... 39377 service that notifies subscribers of recently enacted laws. 431...... 38032, 39486 228...... 39377 1703...... 39389 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 229...... 39377 and select Join or leave the list (or change settings); then follow 12 CFR 230...... 39377 the instructions. 231...... 39377 FEDREGTOC-L and PENS are mailing lists only. We cannot Proposed Rules: 232...... 39377 respond to specific inquiries. Ch. I ...... 39390 233...... 39377 Ch. II ...... 39390 234...... 39377 Reference questions. Send questions and comments about the Ch. III ...... 39390 Federal Register system to: [email protected] 235...... 39377 701...... 37898 236...... 39377 The Federal Register staff cannot interpret specific documents or 723...... 37898 237...... 39377 regulations. 741...... 37898 238...... 39377 CFR Checklist. Effective January 1, 2009, the CFR Checklist no 14 CFR 239...... 39377 longer appears in the Federal Register. This information can be 240...... 39377 found online at http://bookstore.gpo.gov/. 33...... 38913 241...... 39377 39 ...... 38391, 38613, 38615, 242...... 39377 38617 FEDERAL REGISTER PAGES AND DATE, JULY 243...... 39377 Proposed Rules: 244...... 39377 37529–37920...... 1 39 ...... 38033, 38036, 38038, 245...... 39377 38406, 38408, 38656, 38990, 37921–38390...... 2 246...... 39377 38992, 39392, 39394 38391–38612...... 6 247...... 39377 248...... 39377 38613–38912...... 7 16 CFR 249...... 39377 38913–39376...... 8 Proposed Rules: 250...... 39377 39377–39668...... 9 313...... 38410 251...... 39377 39669–39940...... 10 1112...... 38041 252...... 39377 1233...... 38041 253...... 39377 254...... 39377 17 CFR 255...... 39377 231...... 37536 256...... 39377 232...... 37537 257...... 39377

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258...... 39377 26 CFR 257...... 37988 74...... 38158 259...... 39377 1...... 38940, 38941 262...... 37992 79...... 39722 260...... 39377 761...... 37994 Proposed Rules: 80...... 38316 261...... 39377 1...... 39397 Proposed Rules: 90...... 38316 262...... 39377 301...... 39397 52 ...... 38152, 38419, 38423, 97...... 38316 263...... 39377 602...... 39397 39020 101...... 38316 264...... 39377 87...... 37758 265...... 39377 704...... 38153 27 CFR 48 CFR 266...... 39377 1068...... 37758 267...... 39377 Proposed Rules: Ch. 1...... 38292, 38313 268...... 39377 9...... 38147 41 CFR 1...... 38293, 38306 269...... 39377 28 CFR 301...... 37995 2...... 38293 270...... 39377 302...... 37995 3...... 38293 271...... 39377 527...... 38620 303...... 37995 4...... 38293 272...... 39377 571...... 38622 304...... 37995 5...... 38307 273...... 39377 Proposed Rules: 305...... 37995 6...... 38293 274...... 39377 506...... 38658 306...... 37995 7...... 38293 275...... 39377 810...... 39400 8...... 38293 276...... 39377 307...... 37995 277...... 39377 29 CFR 308...... 37995 9...... 38293, 38309 309...... 37995 10...... 38293 278...... 39377 18...... 37539 279...... 39377 310...... 37995 12...... 38293, 38311 Proposed Rules: Proposed Rules: 13...... 38293, 38311 280...... 39377 541...... 38516 281...... 39377 102–177...... 39719 15...... 38293, 38312 282...... 39377 16...... 38293 31 CFR 42 CFR 283...... 39377 17...... 38293 284...... 39377 591...... 39676 Proposed Rules: 18...... 38311 285...... 39377 Proposed Rules: 88...... 39720 19...... 38293 286...... 39377 315...... 37539 409...... 39840 22...... 38293, 38307 287...... 39377 353...... 37539 410...... 39200 25...... 38293 288...... 39377 360...... 37539 412...... 39200 28...... 38293 289...... 39377 413...... 37808 30...... 38293 32 CFR 290...... 39377 416...... 39200 42...... 38293 291...... 39377 323...... 39381 419...... 39200 50...... 38293 292...... 39377 424...... 39840 52 ...... 38293, 38306, 38309, 33 CFR 293...... 39377 484...... 39840 38312 294...... 39377 100 ...... 38394, 38397, 39382 53...... 38293 295...... 39377 117 ...... 39382, 39383, 39683 44 CFR 296...... 39377 165 ...... 37540, 37542, 37545, 64...... 37996 297...... 39377 37976, 37978, 37980, 37982, 49 CFR 298...... 39377 38623, 38941, 38943, 38944, 45 CFR 219...... 38654 299...... 39377 38946, 39383, 39384, 39386, 155...... 38652 390...... 37553 39686, 39688, 39689, 39691, 20 CFR Proposed Rules: 39694 46 CFR 190...... 39916 404...... 37970 Proposed Rules: 503...... 37997 191...... 39916 416...... 37970 117...... 38417 Proposed Rules: 192...... 39916 21 CFR 165 ...... 37562, 39400, 39403 501...... 38153 195...... 39916 502...... 38153 199...... 39916 11...... 39675 34 CFR 20...... 38915 1201...... 39021 Proposed Rules: 47 CFR 101...... 39675 1241...... 39045 668...... 39608 310...... 38915 1...... 38653, 38812 1242...... 39045 682...... 39608 314...... 38915 2...... 38812 1243...... 39045 685...... 39608 600...... 38915 15...... 37551 1244...... 39045 17...... 37552 1245...... 39045 601...... 37971 38 CFR 610...... 37971 20...... 38653 1246...... 39045 680...... 37971 Proposed Rules: 25...... 38812 1247...... 39045 4...... 39011 Proposed Rules: 27...... 38812 1248...... 39045 601...... 38145 74...... 38812 39 CFR 76...... 38001 1100...... 37555 50 CFR 1140...... 37555 Proposed Rules: 78...... 38812 21...... 38013 1143...... 37555 957...... 37565 79...... 39698 961...... 37567 80...... 38812 300...... 38986 22 CFR 966...... 37567 87...... 38812 622...... 38015, 39715 121...... 37974 90...... 38812 635...... 38016 40 CFR 97...... 38812 660...... 39716 24 CFR 52 ...... 37985, 38400, 38403, 101...... 38812 679...... 38017 Proposed Rules: 38625, 38951, 38959, 38966, Proposed Rules: Proposed Rules: 203...... 38410 38969, 39696 2...... 38316 17...... 37568 60...... 38628 8...... 38424 219...... 39542 25 CFR 80...... 38284 15...... 38316 648...... 39731 83...... 37538, 37862 180 ...... 37547, 38976, 38981 73...... 38158 679...... 39734

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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 July 9, 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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