Vol. 76 Wednesday, No. 71 April 13, 2011

Pages 20489–20834

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 76, No. 71

Wednesday, April 13, 2011

Agriculture Department Drug Enforcement Administration See Animal and Plant Health Inspection Service RULES See Forest Service Self-Certification and Employee Training of Mail-Order See Rural Utilities Service Distributors of Scheduled Listed Chemical Products, 20518–20524 Animal and Plant Health Inspection Service NOTICES PROPOSED RULES Agency Information Collection Activities; Proposals, Horse Protection Act; Petition for Amendments to Submissions, and Approvals: Regulations, 20569–20570 U.S. Official Order Forms for Schedule I and II NOTICES Controlled Substances (Accountable Forms); Order Environmental Assessments; Availability, etc.: Form Requisition, 20710 Determination of Nonregulated Status for Altered Color Roses; Florigene Pty., Ltd., 20623–20624 Education Department RULES Army Department Program Integrity Issues, 20534–20536 See Engineers Corps NOTICES NOTICES Agency Information Collection Activities; Proposals, Record of Decision for the Base Closure and Realignment Submissions, and Approvals, 20634–20637 2005 Actions at Fort McPherson, GA, 20633 Applications for New Awards: Personnel Development to Improve Services and Results Arts and Humanities, National Foundation for Children with Disabilities, 20637–20651 See National Foundation on the Arts and the Humanities Energy Department Centers for Medicare & Medicaid Services See Federal Energy Regulatory Commission NOTICES RULES Proposed Establishment of a Federally Funded Research Occupational Radiation Protection, 20489–20490 and Development Center, 20673–20674 NOTICES Applications to Export Electric Energy: Children and Families Administration Cargill Power Markets, LLC, 20651 NOTICES Meetings: Meetings: Environmental Management Site-Specific Advisory Board Head Start Tribal Consultations, 20674–20675 Chairs; Cancellation, 20651

Civil Rights Commission Engineers Corps NOTICES NOTICES Meetings: Environmental Impact Statements; Availability, etc.: Louisiana Advisory Committee, 20625 East Kentucky Power Coop., Inc., Clark County, KY; Withdrawal, 20634 Coast Guard RULES Environmental Protection Agency Anchorage Regulations: RULES Port of New York, 20524–20530 Control of Emissions From New and In-Use Marine Safety Zones: Compression-Ignition Engines and Vessels; CFR Boom Days, Buffalo Outer Harbor, Buffalo, NY, 20530– Correction, 20550–20551 20532 National Oil and Hazardous Substance Pollution Boom Days, Niagara River, Niagara Falls, NY, 20532– Contingency Plan; National Priorities List: 20534 Deletion of the Spiegelberg Landfill Superfund Site, PROPOSED RULES 20546–20550 Special Local Regulations: Pesticide Tolerances: Extreme Sailing Series Boston; Boston Harbor, Boston, Etoxazole, 20537–20542 Massachusetts, 20595–20598 Protocol Gas Verification Program: Minimum Competency Requirements for Air Emission Commerce Department Testing; Correction, 20536–20537 See International Trade Administration Temporary Exemptions From Requirements of Tolerances: See National Institute of Standards and Technology Escherichia coli O157:H7 Specific Bacteriophages, NOTICES 20542–20546 Agency Information Collection Activities; Proposals, PROPOSED RULES Submissions, and Approvals, 20625–20626 Approvals and Promulgations of Air Quality Implementation Plans: Defense Department Ohio; Control of Emissions of Organic Materials Not See Army Department Regulated by Reasonably Available Control See Engineers Corps Technology Rules, 20598–20602

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Approvals and Promulgations of Implementation Plans: NOTICES Texas; Disapproval of Interstate Transport State Major Disaster and Related Determinations: Implementation Plan Revision for the 2006 24-hour Tennessee, 20696 PM2.5 NAAQS, 20602–20605 Meetings: National Oil and Hazardous Substance Pollution National Fire Academy Board of Visitors, 20696–20697 Contingency Plan; National Priorities List: Deletion of the Spiegelberg Landfill Superfund Site, Federal Energy Regulatory Commission 20605–20606 PROPOSED RULES NOTICES Bidding by Affiliates in Open Seasons for Pipeline Agency Information Collection Activities; Proposals, Capacity, 20571–20575 Submissions, and Approvals, 20659–20661 NOTICES Agency Information Collection Activities; Proposals, Applications of Land Management Plan Updates: Submissions, and Approvals: Idaho Power Co., Bliss, Upper Salmon Falls, and Lower Clean Air Act Tribal Authority, 20663–20664 Salmon Falls Hydroelectric Projects, 20652 Contractor Conflicts of Interest, 20661–20662 Applications: Federal Implementation Plans under the Clean Air Act Florida Gas Transmission Co., LLC, 20653–20654 for Indian Reservations in Idaho, Oregon and Grand River Dam Authority, 20654–20655 Washington, 20662–20663 Symbiotics, LLC, 20652–20653 Clean Water Act Section 303(d); Availability of List Baseline Filings: Decisions, 20664–20665 Kinder Morgan Texas Pipeline LLC, 20655 Meetings: Complaints: National Environmental Justice Advisory Council, 20665– American Electric Power Service Corp. v. PJM 20666 Interconnection, L.L.C., 20655–20656 Registration Review Final Decisions; Availability Environmental Assessments; Availability, etc.: Streptomyces Strain K61, and Wood Oils and Gums, Gallagher Station Pipeline Project, Duke Energy Indiana, 20666–20667 Inc., 20656–20657 Withdrawal of Pesticide Petitions for Residues of Pesticide Environmental Impact Statements; Availability, etc.: Chemicals in or on Various Commodities, 20667–20668 Wells Hydroelectric Project; Public Meetings, 20657 Executive Office of the President Filings: See Presidential Documents Consumers Energy Co., 20658 Hattiesburg Industrial Gas Sales, L.L.C., 20657–20658 Farm Credit Administration Preliminary Permit Applications: NOTICES Qualified Hydro 25, LLC, 20658 Meetings: Requests Under Blanket Authorization: Farm Credit System Insurance Corporation Board, 20668 Eastern Shore Natural Gas Co., 20659 Federal Aviation Administration Federal Highway Administration RULES NOTICES Airworthiness Directives: Final Federal Agency Actions: Airbus Model A340–541 and –642 Airplanes, 20496– Sellwood Bridge Project, SE Tacoma Street and Oregon 20498 Highway 43, Multnomah County, Oregon, 20807 Bombardier, Inc. Model CL–600–2C10, Model CL–600– 2D15 and Model CL–600–2D24 Airplanes, 20498– 20500 Federal Maritime Commission Empresa Brasileira de Aeronautica S.A. (EMBRAER) NOTICES Model ERJ 170 and ERJ 190 Airplanes, 20503–20506 Agreements Filed, 20668–20669 Fokker Services B.V. Model F.27 Mark 050 Airplanes, 20493–20496, 20501–20503 Federal Motor Carrier Safety Administration Special Conditions: PROPOSED RULES Eurocopter France Model AS350B series, AS350D, and Electronic On-Board Recorders and Hours of Service EC130 Helicopters, Installation of a Hoh Aeronautics, Supporting Documents, 20611–20613 Inc., etc., 20490–20493 NOTICES PROPOSED RULES Pilot Program on NAFTA Long-Haul Trucking Provisions, Safety Enhancements; Certification of Airports, 20570– 20807–20819 20571 NOTICES Petitions for Exemption; Summaries of Petitions Received, Federal Reserve System 20806–20807 NOTICES Changes in Bank Control: Federal Communications Commission Acquisitions of Shares of a Bank or Bank Holding NOTICES Company, 20669 Meetings; Sunshine Act, 20668 Federal Emergency Management Agency Federal Trade Commission RULES NOTICES Changes in Flood Elevation Determinations, 20551–20558 Proposed Consent Agreements: PROPOSED RULES Oreck Corp.; Analysis of Proposed Consent Order to Aid Flood Elevation Determinations, 20606–20611 Public Comment, 20669–20671

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Fish and Wildlife Service Forest Service RULES NOTICES Endangered and Threatened Wildlife and Plants: Meetings: Adding 10 Taxa, Delisting 1 Taxon, Reclassifying 1 Central Montana Resource Advisory Committee, 20624 Taxon, and Updating 32 Taxa on the List of Endangered and Threatened Wildlife, 20558–20567 Health and Human Services Department PROPOSED RULES See Centers for Medicare & Medicaid Services Endangered and Threatened Wildlife and Plants: See Children and Families Administration 90 Day Finding on a Petition To List Spring Mountains See Food and Drug Administration Acastus Checkerspot Butterfly as Endangered, 20613– See National Institutes of Health 20622 PROPOSED RULES NOTICES Plan for Retrospective Review under Executive Order Endangered Species Receipt of Applications for Permit, 13563, 20568–20569 20705 NOTICES Environmental Impact Statements; Availability, etc.: Agency Information Collection Activities; Proposals, South Farallon Islands Nonnative Mouse Eradication Submissions, and Approvals, 20671–20672 Project; Farallon National Wildlife Refuge,, 20706– Recommendations on In Vitro Ocular Safety Testing 20707 Methods and Strategies and Routine Use: Topical Anesthetics, Systemic Analgesics, and Humane Food and Drug Administration Endpoints for Ocular Safety Testing, 20672–20673 RULES Irradiation in the Production, Processing, and Handling of Homeland Security Department Food, 20509–20513 See Coast Guard Revision of the Requirements for Constituent Materials, See Federal Emergency Management Agency 20513–20518 See U.S. Customs and Border Protection PROPOSED RULES Disqualification of a Clinical Investigator, 20575–20588 Housing and Urban Development Department Meetings: NOTICES Food Safety Modernization Act, Focus on Preventive Agency Information Collection Activities; Proposals, Controls for Facilities, 20588–20590 Submissions, and Approvals: NOTICES Public Housing Agency (PHA) 5-Year and Annual Plan, Agency Information Collection Activities; Proposals, 20698–20699 Submissions, and Approvals: Fellowship Placement Pilot Program: Application for Food and Drug Administration Approval Requests for Interests to Administer Pilot, 20699–20705 to Market a New Drug, 20680–20684 Applications for Food and Drug Administration Approval Interior Department to Market a New Drug; Postmarketing Reports, etc., See Fish and Wildlife Service 20677–20679 See Reclamation Bureau Experimental Study on Consumer Responses to Labeling Statements on Food Packages, 20675–20677 Internal Revenue Service Guidance for Industry; Fast Track Drug Development RULES Programs, etc., 20679–20680 Guidance under Section 1502; Amendment of Matching Presubmission Conferences, New Animal Drug Rule for Certain Gains on Member Stock; Correction, Applications and Supporting Regulations, 20684– 20524 20685 PROPOSED RULES Determinations that Products Were Not Withdrawn From Guidance Concerning the Exclusion of Section 61 Discharge Sale for Reasons of Safety or Effectiveness: of Indebtedness Income of a Grantor Trust or a NOVANTRONE (Mitoxantrone Hydrochloride) Injection, Disregarded Entity, 20593–20594 Equivalent to 25 Milligrams Base/12.5 Milliliters, Guidance on Reporting Interest Paid to Nonresident Aliens; etc., 20685–20686 Hearing, 20595 Draft Guidance for Industry on Safety Labeling Changes; Availability: International Trade Administration Implementation of the Federal Food, Drug, and Cosmetic NOTICES Act, 20686–20688 Extension of Time Limit for Preliminary Results of the Guidance for Industry and Food and Drug Administration Seventh Antidumping Duty Administrative Review: Staff; Availability: Certain Frozen Fish Fillets from the Socialist Republic of 30-Day Notices, etc., Supplements for Manufacturing Vietnam, 20626–20627 Method or Process Changes, 20688–20689 Final Determinations of Sales at Less than Fair Value: Guidance for Industry on Influenza; Availability: Aluminum Extrusions from People’s Republic of China; Developing Drugs for Treatment and/or Prophylaxis, Correction, 20627 20689–20690 Preliminary Results of Antidumping Duty New Shipper Meetings: Reviews: Preparation for International Conference on Certain Frozen Warmwater Shrimp from the Socialist Harmonization Steering Committee and Expert Republic of Vietnam, 20627–20633 Working Group, 20690 Public Workshops: International Trade Commission International Consortium of Orthopedic Registries, NOTICES 20690–20691 Possible Shutdown of Investigative Activities, 20707–20708

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Justice Department National Institute of Diabetes and Digestive and Kidney See Drug Enforcement Administration Diseases, 20692–20693 See Justice Programs Office National Institute of Neurological Disorders and Stroke, NOTICES 20691–20692, 20695–20696 Agency Information Collection Activities; Proposals, Submissions, and Approvals: National Science Foundation Elder Justice Roadmap Project, 20708–20709 NOTICES Lodging of Consent Decrees Under CERCLA, 20709–20710 Committee Management Renewals, 20720 Meetings: Justice Programs Office Advisory Panel for Integrative Activities, 20720 NOTICES Meetings; Sunshine Act, 20720 Meetings: Permit Applications Received, 20721 Review Panel on Prison Rape; Hearings, 20711 Permit Applications; Antarctic Conservation Act, 20721– 20722 Labor Department NOTICES Nuclear Regulatory Commission Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: License Modification Orders: Application for Waiver of Surface Facilities DC Cook Nuclear Plant Independent Spent Fuel Storage Requirements, 20711–20712 Installation, Indiana Michigan Power Co., 20722– Representative of Miners, Notification of Legal Identity, 20727 and Notification of Commencement of Operations Presidential Documents and Closing of Mines, 20712–20713 Labor Capacity-Building Efforts under Dominican Republic PROCLAMATIONS Special Observances: – Central America – U.S. Free Trade Agreement, National Crime Victims’ Rights Week (Proc. 8650), 20713–20714 20827–20830 National Aeronautics and Space Administration National Former Prisoner of War Recognition Day (Proc. NOTICES 8652), 20833–20834 Agency Information Collection Activities; Proposals, Pan American Day and Pan American Week (Proc. 8651), Submissions, and Approvals, 20714 20831–20832 Agency Information Collection Activities; Proposals, Reclamation Bureau Submissions, and Approvals: NOTICES Qualitative Feedback on Agency Service Delivery, 20714– Environmental Impact Statements; Availability, etc.: 20715 Cle Elum Dam Fish Passage Facilities and Fish Environmental Impact Statements; Availability, etc.: Reintroduction Project; Kittitas County, WA, 20707 Sounding Rockets Program, Poker Flat Research Range, 20715–20717 Rural Utilities Service Meetings: NOTICES NASA Advisory Council Audit, Finance and Analysis Environmental Impact Statements; Availability, etc.: Committee, 20717–20718 Oglethorpe Power Corp., Proposed Biomass Power Plant; NASA Advisory Council Space Operations Committee, Public Hearing, 20624–20625 20717 Securities and Exchange Commission National Archives and Records Administration RULES NOTICES Technical Amendment to Rule 19b–4: Records Schedules; Availability, 20718–20719 Filings with Respect to Proposed Rule Changes by Self- Regulatory Organizations, 20506–20509 National Foundation on the Arts and the Humanities NOTICES NOTICES Applications for Orders Pursuant to Section 26(c) of Meetings: Investment Company Act of 1940: Arts Advisory Panel, 20719–20720 National Life Insurance Co., et al., 20727–20731 Orders of Suspension of Trading: National Institute of Standards and Technology RINO International Corp., 20731–20732 NOTICES Self-Regulatory Organizations; Proposed Rule Changes: Meetings: BATS Exchange, Inc., 20791–20792 NIST/Industry Consortium on Neutron Measurements for BATS Y–Exchange, Inc., 20739–20741 Soft Materials Manufacturing; Feasibility, 20633 C2 Options Exchange, Inc., 20757 Chicago Board Options Exchange, Inc., 20771–20773, National Institutes of Health 20784–20788, 20793–20797 NOTICES Chicago Stock Exchange, Inc., 20792–20793 Meetings: EDGA Exchange, Inc., 20770–20771, 20797–20799 Center for Scientific Review, 20692, 20694 EDGX Exchange, Inc., 20738–20739, 20750–20752, Eunice Kennedy Shriver National Institute of Child 20768–20770 Health and Human Development, 20694–20695 Financial Industry Regulatory Authority, Inc., 20741– National Cancer Institute, 20693–20694 20742, 20744, 20757–20760, 20782–20783 National Institute of Dental and Craniofacial Research, International Securities Exchange, LLC, 20733–20734, 20693 20752–20756, 20764–20767

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Municipal Securities Rulemaking Board, 20783–20784 See Federal Highway Administration NASDAQ OMX BX, Inc., 20732–20733, 20749–20750 See Federal Motor Carrier Safety Administration NASDAQ OMX PHLX, 20788–20789 See Surface Transportation Board NASDAQ OMX PHLX LLC, 20773–20779, 20789–20791 NOTICES NASDAQ Stock Market LLC, 20742–20749, 20760–20763, Agency Information Collection Activities; Proposals, 20780–20782 Submissions, and Approvals: National Stock Exchange, Inc., 20763–20764 Procedures for Transportation Workplace Drug and New York Stock Exchange LLC, 20735–20736, 20757, Alcohol Testing Programs, 20804–20805 20767–20768 Aviation Proceedings, Agreements Filed, 20805–20806 NYSE Amex LLC, 20736–20738, 20754 Options Clearing Corp., 20779–20780 Treasury Department Small Business Administration See Internal Revenue Service See Thrift Supervision Office NOTICES NOTICES Disaster Declarations: Meetings: Wisconsin, 20799 Debt Management Advisory Committee, 20819–20820 Meetings: Intermediary Lending Pilot Program, 20799–20800 U.S. Customs and Border Protection State Department NOTICES PROPOSED RULES Quarterly Internal Revenue Service Interest Rates Used to International Traffic in Arms Regulations; Defense Services, Calculate Interest on Overdue Accounts and Refunds, 20590–20593 20697–20698 NOTICES Bureau of Political–Military Affairs: Veterans Affairs Department Directorate of Defense Trade Controls; Notifications to NOTICES Congress of Proposed Commercial Export Licenses, Agency Information Collection Activities; Proposals, 20800–20802 Submissions, and Approvals: Culturally Significant Object Imported for Exhibition Civil Rights Discrimination Complaint, 20821 Determinations: Disabled Veterans Application for Vocational The Capitoline Venus, 20802 Rehabilitation, 20821–20822 Ancestors of the Lake; Art from Lake Sentani and Living Will and Durable Power of Attorney for Health Humboldt Bay, 20802 Care, 20822–20823 Surface Transportation Board Servicer’s Staff Appraisal Reviewer Application, 20822 NOTICES Veterans Benefits Administration Voice of the Veteran Discontinuance Exemptions: Pilot Surveys, 20823–20825 Manufacturers Railway Co., St. Louis County, MO, 20819

Susquehanna River Basin Commission Separate Parts In This Issue NOTICES Projects Approved or Rescinded for Consumptive Uses of Water, 20802–20804 Part II Presidential Documents, 20827–20834 Thrift Supervision Office RULES Community Reinvestment; CFR Correction, 20490 Reader Aids NOTICES Agency Information Collection Activities; Proposals, Consult the Reader Aids section at the end of this page for Submissions, and Approvals: phone numbers, online resources, finding aids, reminders, Application and Termination Notice for Municipal and notice of recently enacted public laws. Securities Dealer Principal or Representative, 20820– To subscribe to the Federal Register Table of Contents 20821 LISTSERV electronic mailing list, go to http:// listserv.access.gpo.gov and select Online mailing list Transportation Department archives, FEDREGTOC-L, Join or leave the list (or change See Federal Aviation Administration settings); then follow the instructions.

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CFR PARTS AFFECTED IN THIS ISSUE

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

2 CFR 686...... 20534 690...... 20534 Proposed Rules: 691...... 20534 Ch. III ...... 20568 Ch. XXX...... 20568 40 CFR 75...... 20536 3 CFR 180 (2 documents) ...... 20537, Proclamations: 20542 8650...... 20829 300...... 20546 8651...... 20831 1042...... 20550 8652...... 20833 Proposed Rules: 5 CFR 52 (2 documents) ...... 20598, Proposed Rules: 20602 Ch. XLV ...... 20568 300...... 20605 9 CFR 42 CFR Proposed Rules: Proposed Rules: 11...... 20569 Ch. I ...... 20568 Ch. IV...... 20568 10 CFR Ch. V...... 20568 835...... 20489 44 CFR 12 CFR 65 (4 documents) ...... 20551, 563e...... 20490 20553, 20554, 20556 14 CFR Proposed Rules: 27...... 20490 67...... 20606 39 (5 documents) ...... 20493, 20496, 20498, 20501, 20503 45 CFR Proposed Rules: Proposed Rules: 139...... 20570 Ch. II ...... 20568 Ch. III ...... 20568 17 CFR Ch. IV...... 20568 240...... 20506 Ch. X...... 20568 18 CFR Ch. XIII...... 20568 Proposed Rules: 48 CFR 284...... 20571 Proposed Rules: 21 CFR Ch. 3 ...... 20568 179...... 20509 49 CFR 610...... 20513 1314...... 20518 Proposed Rules: Proposed Rules: 385...... 20611 390...... 20611 Ch. I (2 documents)...... 20568, 395...... 20611 20588 16...... 20575 50 CFR 312...... 20575 17...... 20558 511...... 20575 Proposed Rules: 812...... 20575 17...... 20613 22 CFR Proposed Rules: 120...... 20590 124...... 20590 25 CFR Proposed Rules: Ch. V...... 20568 26 CFR 1...... 20524 Proposed Rules: 1 (2 documents) ...... 20593, 20595 31...... 20595 33 CFR 110...... 20524 165 (2 documents) ...... 20530, 20532 Proposed Rules: 100...... 20595 34 CFR 600...... 20534 602...... 20534 603...... 20534 668...... 20534 682...... 20534 685...... 20534

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Rules and Regulations Federal Register Vol. 76, No. 71

Wednesday, April 13, 2011

This section of the FEDERAL REGISTER radionuclides. These values are given in III. Approval of the Office of the contains regulatory documents having general appendix C. DOE first published a final Secretary applicability and legal effect, most of which rule on December 14, 1993, (58 FR are keyed to and codified in the Code of The Secretary of Energy has approved 65485), amending 10 CFR part 835. In publication of this final rule. Federal Regulations, which is published under the June 8, 2007, (72 FR 31903) 50 titles pursuant to 44 U.S.C. 1510. amendment to part 835, DOE revised the List of Subjects in 10 CFR Part 835 The Code of Federal Regulations is sold by values in appendix C to part 835, Federal buildings and facilities, the Superintendent of Documents. Prices of Derived Air Concentration (DAC) for Nuclear energy, Nuclear materials, new books are listed in the first FEDERAL Workers from External Exposure during Nuclear power plants and reactors, REGISTER issue of each week. Immersion in a Cloud of Airborne Nuclear safety, Occupational safety and Radioactive Material. The calculations health, Radiation protection, and done for the 2007 amendment were Reporting and recordkeeping DEPARTMENT OF ENERGY based on a 24-hour day. However, to be requirements. consistent with other occupational 10 CFR Part 835 Issued in Washington, DC, on March 28, exposure scenarios, such as those used 2011. in developing the appendix A DACs, an [Docket No. HS–RM–09–835] Glenn S. Podonsky, 8-hour per day exposure scenario is RIN 1992–AA–45 more reasonable. Chief Health, Safety and Security Officer, Office of Health, Safety and Security. DOE proposed amending the values in Occupational Radiation Protection appendix C to take account of the Accordingly, for the reasons set forth in the preamble, part 835 of Chapter III AGENCY: Office of Health, Safety and 8-hour per day exposure scenario on Security, Department of Energy. January 25, 2011 (76 FR 4258). Today’s of Title 10 of the Code of Federal Regulations is amended as set forth ACTION: Final rule. final rule modifies 10 CFR part 835 appendix C values resulting from below: calculations using an 8-hour day. SUMMARY: The Department of Energy PART 835—OCCUPATIONAL (DOE) today amends the values in II. Discussion of Changes to 10 CFR 835 RADIATION PROTECTION appendix C to its Occupational Radiation Protection requirements. The The values for air immersion derived ■ 1. The authority citation for part 835 derived air concentration values for air air concentrations in the present part continues to read as follows: immersion are calculated using several 835 are based on a 24-hour day. Because the work day is 8 hours long, it was Authority: 42 U.S.C. 2201, 7191; 50 U.S.C. parameters. One of these, exposure time, 2410. is better represented by the hours in the decided to base calculations of air workday, rather than the hours in a immersion derived concentrations on an ■ 2. In appendix C to part 835, the table calendar day, and is therefore used in 8-hour day for workers occupationally at the end of paragraph c. is removed the revised calculations. exposed. and a new table is added to read as DATES: This rule is effective May 13, DOE received two comments from one follows: 2011. commenter. The commenter stated that the derived conversion factors differed Appendix C to Part 835—Derived Air FOR FURTHER INFORMATION CONTACT: Dr. by a factor of 20 billion to 70 billion. Concentration (DAC) for Workers From Judith Foulke, U.S. Department of DOE noted that values calculated in Bq/ External Exposure During Immersion in Energy, Office of Worker Safety and m3 and in μCi/L differ by a factor of 37 a Cloud of Airborne Radioactive Health Policy, 1000 Independence billion, but use of truncated numbers Material Avenue, SW., Washington, DC 20585; explained the difference. The * * * * * (301) 903–5865, e-mail: commenter stated that the half-life of c. * * * [email protected]. Kr-77 was wrong. DOE agreed with the SUPPLEMENTARY INFORMATION: correct value and replaced the incorrect AIR IMMERSION DAC value. I. Background A second commenter stated that the Radio- μ 3 nuclide Half-life ( Ci/mL) (Bq/m ) The requirements in title 10, Code of change in calculation for exposure time Federal Regulations, part 835 (10 CFR from calendar day hours to workday Ar-37 ...... 35.02 d ... 3E+00 1E+11 part 835), Occupational Radiation hours will lessen the amount of Ar-39 ...... 269 yr ..... 1E–03 5E+07 Protection, are designed to protect the protection provided to employees. The Ar-41 ...... 1.827 h ... 3E–06 1E+05 health and safety of workers at commenter incorrectly stated that the Kr-74 ...... 11.5 min 3E–06 1E+05 Department of Energy (DOE) facilities. effects of the radiation will continue Kr-76 ...... 14.8 h ..... 1E–05 3E+05 One situation that must be addressed is after the employees have gone home. Kr-77 ...... 74.7 min 4E–06 1E+05 the exposure of workers to radioactive These radionuclides in appendix C are Kr-79 ...... 35.04 h ... 1E–05 6E+05 inert gases and are not absorbed by the Kr-81 ...... 2.1E+05 7E–04 2E+07 material dispersed in the air. Based on yr. calculations involving doses to the body; they affect the worker only while Kr-83m ..... 1.83 h ..... 7E–02 2E+09 organs of the body, levels of immersed in a cloud of airborne Kr-85 ...... 10.72 yr .. 7E–04 2E+07 contamination in the air that will not radioactivity. Kr-85m ..... 4.48 h ..... 2E–05 1E+06 cause the dose limits for workers to be A third commenter agreed with DOE’s Kr-87 ...... 76.3 min 4E–06 1E+05 exceeded are established for specified approach. Kr-88 ...... 2.84 h ..... 1E–06 7E+04

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AIR IMMERSION DAC—Continued DEPARTMENT OF TRANSPORTATION Reason for No Prior Notice and Comment Before Adoption Radio- Federal Aviation Administration μ 3) nuclide Half-life ( Ci/mL) (Bq/m The substance of these special conditions has been subjected to the 14 CFR Part 27 Xe-120 ..... 40.0 min 1E–05 4E+05 notice and comment period previously Xe-121 ..... 40.1 min 2E–06 8E+04 [Docket No. SW026; Special Conditions No. and has been derived without Xe-122 ..... 20.1 h ..... 8E–05 3E+06 27–026–SC] substantive change from those Xe-123 ..... 2.14 h ..... 6E–06 2E+05 previously issued. It is unlikely that Special Conditions: Eurocopter France Xe-125 ..... 16.8 h ..... 1E–05 6E+05 prior public comment would result in a Model AS350B Series, AS350D, and Xe-127 ..... 36.406 d 1E–05 6E+05 significant change from the substance EC130 Helicopters, Installation of a Xe-129m .. 8.89 d ..... 2E–04 7E+06 contained herein. Further, a delay in the Xe-131m .. 11.84 d ... 5E–04 1E+07 Hoh Aeronautics, Inc. Autopilot/ effective date of these special conditions Xe-133 ..... 5.245 d ... 1E–04 5E+06 Stabilization Augmentation System would significantly delay issuance of Xe-133m .. 2.19 d ..... 1E–04 5E+06 (AP/SAS) the design approval and thus delivery of Xe-135 ..... 9.11 h ..... 1E–05 6E+05 AGENCY: Federal Aviation the helicopter, which is imminent. Xe-135m .. 15.36 min 1E–05 3E+05 Administration (FAA), DOT. Therefore, the FAA has determined that Xe-138 ..... 14.13 min 3E–06 1E+05 ACTION: Final special conditions; request prior public notice and comment are for comments. unnecessary, impracticable, and * * * * * contrary to the public interest, and finds [FR Doc. 2011–8836 Filed 4–12–11; 8:45 am] SUMMARY: These special conditions are good cause exists for adopting these BILLING CODE 6450–01–P issued for the modification of the special conditions upon issuance. The Eurocopter France (Eurocopter) model FAA is requesting comments to allow AS350B series, AS350D, and EC130 interested persons to submit views that helicopters. These model helicopters may not have been submitted in DEPARTMENT OF THE TREASURY will have novel or unusual design response to the prior opportunities for features when modified by installing the comment. Hoh Aeronautics, Inc. (Hoh) complex Office of Thrift Supervision Comments Invited autopilot/stabilization augmentation 12 CFR Part 563e system (AP/SAS) that has potential While we did not precede this with a failure conditions with more severe notice of proposed special conditions, Community Reinvestment adverse consequences than those we invite interested people to take part envisioned by the existing applicable in this action by sending written CFR Correction airworthiness regulations. These special comments, data, or views. The most conditions contain the added safety helpful comments reference a specific In Title 12 of the Code of Federal standards the Administrator considers portion of the special conditions, Regulations, Parts 500 to 599, revised as necessary to ensure the failures and explain the reason for any of January 1, 2011, on page 278, in their effects are sufficiently analyzed recommended change, and include § 563e.12, the heading of paragraph (u) and contained. supporting data. and paragraph (u)(1) are corrected to DATES: The effective date of these We will file in the special conditions read as follows: special conditions is March 31, 2011. docket all comments we receive, as well as a report summarizing each § 563e.12 Definitions. We must receive your comments by June 13, 2011. substantive public contact with FAA * * * * * ADDRESSES: You may send your personnel about these special (u) Small savings association—(1) comments by e-mail to: conditions. You can inspect the docket Definition. Small savings association [email protected]; by mail to: before and after the comment closing means a savings association that, as of Federal Aviation Administration, date. If you wish to review the docket December 31 of either of the prior two Rotorcraft Directorate, Attn: John in person, go to the address in the calendar years, had assets of less than VanHoudt (ASW–111), Special ADDRESSES section of this document $1.122 billion. Intermediate small Conditions Docket No. SW026, 2601 between 8:30 a.m. and 4 p.m., Monday savings association means a small Meacham Blvd., Fort Worth, Texas through Friday, except Federal holidays. savings association with assets of at 76137; or by delivering your comments We will consider all comments we least $280 million as of December 31 of to the Rotorcraft Directorate at the receive by the closing date for both of the prior two calendar years and indicated address. You must mark your comments. We will consider comments filed late if it is possible to do so less than $1.122 billion as of December comments: Docket No. SW026. You can without incurring expense or delay. We 31 of either of the prior two calendar inspect comments in the special conditions docket on weekdays, except may change these special conditions years. based on the comments we receive. * * * * * Federal holidays, between 8:30 a.m. and 4 p.m., in the Rotorcraft Directorate. If you want us to let you know we [FR Doc. 2011–8795 Filed 4–12–11; 8:45 am] received your mailed comments on FOR FURTHER INFORMATION CONTACT: John BILLING CODE 1505–01–D these special conditions, send us a pre- VanHoudt, Aviation Safety Engineer, addressed, stamped postcard on which FAA, Rotorcraft Directorate, Regulations the docket number appears. We will and Policy Group (ASW–111), 2601 stamp the date on the postcard and mail Meacham Blvd., Fort Worth, Texas it back to you. 76137; telephone (817) 222–5167; facsimile (817) 222–5961; or e-mail to Background [email protected]. On February 5, 2010, Hoh submitted SUPPLEMENTARY INFORMATION: an application to the FAA’s Los Angeles

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Aircraft Certification Office (LA ACO) AS350B series, AS350D, and EC130 Conclusion for a supplemental type certificate (STC) helicopter, Type Certificate Number This action affects only certain novel to install an AP/SAS on the Eurocopter H9EU. This AP/SAS performs non- or unusual design features for a Hoh model AS350B, AS350BA, AS350B1, critical control functions, since this AP/SAS STC installed on the specified AS350B2, AS350B3 (AS350B series), model helicopter has been certificated model series of helicopters. It is not a AS350D, and EC130 helicopters. The to meet the applicable requirements rule of general applicability and affects Eurocopter model AS350B series, independent of this system. However, only the applicant who applied to the AS350D, and EC130 helicopters are 14 the possible failure conditions for this FAA for approval of these features on CFR part 27 Normal category, single system, and their effect on the the model helicopters listed in the turbine engine, conventional helicopters continued safe flight and landing of the ‘‘Applicability’’ section. designed for civil operation. These helicopters, are more severe than those helicopter models are capable of envisioned by the present rules. List of Subjects in 14 CFR Part 27 carrying up to six passengers with one Aircraft, Aviation safety. pilot, and have a maximum gross weight Discussion The authority citation for these of approximately 5,290 pounds, The effect on safety is not adequately special conditions is as follows: depending on the model configuration. covered under § 27.1309 for the The major design features include a 3- application of new technology and new Authority: 42 U.S.C. 7572, 49 U.S.C. blade, fully articulated main rotor, an application of standard technology. 106(g), 40105, 40113, 44701–44702, 44704, 44709, 44711, 44713, 44715, 45303. anti-torque tail rotor system, a skid Specifically, the present provisions of landing gear, and a visual flight rule § 27.1309(c) do not adequately address The Special Conditions (VFR) basic avionics configuration. Hoh the safety requirements for systems Accordingly, pursuant to the proposes to modify these model whose failures could result in authority delegated to me by the helicopters by installing a two-axis catastrophic or hazardous/severe-major Administrator, the following special AP/SAS. failure conditions, or for complex conditions are issued as part of the Hoh Type Certification Basis systems whose failures could result in Aeronautics, Inc. (Hoh) supplemental major failure conditions. Under 14 CFR 21.115, Hoh must show type certificate basis for the installation To comply with the provisions of the that the Eurocopter model AS350B of an autopilot/stabilization special conditions, we require that Hoh series, AS350D, and EC130 helicopters, augmentation system (AP/SAS) on the provide the FAA with a systems safety as modified by the installed AP/SAS, Eurocopter model AS350B, AS350BA, assessment (SSA) for the final AP/SAS continue to meet the 14 CFR 21.101 AS350B1, AS350B2, AS350B3 (AS350B installation configuration that will standards. The baseline of the series), AS350D, and EC130 helicopters, adequately address the safety objectives certification basis for the unmodified Type Certificate Number H9EU. established by a functional hazard Eurocopter model AS350B series, The AP/SAS must be designed and assessment (FHA) and a preliminary AS350D, and EC130 helicopters is listed installed so that the failure conditions system safety assessment (PSSA), in Type Certificate Number H9EU. identified in the functional hazard including the fault tree analysis (FTA). Additionally, compliance must be assessment (FHA) and verified by the This will ensure that all failure shown to any applicable equivalent system safety assessment (SSA), after conditions and their resulting effects are level of safety findings, exemptions, and design completion, are adequately adequately addressed for the installed special conditions, prescribed by the addressed in accordance with the AP/SAS. The SSA process, FHA, PSSA, Administrator as part of the certification ‘‘failure condition categories’’ and and FTA are all parts of the overall basis. ‘‘requirements’’ sections (including the safety assessment (SA) process If the Administrator finds the system design integrity, system design discussed in FAA Advisory Circular applicable airworthiness regulations environmental, and test and analysis (AC) 27–1B (Certification of Normal (that is, 14 CFR part 27), as they pertain requirements) of these special Category Rotorcraft) and Society of to this STC, do not contain adequate or conditions. Automotive Engineers (SAE) document appropriate safety standards for the Aerospace Recommended Practice I. Failure Condition Categories Eurocopter model AS350B series, (ARP) 4761 (Guidelines and Methods for AS350D, and EC130 helicopters because Failure conditions are classified, Conducting the Safety Assessment of a novel or unusual design feature, according to the severity of their effects Process on civil airborne Systems and special conditions are prescribed under on the rotorcraft, into one of the Equipment). § 21.101(d). following categories: In addition to the applicable These special conditions require that 1. No Effect—Failure conditions that airworthiness regulations and special the AP/SAS installed on a Eurocopter would have no effect on safety; for conditions, Hoh must show compliance model AS350B series, AS350D, or example, failure conditions that would of the AP/SAS STC-altered Eurocopter EC130 helicopter meet the requirements not affect the operational capability of model AS350B series, AS350D, and to adequately address the failure effects the rotorcraft or increase crew workload; EC130 helicopters with the noise identified by the FHA, and subsequently however, could result in an certification requirements of 14 CFR verified by the SSA, within the defined inconvenience to the occupants, part 36. design integrity requirements. excluding the flight crew. 2. Minor—Failure conditions which The FAA issues special conditions, as Applicability defined in § 11.19, under § 11.38 and would not significantly reduce rotorcraft they become part of the type These special conditions are safety, and which would involve crew certification basis under § 21.101. applicable to the Hoh AP/SAS installed actions that are well within their as an STC approval, in Eurocopter capabilities. Minor failure conditions Novel or Unusual Design Features model AS350B, AS350BA, AS350B1, would include, for example, a slight The Hoh AP/SAS incorporates novel AS350B2, AS350B3, AS350D, and reduction in safety margins or or unusual design features, for EC130 helicopters, Type Certificate functional capabilities, a slight increase installation in a Eurocopter model Number H9EU. in crew workload, such as, routine flight

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plan changes, or result in some physical fault tree analysis (FTA). This will show must be developed to the RTCA/DO– discomfort to occupants. that all failure conditions and their 178B (Software Considerations in 3. Major—Failure conditions which resulting effects are adequately Airborne Systems And Equipment would reduce the capability of the addressed for the installed AP/SAS. Certification) Level B software rotorcraft or the ability of the crew to assurance level. Note 2: The SSA process, FHA, PSSA, and • cope with adverse operating conditions FTA are all parts of the overall safety ‘‘Catastrophic’’—For systems with to the extent that there would be, for assessment (SA) process discussed in FAA ‘‘catastrophic’’ failure conditions, example, a significant reduction in Advisory Circular (AC) 27–1B (Certification failures resulting in these catastrophic safety margins or functional capabilities, of Normal Category Rotorcraft) and Society of effects must be shown to be extremely a significant increase in crew workload Automotive Engineers (SAE) document improbable, a probability of occurrence ¥ or result in impairing crew efficiency, Aerospace Recommended Practice (ARP) on the order of 1 × 10 9 failures/hour 4761 (Guidelines and Methods for physical distress to occupants, or less, and associated software must be Conducting the Safety Assessment Process on developed to the RTCA/DO–178B including injuries, or physical civil airborne Systems and Equipment). discomfort to the flight crew. (Software Considerations in Airborne 4. Hazardous/Severe-Major—Failure II. Requirements Systems And Equipment Certification) conditions which would reduce the Level A design assurance level. Hoh must comply with the existing capability of the rotorcraft or the ability requirements of § 27.1309 for all System Design Environmental of the crew to cope with adverse applicable design and operational Requirements operating conditions to the extent that aspects of the AP/SAS with the failure there would be: The AP/SAS system equipment must condition categories of ‘‘no effect,’’ and • A large reduction in safety margins be qualified to the appropriate ‘‘minor,’’ and for non-complex systems or functional capabilities; environmental level per RTCA whose failure condition category is document DO–160F (Environmental • Physical distress or excessive classified as ‘‘major.’’ Hoh must comply Conditions and Test Procedures for workload that would impair the flight with the requirements of these special Airborne Equipment), for all relevant crew’s ability to the extent that they conditions for all applicable design and aspects. This is to show that the AP/ could not be relied on to perform their operational aspects of the AP/SAS with SAS system performs its intended tasks accurately or completely; or the failure condition categories of function under any foreseeable • Possible serious or fatal injury to a ‘‘catastrophic’’ and ‘‘hazardous severe/ operating condition, which includes the passenger or a cabin crewmember, major,’’ and for complex systems whose expected environment in which the AP/ excluding the flight crew. failure condition category is classified SAS is intended to operate. Some of the Note 1: ‘‘Hazardous/severe-major’’ failure as ‘‘major.’’ A complex system is a main considerations for environmental conditions can include events that are system whose operations, failure concerns are installation locations and manageable by the crew by the use of proper conditions, or failure effects are difficult the resulting exposure to environmental procedures, which, if not implemented conditions for the AP/SAS system correctly or in a timely manner, may result to comprehend without the aid of in a catastrophic event. analytical methods (for example, FTA, equipment, including considerations for Failure Modes and Effect Analysis, other equipment that may be affected 5. Catastrophic—Failure conditions FHA). environmentally by the AP/SAS which would result in multiple fatalities equipment installation. The level of to occupants, fatalities or incapacitation System Design Integrity Requirements environmental qualification must be to the flight crew, or result in loss of the Each of the failure condition related to the severity of the considered rotorcraft. categories defined in these special failure conditions and effects on the The present §§ 27.1309 (b) and (c) conditions relate to the corresponding rotorcraft. regulations do not adequately address aircraft system integrity requirements. Test and Analysis Requirements the safety requirements for systems The system design integrity whose failures could result in requirements, for the Hoh AP/SAS, as Compliance with the requirements of ‘‘catastrophic’’ or ‘‘hazardous/severe- they relate to the allowed probability of these special conditions may be shown major’’ failure conditions, or for occurrence for each failure condition by a variety of methods, which typically complex systems whose failures could category, and the proposed software consist of analysis, flight tests, ground result in ‘‘major’’ failure conditions. The design assurance level, are as follows: tests, and simulation, as a minimum. current regulations are inadequate • ‘‘Major’’—For systems with ‘‘major’’ Compliance methodology is related to because when §§ 27.1309(b) and (c) failure conditions, failures resulting in the associated failure condition were promulgated, it was not these major effects must be shown to be category. If the AP/SAS is a complex envisioned that this type of rotorcraft remote, a probability of occurrence on system, compliance with the would use systems that are complex or the order of between 1 × 10¥5 to 1 × requirements for failure conditions whose failure could result in 10¥7 failures/hour, and associated classified as ‘‘major’’ may be shown by ‘‘catastrophic’’ or ‘‘hazardous/severe- software must be developed to the analysis, in combination with major’’ effects on the rotorcraft. This is RTCA/DO–178B (Software appropriate testing to validate the particularly true with the application of Considerations in Airborne Systems analysis. Compliance with the new technology, new application of And Equipment Certification) Level C requirements for failure conditions standard technology, or other software design assurance level. classified as ‘‘hazardous/severe-major’’ applications not envisioned by the rule • ‘‘Hazardous/Severe-Major’’—For may be shown by flight-testing in that affect safety. systems with ‘‘hazardous/severe-major’’ combination with analysis and Hoh must provide the FAA with a failure conditions, failures resulting in simulation, and the appropriate testing SSA for the final AP/SAS installation these hazardous/severe-major effects to validate the analysis. Flight tests may configuration that will adequately must be shown to be extremely remote, be limited for ‘‘hazardous/severe-major’’ address the safety objectives established a probability of occurrence on the order failure conditions and effects due to by the FHA and the preliminary system of between 1 × 10¥7 to 1 × 10¥9 safety considerations. Compliance with safety assessment (PSSA), including the failures/hour, and associated software the requirements for failure conditions

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classified as ‘‘catastrophic’’ may be the Fokker 50 and Fokker 60 type design, in this as ‘‘the MCAI’’), to correct an unsafe shown by analysis, and appropriate response to these regulations, revealed that condition for the specified products. testing in combination with simulation the clearance between parts of the main The MCAI states: to validate the analysis. Very limited landing gear (MLG) and the fuel pipes may be insufficient. * * * [T]he Federal Aviation flight tests in combination with This condition, if not detected and Administration (FAA) has published Special simulation are used as a part of a corrected, could lead to chafing, possibly Federal Aviation Regulation (SFAR) 88, and showing of compliance for resulting in fuel leakage and, in combination the Joint Aviation Authorities (JAA) has ‘‘catastrophic’’ failure conditions. Flight with other factors, a fuel fire. published Interim Policy INT/POL/25/12. The review conducted by Fokker Services on tests are performed only in This AD requires actions that are circumstances that use operational the Fokker 50 and Fokker 60 type design, in intended to address the unsafe response to these regulations, revealed that variations, or extrapolations from other condition described in the MCAI. the clearance between parts of the main flight performance aspects to address DATES: This AD becomes effective April landing gear (MLG) and the fuel pipes may flight safety. be insufficient. These special conditions require that 28, 2011. The Director of the Federal Register This condition, if not detected and the Hoh AP/SAS system installed on a corrected, could lead to chafing, possibly approved the incorporation by reference Eurocopter model AS350B, AS350BA, resulting in fuel leakage and, in combination of certain publications listed in the AD AS350B1, AS350B2, AS350B3, AS350D, with other factors, a fuel fire. as of April 28, 2011. EASA issued AD 2010–0182 to require and EC130 helicopter, Type Certificate We must receive comments on this Number H9EU, meet these requirements actions to ensure that a minimum clearance AD by May 31, 2011. is maintained between the parts of the MLG to adequately address the failure effects ADDRESSES: You may send comments by and the fuel pipes in both nacelles. identified by the FHA, and subsequently Since that AD was issued, it was verified by the SSA, within the defined any of the following methods: • Federal eRulemaking Portal: Go to discovered that aeroplane serial numbers design system integrity requirements. http://www.regulations.gov. Follow the 20133 through 20142 were erroneously Issued in Fort Worth, Texas, on March 31, omitted in the original Fokker Service instructions for submitting comments. Bulletins (SB) and consequently the AD did 2011. • Fax: 202–493–2251. • not apply to those aeroplanes. The two SB’s Scott A. Horn, Mail: U.S. Department of (some typographical errors in part numbers Acting Manager, Rotorcraft Directorate, Transportation, Docket Operations, M– were also found) have now been revised to Aircraft Certification Service. 30, West Building Ground Floor, Room correct this omission. [FR Doc. 2011–8294 Filed 4–12–11; 8:45 am] W12–140, 1200 New Jersey Avenue, SE., For the reasons described above, this new BILLING CODE 4910–13–P Washington, DC 20590. AD retains the requirements of AD 2010– • Hand Delivery: U.S. Department of 0182, which is superseded, and expands the Transportation, Docket Operations, M– Applicability to add the 10 missing serial DEPARTMENT OF TRANSPORTATION 30, West Building Ground Floor, Room numbers. W12–40, 1200 New Jersey Avenue, SE., The required actions include an Federal Aviation Administration Washington, DC, between 9 a.m. and 5 inspection to determine fuel pipe part p.m., Monday through Friday, except numbers, a general visual inspection to 14 CFR Part 39 Federal holidays. determine the clearance between certain fuel pipes and parts of the main landing [Docket No. FAA–2011–0262; Directorate Examining the AD Docket Identifier 2010–NM–215–AD; Amendment gear, and replacement of certain pipes 39–16649; AD 2011–07–12] You may examine the AD docket on with insufficient main landing gear the Internet at http:// clearance. The required actions also RIN 2120–AA64 www.regulations.gov; or in person at the include revising the maintenance Docket Operations office between 9 a.m. program to incorporate a fuel limitation Airworthiness Directives; Fokker and 5 p.m., Monday through Friday, and a critical design configuration Services B.V. Model F.27 Mark 050 except Federal holidays. The AD docket control limitation (CDCCL). You may Airplanes contains this AD, the regulatory obtain further information by examining AGENCY: Federal Aviation evaluation, any comments received, and the MCAI in the AD docket. Administration (FAA), Department of other information. The street address for The FAA has examined the Transportation (DOT). the Docket Operations office (phone: underlying safety issues involved in fuel 800–647–5527) is in the ADDRESSES tank explosions on several large ACTION: Final rule; request for section. Comments will be available in transport airplanes, including the comments. the AD docket shortly after receipt. adequacy of existing regulations, the SUMMARY: We are adopting a new FOR FURTHER INFORMATION CONTACT: Tom service history of airplanes subject to airworthiness directive (AD) for the Rodriguez, Aerospace Engineer, those regulations, and existing products listed above. This AD results International Branch, ANM–116, maintenance practices for fuel tank from mandatory continuing Transport Airplane Directorate, FAA, systems. As a result of those findings, airworthiness information (MCAI) 1601 Lind Avenue, SW., Renton, we issued a regulation titled ‘‘Transport originated by an aviation authority of Washington 98057–3356; phone: 425– Airplane Fuel Tank System Design another country to identify and correct 227–1137; fax: 425–227–1149. Review, Flammability Reduction and an unsafe condition on an aviation SUPPLEMENTARY INFORMATION: Maintenance and Inspection product. The MCAI describes the unsafe Requirements’’ (66 FR 23086, May 7, Discussion condition as: 2001). In addition to new airworthiness The European Aviation Safety Agency standards for transport airplanes and * * * [T]he Federal Aviation Administration (FAA) has published Special (EASA), which is the Technical Agent new maintenance requirements, this Federal Aviation Regulation (SFAR) 88, and for the Member States of the European rule included Special Federal Aviation the Joint Aviation Authorities (JAA) has Community, has issued EASA Regulation No. 88 (‘‘SFAR 88,’’ published Interim Policy INT/POL/25/12. Airworthiness Directive 2010–0197, Amendment 21–78, and subsequent The review conducted by Fokker Services on dated October 1, 2010 (referred to after Amendments 21–82 and 21–83).

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Among other actions, SFAR 88 unsafe condition identified in the received by the closing date and may requires certain type design (i.e., type MCAI. amend this AD because of those certificate (TC) and supplemental type comments. FAA’s Determination and Requirements certificate (STC)) holders to substantiate We will post all comments we of This AD that their fuel tank systems can prevent receive, without change, to http:// ignition sources in the fuel tanks. This This product has been approved by www.regulations.gov, including any requirement applies to type design the aviation authority of another personal information you provide. We holders for large turbine-powered country, and is approved for operation will also post a report summarizing each transport airplanes and for subsequent in the United States. Pursuant to our substantive verbal contact we receive modifications to those airplanes. It bilateral agreement with the State of about this AD. Design Authority, we have been notified requires them to perform design reviews Authority for This Rulemaking and to develop design changes and of the unsafe condition described in the maintenance procedures if their designs MCAI and service information Title 49 of the United States Code do not meet the new fuel tank safety referenced above. We are issuing this specifies the FAA’s authority to issue standards. As explained in the preamble AD because we evaluated all pertinent rules on aviation safety. Subtitle I, to the rule, we intended to adopt information and determined the unsafe section 106, describes the authority of airworthiness directives to mandate any condition exists and is likely to exist or the FAA Administrator. ‘‘Subtitle VII: ’’ changes found necessary to address develop on other products of the same Aviation Programs, describes in more unsafe conditions identified as a result type design. detail the scope of the Agency’s of these reviews. There are no products of this type authority. We are issuing this rulemaking under In evaluating these design reviews, we currently registered in the United States. However, this rule is necessary to the authority described in ‘‘Subtitle VII, have established four criteria intended Part A, Subpart III, Section 44701: to define the unsafe conditions ensure that the described unsafe condition is addressed if any of these General requirements.’’ Under that associated with fuel tank systems that section, Congress charges the FAA with require corrective actions. The products are placed on the U.S. Register in the future. promoting safe flight of civil aircraft in percentage of operating time during air commerce by prescribing regulations which fuel tanks are exposed to Differences Between the AD and the for practices, methods, and procedures flammable conditions is one of these MCAI or Service Information the Administrator finds necessary for criteria. The other three criteria address We have reviewed the MCAI and safety in air commerce. This regulation the failure types under evaluation: related service information and, in is within the scope of that authority single failures, single failures in general, agree with their substance. But because it addresses an unsafe condition combination with a latent condition(s), we might have found it necessary to use that is likely to exist or develop on and in-service failure experience. For all different words from those in the MCAI products identified in this rulemaking four criteria, the evaluations included to ensure the AD is clear for U.S. action. consideration of previous actions taken operators and is enforceable. In making that may mitigate the need for further Regulatory Findings these changes, we do not intend to differ action. substantively from the information We determined that this AD will not The Joint Aviation Authorities (JAA) provided in the MCAI and related have federalism implications under Executive Order 13132. This AD will has issued a regulation that is similar to service information. SFAR 88. (The JAA is an associated We might also have required different not have a substantial direct effect on body of the European Civil Aviation actions in this AD from those in the the States, on the relationship between Conference (ECAC) representing the MCAI in order to follow FAA policies. the national government and the States, civil aviation regulatory authorities of a Any such differences are highlighted in or on the distribution of power and number of European States who have a NOTE within the AD. responsibilities among the various agreed to co-operate in developing and levels of government. implementing common safety regulatory FAA’s Determination of the Effective For the reasons discussed above, I standards and procedures.) Under this Date certify this AD: 1. Is not a ‘‘significant regulatory regulation, the JAA stated that all Since there are currently no domestic action’’ under Executive Order 12866; members of the ECAC that hold type operators of this product, notice and certificates for transport category 2. Is not a ‘‘significant rule’’ under the opportunity for public comment before DOT Regulatory Policies and Procedures airplanes are required to conduct a issuing this AD are unnecessary. design review against explosion risks. (44 FR 11034, February 26, 1979); and 3. Will not have a significant We have determined that the actions Comments Invited economic impact, positive or negative, identified in this AD are necessary to This AD is a final rule that involves on a substantial number of small entities reduce the potential of ignition sources requirements affecting flight safety, and under the criteria of the Regulatory inside fuel tanks, which, in combination we did not precede it by notice and Flexibility Act. with flammable fuel vapors, could result opportunity for public comment. We We prepared a regulatory evaluation in fuel tank explosions and consequent invite you to send any written relevant of the estimated costs to comply with loss of the airplane. data, views, or arguments about this AD. this AD and placed it in the AD docket. Send your comments to an address Relevant Service Information listed under the ADDRESSES section. List of Subjects in 14 CFR Part 39 Fokker Services B.V. has issued Include ‘‘Docket No. FAA–2011–0262; Air transportation, Aircraft, Aviation Service Bulletin SBF50–28–028, Directorate Identifier 2010–NM–215– safety, Incorporation by reference, Revision 1, dated September 15, 2010; AD’’ at the beginning of your comments. Safety. and Service Bulletin SBF50–28–031, We specifically invite comments on the Revision 1, dated September 15, 2010. overall regulatory, economic, Adoption of the Amendment The actions described in this service environmental, and energy aspects of Accordingly, under the authority information are intended to correct the this AD. We will consider all comments delegated to me by the Administrator,

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the FAA amends 14 CFR part 39 as Compliance alternative actions (e.g., inspection, interval) follows: (f) You are responsible for having the and/or CDCCLs may be used unless the actions required by this AD performed within actions, intervals, and/or CDCCLs are PART 39—AIRWORTHINESS the compliance times specified, unless the approved as an AMOC in accordance with DIRECTIVES actions have already been done. the procedures specified in paragraph (n) of this AD. Inspection ■ Credit for Actions Accomplished in 1. The authority citation for part 39 (g) Within 6 months after the effective date continues to read as follows: Accordance With Previous Service of this AD: Inspect the part numbers of each Information Authority: 49 U.S.C. 106(g), 40113, 44701. fuel pipe (two in each nacelle), in accordance with Part 1 of the Accomplishment (m) Actions accomplished prior to the § 39.13 [Amended] Instructions of Fokker Service Bulletin effective date of this AD, in accordance with SBF50–28–028, Revision 1, dated September Fokker Service Bulletin SBF50–28–028, ■ 2. The FAA amends § 39.13 by adding 15, 2010. dated May 20, 2010; or Service Bulletin the following new AD: (h) If, as a result of the inspection required SBF50–28–031, dated May 20, 2010; as by paragraph (g) of this AD, fuel pipe part applicable; are acceptable to comply with the 2011–07–12 Fokker Services B.V.: corresponding requirements of this AD. Amendment 39–16649. Docket No. numbers other than those specified in Part 1 of the Accomplishment Instructions of FAA–2011–0262; Directorate Identifier FAA AD Differences Fokker Service Bulletin SBF50–28–028, 2010–NM–215–AD. Revision 1, dated September 15, 2010, are Note 2: This AD differs from the MCAI Effective Date found to be installed: Before further flight, do and/or service information as follows: a general visual inspection to determine the Although EASA Airworthiness Directive (a) This airworthiness directive (AD) 2010–0197, dated October 1, 2010, specifies becomes effective April 28, 2011. clearance between the fuel pipes and the parts of the main landing gear, and for both revising the maintenance program to Affected ADs chafing marks, in accordance with Part 2 of include airworthiness limitations, and doing certain repetitive actions (e.g., inspections) (b) None. the Accomplishment Instructions of Fokker Service Bulletin SBF50–28–028, Revision 1, and/or maintaining CDCCLs, this AD only Applicability dated September 15, 2010. requires the revision. Requiring a revision of the maintenance program, rather than (c) This AD applies to Fokker Services B.V. Fuel Pipe Replacement requiring individual repetitive actions and/or Model F.27 Mark 050 airplanes; certificated maintaining CDCCLs, requires operators to in any category; serial numbers 20133 (i) If, during the inspection required by paragraph (h) of this AD, the measured record AD compliance only at the time the through 20335 inclusive; except those with revision is made. Repetitive actions and/or inboard fuel tanks installed. clearance is less than or equal to 3.0 mm and greater than 1.5 mm for one or more fuel maintaining CDCCLs specified in the Note 1: This AD requires revisions to pipes, and no chafing marks are found: airworthiness limitations must be complied certain operator maintenance documents to Within 24 months after the effective date of with in accordance with 14 CFR 91.403(c). include new actions (e.g., inspections) and/ this AD, install new fuel pipes in both engine Other FAA AD Provisions or critical design configuration control nacelles, in accordance with the limitations (CDCCLs). Compliance with these Accomplishment Instructions of Fokker (n) The following provisions also apply to actions and/or CDCCLs is required by 14 CFR Service Bulletin SBF50–28–031, Revision 1, this AD: 91.403(c). For airplanes that have been dated September 15, 2010. (1) Alternative Methods of Compliance previously modified, altered, or repaired in (j) If, during the inspection required by (AMOCs): The Manager, International the areas addressed by this AD, the operator paragraph (h) of this AD, the measured Branch, ANM–116, Transport Airplane may not be able to accomplish the actions clearance is less than or equal to 1.5 mm for Directorate, FAA, has the authority to described in the revisions. In this situation, one or more fuel pipes, or chafing marks are approve AMOCs for this AD, if requested to comply with 14 CFR 91.403(c), the found on one or more fuel pipes: Before using the procedures found in 14 CFR 39.19. operator must request approval of an further flight, install new fuel pipes in both Send information to ATTN: Tom Rodriguez, alternative method of compliance (AMOC) engine nacelles, in accordance with the Aerospace Engineer, International Branch, according to paragraph (n) of this AD. The Accomplishment Instructions of Fokker’s ANM–116, Transport Airplane Directorate, request should include a description of Service Bulletin SBF50–28–031, Revision 1, FAA 1601 Lind Avenue, SW., Renton, changes to the required actions that will dated September 15, 2010. Washington 98057–3356; phone: 425–227– ensure the continued operational safety of 1137; fax: 425–227–1149. Information may be the airplane. Maintenance Program Revision To Add Fuel e-mailed to: 9-ANM-116-AMOC- Airworthiness Limitation [email protected]. Before using any Subject (k) Within 6 months after the effective date approved AMOC, notify your appropriate (d) Air Transport Association (ATA) of of this AD, revise the airplane maintenance principal inspector, or lacking a principal America Code 28: Fuel. program by incorporating the limitations inspector, the manager of the local flight Reason specified in paragraphs (k)(1) and (k)(2) of standards district office/certificate holding this AD. district office. (e) The mandatory continued airworthiness (1) The CDCCL specified in paragraph (2) Airworthy Product: For any information (MCAI) states: 1.L.(1)(c) of Fokker Service Bulletin SBF50– requirement in this AD to obtain corrective * * * [T]he Federal Aviation 28–031, Revision 1, dated September 15, actions from a manufacturer or other source, Administration (FAA) has published Special 2010. use these actions if they are FAA-approved. Federal Aviation Regulation (SFAR) 88, and (2) The fuel airworthiness limitation Corrective actions are considered FAA- the Joint Aviation Authorities (JAA) has specified in paragraph 1.L.(1)(c) of Fokker approved if they are approved by the State published Interim Policy INT/POL/25/12. Service Bulletin SBF50–28–028, Revision 1, of Design Authority (or their delegated The review conducted by Fokker Services on dated September 15, 2010. The initial agent). You are required to assure the product the Fokker 50 and Fokker 60 type design, in compliance time for doing the inspection is is airworthy before it is returned to service. response to these regulations, revealed that within 4,800 flight hours after doing the Related Information the clearance between parts of the main inspection required by paragraph (h) of this landing gear (MLG) and the fuel pipes may AD. (o) Refer to MCAI European Aviation be insufficient. Safety Agency (EASA) Airworthiness This condition, if not detected and No Alternative Actions, Intervals, and/or Directive 2010–0197, dated October 01, 2010; corrected, could lead to chafing, possibly CDCCLs Fokker Service Bulletin SBF50–28–028, resulting in fuel leakage and, in combination (l) After accomplishing the revision Revision 1, dated September 15, 2010; and with other factors, a fuel fire. required by paragraph (k) of this AD, no Fokker Service Bulletin SBF50–28–031,

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Revision 1, dated September 15, 2010; for another country to identify and correct Discussion related information. an unsafe condition on an aviation The European Aviation Safety Agency Material Incorporated by Reference product. The MCAI describes the unsafe condition as: (EASA), which is the Technical Agent (p) You must use Fokker Service Bulletin for the Member States of the European SBF50–28–028, Revision 1, dated September An operator has reported cracks on the aft Community, has issued EASA 15, 2010; and Fokker Service Bulletin hinge FWD [forward] fittings of the NLG Airworthiness Directive 2010–0028, SBF50–28–031, Revision 1, dated September [nose landing gear] aft doors (Right Hand dated February 23, 2010 (referred to 15, 2010; as applicable; to do the actions (RH) side or Left Hand (LH) side). The cracks required by this AD, unless the AD specifies extended by approximately 15 millimetres after this as ‘‘the MCAI’’), to correct an otherwise. from the upper hole to the edge of the unsafe condition for the specified (1) The Director of the Federal Register fittings. products. The MCAI states: approved the incorporation by reference of * * * Cracks on the NLG aft door fittings, An operator has reported cracks on the aft this service information under 5 U.S.C. if not corrected, could lead to the loss in hinge FWD [forward] fittings of the NLG 552(a) and 1 CFR part 51. flight of the door, possibly resulting in injury [nose landing gear] aft doors (Right Hand (2) For service information identified in to persons on the ground or aeroplane (RH) side or Left Hand (LH) side). The crack this AD, contact Fokker Services B.V., damages. extended by approximately 15 millimetres Technical Services Dept., P.O. Box 231, 2150 * * * * * from the upper hole to the edge of the AE Nieuw-Vennep, the Netherlands; phone: This AD requires actions that are fittings. +31 (0)252–627–350; fax: +31 (0)252–627– intended to address the unsafe Investigation has revealed that these cracks 211; e-mail: condition described in the MCAI. have initiated due to fatigue loads and [email protected]; propagated under bending load. Cracks on DATES: Internet: http://www.myfokkerfleet.com. This AD becomes effective April the NLG aft door fittings, if not corrected, (3) You may review copies of the service 28, 2011. could lead to the loss in flight of the door, information at the FAA, Transport Airplane The Director of the Federal Register possibly resulting in injury to persons on the Directorate, 1601 Lind Avenue, SW., Renton, approved the incorporation by reference ground or aeroplane damages. Washington. For information on the of a certain publication listed in the AD Consequently, in order to maintain the availability of this material at the FAA, call as of April 28, 2011. structural integrity of the NLG aft door aft 425–227–1221. We must receive comments on this hinge attachment fittings, this AD requires (4) You may also review copies of the AD by May 31, 2011. repetitive [detailed] inspections [for cracking] service information that is incorporated by ADDRESSES: You may send comments by of the area and fittings replacement in case reference at the National Archives and of finding [including repetitive high Records Administration (NARA). For any of the following methods: • Federal eRulemaking Portal: Go to frequency eddy current inspections or information on the availability of this fluorescent penetrant inspections for material at NARA, call 202–741–6030, or go http://www.regulations.gov. Follow the cracking of the area for certain findings until _ to: http://www.archives.gov/federal register/ instructions for submitting comments. the replacement is done]. code_of_federal_regulations/ • Fax: (202) 493–2251. ibr_locations.html. • Mail: U.S. Department of Required actions also include, for Issued in Renton, Washington, on March Transportation, Docket Operations, M– airplanes on which the forward fitting of 22, 2011. 30, West Building Ground Floor, Room the NLG aft door aft hinge is replaced, Kalene C. Yanamura, W12–140, 1200 New Jersey Avenue, SE., repetitive detailed inspections for Washington, DC 20590. cracking of the replaced fitting; and if Acting Manager, Transport Airplane • Directorate, Aircraft Certification Service. Hand Delivery: U.S. Department of any cracking is found, replacement of both forward and aft fittings by new [FR Doc. 2011–7743 Filed 4–12–11; 8:45 am] Transportation, Docket Operations, M– 30, West Building Ground Floor, Room fittings on the aft hinge of the affected BILLING CODE 4910–13–P W12–40, 1200 New Jersey Avenue, SE., NLG aft door. You may obtain further Washington, DC, between 9 a.m. and 5 information by examining the MCAI in DEPARTMENT OF TRANSPORTATION p.m., Monday through Friday, except the AD docket. Federal holidays. Relevant Service Information Federal Aviation Administration Examining the AD Docket Airbus has issued Mandatory Service 14 CFR Part 39 You may examine the AD docket on Bulletin A340–52–5016, including the Internet at http:// Appendices 01 and 02, Revision 02, [Docket No. FAA–2011–0263; Directorate www.regulations.gov; or in person at the dated August 25, 2010. The actions Identifier 2010–NM–105–AD; Amendment Docket Operations office between 9 a.m. 39–16653; AD 2011–08–03] described in this service information are and 5 p.m., Monday through Friday, intended to correct the unsafe condition RIN 2120–AA64 except Federal holidays. The AD docket identified in the MCAI. contains this AD, the regulatory Airworthiness Directives; Airbus Model evaluation, any comments received, and FAA’s Determination and Requirements A340–541 and –642 Airplanes other information. The street address for of This AD AGENCY: Federal Aviation the Docket Operations office (phone: This product has been approved by Administration (FAA), Department of 800–647–5527) is in the ADDRESSES the aviation authority of another Transportation (DOT). section. Comments will be available in country, and is approved for operation the AD docket shortly after receipt. ACTION: Final rule; request for in the United States. Pursuant to our FOR FURTHER INFORMATION CONTACT: comments. bilateral agreement with the State of Vladimir Ulyanov, Aerospace Engineer, Design Authority, we have been notified SUMMARY: We are adopting a new International Branch, ANM–116, of the unsafe condition described in the airworthiness directive (AD) for the Transport Airplane Directorate, FAA, MCAI and service information products listed above. This AD results 1601 Lind Avenue, SW., Renton, referenced above. We are issuing this from mandatory continuing Washington 98057–3356; telephone: AD because we evaluated all pertinent airworthiness information (MCAI) 425–227–1138; fax: 425–227–1149. information and determined the unsafe originated by an aviation authority of SUPPLEMENTARY INFORMATION: condition exists and is likely to exist or

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develop on other products of the same Aviation Programs,’’ describes in more Effective Date type design. detail the scope of the Agency’s (a) This airworthiness directive (AD) There are no products of this type authority. becomes effective April 28, 2011. currently registered in the United States. We are issuing this rulemaking under Affected ADs However, this rule is necessary to the authority described in ‘‘Subtitle VII, ensure that the described unsafe Part A, Subpart III, Section 44701: (b) None. condition is addressed if any of these General requirements.’’ Under that Applicability products are placed on the U.S. Register section, Congress charges the FAA with (c) This AD applies to Airbus Model A340– in the future. promoting safe flight of civil aircraft in 541 and –642 airplanes; certificated in any air commerce by prescribing regulations category; all serial numbers. Differences Between the AD and the for practices, methods, and procedures MCAI or Service Information Subject the Administrator finds necessary for We have reviewed the MCAI and safety in air commerce. This regulation (d) Air Transport Association (ATA) of America Code 52: Doors. related service information and, in is within the scope of that authority general, agree with their substance. But because it addresses an unsafe condition Reason we might have found it necessary to use that is likely to exist or develop on (e) The mandatory continued airworthiness different words from those in the MCAI products identified in this rulemaking information (MCAI) states: to ensure the AD is clear for U.S. action. An operator has reported cracks on the aft operators and is enforceable. In making hinge FWD [forward] fittings of the NLG these changes, we do not intend to differ Regulatory Findings [nose landing gear] aft doors (Right Hand substantively from the information We determined that this AD will not (RH) side or Left Hand (LH) side). The cracks provided in the MCAI and related have federalism implications under extended by approximately 15 millimetres from the upper hole to the edge of the service information. Executive Order 13132. This AD will fittings. We might also have required different not have a substantial direct effect on * * * Cracks on the NLG aft door fittings, actions in this AD from those in the the States, on the relationship between if not corrected, could lead to the loss in MCAI in order to follow FAA policies. the national government and the States, flight of the door, possibly resulting in injury Any such differences are highlighted in or on the distribution of power and to persons on the ground or aeroplane a NOTE within the AD. responsibilities among the various damages. FAA’s Determination of the Effective levels of government. * * * * * For the reasons discussed above, I Date certify that this AD: Compliance Since there are currently no domestic 1. Is not a ‘‘significant regulatory (f) You are responsible for having the operators of this product, notice and action’’ under Executive Order 12866; actions required by this AD performed within opportunity for public comment before 2. Is not a ‘‘significant rule’’ under the compliance times specified, unless the issuing this AD are unnecessary. DOT Regulatory Policies and Procedures actions have already been done. Comments Invited (44 FR 11034, February 26, 1979); and Inspection 3. Will not have a significant (g) At the applicable time specified in This AD is a final rule that involves economic impact, positive or negative, paragraph (g)(1), (g)(2), or (g)(3) of this AD: requirements affecting flight safety, and on a substantial number of small entities Perform a detailed inspection of the aft hinge we did not precede it by notice and under the criteria of the Regulatory forward attachment fittings of the right and opportunity for public comment. We Flexibility Act. left NLG aft doors, in accordance with the invite you to send any written relevant We prepared a regulatory evaluation Accomplishment Instructions of Airbus data, views, or arguments about this AD. of the estimated costs to comply with Mandatory Service Bulletin A340–52–5016, Send your comments to an address this AD and placed it in the AD docket. Revision 02, dated August 25, 2010. (1) For airplanes having accumulated less listed under the ADDRESSES section. ‘‘ List of Subjects in 14 CFR Part 39 than 1,000 total flight cycles as of the Include Docket No. FAA–2011–0263; effective date of this AD: Prior to the Directorate Identifier 2010–NM–105– Air transportation, Aircraft, Aviation accumulation of 1,000 total flight cycles or AD’’ at the beginning of your comments. safety, Incorporation by reference, within 100 flight cycles after the effective We specifically invite comments on the Safety. date of this AD, whichever occurs later. overall regulatory, economic, (2) For airplanes having accumulated 1,000 Adoption of the Amendment environmental, and energy aspects of or more total flight cycles, but less than 2,500 this AD. We will consider all comments Accordingly, under the authority total flight cycles as of the effective date of received by the closing date and may delegated to me by the Administrator, this AD: Within 100 flight cycles after the amend this AD because of those the FAA amends 14 CFR part 39 as effective date of this AD. follows: (3) For airplanes having accumulated 2,500 comments. or more total flight cycles as of the effective We will post all comments we PART 39—AIRWORTHINESS date of this AD: Within 50 flight cycles after receive, without change, to http:// the effective date of this AD. www.regulations.gov, including any DIRECTIVES personal information you provide. We Repetitive Inspection ■ 1. The authority citation for part 39 will also post a report summarizing each (h) If no cracking is found during the continues to read as follows: substantive verbal contact we receive inspection required by paragraph (g) of this about this AD. Authority: 49 U.S.C. 106(g), 40113, 44701. AD, repeat the detailed inspection specified in paragraph (g) of this AD thereafter at Authority for This Rulemaking § 39.13 [Amended] intervals not to exceed 500 flight cycles. ■ 2. The FAA amends § 39.13 by adding (i) If any cracking is found during any Title 49 of the United States Code inspection required by paragraph (g) or (h) of specifies the FAA’s authority to issue the following new AD: this AD, before further flight, perform a high rules on aviation safety. Subtitle I, 2011–08–03 Airbus: Amendment 39–16653. frequency eddy current (HFEC) inspection for section 106, describes the authority of Docket No. FAA–2011–0263; Directorate cracking of the forward and aft attachment the FAA Administrator. ‘‘Subtitle VII: Identifier 2010–NM–105–AD. fittings of the aft hinge on the affected aft

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NLG door, in accordance with the FAA AD Differences (3) You may review copies of the service Accomplishment Instructions of Airbus information at the FAA, Transport Airplane Note 1: This AD differs from the MCAI Mandatory Service Bulletin A340–52–5016, Directorate, 1601 Lind Avenue, SW., Renton, and/or service information as follows: The Washington. For information on the Revision 02, dated August 25, 2010. MCAI does not specify corrective action if availability of this material at the FAA, call cracking is found during a fluorescent Repair 425–227–1221. penetrant inspection. This AD specifies (j) If an additional crack finding is made (4) You may also review copies of the replacing both forward and aft fittings with service information that is incorporated by during any HFEC inspection required by new fittings on the aft hinge of the affected reference at the National Archives and paragraph (i) of this AD, before further flight, nose landing gear aft door, in accordance Records Administration (NARA). For replace both forward and aft fittings with with the Accomplishment Instructions of information on the availability of this new fittings on the aft hinge of the affected Airbus Mandatory Service Bulletin A340–52– material at NARA, call 202–741–6030, or go NLG aft door, in accordance with the 5016, Revision 02, dated August 25, 2010. Accomplishment Instructions of Airbus to: http://www.archives.gov/federal_register/ _ _ _ Mandatory Service Bulletin A340–52–5016, Other FAA AD Provisions code of federal regulations/ ibr_locations.html. Revision 02, dated August 25, 2010. (n) The following provisions also apply to (k) If no additional crack finding is made this AD: Issued in Renton, Washington, on March during any HFEC inspection required by (1) Alternative Methods of Compliance 25, 2011. paragraph (i) of this AD: Repeat the HFEC (AMOCs): The Manager, International Ali Bahrami, inspection specified in paragraph (i) of this Branch, ANM–116, Transport Airplane Manager, Transport Airplane Directorate, AD thereafter at intervals not to exceed 10 Directorate, FAA, has the authority to Aircraft Certification Service. flight cycles; or perform a fluorescent approve AMOCs for this AD, if requested penetrant inspection for cracking thereafter at using the procedures found in 14 CFR 39.19. [FR Doc. 2011–8278 Filed 4–12–11; 8:45 am] intervals not to exceed 3 flight cycles, in In accordance with 14 CFR 39.19, send your BILLING CODE 4910–13–P accordance with the Accomplishment request to your principal inspector or local Instructions of Airbus Mandatory Service Flight Standards District Office, as Bulletin A340–52–5016, Revision 02, dated appropriate. If sending information directly DEPARTMENT OF TRANSPORTATION August 25, 2010, until the replacement to the International Branch, send it to ATTN: required by paragraph (k)(1) or (k)(2) of this Vladimir Ulyanov, Aerospace Engineer, Federal Aviation Administration AD is done. International Branch, ANM–116, Transport (1) If an additional crack is found during Airplane Directorate, FAA, 1601 Lind 14 CFR Part 39 any inspection required by paragraph (k) of Avenue, SW., Renton, Washington 98057– this AD, before further flight, replace both 3356; telephone: 425–227–1138; fax: 425– [Docket No. FAA–2009–0703; Directorate forward and aft fittings with new fittings on 227–1149. Information may be e-mailed to: 9- Identifier 2009–NM–093–AD; Amendment the aft hinge of the affected NLG aft door, in [email protected]. 39–16654; AD 2011–08–04] accordance with the Accomplishment Before using any approved AMOC, notify your appropriate principal inspector, or Instructions of Airbus Mandatory Service RIN 2120–AA64 Bulletin A340–52–5016, Revision 02, dated lacking a principal inspector, the manager of August 25, 2010. the local flight standards district office/ Airworthiness Directives; Bombardier, certificate holding district office. The AMOC (2) If no additional crack finding is made Inc. Model CL–600–2C10 (Regional Jet during any HFEC inspection required by approval letter must specifically reference this AD. Series 700, 701 & 702) Airplanes, paragraph (i) of this AD, or repetitive HFEC Model CL–600–2D15 (Regional Jet inspection or fluorescent penetrant (2) Airworthy Product: For any inspection required by paragraph (k) of this requirement in this AD to obtain corrective Series 705) Airplanes, and Model CL– AD: Within 20 flight cycles after finding a actions from a manufacturer or other source, 600–2D24 (Regional Jet Series 900) crack during the most recent inspection use these actions if they are FAA-approved. Airplanes Corrective actions are considered FAA- required by paragraph (g) or (h) of this AD, approved if they are approved by the State replace both forward and aft fittings with AGENCY: Federal Aviation of Design Authority (or their delegated new fittings on the aft hinge of the affected Administration (FAA), Department of agent). You are required to assure the product NLG aft door, in accordance with the Transportation (DOT). is airworthy before it is returned to service. Accomplishment Instructions of Airbus ACTION: Final rule. Mandatory Service Bulletin A340–52–5016, Related Information Revision 02, dated August 25, 2010. (o) Refer to MCAI EASA Airworthiness SUMMARY: We are adopting a new (l) For airplanes on which the forward Directive 2010–0028, dated February 23, airworthiness directive (AD) for the fitting of the aft hinge of the NLG aft door is 2010; and Airbus Mandatory Service Bulletin products listed above. This AD results replaced in accordance with paragraph (j) or A340–52–5016, Revision 02, dated August from mandatory continuing (k) of this AD: Prior to the accumulation of 25, 2010; for related information. airworthiness information (MCAI) 1,000 flight cycles on the forward fitting, originated by an aviation authority of perform the detailed inspection required in Material Incorporated by Reference paragraph (g) of this AD, and thereafter the (p) You must use Airbus Mandatory another country to identify and correct applicable repetitive inspection required in Service Bulletin A340–52–5016, excluding an unsafe condition on an aviation paragraph (h) of this AD, and apply the Appendix 01 and including Appendix 02, product. The MCAI describes the unsafe applicable actions required in paragraphs (i), Revision 02, dated August 25, 2010, to do the condition as: (j), and (k) of this AD. actions required by this AD, unless the AD There have been four reports of loose or specifies otherwise. Credit for Actions Accomplished in detached main landing gear torque link apex (1) The Director of the Federal Register pin locking plate and the locking plate Accordance With Previous Service approved the incorporation by reference of Information retainer bolt. This condition could result in this service information under 5 U.S.C. torque link apex pin disengagement, heavy (m) Inspections accomplished before the 552(a) and 1 CFR part 51. vibration during landing, damage to main effective date of this AD according to Airbus (2) For service information identified in landing gear components and subsequent Mandatory Service Bulletin A340–52–5016, this AD, contact Airbus SAS—Airworthiness main landing gear collapse. dated February 1, 2010; or Airbus Mandatory Office—EAL, 1 Rond Point Maurice Bellonte, Service Bulletin A340–52–5016, Revision 01, 31707 Blagnac Cedex, France; telephone: +33 * * * * * dated March 30, 2010; are considered 5 61 93 36 96; fax: +33 5 61 93 45 80; e-mail: We are issuing this AD to require acceptable for compliance with the [email protected]; actions to correct the unsafe condition corresponding action specified in this AD. Internet: http://www.airbus.com. on these products.

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DATES: This AD becomes effective May public interest require adopting the AD For the reasons discussed above, I 18, 2011. as proposed in the supplemental NPRM. certify this AD: The Director of the Federal Register 1. Is not a ‘‘significant regulatory Differences Between This AD and the approved the incorporation by reference action’’ under Executive Order 12866; MCAI or Service Information of a certain publication listed in this AD 2. Is not a ‘‘significant rule’’ under the as of May 18, 2011. We have reviewed the MCAI and DOT Regulatory Policies and Procedures ADDRESSES: You may examine the AD related service information and, in (44 FR 11034, February 26, 1979); and docket on the Internet at http:// general, agree with their substance. But 3. Will not have a significant www.regulations.gov or in person at the we might have found it necessary to use economic impact, positive or negative, U.S. Department of Transportation, different words from those in the MCAI on a substantial number of small entities Docket Operations, M–30, West to ensure the AD is clear for U.S. under the criteria of the Regulatory Building Ground Floor, Room W12–140, operators and is enforceable. In making Flexibility Act. 1200 New Jersey Avenue, SE., these changes, we do not intend to differ We prepared a regulatory evaluation Washington, DC. substantively from the information of the estimated costs to comply with FOR FURTHER INFORMATION CONTACT: provided in the MCAI and related this AD and placed it in the AD docket. Craig Yates, Aerospace Engineer, service information. We might also have required different Examining the AD Docket Airframe and Mechanical Systems actions in this AD from those in the Branch, ANE–171, FAA, New York You may examine the AD docket on MCAI in order to follow our FAA Aircraft Certification Office, 1600 the Internet at http:// policies. Any such differences are Stewart Avenue, Suite 410, Westbury, www.regulations.gov; or in person at the highlighted in a NOTE within the AD. New York 11590; phone: 516–228–7355; Docket Operations office between 9 a.m. fax: 516–794–5531; e-mail: Costs of Compliance and 5 p.m., Monday through Friday, [email protected]. except Federal holidays. The AD docket Based on the service information, we contains the NPRM, the regulatory SUPPLEMENTARY INFORMATION: estimate that this AD will affect about evaluation, any comments received, and 361 products of U.S. registry. We also Discussion other information. The street address for estimate that it will take about 5 work- the Docket Operations office (telephone We issued a supplemental notice of hours per product to comply with the (800) 647–5527) is in the ADDRESSES proposed rulemaking (NPRM) to amend basic requirements of this AD. The section. Comments will be available in 14 CFR part 39 to include an AD that average labor rate is $85 per work-hour. the AD docket shortly after receipt. would apply to the specified products. Based on these figures, we estimate the That supplemental NPRM was cost of the AD on U.S. operators to be List of Subjects in 14 CFR Part 39 published in the Federal Register on $153,425, or $425 per product. Air transportation, Aircraft, Aviation January 11, 2011 (76 FR 1556). That Authority for This Rulemaking safety, Incorporation by reference, supplemental NPRM proposed to Safety. correct an unsafe condition for the Title 49 of the United States Code specified products. The MCAI states: specifies the FAA’s authority to issue Adoption of the Amendment There have been four reports of loose or rules on aviation safety. Subtitle I, Accordingly, under the authority detached main landing gear torque link apex section 106, describes the authority of delegated to me by the Administrator, pin locking plate and the locking plate the FAA Administrator. ‘‘Subtitle VII: the FAA amends 14 CFR part 39 as retainer bolt. This condition could result in Aviation Programs,’’ describes in more follows: torque link apex pin disengagement, heavy detail the scope of the Agency’s vibration during landing, damage to main authority. PART 39—AIRWORTHINESS landing gear components and subsequent We are issuing this rulemaking under DIRECTIVES main landing gear collapse. the authority described in ‘‘Subtitle VII, Investigation has determined that incorrect Part A, Subpart III, Section 44701: ■ 1. The authority citation for part 39 stack-up tolerances of the apex joint or ’’ continues to read as follows: improper installation of the locking plate and General requirements. Under that apex nut could result in torque link apex pin section, Congress charges the FAA with Authority: 49 U.S.C. 106(g), 40113, 44701. disengagement. This directive mandates [a promoting safe flight of civil aircraft in one-time detailed] inspection of the torque air commerce by prescribing regulations § 39.13 [Amended] link apex joint [for correct installation and for practices, methods, and procedures ■ 2. The FAA amends § 39.13 by adding damage, and corrective actions if necessary] the Administrator finds necessary for the following new AD: and replacement of the torque link apex nut. safety in air commerce. This regulation The corrective actions include re- is within the scope of that authority 2011–08–04 Bombardier, Inc.: Amendment installing parts that are not correctly because it addresses an unsafe condition 39–16654. Docket No. FAA–2009–0703; Directorate Identifier 2009–NM–093–AD. installed and replacing damaged parts. that is likely to exist or develop on You may obtain further information by products identified in this rulemaking Effective Date examining the MCAI in the AD docket. action. (a) This airworthiness directive (AD) becomes effective May 18, 2011. Comments Regulatory Findings We gave the public the opportunity to We determined that this AD will not Affected ADs participate in developing this AD. We have federalism implications under (b) None. received no comments on the Executive Order 13132. This AD will Applicability not have a substantial direct effect on supplemental NPRM or on the (c) This AD applies to the Bombardier determination of the cost to the public. the States, on the relationship between airplanes identified in paragraphs (c)(1) and the national government and the States, Conclusion (c)(2) of this AD, certificated in any category. or on the distribution of power and (1) Model CL–600–2C10 (Regional Jet We reviewed the available data and responsibilities among the various Series 700, 701 & 702) airplanes, serial determined that air safety and the levels of government. numbers (S/Ns) 10003 and subsequent.

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(2) Model CL–600–2D15 (Regional Jet nut, in accordance with Part B of the (2) Airworthy Product: For any requirement Series 705) airplanes and Model CL–600– Accomplishment Instructions of Bombardier in this AD to obtain corrective actions from 2D24 (Regional Jet Series 900) airplanes, S/ Service Bulletin 670BA–32–019, Revision A, a manufacturer or other source, use these Ns 15001 and subsequent. dated September 18, 2008. actions if they are FAA-approved. Corrective Subject Parts Installation actions are considered FAA-approved if they (d) Air Transport Association (ATA) of (j) As of the effective date of this AD, no are approved by the State of Design Authority America Code 32: Landing gear. person may install, on any airplane, a (or their delegated agent). You are required replacement MLG shock strut assembly to assure the product is airworthy before it Reason identified in paragraph (j)(1) or (j)(2) of this is returned to service. (e) The mandatory continuing AD, unless it has been reworked in airworthiness information (MCAI) states: accordance with paragraph B. of Part B of the Special Flight Permits There have been four reports of loose or Accomplishment Instructions of Bombardier (n) Special flight permits, as described in detached main landing gear torque link apex Service Bulletin 670BA–32–019, Revision A, Section 21.197 and Section 21.199 of the pin locking plate and the locking plate dated September 18, 2008. Federal Aviation Regulations (14 CFR 21.197 retainer bolt. This condition could result in (1) Part numbers 49000–11 through 49000– and 21.199), are not allowed. torque link apex pin disengagement, heavy 22 inclusive, and with a serial number in the vibration during landing, damage to main range of S/Ns 0001 through 0284 inclusive Related Information ‘‘ ’’ landing gear components and subsequent (the serial number can start with MA, (o) Refer to MCAI Canadian Airworthiness ‘‘MAL,’’ or ‘‘MA–’’). main landing gear collapse. Directive CF–2009–20, dated May 1, 2009; Investigation has determined that incorrect (2) Part numbers 49050–5 through 49050– and Bombardier Service Bulletin 670BA–32– stack-up tolerances of the apex joint or 10 inclusive, and with a serial number in the improper installation of the locking plate and range of S/Ns 1001 through 1114 inclusive 019, Revision A, dated September 18, 2008; apex nut could result in torque link apex pin (the serial number can start with ‘‘MA,’’ for related information. ‘‘MAL,’’ or ‘‘MA-’’). disengagement. This directive mandates [a Material Incorporated by Reference one-time detailed] inspection of the torque Credit for Actions Accomplished in link apex joint [for correct installation and (p) You must use Bombardier Service Accordance With Previous Service damage, and corrective actions if necessary] Bulletin 670BA–32–019, Revision A, dated Information and replacement of the torque link apex nut. September 18, 2008, to do the actions (k) Inspections, corrective actions, required by this AD, unless the AD specifies Compliance replacements, and rework accomplished otherwise. (f) You are responsible for having the before the effective date of this AD in (1) The Director of the Federal Register actions required by this AD performed within accordance with Bombardier Service Bulletin approved the incorporation by reference of the compliance times specified, unless the 670BA–32–019, dated March 16, 2006, are actions have already been done. considered acceptable for compliance with this service information under 5 U.S.C. the corresponding actions specified in this 552(a) and 1 CFR part 51. Inspection for Part Number (P/N) and Serial AD. (2) For service information identified in Number (S/N) (l) The inspections specified in paragraph this AD, contact Bombardier, Inc., 400 Cote- (g) For all airplanes identified in (h) of this AD are not required if the actions Vertu Road West, Dorval, Quebec H4S 1Y9, paragraphs (c)(1) and (c)(2) of this AD: specified in paragraph (i) of this AD have Canada; phone: 514–855–5000; fax: 514–855– Within 900 flight hours after the effective already been accomplished; or if Bombardier 7401; e-mail: [email protected]; date of this AD, inspect the main landing Repair Engineering Order 670–32–11–0022, Internet: http://www.bombardier.com. gear (MLG) shock strut assemblies to dated October 22, 2005, or Goodrich Service (3) You may review copies of the service determine whether an MLG shock strut Concession Request SCR 0056–05, dated information at the FAA, Transport Airplane assembly having P/Ns 49000–11 through October 22, 2005; has been incorporated. 49000–22 inclusive and a S/N 0001 through Directorate, 1601 Lind Avenue, SW., Renton, 0284 inclusive is installed. A review of FAA AD Differences Washington. For information on the airplane maintenance records is acceptable in Note 1: The MCAI specifies to inspect only availability of this material at the FAA, call lieu of this inspection if the part and serial airplanes having certain serial numbers that 425–227–1221. numbers of the MLG shock strut assembly are part of the MCAI applicability. Because (4) You may also review copies of the can be conclusively determined from that the affected part could be rotated onto any of service information that is incorporated by review. the airplanes listed in the applicability, this reference at the National Archives and Inspection of the Torque Link Apex Joint AD requires that the inspection be done on Records Administration (NARA). For all airplanes. We have coordinated this with (h) For any MLG shock strut assembly information on the availability of this the Transport Canada Civil Aviation (TCCA). having P/Ns 49000–11 through 49000–22 material at NARA, call 202–741–6030, or go to: http://www.archives.gov/federal_register/ inclusive and a S/N 0001 through 0284 Other FAA AD Provisions inclusive found installed during the code_of_federal_regulations/ inspection or records check required by (m) The following provisions also apply to ibr_locations.html. paragraph (g) of this AD: Within 900 flight this AD: hours after the effective date of this AD, (1) Alternative Methods of Compliance Issued in Renton, Washington, on March perform a one-time detailed inspection and (AMOCs): The Manager, New York Aircraft 23, 2011. all applicable corrective actions on the torque Certification Office (ACO), ANE–170, FAA, Kalene C. Yanamura, link apex joint, in accordance with Part A of has the authority to approve AMOCs for this AD, if requested using the procedures found Acting Manager, Transport Airplane the Accomplishment Instructions of Directorate, Aircraft Certification Service. Bombardier Service Bulletin 670BA–32–019, in 14 CFR 39.19. Send information to ATTN: Revision A, dated September 18, 2008, Program Manager, Continuing Operational [FR Doc. 2011–8196 Filed 4–12–11; 8:45 am] except as provided by paragraph (l) of this Safety, FAA, New York ACO, 1600 Stewart BILLING CODE 4910–13–P AD. Do all applicable corrective actions Avenue, Suite 410, Westbury, New York before further flight. 11590; telephone 516–228–7300; fax 516– 794–5531. Before using any approved AMOC, Replacement or Rework of the Apex Nut notify your appropriate principal inspector, (i) For any MLG shock strut assembly or lacking a principal inspector, the manager identified during the inspection or records of the local flight standards district office/ check required by paragraph (g) of this AD: certificate holding district office. The AMOC Within 4,500 flight hours after the effective approval letter must specifically reference date of this AD, replace or rework the apex this AD.

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DEPARTMENT OF TRANSPORTATION 30, West Building Ground Floor, Room maintenance practices for fuel tank W12–40, 1200 New Jersey Avenue, SE., systems. As a result of those findings, Federal Aviation Administration Washington, DC, between 9 a.m. and 5 we issued a regulation titled ‘‘Transport p.m., Monday through Friday, except Airplane Fuel Tank System Design 14 CFR Part 39 Federal holidays. Review, Flammability Reduction and Maintenance and Inspection [Docket No. FAA–2011–0325; Directorate Examining the AD Docket Identifier 2010–NM–278–AD; Amendment Requirements’’ (66 FR 23086, May 7, 39–16652; AD 2011–08–02] You may examine the AD docket on 2001). In addition to new airworthiness the Internet at http:// standards for transport airplanes and RIN 2120–AA64 www.regulations.gov; or in person at the new maintenance requirements, this Airworthiness Directives; Fokker Docket Operations office between 9 a.m. rule included Special Federal Aviation Services B.V. Model F.27 Mark 050 and 5 p.m., Monday through Friday, Regulation No. 88 (‘‘SFAR 88,’’ Airplanes except Federal holidays. The AD docket Amendment 21–78, and subsequent contains this AD, the regulatory Amendments 21–82 and 21–83). AGENCY: Federal Aviation evaluation, any comments received, and Among other actions, SFAR 88 Administration (FAA), Department of other information. The street address for requires certain type design (i.e., type Transportation (DOT). the Docket Operations office (phone: certificate (TC) and supplemental type ACTION: Final rule; request for 800–647–5527) is in the ADDRESSES certificate (STC)) holders to substantiate comments. section. Comments will be available in that their fuel tank systems can prevent the AD docket shortly after receipt. ignition sources in the fuel tanks. This SUMMARY: We are adopting a new FOR FURTHER INFORMATION CONTACT: Tom requirement applies to type design airworthiness directive (AD) for the Rodriguez, Aerospace Engineer, holders for large turbine-powered products listed above. This AD results International Branch, ANM–116, transport airplanes and for subsequent from mandatory continuing Transport Airplane Directorate, FAA modifications to those airplanes. It airworthiness information (MCAI) 1601 Lind Avenue, SW., Renton, requires them to perform design reviews originated by an aviation authority of Washington 98057–3356; telephone: and to develop design changes and another country to identify and correct 425–227–1137; fax: 425–227–1149. maintenance procedures if their designs an unsafe condition on an aviation SUPPLEMENTARY INFORMATION: do not meet the new fuel tank safety product. The MCAI describes the unsafe standards. As explained in the preamble condition as: Discussion to the rule, we intended to adopt [T]he Federal Aviation Administration The European Aviation Safety Agency airworthiness directives to mandate any (FAA) has published Special Federal (EASA), which is the Technical Agent changes found necessary to address Aviation Regulation (SFAR) 88, and the Joint for the Member States of the European unsafe conditions identified as a result Aviation Authorities (JAA) has published Community, has issued EASA of these reviews. Interim Policy INT/POL/25/12. The design In evaluating these design reviews, we review conducted by Fokker Services on the Airworthiness Directive 2010–0157, dated August 3, 2010 (referred to after have established four criteria intended Fokker 50 and Fokker 60 in response to these to define the unsafe conditions regulations revealed that, if chafing occurs this as ‘‘the MCAI’’), to correct an unsafe between the Fuel Quantity Probe (FQP) and condition for the specified products. associated with fuel tank systems that the probe wiring, with additional factors, this The MCAI states: require corrective actions. The may result in an ignition source in the wing percentage of operating time during [T]he Federal Aviation Administration tank vapour space. which fuel tanks are exposed to (FAA) has published Special Federal This condition, if not corrected, in flammable conditions is one of these Aviation Regulation (SFAR) 88, and the Joint combination with flammable fuel vapours, Aviation Authorities (JAA) has published criteria. The other three criteria address could result in a wing fuel tank explosion Interim Policy INT/POL/25/12. The design the failure types under evaluation: and consequent loss of the aeroplane. review conducted by Fokker Services on the single failures, single failures in This AD requires actions that are Fokker 50 and Fokker 60 in response to these combination with a latent condition(s), intended to address the unsafe regulations revealed that, if chafing occurs and in-service failure experience. For all condition described in the MCAI. between the Fuel Quantity Probe (FQP) and four criteria, the evaluations included the probe wiring, with additional factors, this DATES: This AD becomes effective April consideration of previous actions taken may result in an ignition source in the wing that may mitigate the need for further 28, 2011. tank vapour space. The Director of the Federal Register action. This condition, if not corrected, in The Joint Aviation Authorities (JAA) approved the incorporation by reference combination with flammable fuel vapours, of a certain publication listed in the AD could result in a wing fuel tank explosion has issued a regulation that is similar to as of April 28, 2011. and consequent loss of the aeroplane. SFAR 88. (The JAA is an associated We must receive comments on this For the reasons described above, this AD body of the European Civil Aviation AD by May 31, 2011. requires a one-time [general visual] Conference (ECAC) representing the ADDRESSES: You may send comments by inspection to check for the presence of a civil aviation regulatory authorities of a any of the following methods: rubber sleeve and cable tie near each FQP in number of European States who have • Federal eRulemaking Portal: Go to both wing tanks and, depending on findings, agreed to co-operate in developing and the installation of a sleeve and cable tie. http://www.regulations.gov. Follow the implementing common safety regulatory instructions for submitting comments. You may obtain further information by standards and procedures.) Under this • Fax: (202) 493–2251. examining the MCAI in the AD docket. regulation, the JAA stated that all • Mail: U.S. Department of The FAA has examined the members of the ECAC that hold type Transportation, Docket Operations, M– underlying safety issues involved in fuel certificates for transport category 30, West Building Ground Floor, Room tank explosions on several large airplanes are required to conduct a W12–140, 1200 New Jersey Avenue, SE., transport airplanes, including the design review against explosion risks. Washington, DC 20590. adequacy of existing regulations, the We have determined that the actions • Hand Delivery: U.S. Department of service history of airplanes subject to identified in this AD are necessary to Transportation, Docket Operations, M– those regulations, and existing reduce the potential of ignition sources

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inside fuel tanks, which, in combination invite you to send any written relevant We prepared a regulatory evaluation with flammable fuel vapors, could result data, views, or arguments about this AD. of the estimated costs to comply with in fuel tank explosions and consequent Send your comments to an address this AD and placed it in the AD docket. loss of the airplane. listed under the ADDRESSES section. List of Subjects in 14 CFR Part 39 Include ‘‘Docket No. FAA–2011–0325; Relevant Service Information Directorate Identifier 2010–NM–278– Air transportation, Aircraft, Aviation Fokker Services B.V. has issued AD’’ at the beginning of your comments. safety, Incorporation by reference, Fokker Service Bulletin SBF50–28–027, We specifically invite comments on the Safety. Revision 1, dated August 20, 2010. The overall regulatory, economic, Adoption of the Amendment actions described in this service environmental, and energy aspects of information are intended to correct the this AD. We will consider all comments Accordingly, under the authority unsafe condition identified in the received by the closing date and may delegated to me by the Administrator, MCAI. amend this AD because of those the FAA amends 14 CFR part 39 as follows: FAA’s Determination and Requirements comments. of This AD We will post all comments we PART 39—AIRWORTHINESS receive, without change, to http:// DIRECTIVES This product has been approved by www.regulations.gov, including any the aviation authority of another personal information you provide. We ■ 1. The authority citation for part 39 country, and is approved for operation will also post a report summarizing each continues to read as follows: in the United States. Pursuant to our substantive verbal contact we receive Authority: 49 U.S.C. 106(g), 40113, 44701. bilateral agreement with the State of about this AD. Design Authority, we have been notified of the unsafe condition described in the Authority for This Rulemaking § 39.13 [Amended] MCAI and service information Title 49 of the United States Code ■ 2. The FAA amends § 39.13 by adding referenced above. We are issuing this specifies the FAA’s authority to issue the following new AD: AD because we evaluated all pertinent rules on aviation safety. Subtitle I, 2011–08–02 Fokker Services B.V.: information and determined the unsafe section 106, describes the authority of Amendment 39–16652. Docket No. condition exists and is likely to exist or the FAA Administrator. ‘‘Subtitle VII: FAA–2011–0325; Directorate Identifier develop on other products of the same Aviation Programs,’’ describes in more 2010–NM–278–AD. type design. detail the scope of the Agency’s Effective Date There are no products of this type authority. currently registered in the United States. We are issuing this rulemaking under (a) This airworthiness directive (AD) However, this rule is necessary to the authority described in ‘‘Subtitle VII, becomes effective April 28, 2011. ensure that the described unsafe Part A, Subpart III, Section 44701: Affected ADs condition is addressed if any of these General requirements.’’ Under that (b) None. products are placed on the U.S. Register section, Congress charges the FAA with in the future. promoting safe flight of civil aircraft in Applicability air commerce by prescribing regulations (c) This AD applies to Fokker Services B.V. Differences Between the AD and the for practices, methods, and procedures Model F.27 Mark 050 airplanes; certificated MCAI or Service Information the Administrator finds necessary for in any category; all serial numbers. We have reviewed the MCAI and safety in air commerce. This regulation Note 1: This AD requires revisions to related service information and, in is within the scope of that authority certain operator maintenance documents to general, agree with their substance. But include new actions (e.g., inspections) and/ because it addresses an unsafe condition or critical design configuration control we might have found it necessary to use that is likely to exist or develop on limitations (CDCCLs). Compliance with these different words from those in the MCAI products identified in this rulemaking actions and/or CDCCLs is required by 14 CFR to ensure the AD is clear for U.S. action. 91.403(c). For airplanes that have been operators and is enforceable. In making previously modified, altered, or repaired in these changes, we do not intend to differ Regulatory Findings the areas addressed by this AD, the operator substantively from the information We determined that this AD will not may not be able to accomplish the actions provided in the MCAI and related have federalism implications under described in the revisions. In this situation, service information. Executive Order 13132. This AD will to comply with 14 CFR 91.403(c), the We might also have required different not have a substantial direct effect on operator must request approval of an alternative method of compliance (AMOC) actions in this AD from those in the the States, on the relationship between according to paragraph (l) of this AD. The MCAI in order to follow FAA policies. the national government and the States, request should include a description of Any such differences are highlighted in or on the distribution of power and changes to the required actions that will a NOTE within the AD. responsibilities among the various ensure the continued operational safety of levels of government. the airplane. FAA’s Determination of the Effective For the reasons discussed above, I Date certify this AD: Subject Since there are currently no domestic 1. Is not a ‘‘significant regulatory (d) Air Transport Association (ATA) of operators of this product, notice and action’’ under Executive Order 12866; America Code 28: Fuel. opportunity for public comment before 2. Is not a ‘‘significant rule’’ under the Reason issuing this AD are unnecessary. DOT Regulatory Policies and Procedures (44 FR 11034, February 26, 1979); and (e) The mandatory continued airworthiness Comments Invited information (MCAI) states: 3. Will not have a significant [T]he Federal Aviation Administration This AD is a final rule that involves economic impact, positive or negative, (FAA) has published Special Federal requirements affecting flight safety, and on a substantial number of small entities Aviation Regulation (SFAR) 88, and the Joint we did not precede it by notice and under the criteria of the Regulatory Aviation Authorities (JAA) has published opportunity for public comment. We Flexibility Act. Interim Policy INT/POL/25/12. The design

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review conducted by Fokker Services on the and/or maintaining CDCCLs, this AD only Washington. For information on the Fokker 50 and Fokker 60 in response to these requires the revision. Requiring a revision of availability of this material at the FAA, call regulations revealed that, if chafing occurs the maintenance program, rather than 425–227–1221. between the Fuel Quantity Probe (FQP) and requiring individual repetitive actions and/or (4) You may also review copies of the the probe wiring, with additional factors, this maintaining CDCCLs, requires operators to service information that is incorporated by may result in an ignition source in the wing record AD compliance only at the time the reference at the National Archives and tank vapour space. revision is made. Repetitive actions and/or Records Administration (NARA). For This condition, if not corrected, in maintaining CDCCLs specified in the information on the availability of this combination with flammable fuel vapours, airworthiness limitations must be complied material at NARA, call 202–741–6030, or go could result in a wing fuel tank explosion with in accordance with 14 CFR 91.403(c). to: http://www.archives.gov/federal_register/ and consequent loss of the aeroplane. code_of_federal_regulations/ Other FAA AD Provisions ibr_locations.html. Compliance (l) The following provisions also apply to Issued in Renton, Washington, on March (f) You are responsible for having the this AD: 25, 2011. actions required by this AD performed within (1) Alternative Methods of Compliance Ali Bahrami, the compliance times specified, unless the (AMOCs): The Manager, International actions have already been done. Manager, Transport Airplane Directorate, Branch, ANM–116, Transport Airplane Aircraft Certification Service. Inspection and Installation Directorate, FAA, has the authority to approve AMOCs for this AD, if requested [FR Doc. 2011–8065 Filed 4–12–11; 8:45 am] (g) At a scheduled opening of the fuel using the procedures found in 14 CFR 39.19. BILLING CODE 4910–13–P tanks, but not later than 13 years after the In accordance with 14 CFR 39.19, send your effective date of this AD, do a general visual request to your principal inspector or local inspection for the presence of the rubber Flight Standards District Office, as sleeve and cable tie on the cables of each DEPARTMENT OF TRANSPORTATION appropriate. If sending information directly FQP, in accordance with Part 1 of the to the International Branch, send it to ATTN: Accomplishment Instructions of Fokker Federal Aviation Administration Tom Rodriguez, Aerospace Engineer, Service Bulletin SBF50–28–027, Revision 1, International Branch, ANM–116, Transport dated August 20, 2010. 14 CFR Part 39 Airplane Directorate, FAA 1601 Lind (h) If, during the inspection required by Avenue, SW., Renton, Washington 98057– [Docket No. FAA–2010–1161; Directorate paragraph (g) of this AD, an FQP does not 3356; phone: 425–227–1137; fax: 425–227– Identifier 2010–NM–152–AD; Amendment have the rubber sleeve or cable tie installed: 39–16658; AD 2011–08–08] Before further flight, install the rubber sleeve 1149. Information may be e-mailed to: 9- and cable tie on the affected FQP and wiring, [email protected]. RIN 2120–AA64 in accordance with Part 2 of the Before using any approved AMOC, notify Accomplishment Instructions of Fokker your appropriate principal inspector, or Airworthiness Directives; Empresa Service Bulletin SBF50–28–027, Revision 1, lacking a principal inspector, the manager of Brasileira de Aeronautica S.A. dated August 20, 2010. the local flight standards district office/ certificate holding district office. The AMOC (EMBRAER) Model ERJ 170 and ERJ Maintenance Program Revision To Add Fuel approval letter must specifically reference 190 Airplanes Airworthiness Limitation this AD. AGENCY: Federal Aviation (i) Before further flight after accomplishing (2) Airworthy Product: For any Administration (FAA), Department of requirement in this AD to obtain corrective the inspection required by paragraph (g) of Transportation (DOT). this AD: Revise the airplane maintenance actions from a manufacturer or other source, program by incorporating the CDCCL use these actions if they are FAA-approved. ACTION: Final rule. specified in paragraph 1.L.(1)(c) of Fokker Corrective actions are considered FAA- SUMMARY: We are adopting a new Service Bulletin SBF50–28–027, Revision 1, approved if they are approved by the State dated August 20, 2010. of Design Authority (or their delegated airworthiness directive (AD) for the agent). You are required to assure the product products listed above. This AD results No Alternative Actions, Intervals, and/or is airworthy before it is returned to service. from mandatory continuing CDCCLs airworthiness information (MCAI) Related Information (j) After accomplishing the revision originated by an aviation authority of required by paragraph (i) of this AD, no (m) Refer to MCAI EASA Airworthiness another country to identify and correct alternative actions (e.g., inspection, interval) Directive 2010–0157, dated August 3, 2010; an unsafe condition on an aviation and/or CDCCLs may be used unless the and Fokker Service Bulletin SBF50–28–027, actions, intervals, and/or CDCCLs are Revision 1, dated August 20, 2010; for related product. The MCAI describes the unsafe approved as an AMOC in accordance with information. condition as: the procedures specified in paragraph (l) of Material Incorporated by Reference It has been found occurrence of screw units this AD. manufactured with metallographic non- (n) You must use Fokker Service Bulletin conformity that may increase their Credit for Actions Accomplished in SBF50–28–027, Revision 1, dated August 20, susceptibility to brittle fracture. The screw Accordance With Previous Service 2010, to do the actions required by this AD, failure may result in loss of the related Information unless the AD specifies otherwise. balance washer causing a possible ram air (k) Actions accomplished before the (1) The Director of the Federal Register turbine (RAT) imbalance event, which may effective date of this AD according to Fokker approved the incorporation by reference of result in RAT structural failure, which Service Bulletin SBF50–28–027, dated May this service information under 5 U.S.C. associated with an electrical emergency 27, 2010, are considered acceptable for 552(a) and 1 CFR part 51. situation, could result in loss of power to compliance with the corresponding action (2) For service information identified in airplane flight controls hydraulic back-up specified in this AD. this AD, contact Fokker Services B.V., system. Technical Services Dept., P.O. Box 231, 2150 FAA AD Differences * * * * * AE Nieuw-Vennep, the Netherlands; Loss of power to the hydraulic back-up Note 1: This AD differs from the MCAI telephone: +31 (0)252–627–350; fax: +31 system for airplane flight controls could and/or service information as follows: (0)252–627–211; e-mail: technicalservices. Although EASA Airworthiness Directive [email protected]; Internet: http:// reduce the ability of the flightcrew to 2010–0157, dated August 3, 2010, specifies www.myfokkerfleet.com. maintain the safe flight and landing of both revising the maintenance program to (3) You may review copies of the service the airplane. We are issuing this AD to include airworthiness limitations, and doing information at the FAA, Transport Airplane require actions to correct the unsafe certain repetitive actions (e.g., inspections) Directorate, 1601 Lind Avenue, SW., Renton, condition on these products.

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DATES: This AD becomes effective May Request To Include Service Bulletin for Costs of Compliance 18, 2011. Model ERJ 190–100 ECJ Airplanes We estimate that this AD will affect The Director of the Federal Register EMBRAER requested that we add about 241 products of U.S. registry. We approved the incorporation by reference EMBRAER Service Bulletin 190LIN–24– also estimate that it will take about 9 of certain publications listed in this AD 0006, dated July 27, 2010, to the NPRM, work-hours per product to comply with as of May 18, 2011. because it applies to Model ERJ 190–100 the basic requirements of this AD. The ADDRESSES: You may examine the AD ECJ airplanes which are included in the average labor rate is $85 per work-hour. docket on the Internet at http:// NPRM applicability. The commenter Required parts will cost about $0 per www.regulations.gov or in person at the requested that we change paragraphs (g), product. Where the service information U.S. Department of Transportation, (h), (i), and (k) of the NPRM lists required parts costs that are Docket Operations, M–30, West accordingly. covered under warranty, we have assumed that there will be no charge for Building Ground Floor, Room W12–140, We agree that EMBRAER Service these parts. As we do not control 1200 New Jersey Avenue, SE., Bulletin 190LIN–24–0006, dated July warranty coverage for affected parties, Washington, DC. 27, 2010, is acceptable for some parties may incur costs higher accomplishing the required actions of FOR FURTHER INFORMATION CONTACT: than estimated here. Based on these the AD for Model ERJ 190–100 ECJ Cindy Ashforth, Aerospace Engineer, figures, we estimate the cost of this AD airplanes. We have added a new International Branch, ANM–116, to the U.S. operators to be $184,365, or paragraph (i) to this AD (and Transport Airplane Directorate, FAA, $765 per product. 1601 Lind Avenue, SW., Renton, renumbered subsequent paragraphs Washington 98057–3356; telephone accordingly) to refer to that service Authority for This Rulemaking bulletin as an optional method of (425) 227–2768; fax (425) 227–1149. Title 49 of the United States Code compliance for the requirements of this specifies the FAA’s authority to issue SUPPLEMENTARY INFORMATION: AD for those airplanes. This addition rules on aviation safety. Subtitle I, has been coordinated with the Ageˆncia Discussion section 106, describes the authority of Nacional de Aviac¸a˜o Civil (ANAC), the the FAA Administrator. ‘‘Subtitle VII: aviation authority for Brazil. We issued a notice of proposed Aviation Programs,’’ describes in more rulemaking (NPRM) to amend 14 CFR Clarification of Terminology detail the scope of the Agency’s part 39 to include an AD that would authority. apply to the specified products. That Paragraph (g)(2)(ii) of the NPRM NPRM was published in the Federal We are issuing this rulemaking under specified to ‘‘replace the RAT balance the authority described in ‘‘Subtitle VII, Register on December 1, 2010 (75 FR screw with a new balance screw,’’ while 74670). That NPRM proposed to correct Part A, Subpart III, Section 44701: some RATs in fact have more than one General requirements.’’ Under that an unsafe condition for the specified balance screw. We have clarified that products. The MCAI states: section, Congress charges the FAA with instruction by stating ‘‘replace the RAT promoting safe flight of civil aircraft in It has been found occurrence of screw units balance screw(s) with a new balance air commerce by prescribing regulations manufactured with metallographic non- screw(s),’’ in this final rule. for practices, methods, and procedures conformity that may increase their the Administrator finds necessary for susceptibility to brittle fracture. The screw Conclusion failure may result in loss of the related safety in air commerce. This regulation balance washer causing a possible ram air We reviewed the available data, is within the scope of that authority turbine (RAT) imbalance event, which may including the comment received, and because it addresses an unsafe condition result in RAT structural failure, which determined that air safety and the that is likely to exist or develop on associated with an electrical emergency public interest require adopting the AD products identified in this rulemaking situation, could result in loss of power to with the changes described previously. action. airplane flight controls hydraulic back-up We determined that these changes will system. not increase the economic burden on Regulatory Findings * * * * * any operator or increase the scope of the We determined that this AD will not Loss of power to the hydraulic back-up AD. have federalism implications under system for airplane flight controls could Differences Between This AD and the Executive Order 13132. This AD will reduce the ability of the flightcrew to MCAI or Service Information not have a substantial direct effect on maintain the safe flight and landing of the States, on the relationship between the airplane. Required actions include We have reviewed the MCAI and the national government and the States, doing a general visual inspection to related service information and, in or on the distribution of power and determine the model, part number, and general, agree with their substance. But responsibilities among the various serial number of the RAT, and to we might have found it necessary to use levels of government. determine if a certain symbol is marked different words from those in the MCAI For the reasons discussed above, I on affected RATs. Corrective actions to ensure the AD is clear for U.S. certify this AD: include replacing the RAT balance operators and is enforceable. In making 1. Is not a ‘‘significant regulatory screw and marking the RAT these changes, we do not intend to differ action’’ under Executive Order 12866; identification plate. You may obtain substantively from the information 2. Is not a ‘‘significant rule’’ under the further information by examining the provided in the MCAI and related DOT Regulatory Policies and Procedures MCAI in the AD docket. service information. (44 FR 11034, February 26, 1979); and Comments We might also have required different 3. Will not have a significant actions in this AD from those in the economic impact, positive or negative, We gave the public the opportunity to MCAI in order to follow our FAA on a substantial number of small entities participate in developing this AD. We policies. Any such differences are under the criteria of the Regulatory considered the comment received. highlighted in a NOTE within the AD. Flexibility Act.

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We prepared a regulatory evaluation conformity that may increase their (i) If the symbol ‘‘24–5’’ is marked on the of the estimated costs to comply with susceptibility to brittle fracture. The screw RAT identification plate: No further action is this AD and placed it in the AD docket. failure may result in loss of the related required by this paragraph. balance washer causing a possible ram air (ii) If the symbol ‘‘24–5’’ is not marked on Examining the AD Docket turbine (RAT) imbalance event, which may the RAT identification plate: Within 1,200 You may examine the AD docket on result in RAT structural failure, which flight hours or 6 months after the effective date of this AD, whichever occurs first, the Internet at http:// associated with an electrical emergency situation, could result in loss of power to replace the RAT balance screw(s) with a new www.regulations.gov; or in person at the airplane flight controls hydraulic back-up balance screw(s), and mark the RAT Docket Operations office between 9 a.m. system. identification plate with the symbol ‘‘24–5,’’ and 5 p.m., Monday through Friday, in accordance with Part 2 of the except Federal holidays. The AD docket * * * * * Accomplishment Instructions of EMBRAER Loss of power to the hydraulic back-up Service Bulletin 170–24–0048, Revision 01, contains the NPRM, the regulatory system for airplane flight controls could evaluation, any comments received, and dated May 12, 2010; or EMBRAER Service reduce the ability of the flightcrew to Bulletin 190–24–0019, Revision 01, dated other information. The street address for maintain the safe flight and landing of the the Docket Operations office (telephone May 11, 2010; as applicable. airplane. (h) As of the effective date of this AD, no (800) 647–5527) is in the ADDRESSES Compliance person may install a RAT identified in Part section. Comments will be available in 1 of the Accomplishment Instructions of the AD docket shortly after receipt. (f) You are responsible for having the EMBRAER Service Bulletin 170–24–0048, actions required by this AD performed within List of Subjects in 14 CFR Part 39 Revision 01, dated May 12, 2010; or the compliance times specified, unless the EMBRAER Service Bulletin 190–24–0019, Air transportation, Aircraft, Aviation actions have already been done. Revision 01, dated May 11, 2010; as safety, Incorporation by reference, Actions applicable; on any airplane, unless that RAT Safety. is identified with the symbol ‘‘24–5’’ on the (g) Within 1,200 flight hours or 6 months identification plate. Adoption of the Amendment after the effective date of this AD, whichever occurs first: Do a general visual inspection Acceptable Method of Compliance for Model Accordingly, under the authority (GVI) to determine the RAT model, part ERJ 190–100 ECJ Airplanes delegated to me by the Administrator, number, and serial number, in accordance (i) Actions accomplished in accordance the FAA amends 14 CFR part 39 as with Part 1 of the Accomplishment with EMBRAER Service Bulletin 190LIN–24– follows: Instructions of EMBRAER Service Bulletin 0006, dated July 27, 2010, for Model ERJ 170–24–0048, Revision 01, dated May 12, 190–100 ECJ airplanes, are considered PART 39—AIRWORTHINESS 2010; or EMBRAER Service Bulletin 190–24– acceptable for compliance with the DIRECTIVES 0019, Revision 01, dated May 11, 2010; as corresponding actions specified in this AD. applicable. A review of airplane maintenance ■ 1. The authority citation for part 39 records is acceptable in lieu of this Credit for Actions Accomplished in continues to read as follows: inspection if the model, part number, and Accordance With Previous Service serial number of the RAT can be conclusively Information Authority: 49 U.S.C. 106(g), 40113, 44701. determined from that review. (j) Actions accomplished before the § 39.13 [Amended] Note 1: For the purpose of this AD, a GVI effective date of this AD in accordance with is: ‘‘A visual examination of an interior or EMBRAER Service Bulletins 170–24–0048 or ■ 2. The FAA amends § 39.13 by adding exterior area, installation or assembly to 190–24–0019, both dated March 31, 2010, as the following new AD: detect obvious damage, failure or irregularity. applicable, are considered acceptable for 2011–08–08 Empresa Brasileira de This level of inspection is made from within compliance with the corresponding actions Aeronautica S.A. (EMBRAER): touching distance, unless otherwise specified in this AD. specified. A mirror may be necessary to Amendment 39–16658. Docket No. FAA AD Differences FAA–2010–1161; Directorate Identifier enhance visual access to all exposed surfaces 2010–NM–152–AD. in the inspection area. This level of Note 2: This AD differs from the MCAI inspection is made under normally available and/or service information as follows: Effective Date lighting conditions such as daylight, hangar (1) The Brazilian ADs apply to ‘‘airplanes (a) This airworthiness directive (AD) lighting, flashlight or drop-light, and may equipped with Hamilton Sundstrand ram air becomes effective May 18, 2011. require removal or opening of access panels turbine (RAT), Model ERPS37T, Part Number Affected ADs or doors. Stands, ladders or platforms may be (P/N) 1703781 Series; with the serial required to gain proximity to the area being numbers (S/N) contained in Embraer Service (b) None. checked.’’ Bulletin[s 170–24–0048 or 190–24–0019],’’ Applicability (1) For any RAT not having a serial number and their first action is an inspection to determine if affected equipment is installed. (c) This AD applies to all Empresa identified in EMBRAER Service Bulletin This AD applies to all of the airplanes, with Brasileira de Aeronautica S.A. (EMBRAER) 170–24–0048, Revision 01, dated May 12, Model ERJ 170–100 LR, –100 STD, –100 SE, 2010; or EMBRAER Service Bulletin 190–24– the first action in the AD being an inspection and –100 SU airplanes; and Model ERJ 170– 0019, Revision 01, dated May 11, 2010: No to determine if affected equipment is 200 LR, –200 SU, and –200 STD airplanes; further action is required by this paragraph. installed, because the affected part could be and Model ERJ 190–100 STD, –100 LR, –100 (2) For any RAT having a serial number rotated onto any of the airplanes listed in the ECJ, and –100 IGW airplanes; and Model ERJ identified in EMBRAER Service Bulletin applicability of this AD. 190–200 STD, –200 LR, and –200 IGW 170–24–0048, Revision 01, dated May 12, (2) Although the MCAI states not to install airplanes; certificated in any category. 2010; or EMBRAER Service Bulletin 190–24– the part identified in paragraph (h) of this AD 0019, Revision 01, dated May 11, 2010: after accomplishing the actions specified in Subject Within 1,200 flight hours or 6 months after paragraph (g)(2) of this AD, this AD prohibits (d) Air Transport Association (ATA) of the effective date of this AD, whichever installation of the part as of the effective date America Code 24: Electrical power. occurs first, inspect to determine if the of this AD. symbol ‘‘24–5’’ is marked on the RAT Reason identification plate. A review of airplane Other FAA AD Provisions (e) The mandatory continuing maintenance records is acceptable in lieu of (k) The following provisions also apply to airworthiness information (MCAI) states: this inspection if the RAT identification plate this AD: It has been found occurrence of screw units can be conclusively determined to be marked (1) Alternative Methods of Compliance manufactured with metallographic non- with ‘‘24–5’’ from that review. (AMOCs): The Manager, International

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Branch, ANM–116, Transport Airplane 3356; telephone (425) 227–2768; fax (425) use these actions if they are FAA-approved. Directorate, FAA, has the authority to 227–1149. Information may be e-mailed to: 9- Corrective actions are considered FAA- approve AMOCs for this AD, if requested [email protected]. approved if they are approved by the State using the procedures found in 14 CFR 39.19. Before using any approved AMOC, notify of Design Authority (or their delegated In accordance with 14 CFR 39.19, send your your appropriate principal inspector, or agent). You are required to assure the product request to your principal inspector or local lacking a principal inspector, the manager of is airworthy before it is returned to service. Flight Standards District Office, as the local flight standards district office/ appropriate. If sending information directly certificate holding district office. The AMOC Related Information to the International Branch, send it to ATTN: approval letter must specifically reference (l) Refer to MCAI Brazilian Airworthiness Cindy Ashforth, Aerospace Engineer, this AD. Directives 2010–06–04 and 2010–06–05, both International Branch, ANM–116, Transport (2) Airworthy Product: For any dated July 26, 2010, and the service Airplane Directorate, FAA, 1601 Lind requirement in this AD to obtain corrective information identified in table 1 of this AD, Avenue, SW., Renton, Washington 98057– actions from a manufacturer or other source, for related information.

TABLE 1—RELATED SERVICE INFORMATION

EMBRAER Service Bulletin Revision Date

170-24-0048 ...... 01 ...... May 12, 2010. 190–24–0019 ...... 01 ...... May 11, 2010. 190LIN–24–0006 ...... Original ...... July 27, 2010.

Material Incorporated by Reference Aeronautica S.A. (EMBRAER), Technical availability of this material at the FAA, call (m) You must use the applicable service Publications Section (PC 060), Av. Brigadeiro 425–227–1221. Faria Lima, 2170—Putim—12227–901 Sa˜o information contained in Table 2 of this AD (4) You may also review copies of the Jose dos Campos—SP—BRASIL; telephone: to do the actions required by this AD, unless service information that is incorporated by +55 12 3927–5852 or +55 12 3309–0732; fax: reference at the National Archives and the AD specifies otherwise. +55 12 3927–7546; e-mail: Records Administration (NARA). For (1) The Director of the Federal Register [email protected]; Internet: http:// approved the incorporation by reference of www.flyembraer.com. information on the availability of this this service information under 5 U.S.C. (3) You may review copies of the service material at NARA, call 202–741–6030, or go 552(a) and 1 CFR part 51. information at the FAA, Transport Airplane to: http://www.archives.gov/federal_register/ (2) For service information identified in Directorate, 1601 Lind Avenue, SW., Renton, code_of_federal_regulations/ this AD, contact Empresa Brasileira de Washington. For information on the ibr_locations.html.

TABLE 2—MATERIAL INCORPORATED BY REFERENCE

EMBRAER Service Bulletin Revision Date

170–24–0048 ...... 01 ...... May 12, 2010. 190–24–0019 ...... 01 ...... May 11, 2010. 190LIN–24–0006 ...... Original ...... July 27, 2010.

Issued in Renton, Washington, on March Securities Exchange Act of 1934 (the I. Filing of SRO Proposed Rule Changes 24, 2011. ‘‘Exchange Act’’) so that references to A. Background Ali Bahrami, ‘‘business day’’ in Section 19(b) of the Manager, Transport Airplane Directorate, Exchange Act and Rule 19b–4 Section 19(b)(1) of the Exchange Act 1 Aircraft Certification Service. thereunder refer to a day other than a requires self-regulatory organizations [FR Doc. 2011–8411 Filed 4–12–11; 8:45 am] Saturday, Sunday, Federal holiday, a (‘‘SROs’’), including national securities BILLING CODE 4910–13–P day that the U.S. Office of Personnel exchanges, registered securities Management (‘‘OPM’’) has announced associations, registered clearing that Federal agencies in the Washington, agencies, and the Municipal Securities SECURITIES AND EXCHANGE DC area are closed to the public, a day Rulemaking Board,2 to file with the 3 COMMISSION on which the Commission is subject to Commission any proposed rule change, a Federal government shutdown in the 17 CFR Part 240 1 15 U.S.C. 78s(b)(1). event of a lapse in appropriations, or a 2 See Section 3(a)(26) of the Exchange Act, 15 [Release No. 34–64251] day on which the Commission’s U.S.C. 78c(a)(26) (defining the term ‘‘self-regulatory Washington, DC office is otherwise not organization’’ to mean any national securities Technical Amendment to Rule 19b–4: open for regular business. exchange, registered securities association, Filings With Respect to Proposed Rule registered clearing agency, and, for purposes of Changes by Self-Regulatory DATES: Effective Date: April 13, 2011. Section 19(b) and other limited purposes, the Municipal Securities Rulemaking Board). Organizations FOR FURTHER INFORMATION CONTACT: 3 Section 19(b)(1) of the Exchange Act defines a Richard Holley III, Assistant Director, at ‘‘proposed rule change’’ as ‘‘any proposed rule, or AGENCY: Securities and Exchange any proposed change in, addition to, or deletion Commission. (202) 551–5614, Division of Trading and from the rules of’’ an SRO. 15 U.S.C. 78s(b)(1). ACTION: Final rule. Markets, Securities and Exchange Section 3(a)(27) of the Exchange Act defines ‘‘rules’’ Commission, 100 F Street, NE., to include ‘‘the constitution, articles of SUMMARY: incorporation, bylaws, and rules, or instruments The Securities and Exchange Washington, DC 20549–7010. corresponding to the foregoing * * * and such of Commission (‘‘Commission’’) is SUPPLEMENTARY INFORMATION: the stated policies, practices, and interpretations of amending Rule 19b–4(a) under the such exchange, association, or clearing agency as

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which must be submitted on Form 19b– proposed rule changes. Some time next business day.12 Rule 19b–4 does 4 4 in accordance with the General frames are tied to calendar days; others not, however, define what constitutes a Instructions thereto. Once a proposed are tied to business days. ‘‘business day.’’ rule change has been filed, the In particular, Section 19(b)(10)(B) of While the Commission’s Washington Commission is required to publish it in the Exchange Act provides that the DC headquarters is routinely closed for the Federal Register to provide an Commission may, within seven business business on weekends (Saturdays and opportunity for public comment.5 A days after receipt of a filing, reject as Sundays) and designated Federal proposed rule change generally may not improperly filed a filing that does not holidays,13 the Commission’s take effect unless it is either approved comply with the rules of the Washington DC headquarters also may by the Commission pursuant to Section Commission relating to the required be closed for other reasons. For 19(b)(2) of the Exchange Act 6 or is form of a proposed rule change.9 That example, Federal agencies may be designated by the SRO to become provision currently is the only reference closed in various situations, including, effective upon filing pursuant to Section to ‘‘business day’’ contained in Section but not limited to, adverse weather, the 19(b)(3)(A) of the Exchange Act.7 The 19. observance of special events in the Commission’s Division of Trading and References to ‘‘business days’’ are also District of Columbia (including, but not Markets, on behalf of the Commission, found in Rule 19b–4 under the limited to, presidential inaugurations or is responsible for the day-to-day review Exchange Act. For example, funeral observances), or any other of SRO proposed rule changes.8 subparagraph (l) provides a two conditions or events that cause Federal There may be days, in addition to business day deadline by which an SRO agencies to not open for regular Saturday, Sunday and Federal holidays, must post a proposed rule change on its business. These types of closings may be on which the Commission’s Web site after filing it with the non-agency specific and would Washington, DC offices are not open for Commission, and subparagraph (m) generally affect most Federal agencies in regular business. For example, a lapse in provides a two business day deadline by the Washington, DC metropolitan area. appropriations or an announcement by which an SRO must update its Web site For these types of closings, the OPM OPM that Federal agencies are closed to reflect changes to the text of its disseminates the Federal government’s for business may cause the rules.10 operating status for the Washington, DC ‘‘ ’’ Commission’s Washington DC offices to Other references to business days, area as CLOSED and publishes that not be open for regular business. To operating status on its Web site at including in paragraphs (f)(6) and (k) of 14 make clear that ‘‘business day’’ does not Rule 19b–4, refer to the filing by the http://www.opm.gov. In addition, the Commission could be include those days, the Commission is SRO of materials with the Commission, subject to a Federal government-wide hereby adopting a technical amendment which the Commission must then to Rule 19b–4 to state what constitute shutdown in the event of a lapse in review in the normal course of its Congressional appropriations resulting ‘‘business days’’ for purposes of Section oversight of the SRO rule change 19(b) under the Exchange Act and Rule in the temporary cessation of non- process. Specifically, Rule 19b–4(f)(6) essential Federal government 19b–4 concerning SRO proposed rule allows an SRO to designate certain changes. operations. Other circumstances may proposed rule changes as effective upon uniquely and specifically affect the B. References to ‘‘Business Days’’ in filing if, among other things, the SRO Commission’s Washington, DC Section 19 and Rule 19b–4 provides written notice of its intent to headquarters, causing the Commission Section 19(b) of the Exchange Act file, along with a brief description and to not be open for regular business at a ‘‘ ’’ provides the time frames within which proposed rule text (a prefiling ), to the time when other Federal agencies in the the Commission must act in connection Commission at least five business days Washington, DC metropolitan area may with reviewing and processing SRO prior to filing. In addition, Rule 19b– or may not be open for regular business. 4(k) specifies when a proposed rule Examples of these kinds of the Commission, by rule, may determine to be change is received by the Commission circumstances might include a necessary or appropriate in the public interest or for and provides that if the conditions of disturbance at or problems with the the protection of investors to be deemed to be rules Rule 19b–4 and Form 19b–4 are Commission’s headquarters facilities of such exchange, association, or clearing agency.’’ satisfied, a proposed rule change will be 15 U.S.C. 78c(a)(27). Rule 19b–4(b) under the that cause it to close temporarily for Exchange Act defines ‘‘stated policy, practice, or received by and accepted as filed on a regular business.15 interpretation’’ to mean, in part, ‘‘[a]ny material business day if it is filed on or before aspect of the operation of the facilities of the self- 5:30 p.m. (Eastern time).11 Any filing II. Amendment to Rule 19b–4(a) regulatory organization’’ or ‘‘[a]ny statement made submitted after 5:30 p.m. on a business The Commission is adding new generally available’’ that ‘‘establishes or changes any standard, limit, or guideline’’ with respect to the day will be accepted by the Commission subparagraph (2) to Rule 19b–4(a) to ‘‘rights, obligations, or privileges’’ of persons or the but will have as its date of filing the specify that references to ‘‘business ‘‘meaning, administration, or enforcement of an days’’ in Section 19 of the Exchange Act existing rule.’’ 17 CFR 240.19b–4(b). 9 15 U.S.C. 78s(b)(10)(B). This period may be and Rule 19b–4 mean any day other 4 17 CFR 249.819. extended to 21 calendar days if, not later than 7 than a Saturday, Sunday, Federal 5 See 15 U.S.C. 78s(b)(1). The SRO is required to business days after the date of receipt by the holiday, a day that OPM has announced prepare the notice of its proposed rule change on Commission, the Commission notifies the SRO that Exhibit 1 of Form 19b–4 that the Commission then it needs additional time due to the Commission’s that Federal agencies in the Washington, publishes in the Federal Register. determination that the proposed rule change is 6 See 15 U.S.C. 78s(b)(2). However, as provided in unusually lengthy, complex, or raises novel 12 See id. Section 19(b)(2)(D) of the Exchange Act, 15 U.S.C. regulatory issues. If it is not rejected, Section 13 See Rule 104 of the Commission’s Rules of 78s(b)(2)(D), a proposed rule change may be 19(b)(10)(A) of the Exchange Act provides that the Practice, 17 CFR 201.104 (Business Hours). ‘‘deemed to have been approved by the date of filing of a proposed rule change is the ‘‘date 14 These days differ from days when OPM Commission’’ if the Commission fails to take action on which the Commission receives the proposed disseminates an ‘‘OPEN’’ status, regardless of on a proposal that is subject to Commission rule change.’’ 15 U.S.C. 78s(b)(10)(A). whether unscheduled leave or telework options are approval within the statutory time frames specified 10 See 17 CFR 240.19b–4(l) and (m), respectively. available or whether delayed arrival or early in Section 19(b)(2). An SRO is required to post and maintain a complete departure is in effect. See OPM’s Washington, DC, 7 15 U.S.C. 78s(b)(3)(A). version of its rules on its Web site. See 17 CFR Area Dismissal and Closure Procedures, available 8 See 17 CFR 200.30–3 (Delegation of authority to 240.19b–4(m)(1). at: http://www.opm.gov/oca/compmemo/ Director of the Division of Trading and Markets). 11 17 CFR 240.19b–4(k). dismissal.pdf.

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DC area are closed to the public, a day paragraph (a)(2) to Rule 19b–4, for days those days on which the on which the Commission is subject to purposes of counting the five business Commission is not open for regular a Federal government shutdown in the day review period, any day that is not business, and therefore lacks personnel event of a lapse in appropriations, or a a business day of the Commission is not to review proposed rule changes, the day on which the Commission’s counted. For example, if an SRO amendment facilitates the statutory Washington, DC office is otherwise not submits a prefiling before 5:30 p.m. on purposes and statutory requirements for open for regular business.16 The Monday, February 1, and OPM a full and adequate review. Without the purpose of the amendment is to clarify announces that Federal agencies in the rule change, an SRO’s proposal might go the treatment of days where the Washington, DC area, including the into effect (e.g., in the case of an Commission is not open and how such Commission, are closed due to immediately effective filing submitted days impact an SRO’s proposed rule inclement weather on Tuesday, pursuant to Section 19(b)(3)(A) of the change submitted pursuant to Rule February 2 and Wednesday, February 3, Exchange Act) in the absence of 19b–4 and an SRO’s obligation to post and the Commission subsequently Commission review, publication in the on its Web site a proposed rule change reopens on Thursday, February 4, then Federal Register, or an opportunity for that has been filed with the February 2 and 3 would not be counted public comment, all of which are Commission, as well as determining the as ‘‘business days’’ that have elapsed for contemplated by the Exchange Act. ‘‘business days’’ upon which the five day purposes of the five day prefiling period Accordingly, the amendment is prefiling and seven day rejection specified in Rule 19b–4(f)(6). intended to support the statutory periods are measured. Separately, for purposes of the two framework in which the Commission The new text in Rule 19b–4(a)(2) business day period within which an reviews and publishes for public applies to several aspects of the SRO must post a proposed rule change comment all SRO proposed rule changes Commission’s operations concerning the on its Web site after filing it with the to help ensure that SROs carry out the processing of SRO proposed rule change Commission, or the two business day purposes of the Exchange Act.19 filings. First, pursuant to Rule 19b–4(k), period within which an SRO must proposed rule filings submitted update its Web site to reflect changes to III. Certain Findings electronically by SROs via its Electronic the text of its rules, any non-business Under the Administrative Procedure Form 19b–4 Filing System (‘‘EFFS’’) on day of the Commission is not counted.17 Act (‘‘APA’’), notice of proposed a day other than a business day of the For example, if an SRO files a proposed rulemaking is not required when an Commission will be accepted by the rule change with the Commission on agency, for good cause, finds ‘‘that Commission, but will have as their date April 1 (a business day) on or before notice and public procedure thereon are of filing the next business day, as 5:30 p.m., and the Commission impracticable, unnecessary, or contrary defined. For example, if the subsequently is not open for regular to the public interest.’’ 20 The Commission is subject to a Federal business on April 2 and 3, then April 2 Commission is making a technical government shutdown in the event of a and 3 would not be counted as amendment to Rule 19b–4 to provide lapse in appropriations from a Monday ‘‘business days’’ that have elapsed for that references to ‘‘business days’’ in through a Friday, and resumes purposes of the Web site posting Section 19 of the Exchange Act and Rule operations the following Monday, an requirement in Rule 19b–4(l). 19b–4 mean any day other than a SRO proposed rule change that was Finally, under Section 19(b)(10)(B) of Saturday, Sunday, Federal holiday, a submitted electronically during the the Exchange Act, the Commission day that the Office of Personnel week the Federal government was shut generally has seven business days after Management has announced that down would, for purposes of Section the date of receipt of a filing to reject as Federal agencies in the Washington, DC 19(b) and Rule 19b–4, receive a filing improperly filed a filing that does not area are closed to the public, a day on date of the Monday the Federal comply with the rules of the which the Commission is subject to a government resumes operations. Commission relating to the required Federal government shutdown in the In the event of a day that the Office form of a proposed rule change.18 Under of Personnel Management has new paragraph (a)(2) to Rule 19b–4, for 19 For example, national securities exchanges are announced that Federal agencies in the purposes of counting the seven business subject to Section 6 of the Exchange Act, 15 U.S.C. Washington, DC area are closed to the day Commission review period, any 78f, which requires, among other things, that the non-business day of the Commission is rules of the SRO be designed to ‘‘prevent fraudulent public, a government shutdown in the and manipulative acts and practices, to promote event of a lapse in appropriations, or not counted. For example, if the just and equitable principles of trade * * * [and] other circumstances that cause the Commission is not open for regular to protect investors and the public interest’’ and that Commission to not be open for regular business on February 1 and 2, but the they not be designed to ‘‘permit unfair Commission reopens on February 3, and discrimination between customers, issuers, brokers, business, the Commission would or dealers.’’ 15 U.S.C. 78f (b)(5). In reviewing an expect, to the extent feasible, to an SRO had submitted a proposed rule SRO’s proposed rule change, Section 19(b)(2)(C) of disseminate through EFFS a general change filing on February 1, February 1 the Exchange Act, 15 U.S.C. 78s(b)(2)(C), provides notification viewable by all SROs and 2 would not be counted as the standards for Commission approval of an SRO’s ‘‘business days’’ that have elapsed for proposed rule change, which direct the Commission reflecting that any proposed rule to consider whether the proposal is consistent with changes that an SRO submits through purposes of the seven day period the Exchange Act and the rules and regulations EFFS on such day or days will not be provided under Section 19(b)(10)(B) thereunder that are applicable to the SRO. For ‘‘filed’’ until the Commission is open for because those days would not be immediately effective filings, the Commission is business days. authorized to suspend the proposal ‘‘if it appears to regular business. the Commission that such action is necessary or Further, under Rule 19b–4(f)(6), an The amendment to Rule 19b–4(a)(2) is appropriate in the public interest, for the protection SRO is required to submit a prefiling at limited solely to Section 19(b) under the of investors, or otherwise in furtherance of the least five business days prior to filing a Exchange Act and Rule 19b–4 purposes of [the Exchange Act].’’ 15 U.S.C. full 19b–4(f)(6) proposed rule change thereunder concerning SRO proposed 78s(b)(3)(C). Accordingly, Commission review of SRO proposed rule changes helps ensure that SRO with the Commission. Under new rule changes. By excluding as business proposed rule changes are consistent with the Exchange Act and the rules thereunder that are 16 The Commission is also redesignating 17 See 17 CFR 240.19b–4(l) and (m), respectively. applicable to the SRO. paragraph (a) of Rule 19b–4 as paragraph (a)(1). 18 See supra note 9. 20 5 U.S.C. 553(b).

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event of a lapse in appropriations, or a List of Subjects in 17 CFR Part 240 DEPARTMENT OF HEALTH AND day on which the Commission’s HUMAN SERVICES Washington, DC office is otherwise Brokers, Confidential business closed for regular business due to other information, Fraud, Reporting and Food and Drug Administration circumstances. The Commission finds recordkeeping requirements, Securities. 21 CFR Part 179 that because the amendment is technical Statutory Basis and Text of Rules in nature and pertains to the Commission’s organization, procedure The Commission is amending 17 CFR [Docket No. FDA–1998–F–0072] (Formerly 98F–0165) or practice, publishing the amendment part 240, pursuant to authority set forth 21 for comment is unnecessary. in the Exchange Act, including Sections Irradiation in the Production, The APA also requires publication of 19(b) and 23(a). Processing, and Handling of Food a rule at least 30 days before its effective date unless the agency finds otherwise PART 240—GENERAL RULES AND AGENCY: Food and Drug Administration, for good cause.22 For the same reasons REGULATIONS, SECURITIES HHS. described above with respect to notice EXCHANGE ACT OF 1934 ACTION: Final rule; denial of requests for and the opportunity for comment, the a hearing and response to objections. Commission finds good cause for this ■ 1. The authority citation for part 240 SUMMARY: technical amendment to take effect continues to read in part as follows: The Food and Drug immediately. Administration (FDA) is responding to Authority: 15 U.S.C. 77c, 77d, 77g, 77j, objections and is denying requests that IV. Consideration of Burden on 77s, 77z–2, 77z–3, 77eee, 77ggg, 77nnn, it received for a hearing on the final rule Competition, and Promotion of 77sss, 77ttt, 78c, 78d, 78e, 78f, 78g, 78i, 78j, that amended the food additive Efficiency, Competition and Capital 78j–1, 78k, 78k–1, 78l, 78m, 78n, 78n–1, 78o, regulations to provide for the safe use of Formation 78p, 78q, 78s, 78u–5, 78w, 78x, 78ll, 78mm, ionizing radiation for the reduction of Section 3(f) of the Exchange Act,23 80a–20, 80a–23, 80a–29, 80a–37, 80b–3, 80b– Salmonella in fresh shell eggs. After provides that whenever the Commission 4 and 80b–11, and 7210 et seq., 18 U.S.C. reviewing objections to the final rule is engaged in rulemaking and is 1350, and 12 U.S.C. 5221(e)(3), unless and requests for a hearing, the Agency required to consider or determine otherwise noted. has concluded that the objections do not whether an action is necessary or * * * * * raise issues of material fact that justify appropriate in the public interest, the ■ 2. Amend § 240.19b–4 by: a hearing or otherwise provide a basis Commission shall consider, in addition for revoking or modifying the ■ to the protection of investors, whether a. Redesignating paragraph (a) as amendment to the regulation. paragraph (a)(1); and the action will promote efficiency, FOR FURTHER INFORMATION CONTACT: competition, and capital formation. ■ b. Adding new paragraph (a)(2). Teresa A. Croce, Center for Food Safety Section 23(a)(2) of the Exchange Act The addition reads as follows: and Applied Nutrition (HFS–265), Food requires the Commission, in adopting and Drug Administration, 5100 Paint rules under the Exchange Act, to § 240.19b–4 Filings with respect to Branch Pkwy., College Park, MD 20740– consider the competitive effects of such proposed rule changes by self-regulatory 3835, 301–436–1281. organizations. rules, if any, and not to adopt a rule that SUPPLEMENTARY INFORMATION: would impose a burden on competition * * * * * I. Introduction not necessary or appropriate in the (a) * * * furtherance of the purposes of the In the Federal Register of March 20, 24 (2) For purposes of Section 19(b) of Exchange Act. 1998 (63 FR 13675), FDA published a the Act and this rule, a ‘‘business day’’ Because the amendment to Exchange notice announcing the filing of a food is any day other than a Saturday, Act Rule 19b–4 is technical in nature, additive petition (FAP), FAP 8M4584, and does not impose any additional Sunday, Federal holiday, a day that the submitted by Edward S. Josephson, requirements beyond those already Office of Personnel Management has University of Rhode Island, Food required, we do not anticipate that the announced that Federal agencies in the Science and Nutrition Research Center, amendment would have a significant Washington, DC area are closed to the to amend the regulations in part 179, effect on efficiency, competition, or public, a day on which the Commission Irradiation in the Production, capital formation, and we do not is subject to a Federal government Processing, and Handling of Food (21 anticipate that any competitive shutdown or a day on which the CFR part 179), to provide for the safe advantages or disadvantages would be Commission’s Washington, DC office is use of ionizing radiation for the created. otherwise not open for regular business. reduction of Salmonella in fresh shell * * * * * eggs. In response to the petition, FDA 21 For similar reasons, the amendment does not issued a final rule in the Federal require analysis under the Regulatory Flexibility Dated: April 7, 2011. Act (‘‘RFA’’) or analysis of major rule status under Register of July 21, 2000 (65 FR 45280), the Small Business Regulatory Enforcement By the Commission. permitting the irradiation of fresh shell Fairness Act. See 5 U.S.C. 601(2) (for purposes of Elizabeth M. Murphy, eggs for the reduction of Salmonella at RFA analysis, the term ‘‘rule’’ means any rule for Secretary. doses not to exceed 3.0 kiloGray (kGy) which the agency publishes a general notice of proposed rulemaking); and 5 U.S.C. 804(3)(C) (for [FR Doc. 2011–8919 Filed 4–12–11; 8:45 am] (hereafter referred to as the ‘‘egg ’’ purposes of Congressional review of agency BILLING CODE P irradiation rule ). FDA based its rulemaking, the term ‘‘rule’’ does not include any decision on data in the petition and in rule of agency organization, procedure or practice its files. In the preamble to the final that does not substantially affect the rights or obligations of non-agency parties). rule, FDA outlined the basis for its 22 See 5 U.S.C. 553(d)(3). decision and stated that objections to 23 15 U.S.C. 78c(f). the final rule and requests for a hearing 24 15 U.S.C. 78w(a)(2). were due within 30 days of the

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publication date (i.e., by August 21, submissions further. The one judgment as a matter of law (see Fed. R. 2000). submission raising specific objections Civ. P. 56). The same principle applies was a letter from Public Citizen (letter in administrative proceedings (see II. Objections and Requests for a to Docket No. 98F–0165, August 17, § 12.24). Hearing 2000). The letter from Public Citizen A hearing request must not only Section 409(f)(1) of the Federal Food, sought revocation of the final rule based contain evidence, but that evidence Drug, and Cosmetic Act (the FD&C Act) on five objections and requested a should raise a material issue of fact (21 U.S.C. 348(f)(1)) provides that, hearing on issues raised by each ‘‘concerning which a meaningful hearing within 30 days after publication of an objection. A more detailed response to might be held’’ (Pineapple Growers order relating to a food additive Public Citizen’s objections is found in Ass’n v. FDA, 673 F.2d 1083, 1085 (9th regulation, any person adversely section IV of this document. In addition, Cir. 1982)). Where the issues raised in affected by such order may file FDA also received one letter in support the objection are, even if true, legally objections, ‘‘specifying with of the egg irradiation rule. insufficient to alter the decision, the particularity the provisions of the order Agency need not grant a hearing (see deemed objectionable, stating III. Standards for Granting a Hearing Dyestuffs and Chemicals, Inc. v. reasonable grounds therefor, and Specific criteria for deciding whether Flemming, 271 F.2d 281, 286 (8th Cir. requesting a public hearing upon such to grant or deny a request for a hearing 1959), cert. denied, 362 U.S. 911 objections.’’ are set out in § 12.24(b). Under that (1960)). A hearing is justified only if the Under 21 CFR 171.110 of the food regulation, a hearing will be granted if objections are made in good faith and if additive regulations, objections and the material submitted by the requester they ‘‘draw in question in a material way requests for a hearing are governed by shows, among other things, the the underpinnings of the regulation at part 12 (21 CFR part 12) of FDA’s following: (1) There is a genuine and issue’’ (Pactra Industries v. CPSC, 555 regulations. Under § 12.22(a), each substantial factual issue for resolution at F.2d 677, 684 (9th Cir. 1977)). A hearing objection must meet the following a hearing; a hearing will not be granted need not be held to resolve questions of conditions: (1) Must be submitted on or on issues of policy or law; (2) the factual law or policy (see Citizens for Allegan before the 30th day after the date of issue can be resolved by available and County, Inc. v. FPC, 414 F.2d 1125, 1128 publication of the final rule; (2) must be specifically identified reliable evidence; (D.C. Cir. 1969); Sun Oil Co. v. FPC, 256 separately numbered; (3) must specify a hearing will not be granted on the F.2d 233, 240 (5th Cir.), cert. denied, with particularity the provision of the basis of mere allegations or denials or 358 U.S. 872 (1958)). regulation or proposed order objected general descriptions of positions and Even if the objections raise material to; (4) must specifically state each contentions; (3) the data and issues of fact, FDA need not grant a objection on which a hearing is information submitted, if established at hearing if those same issues were requested; failure to request a hearing a hearing, would be adequate to justify adequately raised and considered in an on an objection constitutes a waiver of resolution of the factual issue in the way earlier proceeding. Once an issue has the right to a hearing on that objection; sought by the requestor; a hearing will been so raised and considered, a party and (5) must include a detailed be denied if the data and information is estopped from raising that same issue description and analysis of the factual submitted are insufficient to justify the in a later proceeding without new information to be presented in support factual determination urged, even if evidence. The various judicial doctrines of the objection if a hearing is requested; accurate; and (4) resolution of the dealing with finality, such as collateral failure to include a description and factual issue in the way sought by the estoppel, can be validly applied to the analysis for an objection constitutes a person is adequate to justify the action administrative process (see Pac. waiver of the right to a hearing on that requested; a hearing will not be granted Seafarers, Inc. v. Pac. Far East Line, objection. on factual issues that are not Inc., 404 F.2d 804, 809 (D.C. Cir. 1968), Following publication of the final rule determinative with respect to the action cert. denied, 393 U.S. 1093 (1969)). In permitting the irradiation of fresh shell requested (e.g., if the action would be explaining why these principles ought eggs for the reduction of Salmonella, the same even if the factual issue were to apply to an agency proceeding, the FDA received 26 submissions with resolved in the way sought). U.S. Court of Appeals for the District of objections to the rule within the 30-day A party seeking a hearing is required Columbia Circuit wrote: ‘‘The objection period. All but one of these to meet a ‘‘threshold burden of tendering underlying concept is as simple as this: submissions either expressed general evidence suggesting the need for a Justice requires that a party have a fair opposition to the final rule, or objected hearing’’ (Costle v. Pac. Legal Found., chance to present his position. But to the rule based on issues that are 445 U.S. 198, 214 (1980), reh. denied, overall interests of administration do outside the rule’s scope such as the 446 U.S. 947 (1980), citing Weinberger not require or generally contemplate living conditions and practices in v. Hynson, Westcott & Dunning, Inc., that he will be given more than a fair commercial egg production. Although 412 U.S. 609, 620–21 (1973)). An opportunity.’’ Retail Clerks Union, Local most of these letters requested a hearing, allegation that a hearing is necessary to 1401 v. NLRB, 463 F.2d 316, 322 (D.C. no evidence was identified in support of ‘‘sharpen the issues’’ or to ‘‘fully develop Cir. 1972); see also Costle v. Pac. Legal any of these objections that could be the facts’’ does not meet this test Found., 445 U.S. at 215–17). considered in an evidentiary hearing (Georgia-Pacific Corp. v. U.S. EPA, 671 F.2d 1235, 1241 (9th Cir. 1982)). If a IV. Analysis of Objections and (§ 12.22(a)(5)). Therefore, these Response to Hearing Requests objections do not justify a hearing.1 The hearing request fails to identify any Agency will not discuss these factual evidence that would be the The letter from Public Citizen subject of a hearing, there is no point in contains five numbered objections and 1 FDA also received letters after the close of the holding one. In judicial proceedings, a requests a hearing on each of them. FDA objection period that expressed general opposition court is authorized to issue summary addresses each of the objections in this to the egg irradiation rule. Tardy objections fail to judgment without an evidentiary document, as well as the evidence and satisfy the requirements of 21 U.S.C. 348(f)(1) and need not be considered by the Agency (see ICMAD hearing whenever it finds that there are information filed in support of each, v. HEW, 574 F.2d 553, 558 n.8 (D.C. Cir), cert. no genuine issues of material fact in comparing each objection and the denied, 439 U.S. 893 (1978)). dispute and a party is entitled to information submitted in support of it to

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the standards for granting a hearing in shell eggs that are pathogen-free. FDA is with evidence that raises a material § 12.24(b). denying the request for a hearing on this issue of fact with regard to FDA’s point because the action would be the conclusion (American Cyanamid Co. v. A. Findings of Study Co-Authored by same even if the factual issue were FDA, 606 F.2d 1307, 1314 (DC Cir. Donald Thayer resolved in the manner sought 1979)). Public Citizen has submitted no The first objection raised by Public (§ 12.24(b)(4)). information to support that vitamin A Citizen in response to this rule contends loss in fresh shell eggs irradiated under B. Vitamin A Loss that the Agency misrepresented the the conditions of the regulation is a findings of the 1990 study co-authored In the egg irradiation final rule, FDA safety concern. Therefore, this objection by Donald Thayer (Ref. 1). Specifically, states that the vitamin A retention does not raise a genuine and substantial the rule (65 FR 45280 at 45281) states, resulting from the irradiation of shell issue of fact for resolution at a hearing. ‘‘*** S. enteritidis was found to have eggs at a maximum absorbed dose of FDA is denying the request for a hearing similar sensitivities to ionizing radiation 1.0 kGy (65 FR 45280 at 45281) yields on this point because a hearing will not as five other strains of Salmonella’’ (S. a relative retention rate of 76 percent be granted if there is no genuine and is referring to Salmonella) when, in the following a 24-day storage period. substantial factual issue to be resolved original study, Thayer et al. state, Public Citizen asserts that the final rule (§ 12.24(b)(1)). ‘‘S. enteritidis was significantly more misrepresents the vitamin A loss from resistant to ionizing radiation than the fresh shell eggs following irradiation at C. Analysis of Effects of Irradiation on other five strains of Salmonella tested 3.0 kGy because FDA based these Egg Yolk Carotenoids ***.’’ Public Citizen asserts that by conclusions on vitamin A loss from the Public Citizen asserts that FDA’s stating the findings in this manner FDA results of a study that used a maximum analysis regarding the effects of gives ‘‘* * * the false impression that dose of 1.0 kGy compared to the irradiation on egg yolk carotenoids is the same level of radiation can be used maximum petitioned dose of 3.0 kGy, flawed because the information used to to eliminate S. enteritidis as other whereas another study in the petition analyze the nutritional information of strains of Salmonella.’’ showed that vitamin A retention by the egg yolk carotenoids is based on doses The full sentence in the final rule eggs irradiated at 3.1 kGy and stored for of 0.5 kGy and 1.0 kGy, not the states that ‘‘Salmonella strains, in 2, 15, and 33 days was 41.8 percent, petitioned maximum of 3.0 kGy. addition to S. enteritidis, in fresh shell 35.5 percent, and 20.1 percent, FDA acknowledges that Agency’s eggs should also be reduced by respectively (Refs. 3 and 4). analysis of the effects of irradiation on irradiation since S. enteritidis was The studies that Public Citizen refers egg yolk carotenoids was based on found to have similar sensitivities to to were included in the petition and studies performed at lower doses than ionizing radiation as five other strains of were analyzed and considered when the petitioned maximum dose of Salmonella ***.’’ (65 FR 45280 at making the safety assessment. FDA 3.0 kGy; however, because there are a 45281). The reasoning supporting the acknowledges that stating a vitamin A number of commonly consumed foods statement’s conclusion is that because retention in the range of 20.1 to 35.5 that are substantial sources of irradiation reduces S. enteritidis it percent is more appropriate in light of carotenoids in the diet, including would be expected to reduce other the maximum petitioned dose. yellow corn, carrots, and squash (Ref. 7), strains of Salmonella. To the extent that Importantly, in its review of the FDA has no health concerns about the S. enteritidis is more resistant to petition, FDA considered the health loss of carotenoids in the diet from the ionizing radiation than the other strains, implications from vitamin A loss in eggs irradiation of eggs. Public Citizen’s the conclusion is strengthened. Further, at the maximum petitioned dose and request for hearing suggests that there is FDA made clear in the final rule that concluded that the effect on health from potential for harm from the loss of irradiation of fresh shell eggs at the this vitamin loss is not significant carotenoids resulting from the doses requested in the petition will because a variety of foods provide irradiation of shell eggs, without reduce, but not entirely eliminate, vitamin A and the intake of other foods providing any evidence to support this microorganisms in eggs (65 FR 45280 at can compensate for any loss (Refs. 5 and suggestion. An objector must make an 45281). 6). adequate proffer of evidence to support FDA evaluated data provided by the The issue raised by Public Citizen its allegations and to show that they petitioner on the absorbed radiation must be a material issue concerning provide a basis on which to call into required to achieve inactivation of S. which a meaningful hearing might be question the Agency’s conclusions. A enteritidis in shell eggs. The data held (Pineapple Growers Ass’n v. FDA, hearing will be denied if the showed that irradiation at a dose as low 673 F.2d at 1085). The Agency Commissioner of Food and Drugs (the as 1 kGy reduces the viability of S. recognizes that irradiation can produce Commissioner) concludes that the data enteritidis by 3-log10 (99.9 percent nutrient losses under some conditions and information submitted are reduction) (Ref. 2). These data are and has concluded that such effects are insufficient to justify the factual comparable to the results seen by not a safety concern under the determination urged, even if accurate Thayer, et al., in a similar medium conditions of this regulation. To justify (§ 12.24(b)(3)). FDA concludes that the inoculated with S. enteritidis, which a hearing on the vitamin A issue, Public data and information are insufficient; showed a 3- to 4-log10 reduction of this Citizen must provide evidence that the therefore, FDA is denying the request pathogen at a dose of 1 kGy (Ref. 1). nutritional loss in a food irradiated for a hearing based on this objection. Furthermore, the standards for under the conditions of this regulation microbiological safety of fresh shell eggs raises a safety concern because of its D. Request for Updated Analysis for are independent of the final rule cumulative effect on the human diet Irradiation of Fresh Shell Eggs Not To permitting the irradiation of fresh shell (see 21 U.S.C. 348(c)(5)(B)). While FDA Exceed 3.0 kGy eggs. Irradiation is a potential control has the ultimate burden of proof when Public Citizen objects to the egg point in the mitigation of S. enteritidis it approves the use of a food additive, irradiation final rule on the grounds that and other food-borne pathogens. The once the Agency makes a finding of the Agency did not adequately update rule is not predicated on the approved safety in a listing document, the burden ‘‘[n]umerous issues raised in the two treatment, by itself, resulting in fresh shifts to an objector to come forward initial analysis [sic]’’ after the petition

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was amended to allow for doses up to evaluating the safety of irradiated foods report, Public Citizen did not present 3.0 kGy from 1.7 kGy. based on the known effects of food any evidence that these alleged When the petition (FAP 8M4584) was irradiation and on the capabilities of inconsistencies, even if true, would originally submitted, the maximum toxicological testing. The report was have led to a different conclusion petitioned dose was 1.7 kGy. The made available to the public for concerning the safety of irradiation of petition was subsequently amended to comment in the Federal Register of fresh shell eggs. Therefore, FDA is increase the maximum dose to 3.0 kGy March 27, 1981 (46 FR 18992). While denying this objection and request for a and additional chemistry and toxicology the report and the comments received hearing because it raises no factual issue reviews were performed by FDA on it have aided FDA’s thinking that, even if resolved in the way sought following this amendment. Based on regarding the safety testing of irradiated by the objection, would justify the these reviews, FDA concluded that the foods, the report established no action requested (§ 12.24(b)(4)). 3.0 kGy dose for shell eggs did not requirements. Furthermore, FDA has not V. Summary and Conclusion change the general conclusions from the adopted regulations that require original reviews (Refs. 3 and 6). Public toxicological testing of a food additive if Section 409 of the FD&C Act requires Citizen neither specifies the that additive constitutes a certain that a food additive be shown to be safe ‘‘[n]umerous issues’’ nor does it provide portion of the diet, and Public Citizen prior to marketing. Under 21 CFR any information that would cause the has not cited any regulation that 170.3(i), a food additive is ‘‘safe’’ if Agency to change its conclusion that the imposes such a requirement. ‘‘there is a reasonable certainty in the consumption of irradiated shell eggs is In addition, the understanding of minds of competent scientists that the safe. radiolytic products produced by the substance is not harmful under the A hearing will be denied if the irradiation of foods has evolved since intended conditions of use.’’ In the Commissioner concludes that the data 1980. As noted in the egg irradiation Agency’s July 21, 2000, final rule and information submitted are final rule, ‘‘[m]ost of the radiolysis approving the use of irradiation of fresh insufficient to justify the factual products [of shell egg irradiation up to shell eggs, FDA concluded, based on its determination urged, even if accurate 3kGy] are either the same as, or evaluation of the data submitted in the (§ 12.24(b)(3)). FDA concludes that the structurally similar to, compounds petition and other relevant material, that data and information are insufficient; found in foods that have not been this use of irradiation is safe for its therefore, FDA is denying the request irradiated, and are formed in very small intended use for the reduction of for a hearing based on this objection. amounts.’’ (65 FR 45280). Similarly, in Salmonella in fresh shell eggs. the Federal Register of December 3, The petitioner has the burden to E. Bureau of Foods Irradiated Food 1997, for the Agency rulemaking on demonstrate the safety of the additive to Committee Report of 1980 irradiation of refrigerated or frozen gain FDA approval. However, once FDA Public Citizen alleges that FDA failed uncooked meat, meat byproducts, and makes a finding of safety in an approval to follow all of the recommendations certain meat food products to control document, the burden shifts to an put forth in 1980 by the Bureau of Foods food-borne pathogens and extend objector, who must come forward with Irradiated Food Committee (BFIFC) product shelf-life, FDA concluded that, evidence that calls into question FDA’s regarding the evaluation of irradiated ‘‘[i]n irradiated flesh foods, most of the conclusion (see section 409(f)(1) of the foods. Specifically, Public Citizen radiolytic products derived from FD&C Act). quotes the following from a BFIFC proteins have the same chemical Despite its allegations, Public Citizen report: ‘‘Foods irradiated at doses above composition but are altered in their has not established that FDA overlooked 100 Krad [1 kGy] and comprising more secondary and tertiary structures. These significant information in the record that 0.01% of the diet are estimated to changes are similar to those that occur while reaching its conclusion that the contain URPs [Unique Radiolytic as a result of heating, but in the case of use of irradiation for reduction of Products] in sufficient quantity to irradiation, such changes are far less Salmonella in fresh shell eggs is safe. warrant toxicological evaluation. * * * pronounced and the amounts of reaction Therefore, the Agency has determined [T]ests must be performed on extracts in products generated are far lower.’’ (62 that the objections requesting a hearing which the concentration of radiolytic FR 64107 at 64110, December 3, 1997). do not raise any genuine and substantial products is maximized’’ (Ref. 8). Consistent with section 409 of the issue of fact that would justify an Public Citizen then states that there is FD&C Act, the Agency’s decision on the evidentiary hearing (§ 12.24(b)). no indication in the egg irradiation rule safety of the irradiation of fresh shell Accordingly, FDA is not making any or its references that such tests were eggs was based on the entire record. changes in response to the objections conducted or reviewed by the FDA FDA reviewed and evaluated studies and is denying the requests for a before the petition was approved. submitted in the petition as well as hearing. The assertion that FDA failed to additional toxicology studies of comply with recommendations set forth irradiated foods, including red meat, VI. References by the BFIFC committee has been raised chicken, fish and eggs, which are The following references are on previously by Public Citizen and others available in Agency files. Included in display in the Division of Dockets and has been responded to by the the data considered by the FDA in Management (HFA–305), Food and Drug Agency in the molluscan shellfish final review of the petition were at least three Administration, 5630 Fishers Lane, rm. rule (70 FR 48057 at 48069, August 16, studies conducted specifically on 1061, Rockville, MD 20857, under 2005) and in other previous rulemakings irradiated eggs. Docket No. FDA–1998–F–0072 regarding the irradiation of food (see, Once the Agency makes a finding of (formerly 98F–0165) and may be seen by e.g., 53 FR 53176 at 53179, December safety in an approval document, the interested persons between 9 a.m. and 30, 1988, and 62 FR 64102 at 64105, burden shifts to an objector to come 4 p.m., Monday through Friday. (FDA December 3, 1997). forward with evidence that calls into has verified the Web site address, but As discussed previously, the BFIFC question FDA’s conclusion (see FDA is not responsible for any report was an internal document § 12.24(b)(2)). Although Public Citizen subsequent changes to the Web site after prepared by FDA scientists that alleged that the rule did not comply this document publishes in the Federal provided recommendations for with the recommendations in the BFIFC Register.)

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1. Thayer, D. W., G. Boyd, W.S. Muller, et al. developing and manufacturing safe, for an exception or alternative will be ‘‘Radiation resistance of Salmonella,’’ pure, and potent biological products considered on a case-by-case basis to Journal of Industrial Microbiology, 5: licensed under the Public Health determine whether the product at issue 383–390, 1990. Service Act (the PHS Act) that, in some meets the statutory and regulatory 2. Memorandum for FAP 8M4584 from V. K. instances, render the existing Bunning, FDA, to W. Trotter, FDA, April criteria for safety, purity, and potency 4, 2000. constituent materials regulation too for use in the intended population. The 3. Memorandum for FAP 8M4584 from K. prescriptive and unnecessarily Director of CBER or CDER will only Morehouse, FDA, to W. Trotter, FDA, restrictive. This rule provides approve a request for an exception or April 11, 2000. manufacturers of biological products alternative after determining that the 4. Memorandum for FAP 8M4584 from K. with flexibility, as appropriate, to particular request meets this prescribed Morehouse, FDA, to W. Trotter, FDA, employ advances in science and criteria for the intended population. May 14, 1999. technology as they become available, Examples of how the final rule provides 5. Memorandum for FAP 8M4584 from I. without diminishing public health flexibility (such as alternatives to the Chen, FDA, to W. Trotter, FDA, protections. December 11, 1998. use of preservatives and modifications 6. Memorandum for FAP 8M4584 from I. DATES: This rule is effective May 13, to the amount of aluminum permitted in Chen, FDA, to W. Trotter, FDA, March 2011. certain biological products), without 31, 2000. diminishing public health protections, FOR FURTHER INFORMATION CONTACT: Paul 7. U.S. Department of Agriculture, are provided in the paragraphs that E. Levine, Jr., Center for Biologics Agricultural Research Service, USDA follow.1 Evaluation and Research National Nutrient Database for Standard Standards for certain constituent Reference, Release 23, Nutrient Data (HFM–17), Food and Drug Laboratory Home Page (http:// Administration, 1401 Rockville Pike, materials present in biological products www.ars.usda.gov/ba/bhnrc/ndl), 2010. Suite 200N, Rockville, MD 20852–1448, are provided under § 610.15. Section 8. Bureau of Foods Irradiated Foods 301–827–6210. 610.15(a) requires that all ingredients Committee, Recommendations for SUPPLEMENTARY INFORMATION: used in a licensed product, and any Evaluating the Safety of Irradiated Food, diluent provided as an aid in the Prepared for the Director, Bureau of I. Background administration of the product, meet Foods, FDA, July 1980. In the Federal Register of March 30, generally accepted standards of purity Dated: April 8, 2011. 2010 (75 FR 15639), FDA published a and quality. Any preservative used must Leslie Kux, proposed rule to amend the regulations be sufficiently nontoxic so that the Acting Assistant Commissioner for Policy. for constituent materials under § 610.15 amount present in the recommended [FR Doc. 2011–8815 Filed 4–12–11; 8:45 am] (21 CFR 610.15). Constituent materials dose of the product will not be toxic to the recipient, and in the combination BILLING CODE 4160–01–P include ingredients, preservatives, diluents, adjuvants, extraneous protein used, it must not denature the specific and antibiotics that are contained in a substances in the product to result in a DEPARTMENT OF HEALTH AND biological product. FDA is amending the decrease below the minimum acceptable HUMAN SERVICES regulation for constituent materials to potency within the dating period when allow the Director of CBER or the stored at the recommended temperature. Food and Drug Administration Director of CDER, as appropriate, to Products in multiple-dose containers approve an exception or alternative to must contain a preservative, except that 21 CFR Part 610 the requirements under § 610.15. An a preservative need not be added to exception or alternative will be Yellow Fever Vaccine; Poliovirus [Docket No. FDA–2010–N–0099] considered for approval when the data Vaccine Live Oral; viral vaccines Revision of the Requirements for submitted in support of such a request labeled for use with the jet injector; Constituent Materials establish the safety, purity, and potency dried vaccines when the accompanying of the biological product for the diluent contains a preservative; or to an AGENCY: Food and Drug Administration, conditions for which the applicant is allergenic product in 50 percent or more HHS. seeking approval. Under the final rule, volume in volume (v/v) glycerin. ACTION: Final rule. the Director of CBER or CDER would not Furthermore, under § 610.15, an approve an exception or alternative adjuvant must not be introduced into a SUMMARY: The Food and Drug when the data or the conditions of use, product unless there is satisfactory Administration (FDA) is amending the including indication and patient evidence that it does not affect biologics regulations to permit the population, for which the applicant is adversely the safety or potency of the Director of the Center for Biologics seeking approval, do not provide a product. Evaluation and Research (CBER) or the sufficient scientific and regulatory basis Section 610.15(a) also requires that Director of the Center for Drug for such an approval. the amount of aluminum in the Evaluation and Research (CDER), as The final rule provides manufacturers recommended individual dose of a appropriate, to approve exceptions or of biological products with flexibility, as biological product not exceed: alternatives to the regulation for appropriate, to employ advances in 1. 0.85 milligrams if determined by constituent materials. A request for an science and technology, as they become assay; exception or alternative will be available. However, the final rule does considered for approval when the data not diminish public health protections 1 Although specific examples for use of submitted in support of such a request that are provided by existing laws and extraneous protein and antibiotics are not provided, establish the safety, purity, and potency regulations. The final rule gives the final rule also allows for flexibility in applying of the biological product for the manufacturers the potential to employ the existing standards for extraneous proteins and conditions of use, including indication advances in science and technology if antibiotics (§ 610.15(b) and (c)); provided that each request for an alternative or exception to these and patient population, for which the the data provide a sufficient regulatory requirements is supported by data that establish the applicant is seeking approval. FDA is basis for approval of the product. This safety, purity, and potency of the biological taking this action due to advances in means that each manufacturer’s request product.

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2. 1.14 milligrams if determined by declined in recent years with the use of certain groups (such as renal dialysis calculation on the basis of the amount products filled in single-dose containers patients), who were understood to be at of aluminum compound added; or that do not require addition of a high risk of contracting hepatitis, might 3. 1.25 milligrams determined by preservative, some biological products require a higher dosage of the hepatitis assay provided that data demonstrating such as inactivated influenza virus B vaccine, which would in turn, require that the amount of aluminum used is vaccines are still presented in multi- amounts of aluminum as high as 1.25 safe and necessary to produce the dose containers with a preservative. The mg per dose. (See ‘‘General Biological intended effect are submitted to and use of preservatives could also decline Products Standards; Aluminum in approved by the Director of CBER or the further as manufacturers develop and Biological Products,’’ 46 FR 51903, Director of CDER. employ new technologies, such as October 23, 1981. See also ‘‘General Section 610.15 establishes standards multi-dose adaptors to prevent Biological Products Standards for for the presence of certain constituent contamination of products in multiple- Aluminum in Biological Products,’’ 46 materials in licensed, biological dose containers, without the use of FR 23765, April 28, 1981). products and/or strictly limits the preservative. The aluminum content per dose in the amount of certain constituent materials However, the current regulation under formulation of a licensed biological present in licensed biological products. § 610.15(a) does not provide FDA with product, as specified in § 610.15(a), However, in order to employ flexibility to consider situations (outside reflects the NIH Minimum advancements in science and of the listed exceptions) in which to Requirements for Diphtheria Toxoid technology to benefit the public health, allow the use of preservative-free (1947) 6 and Tetanus Toxoid (1952).7 flexibility in applying these regulatory vaccines in multiple-dose containers. It The final rule does not alter the existing standards is needed. is necessary for FDA to have flexibility requirements regarding the amount of For example, § 610.15 contains in applying the regulatory requirements aluminum in a biological product. specific requirements as to for preservatives when, for example, Instead, in a change that is analogous to preservatives. Preservatives are state-of-the art technologies, such as the the one FDA issued in 1981, involving compounds that kill or prevent the development of devices to ensure the groups who were at high risk of growth of micro-organisms, particularly aseptic withdrawing offer a safe contracting hepatitis, the final rule bacteria and fungi. The current alternative to the use of preservatives in allows either the Director of CBER or the requirements for preservatives were multiple-dose containers. The final rule Director of CDER to approve an based, at least in part, on reports from permits the Director of CBER or the exception or alternative when the scientific literature concerning serious Director of CDER to approve a request Director determines that a biological injuries and deaths associated with to market a biological product in product meets the requirements for bacterial contamination of multiple- multiple-dose containers without the safety, purity, and potency for the dose containers of vaccines that did not use of a preservative, if the conditions for which the applicant is contain a preservative.2 As discussed manufacturer demonstrates that seeking approval, but contains an previously, § 610.15 provides for limited sufficient measures, such as an aseptic amount of aluminum that is higher than exceptions from the preservative withdrawing technique through the use currently permitted by § 610.15. For requirement. These exceptions include of an appropriate device, ensure that the example, the final rule permits the live viral vaccines that had been product continues to meet the statutory Director of CBER or CDER to approve a licensed under section 351 of the PHS and regulatory requirements for safety, manufacturer’s request for an exception Act (42 U.S.C. 262) and that were in purity, and potency. Thus, the final rule to use a proposed therapeutic vaccine production when the National Institutes allows flexibility in the use of for treating individuals with cancer, of Health (NIH) issued the 1968 advancements in technology to provide when the proposed vaccine contains regulation.34 a public benefit, while continuing to aluminum levels higher than currently Preservatives in multiple-dose ensure the safety, purity, and potency of allowed but still meets the requirements containers have a long record of safe the product. of safety, purity, and potency. and effective use in preventing Another example where it is II. Clarifications to the Preamble of the microbial growth in the event that the necessary for FDA to have flexibility in Proposed Rule vaccine is accidentally contaminated, as applying current regulatory might occur with repeated punctures of requirements pertains to the amount of FDA received comments on the rule a multiple-dose container. Even though aluminum permitted under § 610.15(a) from manufacturers, private and public the use of preservatives has significantly in the recommended single human dose interest groups, and the general public. of a biological product. Aluminum, in In response to comments expressing 2 See ‘‘The National Vaccine Advisory Committee the form of an aluminum salt, is used as concerns about the safety of a licensed Sponsored Workshop on Thimerosal Vaccines,’’ pp. product for which FDA grants an 21–25, August 11, 1999. See also Wilson, Graham an adjuvant in certain biological S., Hazards of Immunization, 1967. products. The existing regulation limits exception or alternative to current 3 With the creation of NIH, NIH had regulatory the amount of aluminum per dose to no regulations, FDA emphasizes that a authority over biological products until 1972, at more than 0.85 milligrams (mg) if manufacturer’s request for an exception which time they were transferred to FDA. NIH determined by assay or 1.14 mg if or alternative will not be approved issued the precursor regulation to constituent unless the submitted data meet the materials, § 610.15, in the Federal Register of determined by calculation on the basis January 10, 1968 (33 FR 367 at 369). See the Federal of the amount of aluminum compound Register notice of June 29, 1972 (37 FR 12865) and added. In 1981, FDA amended determined by assay provided that data the Federal Register notice of August 9, 1972 (37 demonstrating that the amount of aluminum used FR 15993), for more information concerning the § 610.15(a) to increase the permissible is safe and necessary to produce the intended effect transfer of authority from NIH to FDA and how the level of aluminum per dose to 1.25 mg are submitted to and approved by the Director, regulations pertaining to biological products under both to make the regulation consistent Bureau of Biologics. ‘‘General Biological Products 21 CFR part 73 were transferred to the then newly with World Health Organization Standards; Aluminum in Biological Products,’’ (46 established 21 CFR part 273. FR 51903, October 23, 1981). 5 4 Biological products had contained preservatives standards, and because it appeared that 6 NIH, Minimum Requirements for Diphtheria prior to 1968. ‘‘The National Vaccine Advisory Toxoid, 4th Revision, 1947. Committee Sponsored Workshop on Thimerosal 5 More specifically, the amendment permitted the 7 NIH, Minimum Requirements for Tetanus Vaccines,’’ p. 24, August 11, 1999. use of up to 1.25 mg per dose of aluminum Toxoid, 4th Revision, 1952.

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statutory and regulatory criteria for disagreed with the proposed rule. Some of the biological product for its intended safety, purity, and potency for use in the of the comments on the proposed rule use. In developing data necessary to intended population. FDA also were similar to or duplicates of other support a request for an exception or emphasizes that the product at issue comments received, and have been alternative, manufacturers must comply must be shown to be safe, pure, and grouped together, where appropriate, to with all applicable laws and regulations, potent for the conditions of use, facilitate a uniform response. including the procedures and including proposed indication and To make it easier to identify the requirements for investigational new patient population, for which the comments and our corresponding drug applications (INDs) and BLAs applicant is seeking approval, in responses, the word ‘‘Comment’’ under parts 312 and 601 (21 CFR parts determining whether the product may followed by a number is placed in 312 and 601). Only after FDA be approved. FDA further clarifies that parentheses and is used to indicate a determines that the biological product consideration for approval of a request particular comment or set of similar meets the statutory and regulatory will be done case-by-case and will be comments, as appropriate. The word criteria for safety, purity, and potency, based on review of the data submitted ‘‘Response’’ in parentheses precedes and is acceptable for use in the intended in support of a request. FDA’s response to a comment. The population, may the Director of CBER or In addition, in response to comments, order of comments and responses, as CDER approve a request for an FDA clarifies that there is both a need listed, do not represent a value assigned exception or alternative. for FDA to have flexibility in applying to the comment but is used for However, FDA strongly encourages the regulatory standards in § 610.15, and organizational purposes only. early communication from a need for manufacturers to have (Comment 1) Several comments manufacturers intending to submit a flexibility in employing advancements supported the proposed rule. One such request for an exception or alternative to in science and technology for comment praised the rule for the requirements under § 610.15. This developing new safe, pure, and potent broadening the potential capacity for includes pre-IND and IND alternatives to current products. FDA biologics manufacturers to provide communications by which provides more discussion on the need medicines to the public without manufacturers may seek FDA advice compromising the high level for flexibility in the responses to concerning issues such as data needed expectation of demonstrating safety, comments on the proposed rule. to support the rationale for testing a FDA considered all comments purity, and potency. Another comment biological product in humans, the received in response to the proposed supported the proposed rule for design of nonclinical pharmacology, rule and has determined that the providing a means to advance toxicology, and drug activity studies, proposed rule should be issued as a ‘‘innovative science’’ and applications of initial development plans for the final rule. Accordingly, FDA is issuing use. Yet another comment expressed biological product, and regulatory as a final rule the amendment to interest in seeing the ‘‘reasonable requirements for demonstrating safety, § 610.15 under paragraph (d) to permit flexibility’’ provided in the proposed purity, and potency. Early the Director of CBER or the Director of rule extended to other CDER, as appropriate, to approve an biopharmaceutical fields. Still another communications between FDA and exception or alternative to the comment found the conditions and manufacturers, as described previously, regulatory requirements for constituent recommendations in the proposed rule are intended to be advisory and are not materials, when the data submitted with to be comprehensible and useful. to be interpreted as approval of a the request for approval of an exception (Response) FDA acknowledges and request for an exception or alternative. or alternative establish the safety, appreciates the supportive comments. (Comment 3) One comment requests purity, and potency of the biological As previously stated, the rule allows agreement from FDA that sponsors may product, and is acceptable for use in the FDA the flexibility to approve an administer multiple doses taken from intended population. All requirements exception or alternative to the individual preservative-free multi-dose under § 610.15 remain in effect, except constituent materials regulation, vials in clinical trials prior to licensure, those for which the Director approves without diminishing public health as long as the sponsor follows pre- an exception or alternative. FDA protections. As such, the final rule approved aseptic procedures in defined approval of an exception or alternative provides patients safe access to time periods to support this format as will be done case-by-case, based on the important products resulting from part of the original license application. data submitted for a specific product. advances in science and technology. (Response) FDA does not agree with Manufacturers seeking approval of an FDA continues to review existing the comment. The current regulation for exception or alternative must submit a regulations and may propose preservatives requires that products in request in writing. The request may be modification of these regulations as multiple-dose containers contain a submitted as part of the original appropriate for public health and safety. preservative, with listed exceptions. The biologics license application (BLA) or as (Comment 2) One comment requests final rule provides the Director of CBER an amendment to the original, pending clarification as to whether a request for or CDER with flexibility to approve a application or as a prior approval an exception or alternative to the request for an exception or alternative to supplement to an approved application. requirements under § 610.15 can be this requirement. However, FDA will made earlier in clinical development consider each request for an exception III. Comments on the Proposed Rule rather than waiting until submitting the or alternative on a case-by-case basis FDA received 15 letters of comment original BLA. and approval of such a request will be on the proposed rule, not including 1 (Response) FDA clarifies that based on the determination that the data duplicate letter from the same although a manufacturer may submit a submitted with the request establishes a commenter. As stated previously, these request for an exception or alternative regulatory basis for approval. Sponsors comments were received from early in the clinical development of a seeking to investigate the use of a new manufacturers, private and public biological product, FDA considers such biological product in humans must interest groups, and the general public. a request to be timely when the data follow the procedures and requirements Several of the comments supported the intended to support the request for investigational drugs under part 312. proposed rule and several comments establish the safety, purity, and potency (See also Response to Comment 4).

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(Comment 4) Several comments requirements for product approvals but biological products, which include opposed the proposed rule because the also establish the requirements for review by appropriate internal and commenters understood the rule to give clinical investigations of unapproved external experts. In addition, the current the Director of CBER or CDER sole biologics (21 U.S.C. 355(i) and 42 U.S.C. regulations allow for public and private authority in the decisionmaking process 262(a)(2)(A)). In accordance with part entities to participate in FDA’s review to approve a request for an exception or 312, manufacturers seeking to process, as appropriate. This process alternative. Another comment stated investigate the use of a new biological serves to increase transparency and that the proposed rule does not allow product in humans must follow helps ensure that the public health is for a deliberative process for vaccine specified procedures and requirements protected. The final rule maintains these ingredient changes. Other comments for investigational biological products. important regulatory procedures and stated that the drug industry had too During the IND process, manufacturers requirements while increasing FDA’s much influence upon government must submit, for FDA review, data and flexibility in employing advances in agencies including FDA, and that all proposals for additional studies science and technology. decisions about additives should reside intended to support the safety, purity, (Comment 5) Several comments with many experts, in order to avoid the and potency of a biological product. opposed the proposed rule because the potential of undue influence. One Manufacturers also are required to commenters believe the rule would comment seeks greater transparency provide information on patient make the use of vaccines less safe. One from FDA and manufacturers for all outcomes and adverse events observed commenter stated that FDA is ignoring aspects of biologics. Another comment during this investigation. FDA reviews its mandate to make vaccines safer by states that all changes to medicine, the submitted data and, upon any and all means at its disposal; that particularly those ‘‘which are proscribed determining that the biological product FDA is making vaccines less safe by by some government entities, should be does not represent an unreasonable risk removing the certainty as to the subject to a public review.’’ to the safety of the persons who are the minimum standards that a biological (Response) FDA acknowledges and subjects of the clinical investigation, product must meet; and that the appreciates all comments on the will allow a manufacturer to proceed proposed rule does not require that the proposed rule. FDA agrees with with the investigational use of a written requests for such exemptions or comments supporting public review and biological product. A manufacturer, alternatives include the appropriate transparency. However, FDA disagrees after developing data to support proofs (toxicological and with the comments opposing the approval, may submit a BLA to FDA for immunological) of the short-term and authority of the Director of CBER or review and approval. long-term safety to the most susceptible CDER to approve a biologic product. Under § 601.2, the Director of CBER or humans. A few comments stated that an FDA also disagrees with the comments CDER may approve a manufacturer’s increase in the amount of aluminum that the rule places the decisionmaking application for a biologics license only may compromise the safety of vaccines. process in the hands of one person, does after a manufacturer submits an Another comment stated that families not allow for a deliberative process for application accompanied by data do not feel that the current regulations vaccine ingredient changes, and that derived from nonclinical laboratory and are ‘‘too prescriptive and unnecessarily manufacturers will have an undue clinical studies that demonstrate that restrictive,’’ and that families would influence in the approval process. the manufactured product meets prefer more stringent rules. Other Under the provisions of the PHS Act, requirements of safety, purity, and comments discussed specific concerns and the Federal Food, Drug, and potency. These data are reviewed by with already-approved vaccines. Cosmetic Act (the FD&C Act), FDA has appropriate experts to determine (Response) FDA acknowledges these the authority to issue and enforce whether the application meets the comments, as many of the issues were regulations designed to ensure that statutory and regulatory requirements. considered in drafting the proposed biological products are safe, pure, and In addition to the recommendations rule. However, FDA disagrees with the potent. Through delegations of made by these experts, the Director of assertion that the rule will result in a 8 authority, the Directors of CBER and CBER or CDER may seek input from decrease in the safety of vaccines and CDER have been given the authority to other sources within and outside of FDA other biological products for which a approve biological products. Thus, the to determine whether the application request for an exception or alternative to Directors of CBER and CDER may should be approved. Further, FDA any requirement under § 610.15 is made approve a biologic product determined closely monitors the safety of a and approved. These regulations will to be safe, pure, and potent, based on biological product during its pre- continue to be the criteria by which all factors that include review of data, and approval and post-approval license applications will be evaluated. in some cases, taking into account development, and may take corrective However, in order to employ recommendations and input from action, as necessary to protect the advancements in treatment for certain independent experts (e.g., advisory public. populations, such as treatment for committees), input from interested In addition to the review process individuals suffering from life- parties, and public comments. described previously, a sponsor, threatening conditions (e.g., cancer), The PHS Act and the FD&C Act applicant, or manufacturer of a FDA needs flexibility in applying the provide FDA with the authority to issue biological product regulated under the regulations. By analogy, as is stated in regulations that not only establish the PHS Act (42 U.S.C. 262), may request the drug regulations at 21 CFR review of a scientific controversy by an 314.105(c): 8 Delegations of authority give certain officials in appropriate scientific advisory panel CBER and CDER the legal authority to take (§ 10.75(b)(2) (21 CFR 10.75(b)(2)). Also, While the statutory standards apply to all substantive actions and perform certain functions of under § 10.75(c), interested persons drugs, the many kinds of drugs that are the Commissioner of Food and Drugs. Staff Manual subject to statutory standards, and the wide Guide 1410.702 available on the Internet at outside of FDA may request internal range of uses for those drugs demand http://www.fda.gov/AboutFDA/ review of a decision through established ReportsManualsForms/StaffManualGuides/ flexibility in applying the standards. Thus ucm049563.htm (accessed October 22, 2010); ‘‘Drug FDA channels of supervision or review. FDA is required to exercise its scientific and Biological Product Consolidation,’’ (68 FR Thus, the current regulations establish judgment to determine the kind and quantity 38067, June 26, 2003). procedures for review and evaluation of of data and information an applicant is

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required to provide for a particular drug to through guidances and other that FDA should take cost meet the statutory standards. communications which are provided to considerations into account when The final rule is consistent with this assist interested parties in complying making a decision to approve a vaccine CDER regulation as it allows the with regulatory standards for the safety, are inconsistent with FDA’s regulatory Directors of CBER and CDER flexibility purity, and potency of a product. authority. Although FDA is sensitive to in applying current standards for the (Comment 7) One comment provided issues of cost, current statutory approval of an exception or alternative alternative revisions to the proposed standards for constituent materials are to § 610.15, when data submitted with rule and other subsections within based on the safety, purity, and potency the request for an exception or § 610.15. Specifically, the commenter of the product. Furthermore, the alternative, establish the safety, purity, proposed that FDA revise the proposed suggested revisions to the proposed rule and potency of the biological product. rule to read as follows: inappropriately limit what FDA may Further, consistent with existing Alternatives. Except for the generally consider with respect to a request for an statutory and regulatory requirements, accepted standards of purity and quality, in exception or alternative. Manufacturers the Directors of CBER and CDER will keeping with the vaccine safening mandates are required by current regulations to not approve a biological product that is set forth in 42 U.S.C. 300aa–27’’; *** ‘‘the submit all available data, including unsafe for the intended population. The Director of the Center for Biologics adverse event reports, with a BLA. FDA final rule does not alter these statutory Evaluation and Research or the Director of reviews the data to determine whether the Center for Drug Evaluation and Research and regulatory requirements nor does it an application should be approved. The may approve an exception or alternative to final rule, as consistent with current guarantee that a request for an exception any requirement in this section, provided the or alternative will be approved. The manufacturer proves that the exception or regulations, does not allow the Director final rule only allows the Director of alternative would improve the safety of the of CBER or CDER to approve an CBER or CDER the flexibility to approve biological drug product or, failing that, application if the data are not sufficient a manufacturer’s request for an improves the effectiveness, not efficacy, or to establish that the biological product exception or alternative if the reduces the per dose cost, of the biological is safe, pure, and potent in relation to manufacturer demonstrates that the drug product without reducing the safety of the manufacturer’s intended use of the ’’ ‘‘ biological product is safe, pure, and said product ; and * * * include the product. findings, pro and con, of and the data from potent for use in the intended all of the studies conducted to support the IV. Legal Authority population. request. With regard to comments expressing FDA is issuing this regulation under concern about the safety of previously (Response) FDA acknowledges the the biological products provisions of the licensed vaccines or specific ingredients comment and appreciates the PHS Act (42 U.S.C. 262 and 264) and in previously licensed vaccines, FDA suggestions for revising § 610.15. the drugs and general administrative notes that those comments concerning However, in accordance with the provisions of the FD&C Act (sections previously licensed vaccines are outside regulations, FDA is seeking public 201, 301, 501, 502, 503, 505, 510, 701, the scope of this rulemaking action comment only on the proposed rule to and 704) (21 U.S.C. 321, 331, 351, 352, because the rule only allows the permit the Director of CBER or the 353, 355, 360, 371, and 374). Under Director of CBER or CDER to approve a Director of CDER, as appropriate, to these provisions of the PHS Act and the manufacturer’s request for an exception approve exceptions or alternatives to the FD&C Act, we have the authority to or alternative to any requirement in regulation for constituent materials. issue and enforce regulations designed § 610.15, when the data submitted in FDA’s response to the comments to ensure that biological products are support of such a request establish the requesting revisions to the proposed safe, pure, and potent; and prevent the safety, purity, and potency of the rule are discussed in the paragraphs that introduction, transmission, and spread biological product. follow. of communicable disease. (Comment 6) One comment opposed FDA disagrees with the commenter’s V. Analysis of Impacts the proposed rule because the suggested revisions to the proposed rule commenter did not know how FDA because the revisions inappropriately A. Review Under Executive Order would monitor or enforce requirements limit the application of the rule to 12866, the Regulatory Flexibility Act, for adequate storage, aseptic vaccines; allow more flexibility than is and the Unfunded Mandates Reform withdrawing techniques, and timely use intended for approving a manufacturer’s Act of 1995 of vaccines in multiple-dose containers request for an exception or alternative; FDA has examined the impacts of the without preservative or if additional may lead to confusion about the rule; final rule under Executive Order 12866 training would be given to health care and are unnecessary. As discussed and the Regulatory Flexibility Act providers. previously, the final rule allows the (5 U.S.C. 601–612), and the Unfunded (Response) In addressing this Director of CBER or CDER flexibility to Mandates Reform Act of 1995 (Pub. L. comment, FDA clarifies that all requests approve a request for an exception or 104–4). Executive Order 12866 directs for an exception or alternative are alternative to a requirement under agencies to assess all costs and benefits subject to FDA regulations regarding the § 610.15 provided that data are of available regulatory alternatives and, monitoring and enforcement of submitted that establish the safety, when regulation is necessary, to select regulatory standards. These regulations purity, and potency of the specific regulatory approaches that maximize were established to assure the quality biological product. These statutory and net benefits (including potential and integrity of data submitted to FDA regulatory requirements apply to the use economic, environmental, public health in support of new product approvals of constituent materials in all biological and safety, and other advantages; and to protect the rights and welfare of products and not just to vaccines as the distributive impacts; and equity). The the public. FDA accomplishes this comment suggests. In addition, FDA Agency believes that this final rule is through various means, including may only approve a BLA for a vaccine not a significant regulatory action under conducting onsite inspections, data or other biological product if it has been the Executive order. audits, product testing, and report demonstrated to be ‘‘safe, pure, and The Regulatory Flexibility Act monitoring. FDA also provides advice potent.’’ The commenter’s suggestions requires agencies to analyze regulatory

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options that would minimize any data indicate that biological products in Authority: 21 U.S.C. 321, 331, 351, 352, significant impact of a rule on small their exempted forms will be safe, pure, 353, 355, 360, 360c, 360d, 360h, 360i, 371, entities. Because the final rule allows and potent for the conditions for which 372, 374, 381; 42 U.S.C. 216, 262, 263, 263a, the Director of CBER or the Director of the applicant is seeking approval. As 264. CDER, as appropriate, to approve experience with the October 1981 rule ■ 2. Amend § 610.15 by adding exceptions or alternatives to the has shown, FDA is able to conduct a paragraph (d) to read as follows: regulations for constituent materials, constituent materials exemption process this action increases the flexibility and in a manner that is consistent with its § 610.15 Constituent materials. reduces the regulatory burden for public health mandate. For all these * * * * * affected entities. Therefore, FDA reasons, we believe the final rule will (d) The Director of the Center for certifies that the final rule will not have impose no overall public health cost. Biologics Evaluation and Research or a significant economic impact on a the Director of the Center for Drug substantial number of small entities. B. Environmental Impact Evaluation and Research may approve Section 202(a) of the Unfunded The Agency has determined under 21 an exception or alternative to any Mandates Reform Act of 1995 requires CFR 25.31(h) that this action is of a type requirement in this section. Requests for that agencies prepare a written that does not individually or such exceptions or alternatives must be statement, which includes an cumulatively have a significant adverse in writing. assessment of anticipated costs and effect on the human environment. Dated: April 7, 2011. ‘‘ benefits, before proposing any rule that Therefore, neither an environmental Leslie Kux, includes any Federal mandate that may assessment nor an environmental Acting Assistant Commissioner for Policy. result in the expenditure by State, local, impact statement is required. and tribal governments, in the aggregate, [FR Doc. 2011–8885 Filed 4–12–11; 8:45 am] or by the private sector, of $100,000,000 C. Federalism BILLING CODE 4160–01–P or more (adjusted annually for inflation) FDA has analyzed this final rule in in any one year.’’ The current threshold accordance with the principles set forth DEPARTMENT OF JUSTICE after adjustment for inflation is $135 in Executive Order 13132. FDA has million, using the most current (2009) determined that the final rule does not Drug Enforcement Administration Implicit Price Deflator for the Gross contain policies that have substantial Domestic Product. FDA does not expect direct effects on the States, on the 21 CFR Part 1314 this final rule to result in any 1-year relationship between the National [Docket No. DEA–347I] expenditure that would meet or exceed Government and the States, or on the this amount. distribution of power and RIN 1117–AB30 The benefit of this regulatory action is responsibilities among the various its reduction, through greater flexibility Self-Certification and Employee in the regulatory requirements, of levels of government. Accordingly, the Agency has concluded that the final rule Training of Mail-Order Distributors of burdens on the biological products Scheduled Listed Chemical Products industry. These issues are discussed in does not contain policies that have greater detail in section I of this federalism implications as defined in AGENCY: Drug Enforcement document. Industry cost reductions may the Executive order and, consequently, Administration (DEA), Department of result in consumers being offered lower a federalism summary impact statement Justice. is not required. prices or wider availability of existing ACTION: Interim final rule with request and new biological products; this would VI. Paperwork Reduction Act of 1995 for comment. have a positive effect on patients’ welfare. Section 610.15(d) of this final rule SUMMARY: On October 12, 2010, the Any administrative and paperwork contains reporting requirements that President signed the Combat costs associated with this regulatory were submitted for review and approval Methamphetamine Enhancement Act of action are expected to be minimal and to the Director of the Office of 2010 (MEA). It establishes new widely dispersed among affected Management and Budget (OMB), as requirements for mail-order distributors entities. Based on FDA experience, we required by section 3507(d) of the of scheduled listed chemical products. estimate that we would receive a total Paperwork Reduction Act of 1995. The Mail-order distributors must now self- of approximately three requests requirements were approved and certify to DEA in order to sell scheduled annually for an exception or alternative assigned OMB control number 0910– listed chemical products at retail. Sales under § 610.15. FDA experience with 0666. at retail are those sales intended for similar information collection List of Subjects in 21 CFR Part 610 personal use; mail-order distributors requirements suggests that that sell scheduled listed chemical approximately 1 hour would be required Biologics, Labeling, Reporting and products not intended for personal use, to prepare and submit each such recordkeeping requirements. e.g., sale to a university, are not affected request. Therefore, under the Federal Food, by the new law. This self-certification We received comments expressing Drug, and Cosmetic Act and the Public must include a statement that the mail- concern that this rule would generate Health Service Act, and under authority order distributor understands each of additional costs in the form of negative delegated to the Commissioner of Food the requirements that apply under part public health effects. FDA has and Drugs, 21 CFR part 610 is amended 1314 and agrees to comply with these considered the potential for adverse as follows: requirements. Additionally, mail-order consequences, including increased distributors are now required to train morbidity and mortality, associated PART 610—GENERAL BIOLOGICAL their employees prior to self with allowing deviations from the PRODUCTS STANDARDS certification. DEA is promulgating this constituent materials regulations set rule to incorporate the statutory forth in § 610.15(a) through (c), and will ■ 1. The authority citation for 21 CFR provisions and make its regulations grant exemptions only in cases where part 610 continues to read as follows: consistent with the new requirements

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and other existing regulations related to Enforcement Administration’s public The CSA mandates that DEA establish self-certification. docket. Such information includes a closed system of control for DATES: Effective Date: This rule is personal identifying information (such manufacturing, distributing, and effective April 13, 2011. as your name, address, etc.) voluntarily dispensing controlled substances. Any Comment Date: Written comments submitted by the commenter. person who manufactures, distributes, must be postmarked and electronic If you want to submit personal dispenses, imports, exports, or conducts comments must be submitted on or identifying information (such as your research or chemical analysis with before June 13, 2011. Commenters name, address, etc.) as part of your controlled substances must register with should be aware that the electronic comment, but do not want it to be DEA (unless exempt) and comply with Federal Docket Management System posted online or made available in the the applicable requirements for the will not accept comments after midnight public docket, you must include the activity. Eastern Time on the last day of the phrase ‘‘PERSONAL IDENTIFYING The CSA as amended also requires comment period. INFORMATION’’ in the first paragraph DEA to regulate the manufacture, distribution, importation, and ADDRESSES: To ensure proper handling of your comment. You must also place of comments, please reference ‘‘Docket all the personal identifying information exportation of chemicals that may be No. DEA–347’’ on all written and you do not want posted online or made used to manufacture controlled substances illegally. Listed chemicals electronic correspondence. Comments available in the public docket in the first that are classified as List I chemicals are may be sent electronically through paragraph of your comment and identify important to the manufacture of http://www.regulations.gov using the what information you want redacted. controlled substances. Those classified electronic comment form provided on If you want to submit confidential as List II chemicals may be used to that site. An electronic copy of this business information as part of your comment, but do not want it to be manufacture controlled substances. document is also available at the http:// On October 12, 2010, the President posted online or made available in the www.regulations.gov Web site. signed the Combat Methamphetamine public docket, you must include the Comments may be sent to DEA by Enhancement Act of 2010 (MEA) (Pub. phrase ‘‘CONFIDENTIAL BUSINESS sending an electronic message to L. 111–268). Generally, the ’’ [email protected]. DEA INFORMATION in the first paragraph Administrative Procedure Act (APA) (5 will accept attachments to electronic of your comment. You must also U.S.C. 553) requires agencies to provide comments in Microsoft Word, prominently identify confidential notice of proposed rulemaking and the WordPerfect, Adobe PDF, or Excel file business information to be redacted opportunity for public comment in its formats only. DEA will not accept any within the comment. If a comment has regulations implementing an Act of file formats other than those specifically so much confidential business Congress. However, an agency may find listed here. information that it cannot be effectively good cause to exempt a rule from certain Please note that DEA is requesting redacted, all or part of that comment provisions of the APA, including notice that electronic comments be submitted may not be posted online or made of proposed rulemaking and the before midnight Eastern Time on the available in the public docket. opportunity for public comment, if it is day the comment period closes because Personal identifying information and determined to be unnecessary, http://www.regulations.gov terminates confidential business information impracticable, or contrary to the public the public’s ability to submit comments identified and located as set forth above interest. DEA is invoking the APA good at midnight Eastern Time on the day the will be redacted and the comment, in cause exception and promulgating this comment period closes. Commenters in redacted form, will be posted online and rule as an interim final rule rather than time zones other than Eastern Time may placed in the Drug Enforcement a proposed rule because the want to consider this so that their Administration’s public docket file. requirements of the MEA addressed by electronic comments are received. Please note that the Freedom of this rulemaking are self-implementing Written comments sent via regular or Information Act applies to all comments and changes in this rulemaking provide express mail should be sent to the Drug received. If you wish to inspect the conforming amendments to make the Enforcement Administration, Attention: agency’s public docket file in person by language of the regulations consistent DEA Federal Register Representative/ appointment, please see the FOR with that of the law. The MEA also ODL, 8701 Morrissette Drive, FURTHER INFORMATION CONTACT specifically states that ‘‘[t]he Attorney Springfield, VA 22152. paragraph. General may issue regulations on an All comments sent via regular or DEA’s Legal Authority interim basis as necessary to ensure the express mail will be considered timely implementation of this Act by the if postmarked on the day the comment DEA implements and enforces the effective date.’’ Public Law 111–268, period closes. Comprehensive Drug Abuse Prevention Sec. 6(b). DEA is accepting comments FOR FURTHER INFORMATION CONTACT: and Control Act of 1970, often referred on this rulemaking. Cathy A. Gallagher, Acting Chief, to as the Controlled Substances Act Liaison and Policy Section, Office of (CSA) and the Controlled Substances Mail-Order Distributor Diversion Control, Drug Enforcement Import and Export Act (21 U.S.C. 801– DEA regulations do not specifically Administration, 8701 Morrissette Drive, 971), as amended. DEA publishes the define ‘‘mail-order distributor.’’ Springfield, VA 22152; telephone: (202) implementing regulations for these However, part 1314 of the regulations 307–7297. statutes in Title 21 of the Code of defines ‘‘mail-order sale’’ as ‘‘a retail sale SUPPLEMENTARY INFORMATION: Federal Regulations (CFR), parts 1300 to of scheduled listed chemical products 1321. These regulations are designed to for personal use where a regulated Posting of Public Comments ensure that there is a sufficient supply person uses or attempts to use the U.S. Please note that all comments of controlled substances for legitimate Postal Service or any private or received are considered part of the medical, scientific, research, and commercial carrier to deliver the public record and made available for industrial purposes and to deter the product to the customer.’’ 21 CFR public inspection online at http:// diversion of controlled substances to 1314.03. Also, mail-order sale ‘‘includes www.regulations.gov and in the Drug illegal purposes. purchase orders submitted by phone,

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mail, fax, Internet, or any method other 830(e)(1)(B)(ii)(II), DEA is requiring that Methamphetamine Epidemic Act of than face-to-face transaction.’’ 21 CFR each mail-order distributor must be self- 2005 (CMEA). 1314.03. certified at each place of business at • Records of the training are The idea of mail-order distributor is which they sell these products at retail. maintained. further developed later in part 1314, For a mail-order distributor, this would • Sales to individuals do not exceed which discusses a ‘‘regulated person mean that each location that prepares or 3.6 grams of ephedrine, who makes a sale at retail of a packages product for distribution to pseudoephedrine, or scheduled listed chemical product and customers, and each location where phenylpropanolamine per day. For is required under § 1310.03(c) of this employees accept payment for such mail-order distributors, sales to chapter to submit a report of the sales sales, must be self-certified. individuals do not exceed 7.5 grams of transaction to the Administration Pursuant to the requirements of 21 ephedrine, pseudoephedrine, or ***’’ 21 CFR 1314.100(a). The CSA U.S.C. 830(e)(1)(B)(iii)(I) pertaining to phenylpropanolamine per 30-day (21 U.S.C. 830(b)(3)) and its period. regulated sellers, the self-certification • implementing regulations impose for mail-order distributors is required to Nonliquid forms are packaged as recordkeeping and reporting take place via the Internet on DEA’s required. The mail-order distributor requirements on ‘‘[e]ach regulated Web site. Self-certification includes a must train its employees and self-certify person who engages in a transaction statement that the mail-order before either the mail-order distributor with a nonregulated person or who distributors understand the or individual employees may sell scheduled listed chemical products. The engages in an export transaction that requirements and agree to comply with law governing self-certification of mail- involves ephedrine, pseudoephedrine, them. MEA also makes it unlawful to order distributors does not explicitly phenylpropanolamine, or gamma- negligently fail to self-certify as required make such certifications subject to 18 hydroxybutyric acid, including drug under 21 U.S.C. 830, by an amendment U.S.C. 1001, as is the case for regulated products containing these chemicals, to 21 U.S.C. 842(a)(10). Public Law 111– sellers whose sales are limited almost and uses or attempts to use the Postal 268, Sec. 5. This applies to regulated exclusively to face-to-face retail Service or any private or commercial sellers and mail-order distributors. carrier * * *’’ 21 CFR 1310.03(c). Such transactions. Compare 21 U.S.C. The MEA also includes a provision 830(e)(1)(B) to 830(e)(2)(C). However, a persons are obligated to file monthly which states that ‘‘[t]he Attorney reports with DEA. 21 CFR 1310.03(c). mail-order distributor who knowingly or General shall by regulation establish willfully self-certifies to facts that are Combat Methamphetamine criteria for certifications of mail-order not true is subject to fines and Enhancement Act of 2010 distributors that are consistent with the imprisonment by virtue of general The MEA amends the CSA to change criteria established for the certifications applicability of 18 U.S.C. 1001. Also, the regulations for selling scheduled of regulated sellers under paragraph when Congress directed that regulations listed chemical products— (1)(B).’’ 21 U.S.C. 830(e)(2)(C), as of the Attorney General establish criteria nonprescription products that contain amended by Public Law 111–268, Sec. for the certification of mail-order ephedrine, pseudoephedrine, and 2. This means that mail-order distributors ‘‘that are consistent with the phenylpropanolamine, their salts, distributors are now required to train criteria established for the certification optical isomers, and salts of optical their employees prior to self of regulated sellers under paragraph isomers. The law requires that each certification. (1)(B),’’ it must have intended that this regulated person making sales at retail Provisions of the Combat Federal false statements statute apply. of a scheduled listed chemical product Methamphetamine Enhancement Act of Training. DEA has developed training who is required under Title 21 of the 2010 that it has made available on its Web United States Code ((21 U.S.C. site (http:// 830(b)(3)) to submit monthly reports of Prior to MEA, mail-order distributors www.deadiversion.usdoj.gov). sales transactions to the Attorney of scheduled listed chemical products, Employers must use the content of this General (referred to as mail-order which covered any sale where the training in the training of their distributors) may not sell any scheduled product is shipped using the Postal employees who sell scheduled listed listed chemical product at retail unless Service or any private or commercial chemical products. An employer may such regulated person has submitted to carrier, did not have to self-certify. They include content in addition to DEA’s the Attorney General a self-certification. did have to file monthly reports of all content, but DEA’s content must be Sales at retail are those sales intended sales of scheduled listed chemical included in the training. For example, a for personal use; mail-order distributors products with DEA, and they were mail-order distributor may elect to that sell scheduled listed chemical required to verify the identity of their incorporate DEA’s content into initial products not intended for personal use, customer before shipping scheduled training for new employees. e.g., sale to a university, are not affected listed chemical products. 21 U.S.C. Training records. On and after April by the new law. The requirement of self- 830(b)(3) and 830(e)(2)(A). 10, 2011, each employee of a mail-order certification becomes effective April 10, Sales of scheduled listed chemical distributor who is responsible for 2011 (180 days after enactment on products by mail-order distributors. delivering scheduled listed chemical October 10, 2010). Mail-order MEA requires that on and after April 10, products to purchasers or who deals distributors must be self-certified before 2011, a mail-order distributor must not directly with purchasers by obtaining they can sell scheduled listed chemical sell scheduled listed chemical products payment for the scheduled listed products. Such self-certification must be at retail unless it has self-certified to chemical products must undergo consistent with the criteria established DEA, through DEA’s Web site. The self- training and must sign an for certifications of regulated sellers— certification requires the mail-order acknowledgement of training received i.e., retail stores and mobile retail distributor to confirm the following: prior to selling scheduled listed vendors—of scheduled listed chemical • Its employees who will be engaged chemical products. This record must be products. in the sale of scheduled listed chemical kept in the employee’s personnel file. To that end, and pursuant to the products have undergone training Self-certification. MEA adds the requirements of 21 U.S.C. regarding provisions of the Combat requirement that mail-order distributors

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self-certify with DEA. As noted TABLE 1—SUMMARY OF the finding and a brief statement of previously, MEA also makes it unlawful REQUIREMENTS BY TYPE OF SELLER reasons therefor in the rules issued) that for mail-order distributors to negligently notice and public procedure thereon are fail to self-certify as required under 21 Mail-order sellers impracticable, unnecessary, or contrary U.S.C. 830. to the public interest.’’ 5 U.S.C. Daily sales limit ...... 3.6 gm/chemical. 553(b)(B). On and after April 10, 2011, under the 30-day sales limit ...... 7.5 gm. With publication of this interim final requirements of MEA, mail-order Blister packs ...... Yes. rule, DEA is invoking this ‘‘good cause’’ distributors who sell at retail must self- Storage ...... NA. exception to the APA’s notice certify to DEA as described above. DEA Logbook ...... NA. Customer ID ...... Verify ID. requirement based on the combination has established a Web page that will Train employees ...... Yes. of several factors. The MEA is effective allow mail-order distributors of Self-Certify ...... Yes. 180 days after its passage. Mail-order scheduled listed chemical products to Monthly reports ...... Yes. distributors selling scheduled listed complete the self-certification online Theft and loss reports ..... Yes. chemical products at retail must self- and submit it to DEA electronically. A certify with DEA in order to continue to self-certification certificate will Discussion of the Rule sell these products. Based on the immediately be generated by DEA upon To make the rule easier to follow for effective date and the requirements of receipt of the application. The mail- regulated sellers and mail-order the MEA, it is impracticable for DEA to order distributors will print this self- distributors, DEA previously created comply with the APA’s notice and certification certificate, or if they are part 1314 that includes all requirements comment requirements due to the unable to print it, DEA will print and related to the sale of scheduled listed limited time involved. Were DEA not to mail the certificate to the self-certifier. chemical products to end users. Subpart publish this interim final rule with Request for Comment, mail-order Time for self-certification. MEA A contains requirements that apply to any retail sale. Subpart B applies to distributors selling scheduled listed requires that mail-order distributors regulated sellers (retail distributors and chemical products at retail would not be self-certify by April 10, 2011. When a mobile retail vendors). Subpart C able to self-certify by the date specified regulated person files the initial self- applies to retail sales that are shipped in the law. As a result, these mail-order certification, the Administration will by mail or private or commercial distributors would be forced to stop assign the regulated person to one of carriers, regardless of how those sales selling scheduled listed chemical twelve groups. The expiration date of are ordered. products, or violate the law by doing so. the self-certification for all regulated In Subpart C, Section 1314.101 is Thus, DEA also finds it is contrary to persons in any group will be the last day being added to address employee the public interest to DEA to comply of the month designated for that group. training for mail-order distributors. with the APA’s notice and comment In assigning a regulated person to a Section 1314.102 is added to address requirements due to the potential group, the Administration may select a self-certification for mail-order disruption of sales of scheduled listed group with an expiration date that is not distributors. Section 1314.103 covers chemical products by mail-order less than 12 months or more than 23 the self-certification fee and the time of distributors. In light of these factors, DEA finds months from the date of self- payment for this fee. As discussed that ‘‘good cause’’ exists to issue this certification. After the initial above, DEA is setting an annual period interim rule without engaging in certification period, the regulated for renewal of the certification. DEA has developed a page on its Web site that traditional notice and comment person must update the self-certification rulemaking. annually. It is the responsibility of the will allow mail-order distributors to mail-order distributor to ensure that complete and submit the self- Regulatory Flexibility Act they renew the self-certification before it certification form online and print out a The Deputy Assistant Administrator, lapses. self-certification certificate for their Office of Diversion Control, hereby records. The information required will certifies that this rulemaking has been Fee for self-certification. To comply include the name and address of the with the requirement of the CSA that drafted in accordance with the location, a point of contact, and tax Regulatory Flexibility Act (5 U.S.C. fees be set at a level to ensure the identification number. recovery of the full costs of operating 601–612). The Regulatory Flexibility Act (RFA) applies to rules that are the various aspects of the Diversion Regulatory Certifications subject to notice and comment. DEA has Control Program, DEA established an Administrative Procedure Act (5 U.S.C. determined, as explained above, that annual self-certification fee for certain 553) public notice and comment are regulated sellers selling scheduled listed The Administrative Procedure Act impracticable and contrary to the public chemical products at retail. The annual (APA) generally requires that agencies, interest. Consequently, the RFA does self-certification fee for regulated sellers prior to issuing a new rule, publish a not apply. who are not DEA pharmacy registrants Notice of Proposed Rulemaking in the Although the RFA does not apply to is $21. To make regulations regarding Federal Register. However, the Combat this interim final rule, DEA has mail-order distributors consistent with Methamphetamine Enhancement Act reviewed the potential impacts. DEA those for regulated sellers, the same self- specifically states, ‘‘[t]he Attorney does not believe that it will have a certification fee will apply to any mail- General may issue regulations on an significant economic impact on small order distributor that is not a DEA- interim basis as necessary to ensure the entities. Based on reports filed, DEA registered pharmacy. implementation of this Act by the expects that the rule will affect only 9 Table 1 summarizes the requirements effective date.’’ Public Law 111–268, firms, two of which are not small based for mail-order distributors of scheduled Sec. 6(b). Additionally, the APA on the Small Business Administration’s provides that agencies may be excepted listed chemical products that are now in size standards. For the seven small from this requirement when ‘‘the agency firms, the only costs are the $21 annual place since the passage of the MEA. for good cause finds (and incorporates fee, the time required to complete the

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certification (0.5 hours or about $20 for laboratories within the United States. clearance in accordance with review a new self-certification application), and The vast majority of these laboratories procedures of the Paperwork Reduction cost of training (0.5 hours or about $10). used pharmaceutical products Act of 1995. The information collection The cost of compliance for these firms, containing pseudoephedrine, ephedrine, is published to obtain comments from which appear to have between 5 and 25 and phenylpropanolamine as the source the public and affected agencies. employees, not all of whom would need of precursor material. All comments and suggestions, or to be trained, is less than $200 and in Conclusion. MEA’s requirements will questions regarding additional most cases, less than $100. The smallest not impose an annual cost on the information, to include obtaining a copy mail order pharmacies (those with fewer economy of $100 million or more, the of the information collection instrument than five employees) have average standard for an economically significant with instructions, should be directed to annual sales of $1 million. The cost of rule under Executive Order 12866. Cathy A. Gallagher, Acting Chief, compliance is, therefore, less than 0.1 Executive Order 13563 Liaison and Policy Section, Office of percent of sales and would not impose Diversion Control, Drug Enforcement a significant economic burden on any Published on January 18, 2011, Administration, 8701 Morrissette Drive, small entity. Executive Order 13563 supplements and Springfield, VA 22152. Written reaffirms the principles established in Executive Order 12866 comments and suggestions from the Executive Order 12866. 76 FR 3821. The public and affected agencies concerning The Deputy Assistant Administrator, new Executive Order emphasizes the the collection of information are Office of Diversion Control, further importance of public participation and encouraged. Your comments on the certifies that this rulemaking has been cost-effectiveness within the context of information collection-related aspects of drafted in accordance with the the regulatory process. DEA has this rule should address one or more of principles in Executive Order 12866 carefully considered the requirements of the following four points: § 1(b). It has been determined that this the Executive Order and has concluded • Evaluate whether the collection of is ‘‘a significant regulatory action.’’ that this rule satisfies the applicable information is necessary for the proper Therefore, this action has been reviewed requirements. Although the MEA performance of the functions of the by the Office of Management and provides authorization to issue rules on agency, including whether the Budget. As discussed above, this action an interim basis in order to implement information will have practical utility; is codifying statutory provisions and the self-certification requirements of • Evaluate the accuracy of the involves no agency discretion. However, Section 2 of the Act, DEA has requested agency’s estimate of the burden of the DEA has reviewed the potential benefits public comment in order to ensure that collection of information, including the and costs following OMB Circular A–4. its regulatory process maintains a validity of the methodology and The time for a mail-order distributor flexible approach and seeks the view of assumptions used; to self-certify is estimated at 0.5 hours. all persons potentially affected by the • Enhance the quality, utility, and Additionally, the time for a mail-order MEA’s requirements. Further, because clarity of the information to be distributor to train employees is this rule contains a 60-day comment collected; and estimated at 0.5 hours. The nine affected period and utilizes regulations.gov • Minimize the burden of the firms range in size from 5 employees to regarding its rulemaking docket, it collection of information on those who more than 800. DEA assumes that the complies with the specific requirements are to respond, including through the smallest firms will train half their of Section 2(b) of the Executive Order. use of appropriate automated, employees and the two large firms will 76 FR 3821, 3822. Finally, DEA believes electronic, mechanical, or other train 20 percent, based on the its rule to be cost-effective and tailored technological collection techniques or percentage of retail sales persons, order to impose the least possible burden. other forms of information technology, clerks, and order fillers to total There are only 9 mail-order distributors e.g., permitting electronic submission of employment in the retail mail order that would be affected by this rule and responses. sector. The total cost of the rule is the cost of implementation is low. estimated to be less than $2,600. DEA Overview of Information Collection does not expect that the rule will lead Paperwork Reduction Act of 1995 1117–0046 any of the firms to discontinue sales of To address the new mandates of MEA, (1) Type of Information Collection: the products because they are already DEA is revising an existing information Revision of an existing collection. reporting to DEA on these sales. The collection ‘‘Self-Certification, Training, (2) Title of the Form/Collection: Self- low cost of compliance is unlikely to and Logbooks for Regulated Sellers and certification, Training and Logbooks for discourage firms from selling the Mail-Order Distributors of Scheduled Regulated Sellers and Mail-Order products. Listed Chemical Products,’’ Information Distributors of Scheduled Listed Benefits. Congress passed the MEA to Collection 1117–0046. MEA requires Chemical Products. better track retail sales of scheduled mail-order distributors to train any (3) Agency form number, if any, and listed chemical products by requiring employee who will be involved in the applicable component of the self-certification of mail-order selling scheduled listed chemical Department of Justice sponsoring the distributors in addition to regulated products and to document the training. collection: sellers (retailers). The MEA also makes Mail-order distributors must also self- Form Number: DEA Form 597. it more difficult for regulated sellers and certify to DEA that all affected Office of Diversion Control, Drug mail-order distributors to obtain employees have been trained and that Enforcement Administration, U.S. scheduled listed chemical products the mail-order distributor is in Department of Justice. from distributors by prohibiting compliance with all provisions of the (4) Affected public who will be asked distributors from selling to them if they CMEA. or required to respond, as well as a brief have not self-certified. This leaves less The Department of Justice, Drug abstract: opportunity for diversion at the retail Enforcement Administration, has Primary: Business or other for-profit. level. submitted the following information Other: None. Methamphetamine remains the collection request to the Office of Abstract: The Controlled Substances primary drug produced in illicit Management and Budget for review and Act mandates that regulated sellers of

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scheduled listed chemical products regarding retail sales of scheduled listed distributors to be around 9. The average maintain a written or electronic logbook chemical products. annual burden hour per respondent is of sales. The CSA also requires that (5) An estimate of the total number of 1.8 hours. regulated sellers and mail-order respondents and the amount of time (6) An estimate of the total public distributors retain a record of employee estimated for an average respondent to burden (in hours) associated with the training, and complete a self- respond. collection: 16 hours. certification form verifying the training As discussed in the previous section, The following table presents the and compliance with CMEA provisions DEA estimates the number of mail-order burden hour calculations.

TABLE 2—ESTIMATE OF TOTAL BURDEN HOURS

Number of Total burden Activity Unit burden hour activities hours

Training record ...... 0.05 hour (3 minutes) ...... 410,228 20,511 .4 Self-certification (regulated sellers) ...... 0.25 hour (15 minutes) ...... 64,000 16,000 Self-certification (mail-order distributors) ...... 0.5 hours (30 minutes) ...... 9 4.5 Transaction record ...... 0.033 hour (2 minutes) ...... 25,500,000 850,000 Customer time ...... 0.033 hour (2 minutes) ...... 25,500,000 850,000

Total ...... 1,736,515.9

If additional information is required $100,000,000 or more. It will not cause all such individuals have, in accordance contact: Lynn Murray, Department a major increase in costs or prices; or with criteria issued by the Clearance Officer, Information significant adverse effects on Administration, undergone training Management and Security Staff, Justice competition, employment, investment, provided by the regulated person to Management Division, Department of productivity, innovation, or on the ensure that the individuals understand Justice, Two Constitution Square, 145 N ability of United States-based the requirements that apply under this Street, NE., Suite 2E–502, Washington, companies to compete with foreign- part. DC 20530. based companies in domestic and (b) The regulated person maintains a export markets. copy of each self-certification and all Executive Order 12988 records demonstrating that individuals This regulation meets the applicable List of Subjects in 21 CFR Part 1314 referred to in paragraph (a) of this standards set forth in sections 3(a) and Drug traffic control, Reporting and section have undergone the training. 3(b)(2) of Executive Order 12988 Civil recordkeeping requirements. ■ 3. Section 1314.102 is added to read Justice Reform. For the reasons set out above, 21 CFR as follows: part 1314 is amended as follows: Executive Order 13132 § 1314.102 Self-certification. This rulemaking does not impose PART 1314—RETAIL SALE OF (a) A regulated person who makes a enforcement responsibilities on any SCHEDULED LISTED CHEMICAL sale at retail of a scheduled listed State; nor does it diminish the power of PRODUCTS chemical product and is required under any State to enforce its own laws. These § 1310.03 of this chapter to submit a ■ requirements, however, are mandated 1. The authority citation for part 1314 report of the sales transaction to the under MEA, and DEA has no authority continues to read as follows: Attorney General must submit to the to alter them or change the preemption. Authority: 21 U.S.C. 802, 830, 842, 871(b), Administration the self-certification Accordingly, this rulemaking does not 875, 877, 886a. referred to in § 1314.101(a) in order to have federalism implications warranting ■ 2. Section 1314.101 is added to read sell any scheduled listed chemical the application of Executive Order as follows: product. The certification is not 13132. effective for purposes of this section § 1314.101 Training of sales personnel. unless, in addition to provisions Unfunded Mandates Reform Act of 1995 Each regulated person who makes a regarding the training of individuals This rule will not result in the sale at retail of a scheduled listed referred to in § 1314.101(a), the expenditure by State, local, and Tribal chemical product and is required under certification includes a statement that governments, in the aggregate, or by the § 1310.03(c) of this chapter to submit a the regulated person understands each private sector, of $126,400,000 or more report of the sales transaction to the of the requirements that apply in this in any one year, and will not Administration must ensure that its part and agrees to comply with the significantly or uniquely affect small sales of a scheduled listed chemical requirements. governments. Therefore, no actions were product at retail are made in accordance (b) When a regulated person files the deemed necessary under the provisions with the following: initial self-certification, the of the Unfunded Mandates Reform Act (a) In the case of individuals who are Administration will assign the regulated of 1995. responsible for preparing and packaging person to one of twelve groups. The scheduled listed chemical products for expiration date of the self-certification Congressional Review Act delivery to purchasers through the for all regulated persons in any group This rule is not a major rule as Postal Service or any private or will be the last day of the month defined by section 804 of the Small commercial carrier or who deal either designated for that group. In assigning a Business Regulatory Enforcement directly or indirectly with purchasers by regulated person to a group, the Fairness Act of 1996 (Congressional obtaining payments for the products, the Administration may select a group with Review Act). This rule will not result in regulated person has submitted to the an expiration date that is not less than an annual effect on the economy of Administration a self-certification that 12 months or more than 23 months from

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the date of self-certification. After the in the third line, ‘‘See’’ should read Channel on the Hudson River. The initial certification period, the regulated ‘‘See’’. revision is necessary to facilitate safe person must update the self-certification 2. On page 11957, in the first column, navigation and provide safe and secure annually. in the sixth line from the top, ‘‘See’’ anchorages for vessels operating in the (c) The regulated person who makes should read ‘‘See’’. area. This action is intended to increase a sale at retail of a scheduled listed the safety of life and property of both chemical product and is required under PART 1—[CORRECTED] the anchored vessels and those § 1310.03 of this chapter to submit a 3. On page 11958, in the first column, operating in the area as well as to report of the sales transaction to the in the fourth line, in amendatory provide for the overall safe and efficient Attorney General must provide a instruction 3., ‘‘Paragraph (c)(7(iii)’’ flow of commerce. separate certification for each place of should read ‘‘Paragraph (c)(7)(iii)’’. DATES: This rule is effective May 13, business at which the regulated person 2011. sells scheduled listed chemical products § 1.1502–13 [Corrected] ADDRESSES: Comments and material at retail. 4. On the same page, in § 1.502– received from the public, as well as ■ 4. Section 1314.103 is added to read 13(c)(7)(ii), in Example 16(b), in the documents mentioned in this preamble as follows: third column, in the 36th line, ‘‘See’’ as being available in the docket, are part should read ‘‘See’’. § 1314.103 Self-certification fee; time and of docket USCG–2008–1082 and are method of fee payment. 5. On the same page, in § 1.502– available online by going to http:// 13(c)(7)(ii), in Example 17(b), in the (a) Each regulated person who makes www.regulations.gov, inserting USCG– third column, in the fourth line from the a sale at retail of a scheduled listed 2008–1082 in the ‘‘Keyword’’ box, and bottom, ‘‘See’’ should read ‘‘See’’. chemical product and is required under then clicking ‘‘Search.’’ This material is 6. On page 11959, in § 1.502– § 1310.03 of this chapter to submit a also available for inspection or copying 13(c)(7)(ii), in Example 17(b), in the first report of the sales transaction to the at the Docket Management Facility (M– column, in the 16th line from the top, Administration must pay a fee for each 30), U.S. Department of Transportation, ‘‘See’’ should read ‘‘See’’. West Building Ground Floor, Room self-certification. For each initial 7. On the same page, in § 1.502– application to self-certify, and for the W12–140, 1200 New Jersey Avenue, SE., 13(c)(7)(iii)(B), in the first column, in Washington, DC 20590, between 9 a.m. renewal of each existing self- the third line, ‘‘see’’ should read ‘‘see’’. certification, a regulated seller shall pay and 5 p.m., Monday through Friday, 8. On the same page, in § 1.502– except Federal holidays. a fee of $21. 13(c)(7)(iii)(B), in the first column, in (b) The fee for self-certification shall FOR FURTHER INFORMATION CONTACT: If the seventh line, ‘‘see’’ should read ‘‘see’’. be waived for any person holding a you have questions on this rule, call or current, DEA registration in good § 1.502–13T [Corrected] e-mail Mr. Jeff Yunker, Coast Guard Sector New York, Waterways standing as a pharmacy to dispense 9. On the same page, in § 1.502– controlled substances. Management Division; telephone 13T(a), in the first column, in the 718–354–4195, e-mail (c) A regulated person shall pay the ‘‘ ’’ ‘‘ ’’ second line, see should read see . [email protected]. If you have fee at the time of self-certification. 10. On the same page, in § 1.502– (d) Payment shall be made by credit questions on viewing the docket, call 13T(a)(B)(2), in the second column, in card. Renee V. Wright, Program Manager, the 14th line, ‘‘see’’ should read ‘‘see’’. (e) The self-certification fee is not Docket Operations, telephone 202–366– 11. On the same page, in § 1.502–13T, refundable. 9826. in the second column, in paragraph SUPPLEMENTARY INFORMATION: Dated: April 8, 2011. (f)(5)(ii)(B)(3) through (f)(5)(ii)(E), in the Joseph T. Rannazzisi, second line, ‘‘see’’ should read ‘‘see’’. Regulatory Information Deputy Assistant Administrator, Office of 12. On the same page, in § 1.502– On September 18, 2009, we published Diversion Control. 13T(a)(F)(2), in the second column, in a notice of proposed rulemaking [FR Doc. 2011–9016 Filed 4–12–11; 8:45 am] the third line, ‘‘see’’ should read ‘‘see’’. (NPRM) entitled Anchorage Regulations; BILLING CODE 4410–09–P [FR Doc. C1–2011–4846 Filed 4–12–11; 8:45 am] Port of New York in the Federal BILLING CODE 1505–01–D Register (74 FR 47906). We received one comment on the NPRM. No public DEPARTMENT OF THE TREASURY meeting was requested and none was DEPARTMENT OF HOMELAND held. On April 28, 2010, we published Internal Revenue Service SECURITY a supplemental notice of proposed rulemaking (SNPRM) entitled 26 CFR Part 1 Coast Guard Anchorage Regulations; Port of New [TD 9515] York in the Federal Register (75 FR 33 CFR Part 110 RIN 1545–BH20 22323). We received one comment on [Docket No. USCG–2008–1082] the SNPRM. A public meeting was Guidance Under Section 1502; requested by the New York City Amendment of Matching Rule for RIN 1625–AA01 Department of Parks and Recreation (NYC Parks) but the Coast Guard Certain Gains on Member Stock Anchorage Regulations; Port of New determined a public meeting was not York Correction necessary in this case. Instead, a In rule document 2011–4846 AGENCY: Coast Guard, DHS. meeting with representatives from the appearing on pages 11956–11959 in the ACTION: Final rule. NYC Parks, Sandy Hook Pilots issue of Friday, March 4, 2011, make the Association, and U.S. Army Corps of following corrections: SUMMARY: The Coast Guard is revising Engineers New York District was held 1. On page 11956, in the third Anchorage Ground No. 19 located east on August 31, 2010, to discuss their column, under the Background heading, of the Weehawken-Edgewater Federal comment in relation to commercial

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vessel operations in this area of the of transits was 4,120. In 2008, there transit through the existing Anchorage Hudson River. The results of the were 120 transits. Vessels with a draft Ground No. 19. meeting are discussed in the Discussion of 27 feet or greater would be required In that NPRM, it was stated that the of Comments and Changes section. to transit through the deeper water ACOE would relocate the Weehawken- which is within the current boundaries Basis and Purpose Edgewater Federal Channel to the east of Anchorage Ground No. 19. of its current location and the Coast The Hudson River Pilots Association, Anchorage Ground No. 19 is the Guard would relocate Anchorage through the Port of New York/New closest Anchorage Ground available for Ground No. 19 to the west of its current Jersey Harbor Safety, Navigation and use when there is no space for location. Operations Committee, has had several temporary anchoring within the Upper discussions with the Coast Guard over New York Bay Anchorage Grounds. After the publication of the NPRM, the years examining the possibility of Hence, these vessels transit to the ACOE advised the Coast Guard that relocating Anchorage Ground Anchorage Ground No. 19 to await a it did not intend to seek Congressional No. 19; two years ago they requested berth, or orders, to minimize fuel action to de-authorize the Weehawken- that the Coast Guard formally revise the consumption and provide an orderly Edgewater Federal Channel. However, boundaries of Anchorage Ground No. flow of commerce within the harbor and the ACOE also advised that it does not 19, which is located on the Hudson the New England region. Tug and barge object to the Coast Guard establishing an River, east of the Weehawken-Edgewater traffic within the harbor has increased Anchorage Ground in the existing Federal Channel and south of the 37% since 1991, concurrently Weehawken-Edgewater Federal George Washington Bridge. increasing use of the anchorage. Channel. Due to severe recurring shoaling On October 14, 2008, the Coast Guard Consequently, to facilitate safe within the Weehawken-Edgewater Captain of the Port New York issued an navigation of deep draft vessels, the Federal Channel, the Hudson River Advisory Notice notifying the maritime Coast Guard published a supplemental Pilots requested and received community that, in accordance with 33 notice of proposed rulemaking (SNPRM) authorization from the Coast Guard and CFR 110.155(c)(5)(i), vessels would only titled ‘‘Anchorage Regulations; Port of Army Corps of Engineers (ACOE) to be allowed to anchor on the western ’’ pilot vessels through the deeper and boundary of Anchorage Ground No. 19. New York in the Federal Register on safer water located within the This temporary solution was necessary April 28, 2010 (75 FR 22323) revising its boundaries of Anchorage Ground No. to facilitate deep draft vessel transits proposal to disestablish Anchorage 19. through the eastern portion of Ground No. 19 and establish two separate anchorage grounds, Anchorage Background Anchorage Ground No. 19. On September 18, 2009, the Coast Ground No. 19 East and Anchorage Due to shoaling, the March 2007 Guard published a Notice of Proposed Ground No. 19 West. This would be ACOE survey verified a controlling Rulemaking (NPRM) titled ‘‘Anchorage accomplished by dividing Anchorage depth of 27 feet in the right outside Regulations; Port of New York’’ (Docket Ground No. 19 into an east and a west quarter of the Weehawken-Edgewater number USCG–2008–1082) in the portion and relocating the majority of Federal Channel where vessels bound Federal Register (74 FR 47906). The the anchorage area (new Anchorage for ports north of New York City would proposal sought to amend Anchorage Ground No. 19 West) from the eastern have to transit. As published by the Ground No. 19 by dividing it into two half of the Hudson River to the western ACOE Institute for Water Resources, separate anchorages (Anchorage Ground half closer to the New Jersey shore (over vessels with drafts of up to 34 feet No. 19 East and Anchorage Ground No. the Weehawken-Edgewater Federal routinely transit the Hudson River. In 19 West), thereby relocating the majority Channel). The following graphics calendar year 2006, there were 6,562 of the anchorage area to the western side display the current boundary of transits on the Hudson River between of the Hudson River. Anchorage Ground No. 19 and the the mouth of the Harlem River and The relocation of the anchorage revised boundaries of Anchorage Waterford, NY by vessels with a draft of would allow deep draft vessels to transit Grounds No. 19 East and No. 19 West: 27 feet or greater. In 2007, the number the deeper water without having to BILLING CODE 9110–04–P

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BILLING CODE 9110–04–C because the Weehawken-Edgewater traffic, the use of the areas as anchorage Disestablishing Anchorage Ground Federal Channel currently supports no grounds would be re-evaluated. No. 19 and establishing Anchorage commercial vessel traffic. In the interest of safe navigation and Ground No. 19 East and Anchorage to minimize confusion, the ACOE and Ground No. 19 West creates a 400 yard According to the ACOE the Weehawken-Edgewater Federal Channel the USCG will request that the National wide area of deeper water between the Oceanic and Atmospheric newly established anchorage grounds. was originally intended to support commercial vessel traffic on the New Administration (NOAA) remove the This change allows deep draft vessels to Weehawken-Edgewater Federal Channel transit the deeper water of the Hudson Jersey waterfront in the vicinity of the Channel. However, due to changes in designation from NOAA charts. In River without having to transit through addition, the Coast Guard will request shoreline usage from industrial to an existing anchorage ground. chart corrections removing the residential and recreational, the original The Weehawken-Edgewater Federal Anchorage Ground No. 19 boundary intent of the Channel no longer exists. Channel is authorized by Congress, and line designation and adding the As a result there has not been a need to constructed and maintained by the boundary lines for the revised dredge the Weehawken-Edgewater ACOE. The ACOE has advised the Coast Anchorage Ground No. 19 East and Federal Channel segment to its Guard that no portion of the Anchorage Ground No. 19 West. Weehawken-Edgewater Federal Channel authorized depth since it was last will be relocated in conjunction with dredged in 1994. Discussion of Comments and Changes the reapportionment, relocation and The ACOE further advised that it does The Coast Guard received one establishment of Anchorage Ground No. not appear likely that a need will arise comment on the NPRM from the U.S. 19 East and West. The ACOE has further in the foreseeable future to maintain the Army Corps of Engineers (ACOE). In advised that establishment of an channel for commercial vessel traffic that NPRM, the Coast Guard stated that anchorage ground in the Weehawken- intending to access New Jersey the ACOE would relocate the Edgewater Federal Channel is not waterfront and shore facilities. Weehawken-Edgewater Channel to the expected to impede navigation or result However, should a need recur in the east of its current location and the Coast in a need to maintain channel depth future to accommodate commercial Guard would relocate Anchorage

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Ground No. 19 to the west of its current fields are not being removed or available for use as an Anchorage location. impacted in any way. Ground by vessels not constrained by After the publication of the NPRM, NYC Parks commented that Riverside draft. Marine Event permits have been the ACOE advised the Coast Guard that Park concessions would be negatively issued for events held in the Anchorage it did not intend to seek Congressional impacted, and Riverside Park itself Ground as long as the participants action to de-authorize the Weehawken- would lose one of its engaging and abided by the Inland Navigation Rules Edgewater Channel. However, the ACOE popular features. Riverside Park will not and did not interfere with commercial also advised that it did not object to the be impacted by this rulemaking as NYC navigation within the Anchorage Coast Guard establishing an Anchorage Parks is still authorized to administer Ground. Ground in the existing Weehawken- their mooring fields. Marine events and As previously stated Anchorage Edgewater Channel. recreational boating usage will continue Ground No. 19 was established over 20 Consequently, the Coast Guard to be administered on a not to interfere years prior to the 79th Street Boat Basin revised its proposal and published a basis with commercial shipping and and mooring fields. Due to the Supplemental Notice of Proposed Tugs/Barges as stated below. fluctuation of commercial vessel traffic Rulemaking (SNPRM) seeking to NYC Parks requested that these rules on the Hudson River, and based upon disestablish Anchorage Ground No. 19 be revised to protect the right of changing economic conditions, demand and establish two separate anchorage recreational boaters to use these waters for home heating oil, etc, the USCG may grounds, Anchorage Ground No. 19 East and that the mooring fields be not always be able to approve marine and Anchorage Ground No. 19 West. designated as Special Anchorage Areas event applications in this area of the The Coast Guard received one for these purposes. NYC Parks is still Hudson River regardless of the comment on the SNPRM from the New authorized to administer their two Anchorage Ground configuration. York City Parks and Recreation mooring fields along the Manhattan NYC Parks requested a public meeting Department (NYC Parks). shoreline, north and south of the 79th be held. A public meeting was not held NYC Parks requested clarification that Street Boat Basin. Chart corrections will since the written comments clearly this rulemaking would not impact their be submitted by the Coast Guard to expressed the views of the commenter recreational mooring fields along the display these mooring fields on the and oral presentations would not aid the Manhattan shoreline north and south of navigation charts. In addition, the USCG rulemaking process. the 79th Street Boat Basin. NYC Parks is reviewing NYC Parks request to Finally, this rule intends to reflect is still authorized to administer the establish two Special Anchorage Areas and formalize past and current vessel mooring fields along the Manhattan north and south of the 79th Street Boat navigation practices through the waters shoreline; therefore, the use of these Basin. within Anchorage Ground No. 19. mooring fields will not be affected by NYC Parks commented that the transit this rule. In addition, the Coast Guard of commercial tugs and barges in closer Regulatory Analyses will submit chart corrections to be proximity to the 70-year-old boat basin We developed this rule after published to identify these mooring and mooring fields would exacerbate considering numerous statutes and fields on government navigation charts. the damages and impacts caused by executive orders related to rulemaking. NYC Parks further requested that the large wakes of passing vessels on the Below we summarize our analyses two mooring fields be designated as Hudson River. At the meeting held with based on 13 of these statutes or special anchorage areas as part of the NYC Parks on August 13, 2010, the executive orders. current rule. The Coast Guard is Sandy Hook Pilots representative stated currently reviewing NYC Parks’ request that they have been piloting vessels Executive Order 12866 and Executive to designate the two mooring fields as along the current route, east of the Order 13563 special anchorage areas; however any Weehawken-Edgewater Federal This rule is not a significant designation of the two mooring fields as Channel, through Anchorage Ground regulatory action under section 3(f) of special anchorage areas would be done No. 19, on a continual basis since before Executive Order 12866, Regulatory as part of a separate rulemaking process. the 1970s. In addition, tugs and barges Planning and Review, as supplemented NYC Parks requested clarification that have always been authorized to transit by Executive Order 13563, and does not this rulemaking would potentially through Anchorage Ground No. 19, require an assessment of potential costs eliminate 452 acres of open vessel whether to anchor in a position near the and benefits under section 6(a)(3) of that anchorage area and eliminate the 79th Street Boat Basin, or to continue Order. The Office of Management and mooring fields north and south of the their transit through the Hudson River. Budget has not reviewed it under that 79th Street Boat Basin. As stated above Since under this rule tugs and barges Order. the use of the NYC Parks mooring fields will be anchoring further away from the We expect minimal additional cost will not be affected by this rule. The 452 79th Street Boat Basin and deep draft impacts to the industry because this rule acres of Anchorage Ground No. 19 being transits through the area are down from is not imposing fees, permits, or disestablished were intended for the use previous years, as noted by the ACOE specialized requirements for the of commercial shipping and not Institute for Water Resources, the Coast maritime industry to utilize these recreational vessels that use the 79th Guard believes that this rule will anchorage areas. This rule is revising Street Boat Basin and mooring fields alleviate impacts from wakes on the the Anchorage Ground No. 19 in order along the Manhattan shoreline. boat basin and mooring field. to facilitate safe navigation and provide NYC Parks commented that this NYC Parks commented that this safe and secure anchorages for vessels rulemaking would potentially revision may seriously impact operating in the area. This revision jeopardize their ability to fund and established marine events and a growing would allow deep draft vessels to transit service the marina due to the removal of number of recreational users in the area. the deeper water without having to their mooring fields. This rulemaking As previously stated the Sandy Hook transit through an anchorage ground. will not potentially jeopardize NYC Pilots have been using this transit route This would improve safety for small Parks’ ability to fund and service the through the current Anchorage Ground vessels using the anchorage grounds and marina due to the removal of the No. 19 since before the 1970s. would facilitate the transit of deep draft mooring fields because the mooring Additionally, the area was always vessels.

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Small Entities Collection of Information responsibilities between the Federal Government and Indian tribes. Under the Regulatory Flexibility Act This rule calls for no new collection (5 U.S.C. 601–612), we have considered of information under the Paperwork Energy Effects whether this rule would have a Reduction Act of 1995 (44 U.S.C. 3501– We have analyzed this rule under significant economic impact on a 3520). Executive Order 13211, Actions substantial number of small entities. Federalism Concerning Regulations That The term ‘‘small entities’’ comprises Significantly Affect Energy Supply, small businesses, not-for-profit A rule has implications for federalism Distribution, or Use. We have organizations that are independently under Executive Order 13132, determined that it is not a ‘‘significant owned and operated and are not Federalism, if it has a substantial direct energy action’’ under that order because dominant in their fields, and effect on State or local governments and it is not a ‘‘significant regulatory action’’ governmental jurisdictions with would either preempt State law or under Executive Order 12866 and is not populations of less than 50,000. impose a substantial direct cost of likely to have a significant adverse effect The Coast Guard certifies under 5 compliance on them. We have analyzed on the supply, distribution, or use of U.S.C. 605(b) that this rule will not have this rule under that Order and have energy. The Administrator of the Office a significant economic impact on a determined that it does not have of Information and Regulatory Affairs substantial number of small entities. implications for federalism. has not designated it as a significant This rule will affect the following Unfunded Mandates Reform Act energy action. Therefore, it does not entities, some of which might be small require a Statement of Energy Effects entities: The owners or operators of The Unfunded Mandates Reform Act under Executive Order 13211. vessels intending to transit through the of 1995 (2 U.S.C. 1531–1538) requires Anchorage Grounds 19 East and 19 Federal agencies to assess the effects of Technical Standards West. Vessels intending to anchor in the their discretionary regulatory actions. In The National Technology Transfer current Anchorage Ground No. 19 will particular, the Act addresses actions and Advancement Act (NTTAA) (15 still be able to anchor in the revised that may result in the expenditure by a U.S.C. 272 note) directs agencies to use Anchorage Ground No. 19 East or No. 19 State, local, or tribal government, in the voluntary consensus standards in their West. NYC Parks will still be authorized aggregate, or by the private sector of regulatory activities unless the agency to administer recreational mooring $100,000,000 (adjusted for inflation) or provides Congress, through the Office of fields located along the Manhattan more in any one year. Though this rule Management and Budget, with an shoreline, north and south of the 79th will not result in such an expenditure, explanation of why using these Street Boat Basin. The labeling of these we do discuss the effects of this rule standards would be inconsistent with mooring fields on Government elsewhere in this preamble. applicable law or otherwise impractical. navigation charts will create a positive Taking of Private Property Voluntary consensus standards are impact in the area by increasing technical standards (e.g., specifications awareness of the location of smaller This rule will not cause a taking of of materials, performance, design, or recreational vessels. Additionally, the private property or otherwise have operation; test methods; sampling recreational vessels will no longer have taking implications under Executive procedures; and related management to maneuver around larger anchored Order 12630, Governmental Actions and systems practices) that are developed or vessels when entering, or departing, the Interference with Constitutionally adopted by voluntary consensus 79th Street Boat Basin or mooring fields. Protected Property Rights. standards bodies. This rule does not use technical Assistance for Small Entities Civil Justice Reform standards. Therefore, we did not Under section 213(a) of the Small This rule meets applicable standards consider the use of voluntary consensus Business Regulatory Enforcement in sections 3(a) and 3(b) (2) of Executive standards. Fairness Act of 1996 (Pub. L. 104–121), Order 12988, Civil Justice Reform, to in the NPRM we offered to assist small minimize litigation, eliminate Environment entities in understanding the rule so ambiguity, and reduce burden. We have analyzed this rule under that they could better evaluate its effects Department of Homeland Security on them and participate in the Protection of Children Management Directive 023–01 and rulemaking process. We have analyzed this rule under Commandant Instruction M16475.lD, Small businesses may send comments Executive Order 13045, Protection of which guide the Coast Guard in on the actions of Federal employees Children from Environmental Health complying with the National who enforce, or otherwise determine Risks and Safety Risks. This rule is not Environmental Policy Act of 1969 compliance with, Federal regulations to an economically significant rule and (NEPA) (42 U.S.C. 4321–4370f), and the Small Business and Agriculture does not create an environmental risk to have concluded this action is one of a Regulatory Enforcement Ombudsman health or risk to safety that may category of actions that do not and the Regional Small Business disproportionately affect children. individually or cumulatively have a Regulatory Fairness Boards. The significant effect on the human Indian Tribal Governments Ombudsman evaluates these actions environment. This rule is categorically annually and rates each agency’s This rule does not have tribal excluded, under figure 2–1, paragraph responsiveness to small business. If you implications under Executive Order (34)(f), of the Instruction as this rule wish to comment on actions by 13175, Consultation and Coordination involves changing the size of an existing employees of the Coast Guard, call 1– with Indian Tribal Governments, anchorage ground and dividing it into 888–REG–FAIR (1–888–734–3247). The because it does not have a substantial two separate anchorage areas resulting Coast Guard will not retaliate against direct effect on one or more Indian in a reduction in the overall size of the small entities that question or complain tribes, on the relationship between the anchorage areas. An environmental about this rule or any policy or action Federal Government and Indian tribes, analysis checklist and a categorical of the Coast Guard. or on the distribution of power and exclusion determination are available in

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the docket where indicated under vessel has no mast, and by night the flag ADDRESSES: Documents indicated in this ADDRESSES. must be illuminated by spotlight. These preamble as being available in the signals shall be in addition to day docket, are part of docket USCG–2011– List of Subjects in 33 CFR Part 110 signals, lights and whistle signals as 0132 and are available online by going Anchorage grounds. required by rules 30 (33 U.S.C 2030 and to http://www.regulations.gov, inserting For the reasons discussed in the 33 CFR 83.30) and 35 (33 USC 2035 and USCG–2011–0132 in the ‘‘Keyword’’ preamble, the Coast Guard is amending 33 CFR 83.35) of the Inland Navigation box, and then clicking ‘‘Search.’’ This 33 CFR part 110 as follows: Rules when at anchor in a general material is also available for inspection anchorage area. or copying at the Docket Management PART 110—ANCHORAGE (C) Within an anchorage, fishing and Facility (M–30), U.S. Department of REGULATIONS navigation are prohibited within 500 Transportation, West Building Ground ■ yards of an anchored vessel displaying Floor, Room W12–140, 1200 New Jersey 1. The authority citation for part 110 a red flag. continues to read as follows: Avenue, SE., Washington, DC 20590, (D) These anchorage grounds are only between 9 a.m. and 5 p.m., Monday Authority: 33 U.S.C. 471, 1221 through authorized for use by tugs and/or barges. through Friday, except Federal holidays. 1236, 2030, 2035, 2071; 33 CFR 1.05–1; (E) No vessel may occupy this Department of Homeland Security Delegation anchorage ground for a period of time in FOR FURTHER INFORMATION CONTACT: If No. 0170.1. excess of 96 hours without prior you have questions on this temporary ■ 2. Amend § 110.155, by revising approval of the Captain of the Port. rule, call or e-mail MST3 Rory Boyle, paragraph (c)(5) to read as follows: (F) No vessel may anchor in Marine Events Coordinator, U.S. Coast Anchorage No. 19 East or No. 19 West Guard Sector Buffalo; telephone 716– § 110.155 Port of New York. without permission from the Captain of 843–9343, e-mail [email protected]. * * * * * the Port. If you have questions on viewing the (c) * * * (G) Each vessel shall report its docket, call Renee V. Wright, Program (5) Anchorages No. 19 East and 19 position within Anchorage No. 19 East Manager, Docket Operations, telephone West. or No. 19 West to the Captain of the Port 202–366–9826. (i) Anchorage No. 19 East. All waters immediately after anchoring. of the Hudson River bound by the (H) All coordinates referenced use SUPPLEMENTARY INFORMATION: following points: 40°49′42.6″ N, datum: NAD 83. ° ′ ″ ° ′ ″ Regulatory Information 073 57 14.7 W; thence to 40 49 45.9 N, * * * * * 073°57′22.0″ W; thence to 40°49′52.0″ N, The Coast Guard is issuing this Dated: March 28, 2011. 073°57′22.0″ W; thence to 40°50′08.3″ N, temporary final rule without prior 073°57′10.8″ W; thence to 40°50′55.4″ N, Daniel A. Neptun, notice and opportunity to comment 073°56′59.7″ W; thence to 40°51′02.5″ N, Rear Admiral, U.S. Coast Guard, Commander, pursuant to authority under section 4(a) 073°56′57.4″ W; thence to 40°51′00.8″ N, First Coast Guard District. of the Administrative Procedure Act 073°56′49.4″ W; thence along the [FR Doc. 2011–8827 Filed 4–12–11; 8:45 am] (APA) (5 U.S.C. 553(b)). This provision shoreline to the point of origin. BILLING CODE 9110–04–P authorizes an agency to issue a rule (ii) Anchorage No. 19 West. All waters without prior notice and opportunity to of the Hudson River bound by the comment when the agency for good ° ′ ″ DEPARTMENT OF HOMELAND following points: 40 46 56.3 N, cause finds that those procedures are ° ′ ″ ° ′ ″ SECURITY 073 59 42.2 W; thence to 40 47 36.9 N, ‘‘impracticable, unnecessary, or contrary ° ′ ″ ° ′ ″ 073 59 11.7 W; thence to 40 49 31.3 N, to the public interest.’’ Under 5 U.S.C. ° ′ ″ ° ′ ″ Coast Guard 073 57 43.8 W; thence to 40 49 40.2 N, 553(b)(B), the Coast Guard finds that ° ′ ″ ° ′ ″ 073 57 37.6 W; thence to 40 49 52.4 N, good cause exists for not publishing a 073°57′37.6″ W; thence to 40°49′57.7″ N, 33 CFR Part 165 ° ′ ″ ° ′ ″ notice of proposed rulemaking (NPRM) 073 57 47.3 W; thence to 40 49 32.2 N, [Docket No. USCG–2011–0132] with respect to this rule because 073°58′12.9″ W; thence to 40°49′00.7″ N, RIN 1625–AA00 awaiting a comment period to run 073°58′33.1″ W; thence to 40°48′28.7″ N, ° ′ ″ ° ′ ″ would be impractical and contrary to 073 58 53.8 W; thence to 40 47 38.2 N, Safety Zone; Boom Days, Buffalo ° ′ ″ ° ′ ″ the public interest in that it would 073 59 31.2 W; thence to 40 47 02.7 N, Outer Harbor, Buffalo, NY ° ′ ″ prevent the Captain of the Port Buffalo 073 59 57.4 W; thence to the point of from performing the function of keeping AGENCY: Coast Guard, DHS. origin. the boating public safe from the hazards (iii) The following regulations apply ACTION: Temporary final rule. associated with a maritime fireworks to 33 CFR 110.155(c)(5)(i) and (ii): display. (A) No vessel may conduct lightering SUMMARY: The Coast Guard is operations in these anchorage grounds establishing a temporary safety zone in Under 5 U.S.C. 553(d)(3), the Coast without permission from the Captain of the Buffalo Outer Harbor, Buffalo, NY Guard finds that good cause exists for the Port. When lightering is authorized, for the Boom Days Fireworks. This zone making this rule effective less than 30 the Captain of the Port New York must is intended to restrict vessels from days after publication in the Federal be notified at least four hours in Doug’s Dive, the NFTA small boat Register. Due to the need for immediate advance of a vessel conducting harbor and a portion of the Buffalo action, the restriction of vessel traffic is lightering operations as required by Outer Harbor, Buffalo, NY during the necessary to protect life, property and 156.118 of this title. Boom Days Fireworks on April 16, 2011. the environment. Therefore, awaiting a (B) Any vessel conducting lightering This temporary safety zone is necessary 30 day effective period to run is or bunkering operations shall display by to protect spectators and vessels from impracticable and contrary to the public day a red flag (46 CFR 35.30–1; Pub 102; the hazards associated with a firework interest in that it would prevent the International Code of Signals signaling display. Captain of the Port Buffalo from instructions) at its mast head or at least DATES: This rule is effective on April 16, protecting persons and vessels involved 10 feet above the upper deck if the 2011 from 8 p.m. through 9:30 p.m. in and observing the event.

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Background and Purpose Captain of the Port Buffalo or on-scene Collection of Information representative. The Coast Guard expects This temporary safety zone is This rule calls for no new collection this area will have an insignificant necessary to ensure the safety of vessels of information under the Paperwork adverse impact to mariners from the and spectators from hazards associated Reduction Act of 1995 (44 U.S.C. 3501– zones activation. with a fireworks display. The Captain of 3520). the Port Buffalo has determined that Small Entities fireworks launched proximate to Federalism Under the Regulatory Flexibility Act watercraft pose a significant risk to (5 U.S.C. 601–612), we have considered A rule has implications for federalism public safety and property. Boom Days whether this rule would have a under Executive Order 13132, is an event established to celebrate the significant economic impact on a Federalism, if it has a substantial direct removal of the ice boom in Lake Erie substantial number of small entities. effect on State or local governments and and the beginning of spring. The term ‘‘small entities’’ comprises would either preempt State law or Establishing a safety zone to control small businesses, not-for-profit impose a substantial direct cost of vessel movement around the location of organizations that are independently compliance on them. We have analyzed the launch platform will help ensure the owned and operated and are not this rule under that Order and have safety of persons and property at these dominant in their fields, and determined that it does not have events and help minimize the associated implications for federalism. risks. governmental jurisdictions with populations of less than 50,000. Unfunded Mandates Reform Act Discussion of Rule The Coast Guard certifies under 5 U.S.C. 605(b) that this rule will not have The Unfunded Mandates Reform Act A temporary safety zone is necessary of 1995 (2 U.S.C. 1531–1538) requires to ensure the safety of spectators and a significant economic impact on a substantial number of small entities. Federal agencies to assess the effects of vessels during the setup, loading, and their discretionary regulatory actions. In launching of a fireworks display in This rule will affect the following entities, some of which may be small particular, the Act addresses actions conjunction with the Boom Days that may result in the expenditure by a Fireworks. The fireworks display will entities: The owners or operators of State, local, or tribal government, in the occur on April 16, 2011 from 8 p.m. vessels intending to transit or anchor in aggregate, or by the private sector of through 9:30 p.m. The safety zone will a portion of the Buffalo Outer Harbor, $100,000,000 (adjusted for inflation) or encompass all waters of the NFTA small Buffalo, NY on April 16, 2011 from 8 more in any one year. Though this rule boat marina known as Doug’s Dive and p.m. until 9:30 p.m. will not result in such expenditure, we part of the Buffalo Outer Harbor, This safety zone will not have a do discuss the effects of this rule Buffalo, NY within a 370 foot radius significant economic impact on a elsewhere in this preamble. from position 42°50′57.70″ N, substantial number of small entities 78°51′46.52″ W, 42°50′56.25″ N, because of the minimal amount of time Taking of Private Property 78°51′47.61″ W (NAD 83). in which the safety zone will be All persons and vessels must comply enforced. This safety zone will only be This rule will not affect a taking of with the instructions of the Coast Guard enforced for 90 minutes in a low vessel private property or otherwise have Captain of the Port Buffalo or on-scene traffic area. Vessel traffic can pass safely taking implications under Executive representative. Entry into, transiting, or around the zone. Before the effective Order 12630, Governmental Actions and anchoring within the safety zone is period, we will issue maritime Interference with Constitutionally prohibited unless authorized by the advisories, which include a Broadcast Protected Property Rights. Captain of the Port Buffalo or on-scene Notice to Mariners. Civil Justice Reform representative. The Captain of the Port Assistance for Small Entities Buffalo or on-scene representative may This rule meets applicable standards be contacted via VHF Channel 16. Under section 213(a) of the Small in sections 3(a) and 3(b)(2) of Executive Business Regulatory Enforcement Order 12988, Civil Justice Reform, to Regulatory Analyses Fairness Act of 1996 (Pub. L. 104–121), minimize litigation, eliminate We developed this rule after we offer to assist small entities in ambiguity, and reduce burden. understanding the rule so that they can considering numerous statutes and Protection of Children executive orders related to rulemaking. better evaluate its effects on them and Below we summarize our analyses participate in the rulemaking process. We have analyzed this rule under based on 13 of these statutes or Small businesses may send comments Executive Order 13045, Protection of executive orders. on the actions of Federal employees Children from Environmental Health who enforce, or otherwise determine Risks and Safety Risks. This rule is not Regulatory Planning and Review compliance with, Federal regulations to an economically significant rule and This rule is not a significant the Small Business and Agriculture does not create an environmental risk to regulatory action under section 3(f) of Regulatory Enforcement Ombudsman health or risk to safety that may Executive Order 12866, Regulatory and the Regional Small Business disproportionately affect children. Planning and Review, and does not Regulatory Fairness Boards. The Indian Tribal Governments require an assessment of potential costs Ombudsman evaluates these actions and benefits under section 6(a)(3) of that annually and rates each agency’s This rule does not have tribal Order. The Office of Management and responsiveness to small business. If you implications under Executive Order Budget has not reviewed it under that wish to comment on actions by 13175, Consultation and Coordination Order. employees of the Coast Guard, call 1– with Indian Tribal Governments, The Coast Guard determined that this 888–REG–FAIR (1–888–734–3247). The because it does not have a substantial rule is not a significant regulatory action Coast Guard will not retaliate against direct effect on one or more Indian because of the minimal time that the small entities that question or complain tribes, on the relationship between the area will be restricted. Vessels may still about this rule or any policy or action Federal Government and Indian tribes, transit with the permission of the of the Coast Guard. or on the distribution of power and

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responsibilities between the Federal List of Subjects in 33 CFR Part 165 Dated: March 28, 2011. Government and Indian tribes. Harbors, Marine safety, Navigation R.S. Burchell, Energy Effects (water), Reporting and recordkeeping Captain, U.S. Coast Guard, Captain of the requirements, Security measures, Port Buffalo. We have analyzed this rule under Waterways. [FR Doc. 2011–8882 Filed 4–12–11; 8:45 am] Executive Order 13211, Actions For the reasons discussed in the BILLING CODE 9110–04–P Concerning Regulations That preamble, the Coast Guard amends 33 Significantly Affect Energy Supply, CFR part 165 as follows: Distribution, or Use. We have DEPARTMENT OF HOMELAND determined that it is not a ‘‘significant PART 165—REGULATED NAVIGATION SECURITY energy action’’ under that order because AREAS AND LIMITED ACCESS AREAS it is not a ‘‘significant regulatory action’’ Coast Guard under Executive Order 12866 and is not ■ 1. The authority citation for part 165 likely to have a significant adverse effect continues to read as follows: 33 CFR Part 165 on the supply, distribution, or use of [Docket No. USCG–2011–0131 energy. The Administrator of the Office Authority: 33 U.S.C. 1231; 46 U.S.C. of Information and Regulatory Affairs Chapter 701, 3306, 3703; 50 U.S.C. 191, 195; RIN 1625–AA00 has not designated it as a significant 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; Pub. L. 107–295, 116 Stat. 2064; Department Safety Zone; Boom Days, Niagara energy action. Therefore, it does not of Homeland Security Delegation No. 0170.1. River, Niagara Falls, NY require a Statement of Energy Effects under Executive Order 13211. ■ 2. Add § 165.T09–0132 to read as AGENCY: Coast Guard, DHS. follows: Technical Standards ACTION: Temporary final rule. § 165.T09–0132 Safety zone; Boom Days The National Technology Transfer SUMMARY: The Coast Guard is Fireworks, Buffalo Outer Harbor, Buffalo, establishing a temporary safety zone on and Advancement Act (NTTAA) (15 NY. U.S.C. 272 note) directs agencies to use the Niagara River, Niagara Falls, NY for (a) Location. The safety zone will the Boom Days Fireworks. This zone is voluntary consensus standards in their encompass all U.S. navigable waters of regulatory activities unless the agency intended to restrict vessels from La Salle the Niagara River, Niagara Falls, NY, Marina and a portion of the Niagara provides Congress, through the Office of within a 370 foot radius from position Management and Budget, with an ° ′ ″ ° ′ ″ River, Niagara Falls, NY during the 42 50 57.70 N, 78 51 46.52 W, Boom Days Fireworks on April 16, 2011. explanation of why using these 42°50′56.25″ N, 78°51′47.61″ W (NAD standards would be inconsistent with This temporary safety zone is necessary 83). to protect spectators and vessels from applicable law or otherwise impractical. (b) Effective period. This regulation Voluntary consensus standards are the hazards associated with a firework will be effective and the safety zone display. technical standards (e.g., specifications enforced from 8 p.m. through 9:30 p.m. DATES: This rule is effective on April 16, of materials, performance, design, or on April 16, 2011. operation; test methods; sampling (c) Regulations. 2011 from 8 p.m. through 9:30 p.m. procedures; and related management (1) In accordance with the general ADDRESSES: Documents indicated in this systems practices) that are developed or regulations in section 165.23 of this preamble as being available in the adopted by voluntary consensus part, entry into, transiting, or anchoring docket, are part of docket USCG–2011– standards bodies. within this safety zone is prohibited 0131 and are available online by going This rule does not use technical unless authorized by the Captain of the to http://www.regulations.gov, inserting standards. Therefore, we did not Port Buffalo or on-scene representative. USCG–2011–0131 in the ‘‘Keyword’’ consider the use of voluntary consensus (2) This safety zone is closed to all box, and then clicking ‘‘Search.’’ This standards. vessel traffic, except as may be material is also available for inspection or copying at the Docket Management Environment permitted by the Captain of the Port Buffalo or on-scene representative. Facility (M–30), U.S. Department of We have analyzed this rule under (3) The ‘‘on-scene representative’’ of Transportation, West Building Ground Department of Homeland Security the Captain of the Port is any Coast Floor, Room W12–140, 1200 New Jersey Management Directive 023–01 and Guard commissioned, warrant, or petty Avenue, SE., Washington, DC 20590, Commandant Instruction M16475.lD, officer who has been designated by the between 9 a.m. and 5 p.m., Monday which guide the Coast Guard in Captain of the Port Buffalo to act on his through Friday, except Federal holidays. complying with the National behalf. The on-scene representative of FOR FURTHER INFORMATION CONTACT: If Environmental Policy Act of 1969 the Captain of the Port Buffalo will be you have questions on this temporary (NEPA) (42 U.S.C. 4321–4370f), and aboard either a Coast Guard or Coast rule, call or e-mail MST3 Rory Boyle, have concluded this action is one of a Guard Auxiliary vessel. Marine Events Coordinator, U.S. Coast category of actions that do not (4) Vessel operators desiring to enter Guard Sector Buffalo; telephone 716– individually or cumulatively have a or operate within the safety zone shall 843–9343, e-mail [email protected]. significant effect on the human contact the Captain of the Port Buffalo If you have questions on viewing the environment. This rule is categorically or on-scene representative to obtain docket, call Renee V. Wright, Program excluded, under figure 2–1, paragraph permission to do so. The Captain of the Manager, Docket Operations, telephone (34)(g), of the Instruction. This rule Port Buffalo or on-scene representative 202–366–9826. involves the establishment of a safety may be contacted via VHF Channel 16. SUPPLEMENTARY INFORMATION: zone. An environmental analysis (5) Vessel operators given permission checklist and a categorical exclusion to enter or operate in the safety zone Regulatory Information determination are available in the must comply with all directions given to The Coast Guard is issuing this docket where indicated under them by the Captain of the Port Buffalo temporary final rule without prior ADDRESSES. or on-scene representative. notice and opportunity to comment

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pursuant to authority under section 4(a) All persons and vessels must comply in which the safety zone will be of the Administrative Procedure Act with the instructions of the Coast Guard enforced. This safety zone will only be (APA) (5 U.S.C. 553(b)). This provision Captain of the Port or the designated on- enforced for 90 minutes in a low vessel authorizes an agency to issue a rule scene representative. Entry into, traffic area. Vessel traffic can pass safely without prior notice and opportunity to transiting, or anchoring within the around the zone. Before the effective comment when the agency for good safety zone is prohibited unless period, we will issue maritime cause finds that those procedures are authorized by the Captain of the Port advisories, which include a Broadcast ‘‘impracticable, unnecessary, or contrary Buffalo or on-scene representative. The Notice to Mariners. to the public interest.’’ Under 5 U.S.C. Captain of the Port Buffalo or on-scene Assistance for Small Entities 553(b)(B), the Coast Guard finds that representative may be contacted via good cause exists for not publishing a VHF Channel 16. Under section 213(a) of the Small notice of proposed rulemaking (NPRM) Business Regulatory Enforcement Regulatory Analyses with respect to this rule because Fairness Act of 1996 (Pub. L. 104–121), awaiting a comment period to run We developed this rule after we offer to assist small entities in would be impractical and contrary to considering numerous statutes and understanding the rule so that they can the public interest in that it would executive orders related to rulemaking. better evaluate its effects on them and prevent the Captain of the Port Buffalo Below we summarize our analyses participate in the rulemaking process. from performing the function of keeping based on 13 of these statutes or Small businesses may send comments the boating public safe from the hazards executive orders. on the actions of Federal employees associated with a maritime fireworks Regulatory Planning and Review who enforce, or otherwise determine display. compliance with, Federal regulations to This rule is not a significant Under 5 U.S.C. 553(d)(3), the Coast the Small Business and Agriculture regulatory action under section 3(f) of Guard finds that good cause exists for Regulatory Enforcement Ombudsman Executive Order 12866, Regulatory making this rule effective less than 30 and the Regional Small Business Planning and Review, and does not days after publication in the Federal Regulatory Fairness Boards. The require an assessment of potential costs Register. Due to the need for immediate Ombudsman evaluates these actions action, the restriction of vessel traffic is and benefits under section 6(a)(3) of that annually and rates each agency’s necessary to protect life, property and Order. The Office of Management and responsiveness to small business. If you the environment. Therefore, awaiting a Budget has not reviewed it under that wish to comment on actions by 30 day effective period to run is Order. employees of the Coast Guard, call 1– impracticable and contrary to the public The Coast Guard determined that this 888–REG–FAIR (1–888–734–3247). The interest in that it would prevent the rule is not a significant regulatory action Coast Guard will not retaliate against Captain of the Port Buffalo from because of the minimal time that the small entities that question or complain protecting persons and vessels involved area will be restricted. Vessels may still about this rule or any policy or action in and observing the event. transit with the permission of the Captain of the Port Buffalo or designated of the Coast Guard. Background and Purpose on-scene representative. The Coast Collection of Information This temporary safety zone is Guard expects this area will have an necessary to ensure the safety of vessels insignificant adverse impact to mariners This rule calls for no new collection and spectators from hazards associated from the zones activation. of information under the Paperwork with a fireworks display. The Captain of Reduction Act of 1995 (44 U.S.C. 3501– the Port Buffalo has determined that Small Entities 3520). fireworks launched proximate to Under the Regulatory Flexibility Act Federalism watercraft pose a significant risk to (5 U.S.C. 601–612), we have considered public safety and property. Boom Days whether this rule would have a A rule has implications for federalism is an event established to celebrate the significant economic impact on a under Executive Order 13132, removal of the ice boom in Lake Erie substantial number of small entities. Federalism, if it has a substantial direct and the beginning of spring. The term ‘‘small entities’’ comprises effect on State or local governments and Establishing a safety zone to control small businesses, not-for-profit would either preempt State law or vessel movement around the location of organizations that are independently impose a substantial direct cost of the launch platform will help ensure the owned and operated and are not compliance on them. We have analyzed safety of persons and property at these dominant in their fields, and this rule under that Order and have events and help minimize the associated governmental jurisdictions with determined that it does not have risks. populations of less than 50,000. implications for federalism. The Coast Guard certifies under 5 Discussion of Rule Unfunded Mandates Reform Act U.S.C. 605(b) that this rule will not have A temporary safety zone is necessary a significant economic impact on a The Unfunded Mandates Reform Act to ensure the safety of spectators and substantial number of small entities. of 1995 (2 U.S.C. 1531–1538) requires vessels during the setup, loading, and This rule will affect the following Federal agencies to assess the effects of launching of a fireworks display in entities, some of which may be small their discretionary regulatory actions. In conjunction with the Boom Days entities: The owners or operators of particular, the Act addresses actions Fireworks. The fireworks display will vessels intending to transit or anchor in that may result in the expenditure by a occur on April 16, 2011 from 8:30 p.m. a portion of the Niagara River, Niagara State, local, or tribal government, in the through 9 p.m. The safety zone will Falls, NY on April 16, 2011 from 8 p.m. aggregate, or by the private sector of encompass all waters of La Salle Marina until 9:30 p.m. $100,000,000 (adjusted for inflation) or and part of the Niagara River, Niagara This safety zone will not have a more in any one year. Though this rule Falls, NY within a 210 foot radius from significant economic impact on a will not result in such an expenditure, position 43°4′24.02″ N, 78°59′9.18″ W substantial number of small entities we do discuss the effects of this rule (NAD 83). because of the minimal amount of time elsewhere in this preamble.

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Taking of Private Property technical standards (e.g., specifications (c) Regulations. (1) In accordance with This rule will not cause a taking of of materials, performance, design, or the general regulations in section 165.23 private property or otherwise have operation; test methods; sampling of this part, entry into, transiting, or taking implications under Executive procedures; and related management anchoring within this safety zone is Order 12630, Governmental Actions and systems practices) that are developed or prohibited unless authorized by the Interference with Constitutionally adopted by voluntary consensus Captain of the Port Buffalo, or on-scene Protected Property Rights. standards bodies. representative. This rule does not use technical (2) This safety zone is closed to all Civil Justice Reform standards. Therefore, we did not vessel traffic, except as may be This rule meets applicable standards consider the use of voluntary consensus permitted by the Captain of the Port in sections 3(a) and 3(b)(2) of Executive standards. Buffalo or on-scene representative. (3) The ‘‘on-scene representative’’ of Order 12988, Civil Justice Reform, to Environment minimize litigation, eliminate the Captain of the Port Buffalo is any ambiguity, and reduce burden. We have analyzed this rule under Coast Guard commissioned, warrant, or Department of Homeland Security petty officer who has been designated Protection of Children Management Directive 023–01 and by the Captain of the Port to act on his We have analyzed this rule under Commandant Instruction M16475.lD, behalf. The on-scene representative of Executive Order 13045, Protection of which guide the Coast Guard in the Captain of the Port Buffalo will be Children from Environmental Health complying with the National aboard either a Coast Guard or Coast Risks and Safety Risks. This rule is not Environmental Policy Act of 1969 Guard Auxiliary vessel. an economically significant rule and (NEPA) (42 U.S.C. 4321–4370f), and (4) Vessel operators desiring to enter does not create an environmental risk to have concluded this action is one of a or operate within the safety zone shall health or risk to safety that may category of actions which do not contact the Captain of the Port Buffalo disproportionately affect children. individually or cumulatively have a or on-scene representative to obtain permission to do so. The Captain of the Indian Tribal Governments significant effect on the human environment. This rule is categorically Port Buffalo or on-scene representative This rule does not have tribal excluded, under figure 2–1, paragraph may be contacted via VHF Channel 16. implications under Executive Order (34)(g), of the Instruction. This rule (5) Vessel operators given permission 13175, Consultation and Coordination involves the establishment of a safety to enter or operate in the safety zone with Indian Tribal Governments, zone. An environmental analysis must comply with all directions given to because it does not have a substantial checklist and a categorical exclusion them by the Captain of the Port Buffalo direct effect on one or more Indian determination are available in the or on-scene representative. tribes, on the relationship between the docket where indicated under Dated: March 28, 2011. Federal Government and Indian tribes, ADDRESSES. R.S. Burchell, or on the distribution of power and responsibilities between the Federal List of Subjects in 33 CFR Part 165 Captain, U.S. Coast Guard, Captain of the Port Buffalo. Government and Indian tribes. Harbors, Marine safety, Navigation [FR Doc. 2011–8884 Filed 4–12–11; 8:45 am] Energy Effects (water), Reporting and recordkeeping requirements, Security measures, BILLING CODE 9110–04–P We have analyzed this rule under Waterways. Executive Order 13211, Actions Concerning Regulations That For the reasons discussed in the DEPARTMENT OF EDUCATION Significantly Affect Energy Supply, preamble, the Coast Guard amends 33 Distribution, or Use. We have CFR part 165 as follows: 34 CFR Parts 600, 602, 603, 668, 682, 685, 686, 690, and 691 determined that it is not a ‘‘significant PART 165—REGULATED NAVIGATION energy action’’ under that order because AREAS AND LIMITED ACCESS AREAS [Docket ID ED–2010–OPE–0004] it is not a ‘‘significant regulatory action’’ RIN 1840–AD02 under Executive Order 12866 and is not ■ 1. The authority citation for part 165 likely to have a significant adverse effect continues to read as follows: Program Integrity Issues on the supply, distribution, or use of energy. The Administrator of the Office Authority: 33 U.S.C. 1231; 46 U.S.C. AGENCY: Office of Postsecondary of Information and Regulatory Affairs Chapter 701, 3306, 3703; 50 U.S.C. 191, 195; Education, Department of Education. 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; has not designated it as a significant ACTION: Final regulations; correction. energy action. Therefore, it does not Pub. L. 107–295, 116 Stat. 2064; Department of Homeland Security Delegation No. 0170.1. require a Statement of Energy Effects SUMMARY: On October 29, 2010, the under Executive Order 13211. ■ 2. Add § 165.T09–0131 to read as Department of Education published in follows: the Federal Register (75 FR 66832) final Technical Standards regulations for improving integrity in The National Technology Transfer § 165.T09–0131 Safety zone; Boom Days the programs authorized under title IV and Advancement Act (NTTAA) (15 Fireworks, Niagara River, Niagara Falls, NY. of the Higher Education Act of 1965, as U.S.C. 272 note) directs agencies to use (a) Location. The safety zone will amended (HEA), by amending the voluntary consensus standards in their encompass all U.S. navigable waters of regulations for Institutional Eligibility regulatory activities unless the agency the Niagara River, Niagara Falls, NY, Under the HEA, the Secretary’s provides Congress, through the Office of within a 210 foot radius from position Recognition of Accrediting Agencies, Management and Budget, with an 43°4′24.02″ N 78°59′9.18″ W (NAD 83). the Secretary’s Recognition Procedures explanation of why using these (b) Effective period. This regulation for State Agencies, the Student standards would be inconsistent with will be effective and the safety zone Assistance General Provisions, the applicable law or otherwise impractical. enforced from 8:00 p.m. until 9:30 p.m. Federal Family Education Loan (FFEL) Voluntary consensus standards are on April 16, 2011. Program, the William D. Ford Federal

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Direct Loan Program, the Teacher format (e.g., braille, large print, words ‘‘enrolled in payment periods or Education Assistance for College and audiotape, or computer diskette) on assigned to the 2011–12 and subsequent Higher Education (TEACH) Grant request to the contact listed in this award years’’ are corrected to read Program, the Federal Pell Grant section. ‘‘enrolled in payment periods assigned Program, and the Academic SUPPLEMENTARY INFORMATION: to the 2011–12 and subsequent award Competitiveness Grant (AGC) and years’’. Electronic Access to This Document National Science and Mathematics 2. On page 66858, in the first column, Access to Retain Talent Grant (National You may view this document, as well in the second paragraph labeled as Smart Grant) Programs. This document as all other Department of Education Discussion, the last sentence of that makes several corrections to the October documents published in the Federal paragraph is corrected by adding the 29 final regulations, including in the Register, in text or Adobe Portable words ‘‘do not’’ between the words preamble discussion and the regulatory Document Format (PDF), on the Internet ‘‘regulations’’ and ‘‘require’’, so that the text. at the following site: http://www.ed.gov/ sentence reads: ‘‘While these final DATES: Effective July 1, 2011, except that news/fedregister/index.html. To use regulations do not require the creation the corrections to § 668.58 are effective PDF, you must have Adobe Acrobat of a State licensing agency, a State may July 1, 2012. Reader, which is available free at this choose to rely on such an agency to site. FOR FURTHER INFORMATION CONTACT: legally authorize institutions to offer Marty Guthrie, U.S. Department of Note: The official version of this document postsecondary education in the State for Education, 1990 K Street, NW., room is the document published in the Federal purposes of Federal program eligibility.’’ Register. Free Internet access to the official 8042, Washington, DC 20006–8014. edition of the Federal Register and the Code 3. On page 66862, the chart and its Telephone: (202) 219–7031 or via the of Federal Regulations is available via the notes are removed and the following Internet at: [email protected]. Federal Digital System at: http:// corrected chart and notes are added in If you use a telecommunications www.gpo.gov/fdsys. their place to clarify the items in the device for the deaf (TDD), call the third column labeled ‘‘Approval or Federal Relay Service (FRS), toll free, at Corrections to Preamble Discussion licensure process’’ that correspond to 1–800–877–8339. 1. On page 66857, in the third Business entities and Charitable Individuals with disabilities can column, in the fourth full paragraph organizations and to correct the third obtain this document in an accessible labeled as the Discussion section, the bulleted note:

MEETS STATE AUTHORIZATION REQUIREMENTS *

Legal entity Entity description Approval or licensure process

Educational institution ...... A public, private nonprofit, or for-profit institution estab- The institution must comply with any applicable State lished by name by a State through a charter, statute, approval or licensure process and be approved or li- or other action issued by an appropriate State agen- censed by name, and may be exempted from such cy or State entity as an educational institution author- requirement based on its accreditation, or being in ized to operate educational programs beyond sec- operation at least 20 years, or use both criteria. ondary education, including programs leading to a degree or certificate. Business ...... A for-profit entity established by the State on the basis The State must have a State approval or licensure of an authorization or license to conduct commerce process, and the institution must comply with the or provide services. State approval or licensure process and be approved or licensed by name. An institution in this category may not be exempted from State approval or licensure based on accredita- tion, years in operation, or a comparable exemption. Charitable organization ...... A nonprofit entity established by the State on the basis The State must have a State approval or licensure of an authorization or license for the public interest or process, and the institution must comply with the common good. State approval or licensure process and be approved or licensed by name. An institution in this category may not be exempted from State approval or licensure based on accredita- tion, years in operation, or a comparable exemption. * Notes: • Federal, tribal, and religious institutions are exempt from these requirements. • A State must have a process, applicable to all institutions except tribal and Federal institutions, to review and address complaints directly or through referrals. • The chart does not take into account requirements related to State reciprocity.

4. On page 66862, in the first column, 5. On page 66865, in the second with applicable State approval or under the heading Institutions column, the words ‘‘by name’’ are licensure requirements for the considered legally authorized under removed from the eighth line in the institution to qualify as legally amended § 600.9, the fourth bullet is column so the affected sentence reads: authorized by the State for Federal corrected by adding the words ‘‘by ‘‘We have amended proposed § 600.9 to program purposes, the State may name’’ prior to the period of the first provide that, if an institution is an exempt the institution from the State sentence so that it reads: ‘‘A nonprofit entity that is established by name as an approval or licensure requirements institution has a State charter as a educational institution by the State and based on the institution’s accreditation postsecondary institution by name.’’ the State further requires compliance by one or more accrediting agencies

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recognized by the Secretary or based regarding the award of title IV, HEA incorrectly indicated that no changes upon the institution being in operation program funds.’’ were made to § 668.71(c). That for at least 20 years.’’ 10. On page 66895, in the third paragraph is corrected to read as 6. On page 66873, in the first column, column, in the first paragraph, the follows: under the paragraph labeled as (2), the words ‘‘or a second disbursement of Pell ‘‘Changes: We have revised § 668.71(c) sentence is corrected by adding the Grant funds,’’ are removed so that the to state that a misleading statement is words ‘‘or entity’’ between the words sentence reads: ‘‘If the student has not one that has the tendency or likelihood ‘‘person’’ and ‘‘based’’, so that the begun attendance in enough courses to to deceive or confuse.’’ ‘‘ establish a half-time enrollment status, sentence reads: Whether the Corrections to Regulatory Text commission, bonus, or other incentive the institution may not make a first payment is provided to any person or disbursement of a Direct Loan to the § 668.8 [Corrected] entity based in any part, directly or student (34 CFR 685.303(b)(2)(i)), ■ 14. On page 66950, in the second indirectly, upon success in securing although the funds are included as aid column, the introductory text of enrollments or the award of financial that could have been disbursed in the § 668.8(l)(2) is corrected by adding the aid, which are defined as activities Return of Title IV Funds calculation.’’ word ‘‘not’’ between the words ‘‘has’’ and engaged in for the purpose of the 11. On page 66916, the paragraph ‘‘identified’’. admission or matriculation of students labeled Discussion that begins at the for any period of time or the award of bottom of the second column and ends § 668.14 [Corrected] financial aid.’’ in the third column is removed and the following corrected Discussion is added ■ 15. On page 66950, in the third 7. On page 66876, in the third column, § 668.14(b)(22)(ii)(B) is column, under the paragraph labeled as in its place to read as follows: ‘‘Discussion: As noted elsewhere in corrected by: (2), the sentence is corrected by adding this preamble, the Department enforces ■ (A) Adding the words ‘‘or entity’’ after the words ‘‘or entity’’ between the words its regulations, including those in the word ‘‘person’’. ‘‘ ’’ ‘‘ ’’ person and based , so that the subpart F of part 668 within a rule of ■ (B) Removing the words ‘‘who is’’. ‘‘ sentence reads: Whether the reasonableness. We strongly believe that commission, bonus, or other incentive the concerns voiced by many § 668.58 [Corrected] payment is provided to any person or commenters have ignored this fact. For ■ 16. On page 66957, in the first entity based in any part, directly or this reason, we agree to limit the reach column, § 668.58(a)(1)(iii) is corrected indirectly, upon success in securing of the ban on making substantial by removing the word ‘‘certified’’. enrollments or the award of financial misrepresentations to statements made ■ aid, which are defined as activities 17. On page 66957, in the second by any ineligible institution, column, § 668.58(a)(2)(iii)(B) is engaged in for the purpose of the organization, or person with whom the admission or matriculation of students corrected by removing the words eligible institution has an agreement to ‘‘Subsidized Stafford Loan or’’. for any period of time or the award of provide educational programs or those ■ 18. On page 66957, in the second financial aid.’’ that provide marketing, advertising, column, § 668.58(a)(3)(ii)(C) is corrected 8. On page 66878, in the first column, recruiting, or admissions services. We by removing the words ‘‘Subsidized in the paragraphs labeled as the have done this by narrowing the Stafford Loan or’’. Discussion section, in the third language in § 668.71(b) and the paragraph, the sentence is corrected by definition of the term misrepresentation. Dated: April 7, 2011. adding the words ‘‘or entity’’ after the As a result, statements made by students Eduardo M. Ochoa, word ‘‘person’’ and deleting the words through social media outlets will Assistant Secretary for Postsecondary ‘‘who is’’, so that the sentence reads: generally not be covered by these Education. ‘‘For this reason, we are making a misrepresentation regulations. Also, [FR Doc. 2011–8747 Filed 4–12–11; 8:45 am] change to § 668.14(b)(22)(ii) to provide statements made by entities that have BILLING CODE 4000–01–P that institutions may make payments, agreements with the institution to including profit-sharing payments, so provide services, such as food service, long as they are not provided to any other than educational programs, ENVIRONMENTAL PROTECTION person or entity engaged in student marketing, advertising, recruiting, or AGENCY recruitment or admission activity or in admissions services will generally not making decisions regarding the award of be covered by these misrepresentation 40 CFR Part 75 title IV, HEA program funds.’’ regulations.’’ 9. On page 66878, in the paragraph 12. On page 66917, in the third [EPA–HQ–OAR–2009–0837; FRL–9280–9] labeled Changes that begins at the column, the third paragraph is corrected bottom of the first column, the sentence to read as follows: RIN 2060–AQ06 is corrected by adding the words ‘‘or ‘‘With regard to the commenters who entity’’ after the word ‘‘person’’ and stated that the ‘capacity, likelihood, or Protocol Gas Verification Program and deleting the words ‘‘who is’’, so that the tendency to deceive or confuse’ Minimum Competency Requirements sentence reads: ‘‘We have revised language will be confusing, in general, for Air Emission Testing § 668.14(b)(22)(ii) to clarify that, we have no reason to believe that this notwithstanding the ban in language will have any such effect. Correction § 668.14(b)(22)(i), eligible institutions, However, we recognize that the word In rule document 2011–6216 organizations that are contractors to ‘capacity’ is subject to a broad range of appearing on pages 17288–17325 in the eligible institutions, and other entities interpretations, so we have revised the issue of Monday, March 28, 2011, make may make profit-sharing payments, so regulations to state that a misleading the following correction: long as such payments are not provided statement is one that has the tendency Appendix D to Part 75 [Corrected] to any person or entity engaged in or likelihood to deceive or confuse.’’ student recruitment or admission 13. On page 66918, in the first On page 17324, the heading of activity or in making decisions column, the Changes paragraph Appendix D is corrected to read:

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Appendix D to Part 75—Optional SO2 (703) 308–9367; e-mail address: hearing requests are provided in 40 CFR Emissions Data Protocol for Gas-Fired [email protected]. 178.25(b). In addition to filing an objection or and Oil-Fired Peaking Units SUPPLEMENTARY INFORMATION: hearing request with the Hearing Clerk [FR Doc. C1–2011–6216 Filed 4–12–11; 8:45 am] I. General Information as described in 40 CFR part 178, please BILLING CODE 1505–01–D submit a copy of the filing that does not A. Does this action apply to me? contain any CBI for inclusion in the You may be potentially affected by public docket. Information not marked ENVIRONMENTAL PROTECTION this action if you are an agricultural AGENCY confidential pursuant to 40 CFR part 2 producer, food manufacturer, or may be disclosed publicly by EPA 40 CFR Part 180 pesticide manufacturer. Potentially without prior notice. Submit a copy of affected entities may include, but are your non-CBI objection or hearing [EPA–HQ–OPP–2010–0063; FRL–8867–5] not limited to those engaged in the request, identified by docket ID number following activities: EPA–HQ–OPP–2010–0063, by one of Etoxazole; Pesticide Tolerances • Crop production (NAICS code 111). the following methods: • AGENCY: Environmental Protection Animal production (NAICS code • Federal eRulemaking Portal: http:// Agency (EPA). 112). www.regulations.gov. Follow the on-line • Food manufacturing (NAICS code ACTION: Final rule. instructions for submitting comments. 311). • Mail: Office of Pesticide Programs SUMMARY: This regulation establishes • Pesticide manufacturing (NAICS (OPP) Regulatory Public Docket (7502P), tolerances for residues of etoxazole in or code 32532). Environmental Protection Agency, 1200 on multiple commodities which are This listing is not intended to be Pennsylvania Ave., NW., Washington, identified and discussed later in this exhaustive, but rather to provide a guide DC 20460–0001. document. Interregional Research for readers regarding entities likely to be • Delivery: OPP Regulatory Public Project #4 (IR–4) requested these affected by this action. Other types of Docket (7502P), Environmental tolerances under the Federal Food, entities not listed in this unit could also Protection Agency, Rm. S–4400, One Drug, and Cosmetic Act (FFDCA). be affected. The North American Potomac Yard (South Bldg.), 2777 S. DATES: This regulation is effective April Industrial Classification System Crystal Dr., Arlington, VA. Deliveries 13, 2011. Objections and requests for (NAICS) codes have been provided to are only accepted during the Docket hearings must be received on or before assist you and others in determining Facility’s normal hours of operation June 13, 2011, and must be filed in whether this action might apply to (8:30 a.m. to 4 p.m., Monday through accordance with the instructions certain entities. If you have any Friday, excluding legal holidays). provided in 40 CFR part 178 (see also questions regarding the applicability of Special arrangements should be made Unit I.C. of the SUPPLEMENTARY this action to a particular entity, consult for deliveries of boxed information. The INFORMATION). the person listed under FOR FURTHER Docket Facility telephone number is INFORMATION CONTACT. (703) 305–5805. ADDRESSES: EPA has established a docket for this action under docket B. How can I get electronic access to II. Summary of Petitioned-for Tolerance identification (ID) number EPA–HQ– other related information? In the Federal Register of May 19, OPP–2010–0063. All documents in the You may access a frequently updated 2010 (75 FR 28009) (FRL–8823–2), EPA docket are listed in the docket index electronic version of EPA’s tolerance issued a notice pursuant to section available at http://www.regulations.gov. regulations at 40 CFR part 180 through 408(d)(3) of FFDCA, 21 U.S.C. Although listed in the index, some the Government Printing Office’s e-CFR 346a(d)(3), announcing the filing of a information is not publicly available, site at http://www.gpoaccess.gov/ecfr. pesticide petition (PP 9E7675) by IR–4, e.g., Confidential Business Information To access the harmonized test Rutgers, The State University of New (CBI) or other information whose guidelines referenced in this document Jersey, 500 College Road East, Suite 201 disclosure is restricted by statute. electronically, please go to http:// W., Princeton, NJ 08540. The petition Certain other material, such as www.epa.gov/ocspp and select ‘‘Test requested that 40 CFR part 180 be copyrighted material, is not placed on Methods and Guidelines.’’ amended by establishing tolerances for the Internet and will be publicly residues of the miticide/ovicide available only in hard copy form. C. How can I file an objection or hearing etoxazole, 2-(2,6-difluorophenyl)-4-[4- Publicly available docket materials are request? (1,1-dimethylethyl)-2-ethoxyphenyl]- available in the electronic docket at Under FFDCA section 408(g), 21 4,5-dihydrooxazole, in or on peppers, http://www.regulations.gov, or, if only U.S.C. 346a, any person may file an African eggplant, eggplant, martynia, available in hard copy, at the OPP objection to any aspect of this regulation okra, pea eggplant, pepino, roselle, and Regulatory Public Docket in Rm. S– and may also request a hearing on those scarlet eggplant at 0.20 ppm; Crop 4400, One Potomac Yard (South Bldg.), objections. You must file your objection Group 9: Cucurbit vegetables at 0.20 2777 S. Crystal Dr., Arlington, VA. The or request a hearing on this regulation ppm; Subgroup 13–07A: Caneberry at Docket Facility is open from 8:30 a.m. in accordance with the instructions 1.1 ppm; Subgroup 13–07F: Small fruit to 4 p.m., Monday through Friday, provided in 40 CFR part 178. To ensure vine climbing subgroup except fuzzy excluding legal holidays. The Docket proper receipt by EPA, you must kiwi at 0.50 ppm; Subgroup 13–07G: Facility telephone number is (703) 305– identify docket ID number EPA–HQ– Low-growing berry subgroup at 0.50 5805. OPP–2010–0063 in the subject line on ppm and avocado, papaya, star apple, FOR FURTHER INFORMATION CONTACT: the first page of your submission. All black sapote, mango, sapodilla, canistel, Andrew Ertman, Registration Division objections and requests for a hearing and mamey sapote at 0.20 ppm; and tea (7505P), Office of Pesticide Programs, must be in writing, and must be at 15 ppm. The petition also proposed Environmental Protection Agency, 1200 received by the Hearing Clerk on or to delete the established tolerances in or Pennsylvania Ave., NW., Washington, before June 13, 2011. Addresses for mail on strawberry, grape, cucumber, and DC 20460–0001; telephone number: and hand delivery of objections and vegetable, cucurbit subgroup 9A since

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they would be covered by the proposed A. Toxicological Profile be carcinogenic to humans.’’ Etoxazole new tolerances. That notice referenced a EPA has evaluated the available is not mutagenic. summary of the petition prepared by toxicity data and considered its validity, The toxicology data for etoxazole provides no indication of increased Valent, the registrant, which is available completeness, and reliability as well as susceptibility, as compared to adults, of in the docket, http:// the relationship of the results of the rat and rabbit fetuses to in utero www.regulations.gov. A comment was studies to human risk. EPA has also exposure in developmental studies. The received on the notice of filing. EPA’s considered available information rabbit developmental toxicity study response to this comment is discussed concerning the variability of the included maternal toxic effects (liver in Unit IV.C. sensitivities of major identifiable enlargement, decreased weight gain, and subgroups of consumers, including Based upon review of the data decreased food consumption) at the infants and children. supporting the petition, EPA has same dose as developmental effects The existing etoxazole data indicate modified the levels at which some of the (increased incidences of 27 presacral that it possesses low acute toxicity via tolerances are being set and is setting a vertebrae and 27 presacral vertebrae all routes of exposure. It is not an eye subgroup tolerance instead of separate with 13th ribs). In the 2-generation or dermal irritant or a dermal sensitizer. tolerances for some commodities. It was reproduction study conducted with rats, No toxicity was seen at the limit dose also determined that the proposed offspring toxicity was more severe (pup in a 28-day dermal toxicity study in rats. deletion of the cucurbit subgroup 9A mortality) than parental toxicity The liver is the main target organ in and establishment of a tolerance for the (increased liver and adrenal weights) at mice, rats and dogs. In a 90-day toxicity cucurbit vegetables crop group 9 could the same dose, indicating increased study in dogs, increased liver weights not be done due to differences in qualitative susceptibility. tolerance levels between subgroups 9A and centrilobular hepatocellular Specific information on the studies and 9B. Finally, the tolerance swelling in the liver were observed. received and the nature of the adverse expression is being revised to be Similar effects were observed in a effects caused by etoxazole as well as consistent with current Agency policy. chronic toxicity study in dogs at similar the no-observed-adverse-effect-level The reasons for these changes are doses, indicating that systemic effects (NOAEL) and the lowest-observed- explained in Unit IV.D. (mainly liver effects) occur at similar adverse-effect-level (LOAEL) from the dose levels following short- through toxicity studies can be found at http:// III. Aggregate Risk Assessment and long-term exposure without increasing www.regulations.gov in docket ID Determination of Safety in severity. In a 90-day toxicity study in number EPA–HQ–OPP–2010–0063 in mice, hepatotoxicity (increased relative Section 408(b)(2)(A)(i) of FFDCA the document titled Etoxazole; ‘‘Human liver weight, liver enlargement, and Health Risk Assessment for Proposed allows EPA to establish a tolerance (the centrilobular hepatocellular swelling) legal limit for a pesticide chemical Tolerances and Uses on Peppers (Bell was observed at high doses. Similar and Non-bell); Squash/Cucumbers residue in or on a food) only if EPA effects were observed at the high dose determines that the tolerance is ‘‘safe.’’ (Subgroup 9B); Avocado; Tropical and in a mouse carcinogenicity study. Subtropical Fruits (Inedible Peel); Section 408(b)(2)(A)(ii) of FFDCA Subchronic and chronic toxicity studies defines ‘‘safe’’ to mean that ‘‘there is a Caneberry Subgroup 13–07A; Small in rats produced similar effects Fruit Vine Climbing, Except Kiwifruit, reasonable certainty that no harm will (increased liver weights, centrilobular result from aggregate exposure to the Subgroup 13–07F; Low-growing Berry, hepatocellular swelling, etc.) to those Subgroup 13–07G; and Tea,’’ pp. 29–31. pesticide chemical residue, including seen in mice and dogs. In addition, all anticipated dietary exposures and all slight increases in thyroid weights and B. Toxicological Points of Departure/ other exposures for which there is incisors were observed in subchronic Levels of Concern reliable information.’’ This includes and chronic toxicity studies in rats at Once a pesticide’s toxicological exposure through drinking water and in high doses and at terminal stages of the profile is determined, EPA identifies residential settings, but does not include study. Toxicity was not observed at the toxicological points of departure (POD) occupational exposure. Section highest dose tested (HDT) in another and levels of concern to use in 408(b)(2)(C) of FFDCA requires EPA to carcinogenicity study in mice. There is evaluating the risk posed by human give special consideration to exposure no evidence of immunotoxicity or exposure to the pesticide. For hazards of infants and children to the pesticide neurotoxicity in any of the submitted that have a threshold below which there chemical residue in establishing a studies. is no appreciable risk, the toxicological tolerance and to ‘‘ensure that there is a Two studies in mice showed no POD is used as the basis for derivation reasonable certainty that no harm will evidence of carcinogenicity up to the of reference values for risk assessment. result to infants and children from HDT. In a rat carcinogenicity study, PODs are developed based on a careful aggregate exposure to the pesticide which was deemed unacceptable due to analysis of the doses in each chemical residue. * * *’’ inadequate dosing, benign interstitial toxicological study to determine the Consistent with section 408(b)(2)(D) cell tumors (testis) and pancreas benign dose at which no adverse effects are of FFDCA, and the factors specified in islet cell adenomas were observed (in observed (the NOAEL) and the lowest section 408(b)(2)(D) of FFDCA, EPA has females) at the high dose. These effects dose at which adverse effects of concern reviewed the available scientific data were not observed in an acceptable are identified (the LOAEL). Uncertainty/ and other relevant information in carcinogenicity study in rats at higher safety factors are used in conjunction support of this action. EPA has doses. In special mechanistic male rat with the POD to calculate a safe sufficient data to assess the hazards of studies there were no observable exposure level—generally referred to as and to make a determination on changes in serum hormone levels a population-adjusted dose (PAD) or a aggregate exposure for etoxazole (estradiol, luteinizing hormone (LH), reference dose (RfD)—and a safe margin including exposure resulting from the prolactin and testosterone) or of exposure (MOE). For non-threshold tolerances established by this action. reproductive effects (interstitial cell risks, the Agency assumes that any EPA’s assessment of exposures and risks proliferation or spermatogenesis) noted. amount of exposure will lead to some associated with etoxazole follows. EPA classified etoxazole as ‘‘not likely to degree of risk. Thus, the Agency

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estimates risk in terms of the probability complete description of the risk A summary of the toxicological of an occurrence of the adverse effect assessment process, see http:// endpoints for etoxazole used for human expected in a lifetime. For more www.epa.gov/pesticides/factsheets/ risk assessment is shown in the information on the general principles riskassess.htm. following Table: EPA uses in risk characterization and a

TABLE—SUMMARY OF TOXICOLOGICAL DOSES AND ENDPOINTS FOR ETOXAZOLE FOR USE IN HUMAN HEALTH RISK ASSESSMENT

Point of departure and RfD, PAD, LOC for risk Exposure/scenario uncertainty/safety factors assessment Study and toxicological effects

Acute dietary (Females 13–50 A dose and endpoint attributable to a single dose were not identified in the database including the develop- years of age and general popu- mental toxicity studies. lation including infants and chil- dren).

Chronic dietary (All populations) .... NOAEL = 4.62 mg/kg/day UFA = Chronic RfD = 0.046 mg/kg/day ... Chronic Oral Toxicity Study-Dog 10x. cPAD = 0.046 mg/kg/day LOAEL = 23.5 mg/kg/day based UFH = 10x upon increased alkaline phos- FQPA SF = 1x phatase activity, increased liver weights, liver enlargement (fe- males), and incidences of centrilobular hepatocellular swelling in the liver.

Cancer (Oral, dermal, inhalation) .. Classification: ‘‘Not likely to be Carcinogenic to Humans.’’

UFA = extrapolation from animal to human (interspecies). UFH = potential variation in sensitivity among members of the human population (intraspecies). UFDB = to account for the absence of data or other data deficiency. FQPA SF = Food Quality Protection Act Safety Factor. PAD = population adjusted dose (a = acute, c = chronic). RfD = reference dose. MOE = margin of exposure. LOC = level of concern.

C. Exposure Assessment relevant data. If quantitative cancer risk cancer assessments are estimated to be assessment is appropriate, Cancer risk 4.761 parts per billion (ppb) for surface 1. Dietary exposure from food and may be quantified using a linear or water and 0.318 ppb for ground water. feed uses. In evaluating dietary nonlinear approach. If sufficient Modeled estimates of drinking water exposure to etoxazole, EPA considered information on the carcinogenic mode concentrations were directly entered exposure under the petitioned-for of action is available, a threshold or into the dietary exposure model. For tolerances as well as all existing non-linear approach is used and a chronic dietary risk assessment, the etoxazole tolerances in 40 CFR 180.593. cancer RfD is calculated based on an water concentration of value 4.761 ppb EPA assessed dietary exposures from earlier noncancer key event. If was used to assess the contribution to etoxazole in food as follows: carcinogenic mode of action data are not drinking water. i. Acute exposure. Quantitative acute available, or if the mode of action data 3. From non-dietary exposure. The dietary exposure and risk assessments determines a mutagenic mode of action, term ‘‘residential exposure’’ is used in are performed for a food-use pesticide, a default linear cancer slope factor this document to refer to non- if a toxicological study has indicated the approach is utilized. Based on the data occupational, non-dietary exposure possibility of an effect of concern summarized in Unit III.A., EPA has (e.g., for lawn and garden pest control, occurring as a result of a 1-day or single concluded that etoxazole does not pose indoor pest control, termiticides, and exposure. a cancer risk to humans. Therefore, a flea and tick control on pets). Etoxazole No such effects were identified in the dietary exposure assessment for the is not registered for any specific use toxicological studies for etoxazole; purpose of assessing cancer risk is patterns that would result in residential therefore, a quantitative acute dietary unnecessary. exposure. exposure assessment is unnecessary. 2. Dietary exposure from drinking 4. Cumulative effects from substances ii. Chronic exposure. In conducting water. The Agency used screening level with a common mechanism of toxicity. the chronic dietary exposure assessment water exposure models in the dietary Section 408(b)(2)(D)(v) of FFDCA EPA used the food consumption data exposure analysis and risk assessment requires that, when considering whether from the USDA 1994–1996 and 1998 for etoxazole in drinking water. These to establish, modify, or revoke a Continuing Surveys for Food Intake by simulation models take into account tolerance, the Agency consider Individuals (CSFII). As to residue levels data on the physical, chemical, and fate/ ‘‘available information’’ concerning the in food, an unrefined, chronic dietary transport characteristics of etoxazole. cumulative effects of a particular exposure assessment was performed for Further information regarding EPA pesticide’s residues and ‘‘other the general U.S. population and various drinking water models used in pesticide substances that have a common population subgroups using tolerance- exposure assessment can be found at mechanism of toxicity.’’ level residues for all agricultural http://www.epa.gov/oppefed1/models/ EPA has not found etoxazole to share commodities and 100 percent crop water/index.htm. a common mechanism of toxicity with treated (PCT). Based on the First Index Reservoir any other substances, and etoxazole iii. Cancer. EPA determines whether Screening Tool (FIRST), and Screening does not appear to produce a toxic quantitative cancer exposure and risk Concentration in Ground Water (SCI– metabolite produced by other assessments are appropriate for a food- GROW) models, the estimated drinking substances. For the purposes of this use pesticide based on the weight of the water concentrations (EDWCs) of tolerance action, therefore, EPA has evidence from cancer studies and other etoxazole for chronic exposures for non- assumed that etoxazole does not have a

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common mechanism of toxicity with neurotoxicity testing (OPPTS Guideline consumption of food and drinking other substances. For information 870.6200), and immunotoxicity testing water. No adverse effect resulting from regarding EPA’s efforts to determine (OPPTS Guideline 870.7800) required a single oral exposure was identified which chemicals have a common for pesticide registration. Although and no acute dietary endpoint was mechanism of toxicity and to evaluate these studies are not yet available for selected. Therefore, etoxazole is not the cumulative effects of such etoxazole, the available data do not expected to pose an acute risk. chemicals, see EPA’s Web site at show any evidence of treatment-related 2. Chronic risk. Using the exposure http://www.epa.gov/pesticides/ effects on the immune system. Further, assumptions described in this unit for cumulative. there is no evidence of neurotoxicity in chronic exposure, EPA has concluded any study in the toxicity database for that chronic exposure to etoxazole from D. Safety Factor for Infants and etoxazole. Therefore, EPA does not Children food and water will utilize 11% of the believe that conducting neurotoxicity cPAD for children 1–2 years old, the 1. In general. Section 408(b)(2)(C) of and immunotoxicity studies will result population group receiving the greatest FFDCA provides that EPA shall apply in a NOAEL lower than the NOAEL of exposure. There are no residential uses × an additional tenfold (10 ) margin of 4.62 mg/kg/day already established for for etoxazole. safety for infants and children in the etoxazole. Consequently, an additional 3. Short and intermediate-term risk. case of threshold effects to account for database uncertainty factor does not Short- and intermediate-term aggregate prenatal and postnatal toxicity and the need to be applied. exposure takes into account short- and completeness of the database on toxicity ii. There is no indication that intermediate-term residential exposure and exposure unless EPA determines etoxazole is a neurotoxic chemical and plus chronic exposure to food and water based on reliable data that a different there is no need for a developmental (considered to be a background margin of safety will be safe for infants neurotoxicity study or additional UFs to exposure level). and children. This additional margin of account for neurotoxicity. A short- and/or intermediate-term safety is commonly referred to as the iii. Although there is qualitative adverse effect was identified; however, Food Quality Protection Act (FQPA) evidence of increased susceptibility of etoxazole is not registered for any use Safety Factor (SF). In applying this offspring (pup mortality) compared to patterns that would result in short- and/ provision, EPA either retains the default less severe parental effects (increased or intermediate-term residential value of 10×, or uses a different liver and adrenal weights) at the same exposure. Short- and/or intermediate- additional safety factor when reliable dose in the rat multi-generation term risk is assessed based on short- data available to EPA support the choice reproduction study, the Agency did not and/or intermediate term residential of a different factor. identify any residual uncertainties after exposure plus chronic dietary exposure. 2. Prenatal and postnatal sensitivity. establishing toxicity endpoints and Because there is no short- and/or The toxicology data for etoxazole traditional UFs (10× for interspecies × intermediate-term residential exposure provides no indication of increased variation and 10 for intraspecies and chronic dietary exposure has susceptibility, as compared to adults, of variation) to be used in the risk already been assessed under the rat and rabbit fetuses to in utero assessment. Therefore, there are no appropriately protective cPAD (which is exposure in developmental studies. In a residual concerns regarding at least as protective as the POD used to rat reproduction study, offspring developmental effects in the young. assess short- and/or intermediate-term toxicity was more severe (pup mortality) iv. There are no residual uncertainties risk), no further assessment of short- than parental toxicity (increased liver identified in the exposure databases. and/or intermediate-term risk is and adrenal weights) at the same dose; The dietary food exposure assessments necessary, and EPA relies on the thereby indicating increased qualitative were performed based on 100 PCT and chronic dietary risk assessment for susceptibility. Based on the concerns in tolerance-level residues. EPA made evaluating short- and/or intermediate- this unit, a Degree of Concern Analysis conservative (protective) assumptions in term risk for etoxazole. was performed by EPA, which the ground and surface water modeling 4. Aggregate cancer risk for U.S. concluded that concern is low since: used to assess exposure to etoxazole in population. Based on the lack of i. The effects in pups are well- drinking water. These assessments will evidence of carcinogenicity in two characterized with a clear NOAEL; not underestimate the exposure and adequate rodent carcinogenicity studies, ii. The pup effects occur at the same risks posed by etoxazole. etoxazole is not expected to pose a dose as parental toxicity; and cancer risk to humans. iii. The doses selected for various risk E. Aggregate Risks and Determination of 5. Determination of safety. Based on assessment scenarios are lower (∼3000- Safety these risk assessments, EPA concludes fold lower) than the doses that caused EPA determines whether acute and that there is a reasonable certainty that offspring toxicity in the rat 2-generation chronic dietary pesticide exposures are no harm will result to the general reproduction study. Therefore, the safe by comparing aggregate exposure population or to infants and children endpoints selected for risk assessment estimates to the acute PAD (aPAD) and from aggregate exposure to etoxazole are protective of the effects seen in the chronic PAD (cPAD). For linear cancer residues. rat reproduction study. risks, EPA calculates the lifetime 3. Conclusion. EPA has determined probability of acquiring cancer given the IV. Other Considerations that reliable data show the safety of estimated aggregate exposure. Short-, A. Analytical Enforcement Methodology infants and children would be intermediate-, and chronic-term risks adequately protected if the FQPA SF are evaluated by comparing the Adequate enforcement methodologies were reduced to 1×. That decision is estimated aggregate food, water, and (gas chromatography/nitrogen- based on the following findings: residential exposure to the appropriate phosphorus detection (GC/NPD) and gas i. The toxicity database for etoxazole PODs to ensure that an adequate MOE chromatography/mass selective is complete except for acute and exists. detection (GC/MSD) methods) are subchronic neurotoxicity and 1. Acute risk. An acute aggregate risk available to enforce the tolerance immunotoxicity studies. Changes to 40 assessment takes into account acute expression. The method may be CFR 180.158 make acute and subchronic exposure estimates from dietary requested from: Chief, Analytical

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Chemistry Branch, Environmental available information concerning the comprise the pepper/eggplant subgroup Science Center, 701 Mapes Rd., Ft. potential that other substances have a 8–10B. Meade, MD 20755–5350; telephone common mechanism of toxicity, in Also, because of differences in the number: (410) 305–2905; e-mail address: reaching a conclusion as to whether or tolerance levels between subgroup 9A [email protected]. not the reasonable certainty of no harm (melon subgroup) and 9B (squash/ decision can be made. cucumber subgroup), the two cannot be B. International Residue Limits combined into a single tolerance under In making its tolerance decisions, EPA D. Revisions to Petitioned-for Crop Group 9 Cucurbit Vegetables as seeks to harmonize U.S. tolerances with Tolerances proposed in the petition. Accordingly, international standards whenever Upon review of the data supporting other than the nomenclature change to possible, consistent with U.S. food the petition, EPA revised the tolerance the existing subgroup 9A tolerance safety standards and agricultural for caneberry subgroup 13–07A from 1.1 noted below, EPA is leaving the existing practices. EPA considers the ppm to 1.5 ppm based on analysis of the subgroup 9A tolerance intact and international maximum residue limits residue field trial data using the adding a new tolerance for subgroup 9B. (MRLs) established by the Codex Agency’s Tolerance Spreadsheet in In order to use the correct Alimentarius Commission (Codex), as accordance with the Agency’s Guidance nomenclature, the existing tolerance for required by FFDCA section 408(b)(4). for Setting Pesticide Tolerances Based ‘‘vegetable, cucurbit subgroup 9A’’ is The Codex Alimentarius is a joint U.N. on Field Trial Data. being re-named ‘‘melon subgroup 9A.’’ Food and Agriculture Organization/ The Agency also corrected the Finally, EPA has revised the tolerance World Health Organization food commodity definition from ‘‘fruit, small, expression to clarify: standards program, and it is recognized vine climbing, subgroup 13–07F, except 1. That, as provided in FFDCA section as an international food safety fuzzy kiwifruit’’ to ‘‘fruit, small vine 408(a)(3), the tolerance covers standards-setting organization in trade climbing, except fuzzy kiwifruit, metabolites and degradates of etoxazole agreements to which the United States subgroup 13–07F.’’ not specifically mentioned; and is a party. EPA may establish a tolerance 2. That compliance with the specified EPA has also determined that the that is different from a Codex MRL; tolerance levels is to be determined by petitioned-for tolerance on tea at 15 however, FFDCA section 408(b)(4) measuring only the specific compounds ppm should be established as a requires that EPA explain the reasons mentioned in the tolerance expression. for departing from the Codex level. tolerance with no U.S. registrations on The Codex has not established MRLs tea, dried at 15 ppm. At least one U.S. V. Conclusion for etoxazole for the commodities residue field trial study is required to Therefore, tolerances are established discussed in this document. establish a domestic registration on tea; for residues of etoxazole, 2-(2,6- however, no U.S. residue field trial data difluorophenyl)-4-[4-(1,1- C. Response to Comments were submitted in support of the use of dimethylethyl)-2-ethoxyphenyl]-4,5- EPA received a comment from a etoxazole on tea. Therefore, the Agency dihydrooxazole, in or on pepper/ private citizen expressing concerns for has established a tolerance with no U.S. eggplant subgroup 8–10B at 0.20 ppm; genetically modified vegetables and registrations on tea, dried at 15 ppm. tea, dried at15 ppm; berry, low growing, undue risks from pesticides. However, Additionally, IR–4 petitioned for subgroup 13–07G at 0.50 ppm; fruit, this action does not involve use of individual tolerances on peppers, small vine climbing, except fuzzy genetically modified vegetables. African eggplant, eggplant, martynia, kiwifruit, subgroup 13–07F at 0.50 ppm; Additionally, when new or amended okra, pea eggplant, pepino, roselle, and squash/cucumber subgroup 9B at 0.02 tolerances are requested for the presence scarlet eggplant (PP 9E7675). In the ppm; avocado at 0.20 ppm; papaya at of the residues of a pesticide and its Federal Register of December 8, 2010 0.20 ppm; star apple at 0.20 ppm; toxicologically significant metabolite(s) (75 FR 76284–76292) (FRL–8853–8), sapote, black at 0.20 ppm; mango at 0.20 in food or feed, the Agency, as is EPA issued a final rule that revised the ppm; sapodilla at 0.20 ppm; canistel at required by section 408 of the Federal crop grouping regulations. As part of 0.20 ppm; sapote, mamey at 0.20 ppm; Food, Drug and Cosmetic Act (FFDCA), this action, EPA retained the pre- and caneberry subgroup 13–07A at 1.5 estimates the risk of the potential existing Crop Group 8 and added a new ppm. exposure to these residues by group titled ‘‘Crop Group 8–10 Fruiting performing an aggregate risk assessment. Vegetable Group.’’ The new crop group VI. Statutory and Executive Order Such a risk assessment integrates the 8–10 added new commodities and Reviews individual assessments that are created new subgroups (including a This final rule establishes tolerances conducted for food, drinking water, and subgroup consisting of the commodities under section 408(d) of FFDCA in residential exposures. Additionally, the requested in PP 9E7675). EPA indicated response to a petition submitted to the Agency, as is further required by section in the December 8, 2010 final rule as Agency. The Office of Management and 408 of the FFDCA, considers available well as the earlier January 6, 2010 Budget (OMB) has exempted these types information concerning what are termed proposed rule (75 FR 807) of actions from review under Executive the cumulative toxicological effects of (FRL–8801–2) that, for existing petitions Order 12866, entitled Regulatory the residues of that pesticide and of for which a Notice of Filing had been Planning and Review (58 FR 51735, other substances having a common published, the Agency would attempt to October 4, 1993). Because this final rule mechanism of toxicity with it. The conform these petitions to the rule. has been exempted from review under Agency has concluded after this Therefore, consistent with this rule, Executive Order 12866, this final rule is assessment that there is a reasonable EPA is establishing a tolerance on the not subject to Executive Order 13211, certainty that no harm will result from pepper/eggplant subgroup 8–10B. EPA entitled Actions Concerning Regulations exposure to the residues of interest. concludes it is reasonable to establish That Significantly Affect Energy Supply, Therefore, the proposed tolerances are the tolerance on the newly created Distribution, or Use (66 FR 28355, May found to be acceptable. These subgroup, since the individual 22, 2001) or Executive Order 13045, assessments consider body residue commodities for which tolerances were entitled Protection of Children from loads of the pesticide, as well as requested are identical to those which Environmental Health Risks and Safety

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Risks (62 FR 19885, April 23, 1997). other required information to the U.S. Parts per This final rule does not contain any Senate, the U.S. House of Commodity million information collections subject to OMB Representatives, and the Comptroller approval under the Paperwork General of the United States prior to ***** Reduction Act (PRA), 44 U.S.C. 3501 et publication of this final rule in the Mango ...... 0 .20 Melon subgroup 9A ...... 0.20 seq., nor does it require any special Federal Register. This final rule is not considerations under Executive Order a ‘‘major rule’’ as defined by 5 U.S.C. ***** 12898, entitled Federal Actions to 804(2). Papaya ...... 0.20 Address Environmental Justice in List of Subjects in 40 CFR Part 180 Pepper/eggplant subgroup 8– Minority Populations and Low-Income 10B ...... 0 .20 Populations (59 FR 7629, February 16, Environmental protection, 1994). Administrative practice and procedure, ***** Since tolerances and exemptions that Agricultural commodities, Pesticides Sapodilla ...... 0.20 are established on the basis of a petition and pests, Reporting and recordkeeping Sapote, black ...... 0 .20 under section 408(d) of FFDCA, such as requirements. Sapote, mamey ...... 0.20 the tolerance in this final rule, do not Dated: April 1, 2011. ***** require the issuance of a proposed rule, Daniel J. Rosenblatt, Squash/cucumber subgroup the requirements of the Regulatory 9B ...... 0 .02 Flexibility Act (RFA) (5 U.S.C. 601 et Acting Director, Registration Division, Office of Pesticide Programs. Star apple ...... 0.20 seq.) do not apply. This final rule directly regulates Therefore, 40 CFR chapter I is ***** growers, food processors, food handlers, amended as follows: Tea, dried * ...... 15 and food retailers, not States or Tribes, PART 180—[AMENDED] nor does this action alter the ***** relationships or distribution of power ■ 1. The authority citation for part 180 * There are currently no U.S. registrations and responsibilities established by continues to read as follows: for tea as of April 13, 2011. Congress in the preemption provisions of section 408(n)(4) of FFDCA. As such, Authority: 21 U.S.C. 321(q), 346a and 371. * * * * * [FR Doc. 2011–8550 Filed 4–12–11; 8:45 am] the Agency has determined that this ■ 2. Section 180.593 is amended by: action will not have a substantial direct ■ i. Revising the introductory text in BILLING CODE 6560–50–P effect on States or Tribal governments, paragraph (a); ■ on the relationship between the national ii. Removing the commodities ENVIRONMENTAL PROTECTION ‘‘ ’’ ‘‘ ’’ ‘‘ ’’ government and the States or Tribal Cucumber, Grape and Strawberry AGENCY governments, or on the distribution of from the table in paragraph (a); power and responsibilities among the ■ iii. Revising the entry ‘‘Vegetable, 40 CFR Part 180 various levels of government or between cucurbit subgroup 9A’’ to read ‘‘Melon the Federal Government and Indian subgroup 9A’’ in the table; and [EPA–HQ–OPP–2010–0274; FRL–8868–4] Tribes. Thus, the Agency has ■ iv. Alphabetically adding the determined that Executive Order 13132, following commodities to the table in Escherichia coli O157:H7 Specific entitled Federalism (64 FR 43255, paragraph (a) to read as follows: Bacteriophages; Temporary Exemption August 10, 1999) and Executive Order § 180.593 Etoxazole; tolerances for From the Requirement of a Tolerance 13175, entitled Consultation and residues. Coordination with Indian Tribal AGENCY: Environmental Protection (a) General. Tolerances are Governments (65 FR 67249, November Agency (EPA). established for residues of etoxazole, 9, 2000) do not apply to this final rule. ACTION: Final rule. including its metabolites and In addition, this final rule does not degradates, in or on the commodities in impose any enforceable duty or contain SUMMARY: This regulation establishes a the table below. Compliance with the any unfunded mandate as described temporary exemption from the tolerance levels specified below is to be under Title II of the Unfunded Mandates requirement of a tolerance for residues determined by measuring only etoxazole Reform Act of 1995 (UMRA) (Pub. L. of lytic bacteriophages that are specific (2-(2,6-difluorophenyl)-4-[4-(1,1- 104–4). to Escherichia coli O157:H7, sequence This action does not involve any dimethylethyl)-2-ethoxyphenyl]-4,5- negative for shiga toxins I and II, and technical standards that would require dihydrooxazole) in or on the grown on atoxigenic host bacteria when Agency consideration of voluntary commodity. applied/used on food contact surfaces in consensus standards pursuant to section food processing plants in accordance Parts per with the terms of Experimental Use 12(d) of the National Technology Commodity million Transfer and Advancement Act of 1995 Permit (EUP) No. 74234–EUP–2. (NTTAA), Public Law 104–113, section Intralytix, Inc. submitted a petition to 12(d) (15 U.S.C. 272 note). ***** EPA under the Federal Food, Drug, and Avocado ...... 0.20 Cosmetic Act (FFDCA), requesting the VII. Congressional Review Act Berry, low growing, subgroup temporary tolerance exemption. This The Congressional Review Act, 5 13–07G ...... 0 .50 regulation eliminates the need to U.S.C. 801 et seq., generally provides Caneberry subgroup 13–07A 1.5 establish a maximum permissible level Canistel ...... 0 .20 that before a rule may take effect, the for residues of lytic bacteriophages that agency promulgating the rule must ***** are specific to Escherichia coli O157:H7, submit a rule report to each House of Fruit, small vine climbing, ex- sequence negative for shiga toxins I and the Congress and to the Comptroller cept fuzzy kiwifruit, sub- II, and grown on atoxigenic host General of the United States. EPA will group 13–07F ...... 0.50 bacteria. The temporary tolerance submit a report containing this rule and exemption expires on April 1, 2013.

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DATES: This regulation is effective April (NAICS) codes have been provided to for deliveries of boxed information. The 13, 2011. Objections and requests for assist you and others in determining Docket Facility telephone number is hearings must be received on or before whether this action might apply to (703) 305–5805. June 13, 2011, and must be filed in certain entities. If you have any II. Background and Statutory Findings accordance with the instructions questions regarding the applicability of provided in 40 CFR part 178 (see also this action to a particular entity, consult In the Federal Register of May 5, 2010 Unit I.C. of the SUPPLEMENTARY the person listed under FOR FURTHER (75 FR 24692) (FRL–8820–7), EPA INFORMATION). INFORMATION CONTACT. issued a notice pursuant to section 408(d)(3) of FFDCA, 21 U.S.C. ADDRESSES: EPA has established a B. How can I get electronic access to 346a(d)(3), announcing the filing of a docket for this action under docket other related information? pesticide tolerance petition (PP 9G7585) identification (ID) number EPA–HQ– You may access a frequently updated by Intralytix, Inc., 701 East Pratt Street, OPP–2010–0274. All documents in the electronic version of 40 CFR part 180 Baltimore, MD 21202. The petition docket are listed in the docket index through the Government Printing requested that 40 CFR part 180 be available at http://www.regulations.gov. Office’s e-CFR site at http:// amended by establishing a temporary Although listed in the index, some www.gpoaccess.gov/ecfr. exemption from the requirement of a information is not publicly available, tolerance for residues of Escherichia coli C. How can I file an objection or hearing e.g., Confidential Business Information O157:H7 Specific Bacteriophages. This (CBI) or other information whose request? notice referenced a summary of the disclosure is restricted by statute. Under FFDCA section 408(g), 21 petition prepared by the petitioner Certain other material, such as U.S.C. 346a, any person may file an Intralytix, Inc., which is available in the copyrighted material, is not placed on objection to any aspect of this regulation docket, http://www.regulations.gov. the Internet and will be publicly and may also request a hearing on those There were no comments received in available only in hard copy form. objections. You must file your objection response to the notice of filing. Publicly available docket materials are or request a hearing on this regulation Section 408(c)(2)(A)(i) of FFDCA available in the electronic docket at in accordance with the instructions allows EPA to establish an exemption http://www.regulations.gov, or, if only provided in 40 CFR part 178. To ensure from the requirement for a tolerance (the available in hard copy, at the OPP proper receipt by EPA, you must legal limit for a pesticide chemical Regulatory Public Docket in Rm. S– identify docket ID number EPA–HQ– residue in or on a food) only if EPA 4400, One Potomac Yard (South Bldg.), OPP–2010–0274 in the subject line on determines that the exemption is ‘‘safe.’’ 2777 S. Crystal Dr., Arlington, VA. The the first page of your submission. All Section 408(c)(2)(A)(ii) of FFDCA Docket Facility is open from 8:30 a.m. objections and requests for a hearing defines ‘‘safe ’’ to mean that ‘‘there is a to 4 p.m., Monday through Friday, must be in writing, and must be reasonable certainty that no harm will excluding legal holidays. The Docket received by the Hearing Clerk on or result from aggregate exposure to the Facility telephone number is (703) 305– before June 13, 2011. Addresses for mail pesticide chemical residue, including 5805. and hand delivery of objections and all anticipated dietary exposures and all FOR FURTHER INFORMATION CONTACT: hearing requests are provided in 40 CFR other exposures for which there is Tracy Lantz, Antimicrobials Division 178.25(b). reliable information.’’ This includes (7510P), Office of Pesticide Programs, In addition to filing an objection or exposure through drinking water and in Environmental Protection Agency, 1200 hearing request with the Hearing Clerk residential settings, but does not include Pennsylvania Ave., NW., Washington, as described in 40 CFR part 178, please occupational exposure. Pursuant to DC 20460–0001; telephone number: submit a copy of the filing that does not section 408(c)(2)(B) of FFDCA, in (703) 308–6415; e-mail address: contain any CBI for inclusion in the establishing or maintaining in effect an [email protected]. public docket. Information not marked exemption from the requirement of a confidential pursuant to 40 CFR part 2 tolerance, EPA must take into account SUPPLEMENTARY INFORMATION: may be disclosed publicly by EPA the factors set forth in section I. General Information without prior notice. Submit a copy of 408(b)(2)(C) of FFDCA, which require your non-CBI objection or hearing EPA to give special consideration to A. Does this action apply to me? request, identified by docket ID number exposure of infants and children to the You may be potentially affected by EPA–HQ–OPP–2010–0274, by one of pesticide chemical residue in this action if you are an agricultural the following methods: establishing a tolerance and to ‘‘ensure producer, food manufacturer, or • Federal eRulemaking Portal: http:// that there is a reasonable certainty that pesticide manufacturer. Potentially www.regulations.gov. Follow the on-line no harm will result to infants and affected entities may include, but are instructions for submitting comments. children from aggregate exposure to the not limited to: • Mail: Office of Pesticide Programs pesticide chemical residue. * * *’’ • Crop production (NAICS code 111). (OPP) Regulatory Public Docket (7502P), Additionally, section 408(b)(2)(D) of • Animal production (NAICS code Environmental Protection Agency, 1200 FFDCA requires that the Agency 112). Pennsylvania Ave., NW., Washington, consider ‘‘available information • Food manufacturing (NAICS code DC 20460–0001. concerning the cumulative effects of a 311). • Delivery: OPP Regulatory Public particular pesticide’s residues’’ and • Pesticide manufacturing (NAICS Docket (7502P), Environmental ‘‘other substances that have a common code 32532). Protection Agency, Rm. S–4400, One mechanism of toxicity.’’ This listing is not intended to be Potomac Yard (South Bldg.), 2777 S. EPA performs a number of analyses to exhaustive, but rather provides a guide Crystal Dr., Arlington, VA. Deliveries determine the risks from aggregate for readers regarding entities likely to be are only accepted during the Docket exposure to pesticide residues. First, affected by this action. Other types of Facility’s normal hours of operation EPA determines the toxicity of entities not listed in this unit could also (8:30 a.m. to 4 p.m., Monday through pesticides. Second, EPA examines be affected. The North American Friday, excluding legal holidays). exposure to the pesticide through food, Industrial Classification System Special arrangements should be made drinking water, and through other

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exposures that occur as a result of convert a commensal and harmless one study found Escherichia coli and pesticide use in residential settings. bacterium into a pathogen. This coliphages in 11 of 12 foods purchased theoretical risk is handled in three ways at retail markets. In this study, 10 III. Toxicological Profile for this tolerance exemption: (1) Only purchases of each of the 12 foods were Consistent with section 408(b)(2)(D) lytic bacteriophage are used; (2) made. All 10 of the fresh ground beef of FFDCA, EPA has reviewed the bacteriophage covered by this tolerance purchases were contaminated with available scientific data and other exemption are DNA sequenced to Escherichia coli, and all 10 contained relevant information in support of this ensure they do not have the ability to coliphages. In addition to ground beef, action and considered its validity, convey shigatoxins I and II; and (3) host Escherichia coli and coliphages were completeness and reliability and the bacteria used to grow bacteriophage also found in chicken, fresh pork, fresh relationship of this information to are atoxigenic in that they do not carry oyster, fresh mushrooms, lettuce, human risk. EPA has also considered DNA sequences capable of shigatoxin chicken pot pie, biscuit dough, deli loaf, available information concerning the production. deli roasted turkey, and package roasted variability of the sensitivities of major To address the infectivity and toxicity chicken. Another example of phages in identifiable subgroups of consumers, endpoints for oral, pulmonary, and food has been Propionibacterium including infants and children. injection exposures, the petitioner freundenreichii phage found in Phages are naturally occurring viruses provided publicly available information concentrations as high as 1.4 × 106/gm infecting bacteria. They are found in soil documenting a lack of mammalian of swiss cheese. and water and in association with plants toxicity or infectivity associated with The use of the bacteriophages covered and animals, including humans. bacteriophages due to the specificity of by this tolerance in food processing Bacteriophages are obligate parasites of bacteriophages attachment and attack to plants on food contact surfaces could bacteria, which means they attach to, a narrow range of bacterial strains. As a result in some residues of these infect, and reproduce in bacteria. Phages result, the public literature bacteriophages on food. The Agency are host-specific for bacteria, with demonstrates that phages pose little to anticipates that food coming into specific bacteriophages attacking only no risk to humans even with the known contact with these surfaces could get one bacterial species and most wide exposure in food and the residues of the phages on them and frequently only one strain within a environment. foods with Escherichia coli O157:H7 bacterial species. As such, phages do Based on the published literature and may end up with more phages on them not attack other beneficial bacteria. In information submitted in accordance as the bacteriophages covered by this addition, there is no evidence for with the Tier I toxicology data tolerance exemption infect the bacteria bacteriophages infecting any other life requirements set forth in 40 CFR and produce progeny. form, including humans, except 158.2140(c), the Tier II and Tier III 2. Drinking water exposure. The bacteria. Thus, non-target organisms, toxicology data requirements also set Escherichia coli bacteriophages covered such as mammals, birds, fish, plants, forth therein were not triggered and, by this tolerance exemption are not and other wildlife, are not affected by therefore, not required in connection intended for use in drinking water, nor exposure to bacteriophages. Humans with this action. are the approved uses likely to result in and other animals commonly consume IV. Aggregate Exposures these bacteriophages reaching surface bacteriophages as they are abundantly water or ground water that might be found in water, on plant surfaces, and In examining aggregate exposure, used as drinking water. Use sites are in foods such as ground beef, pork section 408 of FFDCA directs EPA to only for food processing facilities. sausage, chicken, oysters, cheese, fresh consider available information mushrooms, and lettuce. In addition, concerning exposures from the pesticide B. Other Non-Occupational Exposure phages are common commensals of the residue in food and all other non- Since Escherichia coli bacteriophages human gut and likely play an important occupational exposures, including subject to this tolerance exemption are role in regulating populations of various drinking water from ground water or only intended to be applied to food bacteria in the gastrointestinal tract. As surface water and exposure through contact surfaces in food processing cited in public literature, phages have pesticide use in gardens, lawns, or plants, the potential for non- been used for more than 80 years as buildings (residential and other indoor occupational, non-dietary exposures therapeutic agents with no ill effects uses). (i.e., dermal and inhalation exposures) and are active against bacteria that cause A. Dietary Exposure to these phages by the general many infections and human diseases. population, including infants and Since bacteriophage do not infect 1. Food. All phages, including those at children, is highly unlikely. humans, there is not a human health issue in this action, are similar in nature risk concern from the bacteriophages in that they are host-specific, attacking V. Cumulative Effects From Substances themselves. The potential concerns for only bacteria. Published literature With a Common Mechanism of Toxicity human health risk from bacteriophages submitted by the registrant, and other Section 408(b)(2)(D)(v) of FFDCA relate to their interaction with the publically available literature, indicate requires that, when considering whether bacteria they infect. If bacteriophage do that humans are exposed to phages to establish, modify, or revoke a not lyse (i.e., break open) the bacterial daily, and these phages are commonly tolerance, the Agency consider cell they infect, there is a possibility the found in humans, having no known ‘‘available information’’ concerning the cell will survive the infection and adverse effects. Indeed, humans and cumulative effects of a particular incorporate any DNA carried by the other animals routinely consume phages pesticide’s residues and ‘‘other bacteriophage in its genome (i.e. when they eat food such as raw produce substances that have a common lysogenize). If genes for shigatoxins I and cheese. For example, it is reported mechanism of toxicity.’’ and II, often associated with pathogenic that 1,000 (103) to 5 × 105 phages can EPA has not found lytic strains of Escherichia coli O157:H7, are be isolated routinely per gram (g) of bacteriophages that are specific to carried by a lysogenized bacteriophage high quality cheese. Pathogenic Escherichia coli O157:H7, sequence into an atoxigenic Escherichia coli, microorganisms are often found in negative for shiga toxins I and II, and there is a possibility, in theory, to foods; therefore, it is not surprising that grown on atoxigenic host bacteria to

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share a common mechanism of toxicity lytic bacteriophages that are specific to bacteriophages for which the Agency with any other substances. Moreover, Escherichia coli O157:H7, sequence can make a safety finding. bacteriophage that meet these negative for shiga toxins I and II, and VIII. Conclusion conditions do not appear to produce a grown on atoxigenic host bacteria are toxic metabolite produced by other non-toxic to mammals, including The Agency concludes that there is a substances. Therefore, for the purposes infants and children. Because there are reasonable certainty that no harm will of this action, EPA has assumed that no threshold effects of concern to result to the U.S. population, including lytic bacteriophages that are specific to infants, children, and adults when lytic infants and children, from aggregate Escherichia coli O157:H7, sequence bacteriophages that are specific to exposure to residues of lytic negative for shiga toxins I and II, and Escherichia coli O157:H7, sequence bacteriophages that are specific to grown on atoxigenic host bacteria do not negative for shiga toxins I and II, and Escherichia coli O157:H7, sequence have a common mechanism of toxicity grown on atoxigenic host bacteria are negative for shiga toxins I and II, and with other substances. For information used as labeled, the Agency concludes grown on atoxigenic host bacteria, regarding EPA’s efforts to determine that the additional MOE is not necessary including all anticipated dietary which chemicals have a common to protect infants and children and that exposures and all other exposures for mechanism of toxicity and to evaluate not adding any additional MOE will be which there is reliable information, the cumulative effects of such safe for infants and children. when used according to label directions, chemicals, see EPA’s Web site at as a microbial on food contact surfaces VII. Other Considerations http://www.epa.gov/pesticides/ in food processing plants. Therefore, a cumulative. A. Analytical Enforcement Methodology temporary exemption is established for residues of lytic bacteriophages that are VI. Determination of Safety for U.S. An analytical method is not required specific to Escherichia coli O157:H7, Population, Infants and Children for enforcement purposes since the sequence negative for shiga toxins I and Agency is establishing an exemption A. U.S. Population II, and grown on atoxigenic host from the requirement of a tolerance bacteria. Based on the fact that bacteriophages without any numerical limitation. are host-specific and do not cause harm IX. Statutory and Executive Order B. International Residue Limits to human health, except in theoretical Reviews instances that the Agency is avoiding In making its tolerance decisions, EPA This final rule establishes a tolerance through its conditions on this seeks to harmonize U.S. tolerances with under section 408(d) of FFDCA in exemption, there is reasonable certainty international standards whenever response to a petition submitted to the that no harm will result to the U.S. possible, consistent with U.S. food Agency. The Office of Management and population, including infants and safety standards and agricultural Budget (OMB) has exempted these types children, from aggregate exposure to practices. EPA considers the of actions from review under Executive residues of lytic bacteriophages that are international maximum residue limits Order 12866, entitled Regulatory specific to Escherichia coli O157:H7, (MRLs) established by the Codex Planning and Review (58 FR 51735, sequence negative for shiga toxins I and Alimentarius Commission (Codex), as October 4, 1993). Because this final rule II, and grown on atoxigenic host required by FFDCA section 408(b)(4). has been exempted from review under bacteria. This includes all anticipated The Codex Alimentarius is a joint U.N. Executive Order 12866, this final rule is dietary exposures and all other Food and Agriculture Organization/ not subject to Executive Order 13211, exposures for which there is reliable World Health Organization food entitled Actions Concerning Regulations information. standards program, and it is recognized That Significantly Affect Energy Supply, as an international food safety Distribution, or Use (66 FR 28355, May B. Infants and Children standards-setting organization in trade 22, 2001) or Executive Order 13045, FFDCA section 408 (b)(2)(C) provides agreements to which the United States entitled Protection of Children from that EPA shall apply an additional is a party. EPA may establish a tolerance Environmental Health Risks and Safety tenfold margin of exposure (MOE) for that is different from a Codex MRL; Risks (62 FR 19885, April 23, 1997). infants and children in the case of however, FFDCA section 408(b)(4) This final rule does not contain any threshold effects to account for prenatal requires that EPA explain the reasons information collections subject to OMB and postnatal toxicity and the for departing from the Codex level. approval under the Paperwork completeness of the data base on The Codex has not established a MRL Reduction Act (PRA), 44 U.S.C. 3501 et toxicity and exposure, unless EPA for lytic bacteriophages that are specific seq., nor does it require any special determines that a different MOE will be to Escherichia coli O157:H7, sequence considerations under Executive Order safe for children. MOEs, which are often negative for shiga toxins I and II, and 12898, entitled Federal Actions To referred to as uncertainty (safety) grown on atoxigenic host bacteria. Address Environmental Justice in factors, are incorporated into EPA risk C. Revisions to Petitioned-for Tolerances Minority Populations and Low-Income assessments either directly, or through Populations (59 FR 7629, February 16, the use of a MOE analysis or by using In its petition PP 9G7585, Intralytix 1994). uncertainty factors in calculating a dose requested that the Agency establish a Since tolerances and exemptions that level that poses no appreciable risk. As tolerance exemption for residues of are established on the basis of a petition previously mentioned in the Escherichia coli O157:H7 specific under section 408(d) of FFDCA, such as toxicological profile, humans, including bacteriophages. The Agency is the tolerance in this final rule, do not infants and children, have been exposed narrowing the scope of the tolerance require the issuance of a proposed rule, to phages generally through food and exemption to residues of lytic the requirements of the Regulatory water, where they are commonly found, bacteriophages that are specific to Flexibility Act (RFA) (5 U.S.C. 601 et and through decades of therapeutic use, Escherichia coli O157:H7, sequence seq.) do not apply. with no known or reported adverse negative for shiga toxins I and II, and This final rule directly regulates effects. Based on all available grown on atoxigenic host bacteria growers, food processors, food handlers, information, the Agency concludes that because that is the category of and food retailers, not States or tribes,

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nor does this action alter the PART 180—[AMENDED] receives adverse comments by May 13, relationships or distribution of power 2011. If adverse comments are received, and responsibilities established by ■ 1. The authority citation for part 180 EPA will publish a timely withdrawal of Congress in the preemption provisions continues to read as follows: the direct final deletion in the Federal of section 408(n)(4) of FFDCA. As such, Authority: 21 U.S.C. 321(q), 346a and 371. Register informing the public that the the Agency has determined that this ■ 2. Add § 180.1301 to subpart D to read deletion will not take effect. action will not have a substantial direct as follows: ADDRESSES: Submit your comments, effect on States or tribal governments, identified by Docket ID no. EPA–HQ– on the relationship between the national § 180.1301 Escherichia coli O157:H7 SFUND–1983–0002, by one of the government and the States or tribal specific bacteriophages; temporary following methods: exemption from the requirement of a • governments, or on the distribution of tolerance. http://www.regulations.gov: Follow power and responsibilities among the on-line instructions for submitting A temporary exemption from the various levels of government or between comments. requirement of a tolerance is established the Federal Government and Indian • E-mail: Howard Caine, Remedial for residues of lytic bacteriophages that tribes. Thus, the Agency has determined Project Manager, at are specific to Escherichia coli O157:H7, [email protected] or Cheryl Allen, that Executive Order 13132, entitled sequence negative for shiga toxins I and Community Involvement Coordinator, at Federalism (64 FR 43255, August 10, II, and grown on atoxigenic host bacteria [email protected]. 1999) and Executive Order 13175, when used/applied on food contact • Fax: Gladys Beard, Deletion Process entitled Consultation and Coordination surfaces in food processing plants in Manager, at (312) 697–2077. With Indian Tribal Governments (65 FR accordance with the terms of • Mail: Howard Caine, Remedial 67249, November 9, 2000) do not apply Experimental Use Permit (EUP) No. Project Manager, U.S. Environmental to this final rule. In addition, this final 74234–EUP–2. This temporary Protection Agency (SR–6J), 77 W. rule does not impose any enforceable exemption expires on April 1, 2013. duty or contain any unfunded mandate Jackson Boulevard, Chicago, IL 60604, [FR Doc. 2011–8712 Filed 4–12–11; 8:45 am] as described under Title II of the (312) 353–9685; or Cheryl Allen, BILLING CODE 6560–50–P Unfunded Mandates Reform Act of 1995 Community Involvement Coordinator, (UMRA) (Pub. L. 104–4). U.S. Environmental Protection Agency (SI–7J), 77 W. Jackson Boulevard, ENVIRONMENTAL PROTECTION This action does not involve any Chicago, IL 60604, (312) 353–6196 or AGENCY technical standards that would require (800) 621–8431. Agency consideration of voluntary • 40 CFR Part 300 Hand delivery: Cheryl Allen, consensus standards pursuant to section Community Involvement Coordinator, 12(d) of the National Technology [EPA–HQ–SFUND–1983–0002; FRL–9291–6] U.S. Environmental Protection Agency Transfer and Advancement Act of 1995 (SI–7J), 77 West Jackson Boulevard, National Oil and Hazardous Substance (NTTAA), Public Law 104–113, section Chicago, IL 60604. Such deliveries are Pollution Contingency Plan; National 12(d) (15 U.S.C. 272 note). only accepted during the docket’s Priorities List: Deletion of the normal hours of operation, and special X. Congressional Review Act Spiegelberg Landfill Superfund Site arrangements should be made for The Congressional Review Act, 5 AGENCY: Environmental Protection deliveries of boxed information. The U.S.C. 801 et seq., generally provides Agency (EPA). normal business hours are Monday that before a rule may take effect, the ACTION: Direct final rule. through Friday, 8:30 a.m. to 4:30 p.m., agency promulgating the rule must excluding Federal holidays. submit a rule report to each House of SUMMARY: The U.S. Environmental Instructions: Direct your comments to the Congress and to the Comptroller Protection Agency (EPA) Region 5 is Docket ID no. EPA–HQ–SFUND–1983– General of the United States. EPA will publishing a direct final Notice of 0002. EPA’s policy is that all comments submit a report containing this rule and Deletion of the Spiegelberg Landfill received will be included in the public other required information to the U.S. Superfund Site (Site), located in Green docket without change and may be Senate, the U.S. House of Oak Township, Michigan from the made available online at http:// Representatives, and the Comptroller National Priorities List (NPL). The NPL, www.regulations.gov, including any General of the United States prior to promulgated pursuant to Section 105 of personal information provided, unless the Comprehensive Environmental publication of this final rule in the the comment includes information Response, Compensation, and Liability Federal Register. This final rule is not claimed to be Confidential Business Act (CERCLA) of 1980, as amended, is a ‘‘major rule’’ as defined by 5 U.S.C. Information (CBI) or other information an appendix to the National Oil and 804(2). whose disclosure is restricted by statute. Hazardous Substances Pollution Do not submit information that you List of Subjects in 40 CFR Part 180 Contingency Plan (NCP). This direct consider to be CBI or otherwise final deletion is being published by EPA protected through http:// Environmental protection, with the concurrence of the State of www.regulations.gov or e-mail. The Administrative practice and procedure, Michigan through the Michigan http://www.regulations.gov Web site is Agricultural commodities, Pesticides Department of Environmental Quality an ‘‘anonymous access’’ system, which and pests, Reporting and recordkeeping (MDEQ), because EPA has determined means EPA will not know your identity requirements. that all appropriate response actions or contact information unless you Dated: April 5, 2011. under CERCLA have been completed. provide it in the body of your comment. Steven Bradbury, However, this deletion does not If you send an e-mail comment directly preclude future actions under Director, Office of Pesticide Programs. to EPA without going through http:// Superfund. www.regulations.gov, your e-mail Therefore, 40 CFR part 180 is DATES: This direct final deletion is address will be automatically captured amended as follows: effective June 13, 2011 unless EPA and included as part of the comment

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that is placed in the public docket and risk to public health, welfare, or the III. Deletion Procedures made available on the Internet. If you environment. Sites on the NPL may be The following procedures apply to submit an electronic comment, EPA the subject of remedial actions financed deletion of the Site: recommends that you include your by the Hazardous Substance Superfund (1) EPA consulted with the State of name and other contact information in (Fund). As described in 300.425(e)(3) of Michigan prior to developing this direct the body of your comment and with any the NCP, sites deleted from the NPL final Notice of Deletion and the Notice disk or CD–ROM you submit. If EPA remain eligible for Fund-financed of Intent To Delete co-published today cannot read your comment due to remedial actions if future conditions in the ‘‘Proposed Rules’’ section of the technical difficulties and cannot contact warrant such actions. Federal Register. you for clarification, EPA may not be Because EPA considers this action to (2) EPA has provided the State 30 able to consider your comment. be noncontroversial and routine, this working days for review of this notice Electronic files should avoid the use of action will be effective June 13, 2011 and the parallel Notice of Intent To special characters, any form of unless EPA receives adverse comments Delete prior to their publication today, encryption, and be free of any defects or by May 13, 2011. Along with this direct and the State, through the MDEQ, has viruses. final Notice of Deletion, EPA is co- concurred on the deletion of the Site Docket: All documents in the docket publishing a Notice of Intent to Delete from the NPL. are listed in the http:// in the ‘‘Proposed Rules’’ section of the (3) Concurrently with the publication www.regulations.gov index. Although Federal Register. If adverse comments of this direct final Notice of Deletion, a listed in the index, some information are received within the 30-day public notice of the availability of the parallel may not be publicly available, e.g., CBI comment period on this deletion action, Notice of Intent To Delete is being or other information whose disclosure is EPA will publish a timely withdrawal of published in a major local newspaper, restricted by statute. Certain other this direct final Notice of Deletion the Livingston Daily News. The material, such as copyrighted material, before the effective date of the deletion, newspaper notice announces the 30-day will be publicly available only in the and the deletion will not take effect. public comment period concerning the hard copy. Publicly available docket EPA will, as appropriate, prepare a Notice of Intent To Delete the Site from materials are available either response to comments and continue the NPL. electronically at http:// with the deletion process on the basis of (4) EPA placed copies of documents www.regulations.gov or in hard copy at: supporting the proposed deletion in the • the Notice of Intent To Delete and the U.S. Environmental Protection comments already received. There will deletion docket and made these items Agency-Region 5, 77 W. Jackson be no additional opportunity to available for public inspection and Boulevard, Chicago, IL 60604. Hours: comment. copying at the Site information Monday through Friday, 8:30 a.m. to Section II., of this document explains repositories identified above. 4:30 p.m., excluding Federal holidays. (5) If adverse comments are received the criteria for deleting sites from the • Hamburg Township Library, 10411 within the 30-day public comment NPL. Section III., discusses procedures Merrill Road, P.O. Box 247, Hamburg, period on this deletion action, EPA will that EPA is using for this action. Section MI 48139, Phone: (810) 231–1771. publish a timely notice of withdrawal of IV., discusses the Spiegelberg Landfill Hours: Monday through Thursday, this direct final Notice of Deletion Site and demonstrates how it meets the 9 a.m. to 8 p.m.; Friday 12 p.m. to before its effective date and will prepare deletion criteria. Section V., discusses 6 p.m. and Saturday 9 a.m. to 5 p.m. a response to comments and continue EPA’s action to delete the Site from the FOR FURTHER INFORMATION CONTACT: with the deletion process on the basis of NPL unless adverse comments are Howard Caine, Remedial Project the Notice of Intent to Delete and the received during the public comment Manager, U.S. Environmental Protection comments already received. Agency (SR–6J), 77 W. Jackson period. Deletion of a site from the NPL does Boulevard, Chicago, IL 60604, (312) II. NPL Deletion Criteria not itself create, alter, or revoke any 353–9685, [email protected]. individual’s rights or obligations. The NCP establishes the criteria that SUPPLEMENTARY INFORMATION: Deletion of a site from the NPL does not EPA uses to delete sites from the NPL. in any way alter EPA’s right to take Table of Contents In accordance with 40 CFR 300.425(e), enforcement actions, as appropriate. I. Introduction sites may be deleted from the NPL The NPL is designed primarily for II. NPL Deletion Criteria where no further response is informational purposes and to assist III. Deletion Procedures appropriate. In making such a EPA management. Section 300.425(e)(3) IV. Basis for Site Deletion determination pursuant to 40 CFR of the NCP states that the deletion of a V. Deletion Action 300.425(e), EPA will consider, in site from the NPL does not preclude I. Introduction consultation with the State, whether any eligibility for future response actions, of the following criteria have been met: EPA Region 5 is publishing this direct should future conditions warrant such final Notice of Deletion of the i. Responsible parties or other persons actions. have implemented all appropriate Spiegelberg Landfill Superfund Site IV. Basis for Site Deletion from the NPL. The NPL constitutes response actions required; Appendix B of 40 CFR part 300, which ii. All appropriate Fund-financed Site Background and History is the National Oil and Hazardous response under CERCLA has been The privately owned Spiegelberg Substances Pollution Contingency Plan implemented, and no further response property consists of approximately 115 (NCP), which EPA promulgated action by responsible parties is acres and is located on Spicer Road pursuant to Section 105 of the appropriate; or about 40 miles west of Detroit and 5 Comprehensive Environmental iii. The remedial investigation has miles south of Brighton, in Green Oak Response, Compensation and Liability shown that the release poses no Township, Livingston County, Act (CERCLA) of 1980, as amended. significant threat to public health or the Michigan. A rental home and barn are EPA maintains the NPL as the list of environment and, therefore, the taking located on the northwest corner of the sites that appear to present a significant of remedial measures is not appropriate. property. Gravel mining at this property

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predated 1940, and continues through Remedial Investigation Report and Risk 1990 ROD Findings the present time. The property is Assessment for both the Spiegelberg and The remedy chosen in the June 29, surrounded by woods, open fields, and Rasmussen’s Dump Superfund sites due 1990 ROD to address the OU2 rural residences. to their proximity to one another. groundwater contamination included A paint sludge disposal area covered During the investigation, the areas of groundwater extraction followed by on- a section of about one-half acre in the concern identified for the Spiegelberg site treatment with re-injection of northern third of the property at the site were: (1) Operable Unit 1 (OU1)— treated groundwater. The RAOs of the base of a sand and gravel quarry. The Paint Sludge Disposal Area and groundwater remedy were to eliminate Resulting soil and groundwater associated contaminated soils, and contamination became the Spiegelberg the potential for human exposure to (2) Operable Unit 2 (OU2)—The remaining hazardous substances, which Landfill Superfund Site (EPA ID: Groundwater Contamination Plume MID980794481). While the entire may occur due to ingestion of resulting from the Paint Sludge Disposal contaminated site groundwater and to Spiegelberg property is 115 acres, the Area. The groundwater contamination Spiegelberg Landfill Superfund site is address all potential risks to human plume originated from the contaminated health and/or impacts to the approximately 21⁄2 acres (including the soils and waste materials in the paint extent of the groundwater environment. The area of attainment, as sludge disposal area. defined in the ROD, extends throughout contamination under the 1⁄2-acre paint The contaminated groundwater plume sludge disposal area) and is a subset of the plume in the upper and lower was defined as an area of contamination the Spiegelberg property. A map of the aquifers in the area underlying and approximately 500 feet by 200 feet Spiegelberg Landfill site is located in surrounding the Spiegelberg site. flowing in a north/northwesterly the deletion docket. The major components of the The site was proposed to the NPL on direction from the paint sludge area. It treatment included the following: December 30, 1982 (47 FR 58476) and was estimated that 3.77 million cubic removal of inorganic contaminants by was finalized on the NPL on September feet of contaminated groundwater chemical precipitation followed by pH 8, 1983 (48 FR 40658). There is potential existed beneath the site. Upper and adjustment; removal of the bulk of the for redevelopment at this site, but any lower aquifers are present and are organic contaminants, including redevelopment on the site would be separated by a discontinuous clay layer. ketones, by a biological treatment subject to ensuring that there is no Contaminants had migrated from the system; and removal of residual organic interfering with the current remedy at upper aquifer to the lower aquifer. contaminants via granular activated the adjacent Rasmussen’s Dump Groundwater flow rate was calculated as carbon. Treated groundwater was Superfund Site. 266 feet per year in the upper aquifer discharged via injection wells. Deed and 131 feet per year in the lower restrictions and/or other institutional Remedial Investigation and Feasibility aquifer. controls to prevent unacceptable Study (RI/FS) The Feasibility Study evaluated exposure and to ensure the integrity of The Remedial Investigation (RI) was remedial alternatives for addressing site the remedy were also required. initiated in May 1984. Sampling and contamination. The primary threat from 1991 and 1998 ESD Findings analysis of subsurface soils in the paint the paint sludge disposal area to public sludge area indicated the presence of health was by ingestion of contaminated An explanation significant differences high concentrations of organic and groundwater. There was a potential for (ESD) issued in 1991 changed the OU2 inorganic compounds from the continued migration of contamination ROD cleanup standards for toluene and Hazardous Substances List (HSL) also downward into residential drinking xylene to 800 ppb and 300 ppb known as the contaminants of concern water wells. respectively. A subsequent ESD was (COCs). The HSL chemicals included signed on October 22, 1998 which acetone, 2-butanone, benzene, toluene, Selected Remedy changed the remedy to intermittent xylenes, 1,1,1,-trichloroethane, 1,1- 1986 Record of Decision (ROD) Findings pumping and semi-annual sampling dichloroethane, 4-methyl-2-pentanone, events based on monitoring results ethybenzene, chlorobenzene, bis(2- The remedy chosen in the September which showed only trace contamination ethylhexyl)phthalate, di-N-octyl 30, 1986 ROD was to address the OU1— was present in the groundwater plume. phthalate, di-N-buty phthalate, Paint Sludge Area source material. The The second ESD changed the sampling chloroethane, 2-hexanone, cadmium, recommended and selected remedial schedule from quarterly to semi-annual nickel, and lead. The detection of action for source materials was sampling in the Operational and organic constituents in downgradient excavation, offsite incineration, and Monitoring Plan. monitoring wells and the mobility landfill disposal. The remedial action characteristics of the compounds found objective (RAO) of the action was to Response Actions in the paint sludge area indicated remove the source of continued EPA issued a July 8, 1991 Unilateral transport via groundwater was a major contaminant migration from the site. Order (UAO) to the Potentially potential pathway at the site. The This alternative included excavation of Responsible Parties (PRPs) to conduct results indicated the need for a remedial 15,000 cubic yards of waste material the Remedial Design/Remedial Action. action which addresses source control and separating it into liquid sludges, An amendment to the Unilateral Order of the paint sludge and contaminated paint residue with garbage intermixed, was issued by EPA on August 28, 1991. soils contained in the paint sludge and solid paint sludges. At the time of The UAO Amendment modified the disposal area on the site, in order to the FS, it was estimated there were ‘‘Parties Bound’’ which required that the reduce or eliminate exposure of about 5,000 cubic yards of the combined UAO be recorded with each parcel of potential receptors to site contaminants. material to be incinerated and 10,000 land, modified the definition of Additional field work was conducted to cubic yards of solid paint sludge to be ‘‘Facility’’ and modified the Quality address the groundwater portion of this landfilled in a RCRA licensed landfill. Assurance requirements. investigation. In September 1988, the The material was transported to the The remedial activities designed and Michigan Department of Natural incineration site and the landfill site by eventually implemented by the PRPs Resources (MDNR) and EPA issued a truck. included:

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• Procurement and implementation of placed on the soil storage cell and used oversight contractor on June 9, 1995. the institutional controls in 1991 for the for backfill at the completion of the During the pre-final inspection it was purpose of preventing interference with source control activities. From August determined that the extraction, the performance of the remedial action. 14, 1989 to September 20, 1989 a total reinjection, and treatment systems were In general, this includes no use that of 817 loads of paint sludge and debris constructed as designed and were could cause exposure of humans or totaling 19,300 tons were transported operational. With the completion of animals to contaminated groundwater: and disposed of at Wayne Disposal, an construction at OU2, the site was no use of the real estate that will off-site RCRA Subtitle C landfill. From designated construction complete with interfere with the remedial action; and, September 20, 1989 to October 23 1989 the signing of the Preliminary Close-Out no residential or commercial use of that a total of 1,217 loads of subsoil totaling Report on June 29, 1995. Upon signature part of the real estate that would allow 29,600 tons were transported and of the ESD in 1998, the pump and treat continued presence of humans; disposed of at Wayne Disposal. From system operation was suspended • Implementation of a Remedial October 24, 1989 to November 15, 1989 because groundwater concentrations Design (RD) Data Collection Program a total of 425 loads of subsoil totaling were below cleanup levels but would be confirming the hydrogeologic site 9,600 tons were transported and reactivated if contaminant characterization and chemical disposed of at CID Landfill located in concentrations exceeded risk-based characterization of groundwater, and Chicago, Illinois. Thirty-three drums of cleanup levels. conducting field tests and treatability liquid wastes were disposed at studies. The results of the RD Data Chemical Waste Management located in Cleanup Goals Collection Program supplemented the Chicago, Illinois, an off-site incinerator. All paint sludge and contaminated existing site data and were used to Four gas cylinders were disposed at soils in the paint sludge pit were design the treatment system and AQUA–TECH Laboratories in Texas. removed and the excavation extended extraction/injection well networks; Project closeout activities included down to groundwater in accordance • Construction of a groundwater backfilling operations, final grading, with the 1986 ROD. The 1990 ROD for extraction system to capture and extract disposal of decontamination wash groundwater restoration has been groundwater for treatment from the waters, and the removal of all site completed. Groundwater treatment has affected groundwater zones; facilities including all concrete pads, restored the aquifer to cleanup • Construction of a groundwater construction trailers, and fencing. standards. Those cleanup levels are treatment plant to treat the extracted According to CRA Progress Report No. listed in the following table: groundwater prior to reinjection; 11, excavation, transport, and disposal • Construction of a groundwater of soil underlying the paint sludge area Cleanup injection system to discharge the treated was completed on November 15, 1989. Chemical level part groundwater. The injection system Excavation of soil was completed to per billion (ppb) provided for a ‘‘closed loop’’ system and groundwater at the northern portion of enhanced movement of the affected the paint sludge disposal area on Benzene ...... 1 .2 groundwater towards the extraction November 15, 1989. The area was Vinyl Chloride ...... 0.5 wells; surveyed prior to backfilling to 2-Butanone ...... 350 • Construction of fencing to secure document the limit of excavation. The 2-Hexanone ...... 50 the constructed treatment plant; limits of excavation were agreed to by Toluene ...... 800 • Implementation of all operation, the CRA Engineer and the MDNR Xylenes ...... 300 maintenance, and monitoring activities Project Coordinator. No soil remediation Lead ...... 5 for the constructed remedial action confirmation samples were collected activities including, but not limited to, since the source was excavated to The confirmation monitoring period operation and maintenance of the groundwater. It was determined that the consisted of twelve monitoring events groundwater treatment plant and monitoring of groundwater from wells in the shallow and deep monitoring the progress of groundwater concentrations would provide data to aquifer both within the former footprint remediation; and ensure that all source materials had of the source area and downgradient of • Implementation of a residential been addressed. Backfilling commenced the source area. The sampling was well monitoring program. on November 16, 1989. The final site conducted from September 1998 to The PRPs were also required to inspection was completed by the MDNR December 2004. The monitoring results prepare and submit: Design Plans and Project Coordinator and EPA Remedial have demonstrated continued Specifications; Operation and Project Manager on February 9, 1990 compliance with the 1998 Cleanup Maintenance Plan; Project Schedule; following demobilization activities. Standards and have established that the Construction Quality Assurance Plan; Site has achieved groundwater cleanup Groundwater (OU2) Construction Health and Safety Plan, goals established in the 1990 ROD and Design Phases; and a Community Remedial actions began in November modified in the 1991 and 1998 ESDs. No Relations Support Program. 1994 after testing and operating an on- COCs have been found above clean up site pump and treat treatment pilot levels since 1998. A Final Close Out was Paint Sludge Disposal Area (OU1) plant. Construction activities included: approved by EPA on July 19, 2010. The remedy for source control site clearing and degrading; installation commenced on August 10, 1989. The of extraction and reinjection wells and Operation and Maintenance remedy was implemented by the Ford associated piping systems; installation The pump and treat system operation Motor Company pursuant to the of process equipment for treating the took place from June 1995 through December 1988 Consent Decree. The contaminated groundwater; access road September 1998. Intermittent operation paint sludge was excavated to the upgrade; and fencing around the of the groundwater remediation system surveyed groundwater level and to the treatment facility. A pre-final inspection occurred from September 1998 through visual lateral extent of the waste. Clean of the construction activities was August 2004. EPA approved the PRPs’ soil from the cutback around the conducted by the MDNR and EPA Operating Plan on September 14, 1998. periphery of the paint sludge pit was remedial project managers and the EPA This plan called for confirmatory

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hydraulic monitoring, additional The 2005 FYR also found the remedy List of Subjects in 40 CFR Part 300 hydrogeologic investigations, to be protective of human health and the Environmental protection, Air installation of additional monitoring environment. It concluded that the pollution control, Chemicals, Hazardous wells, and a contingency plan. The confirmation monitoring period (post waste, Hazardous substances, confirmatory sampling report was intermittent pumping monitoring) Intergovernmental relations, Penalties, submitted in January 1999 and the included twelve monitoring events Reporting and recordkeeping hydraulic investigation results were since 1998, to demonstrate continued requirements, Superfund, Water submitted in April 1999. The results of compliance with the 1998 groundwater pollution control, Water supply. volatile organic compounds (VOCs) Cleanup Standards. The 2005 FYR also analysis from all groundwater concluded, ‘‘This is the final Five-Year Dated: April 5, 2011. monitoring events post intermittent Review for the Spiegelberg Site. Susan Hedman, pumping mode have shown no Groundwater treatment has restored the Regional Administrator, Region 5. exceedences of contaminant aquifer to clean-up standards. Delisting, For the reasons set out in this concentrations in either the upper or more formally known as Deletion from document, 40 CFR part 300 is amended lower aquifers above the established the NPL, should be evaluated and as follows: cleanup levels. pursued as appropriate.’’ There are two deed restrictions PART 300—[AMENDED] associated with the entire Spiegelberg Community Involvement property and encompass the former Public participation activities have ■ 1. The authority citation for part 300 footprint of the landfill. One deed been satisfied as required in CERCLA continues to read as follows: Section 113(k), 42 U.S.C. 9613(k), and restriction prohibits activities on the Authority: 33 U.S.C. 1321(c)(2); 42 U.S.C. Spiegelberg Site that may interfere with CERCLA Section 117, 42 U.S.C. 9617. 9601–9657; E.O. 12777, 56 FR 54757, 3 CFR, the remedy. The Site is cleaned up; Documents in the deletion docket which 1991 Comp., p. 351; E.O. 12580, 52 FR 2923; therefore, this deed restriction can be EPA relied on for recommendation of 3 CFR, 1987 Comp., p. 193. removed from the property. There is a the deletion of this site from the NPL are second deed restriction on the available to the public in the Appendix B to Part 300 [Amended] Spiegelberg property for the adjoining information repositories and at http:// ■ 2. Table 1 of Appendix B to Part 300 Rasmussen’s Dump Superfund Site www.regulations.gov. is amended by removing ‘‘Spiegelberg remedy. This deed restriction prohibits ’’ Determination That the Site Meets the Landfill, Green Oak Township, MI. interfering with existing or future Criteria for Deletion in the NCP [FR Doc. 2011–8879 Filed 4–12–11; 8:45 am] monitoring wells on the Spiegelberg BILLING CODE 6560–50–P property needed to implement and The NCP (40 CFR 300.425(e)) states monitor the Rasmussen’s Dump Site that a site may be deleted from the NPL groundwater remedy. These deed when no further response action is ENVIRONMENTAL PROTECTION restrictions are not required for the appropriate. EPA, in consultation with AGENCY Spiegelberg CERCLA remedy; however the State of Michigan, has determined the second institutional control related that the responsible parties have 40 CFR Part 1042 to the Rasmussen’s Dump Site will implemented all required response remain in place until the contaminated actions and that no further response Control of Emissions From New and groundwater from the Rasmussen’s action by responsible parties is In-Use Marine Compression-Ignition Dump Site is remediated. appropriate. Engines and Vessels No operation and maintenance is V. Deletion Action needed for the Spiegelberg Site since the CFR Correction remedial actions restored both site- The EPA, with concurrence from State In Title 40 of the Code of Federal related contaminated soils and of Michigan through the MDEQ, has Regulations, Part 1000 to End, revised as groundwater to levels that allow for determined that all appropriate of July 1, 2010, on page 240, in unlimited use and unrestricted response actions under CERCLA have § 1042.901, the definition of ‘‘New exposure. Any monitoring done at the been completed. EPA received vessel’’ is reinstated to read as follows: Spiegelberg property is done in concurrence from the State of Michigan conjunction with the Rasmussen’s on December 17, 2010. Therefore, EPA § 1042.901 Definitions. Dump Superfund Site remedy. is deleting the Site from the NPL. * * * * * Because EPA considers this action to New vessel means any of the Five-Year Review be noncontroversial and routine, EPA is following: Five-Year Review (FYR) reports were taking it without prior publication. This (1) A vessel for which the ultimate written in 2000 and 2005. The 2000 FYR action will be effective June 13, 2011 purchaser has never received the concluded that the implemented unless EPA receives adverse comments equitable or legal title. The vessel is no remedy is protective of human health by May 13, 2011. If adverse comments longer new when the ultimate purchaser and the environment. The on-site are received within the 30-day public receives this title or it is placed into groundwater treatment system was comment period, EPA will publish a service, whichever comes first. operating as described in the timely withdrawal of this direct final (2) For vessels with no Category 3 Spiegelberg Landfill Site ROD. This FYR Notice of Deletion before the effective engines, a vessel that has been modified recommended continuing the date of the deletion, and it will not take such that the value of the modifications monitoring requirements from the effect. EPA will prepare a response to exceeds 50 percent of the value of the Statement of Work (SOW) which comments and continue with the modified vessel, excluding temporary included four consecutive semi-annual deletion process on the basis of the modifications (as defined in this sampling events. The confirmation notice of intent to delete and the section). The value of the modification monitoring period consisted of twelve comments already received. There will is the difference in the assessed value of monitoring events from September 1998 be no additional opportunity to the vessel before the modification and to December 2004. comment. the assessed value of the vessel after the

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modification. The vessel is no longer prior to this determination for the listed should not be construed to mean that new when it is placed into service. Use communities. the community must change any the following equation to determine if From the date of the second existing ordinances that are more the fractional value of the modification publication of these changes in a stringent in their floodplain exceeds 50 percent: newspaper of local circulation, any management requirements. The Percent of value = [(Value after person has ninety (90) days in which to community may at any time enact modification)(Value before request through the community that the stricter requirements of its own or modification)] × 100% ÷ (Value after Deputy Federal Insurance and pursuant to policies established by other modification) Mitigation Administrator reconsider the Federal, State, or regional entities. The (3) For vessels with Category 3 changes. The modified BFEs may be changes in BFEs are in accordance with engines, a vessel that has undergone a changed during the 90-day period. 44 CFR 65.4. modification that substantially alters the ADDRESSES: The modified BFEs for each National Environmental Policy Act. dimensions or carrying capacity of the community are available for inspection This interim rule is categorically vessel, changes the type of vessel, or at the office of the Chief Executive excluded from the requirements of 44 substantially prolongs the vessel’s life. Officer of each community. The CFR part 10, Environmental (4) An imported vessel that has respective addresses are listed in the Consideration. An environmental already been placed into service, where table below. impact assessment has not been it has an engine not covered by a FOR FURTHER INFORMATION CONTACT: Luis prepared. certificate of conformity issued under Rodriguez, Chief, Engineering Regulatory Flexibility Act. As flood this part at the time of importation that Management Branch, Federal Insurance elevation determinations are not within was manufactured after the and Mitigation Administration, Federal the scope of the Regulatory Flexibility requirements of this part start to apply Emergency Management Agency, 500 C Act, 5 U.S.C. 601–612, a regulatory (see § 1042.1). Street SW., Washington, DC 20472, flexibility analysis is not required. * * * * * (202) 646–4064, or (e-mail) Regulatory Classification. This [FR Doc. 2011–8794 Filed 4–12–11; 8:45 am] [email protected]. interim rule is not a significant BILLING CODE 1505–01–D SUPPLEMENTARY INFORMATION: The regulatory action under the criteria of modified BFEs are not listed for each section 3(f) of Executive Order 12866 of community in this interim rule. September 30, 1993, Regulatory However, the address of the Chief Planning and Review, 58 FR 51735. DEPARTMENT OF HOMELAND Executive Order 13132, Federalism. SECURITY Executive Officer of the community where the modified BFE determinations This interim rule involves no policies Federal Emergency Management are available for inspection is provided. that have federalism implications under Agency Any request for reconsideration must Executive Order 13132, Federalism. be based on knowledge of changed Executive Order 12988, Civil Justice 44 CFR Part 65 conditions or new scientific or technical Reform. This interim rule meets the data. applicable standards of Executive Order [Docket ID FEMA–2011–0002; Internal The modifications are made pursuant 12988. to section 201 of the Flood Disaster Agency Docket No. FEMA–B–1181] List of Subjects in 44 CFR Part 65 Protection Act of 1973, 42 U.S.C. 4105, Changes in Flood Elevation and are in accordance with the National Flood insurance, Floodplains, Determinations Flood Insurance Act of 1968, 42 U.S.C. Reporting and recordkeeping 4001 et seq., and with 44 CFR part 65. requirements. AGENCY: Federal Emergency For rating purposes, the currently Accordingly, 44 CFR part 65 is Management Agency, DHS. effective community number is shown amended to read as follows: ACTION: Interim rule. and must be used for all new policies and renewals. PART 65—[AMENDED] SUMMARY: This interim rule lists The modified BFEs are the basis for communities where modification of the the floodplain management measures ■ 1. The authority citation for part 65 Base (1% annual-chance) Flood that the community is required either to continues to read as follows: Elevations (BFEs) is appropriate because adopt or to show evidence of being Authority: 42 U.S.C. 4001 et seq.; of new scientific or technical data. New already in effect in order to qualify or Reorganization Plan No. 3 of 1978, 3 CFR, flood insurance premium rates will be to remain qualified for participation in 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, calculated from the modified BFEs for the National Flood Insurance Program 3 CFR, 1979 Comp., p. 376. new buildings and their contents. (NFIP). § 65.4 [Amended] DATES: These modified BFEs are These modified BFEs, together with currently in effect on the dates listed in the floodplain management criteria ■ 2. The tables published under the the table below and revise the Flood required by 44 CFR 60.3, are the authority of § 65.4 are amended as Insurance Rate Maps (FIRMs) in effect minimum that are required. They follows:

Location and case Date and name of newspaper Effective date of Community State and county No. where notice was published Chief executive officer of community modification No.

Idaho: Ada ...... Unincorporated Oct. 25, 2010, Nov. 1, 2010, Mr. Fred Tilman, Chairman, Ada County March 1, 2011 ...... 160001 areas of Ada The Idaho Statesman. Board of Commissioners, Ada County County (10–10– Courthouse, 200 West Front Street, 3rd 0128P). Floor, Boise, ID 83702. Ada ...... City of Meridian (10– Oct. 25, 2010, Nov. 1, 2010, The Honorable Tammy de Weerd, Mayor, March 1, 2011 ...... 160180 10–0128P). The Idaho Statesman. City of Meridian, 33 East Broadway Av- enue, Suite 300, Meridian, ID 83642. Illinois:

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Location and case Date and name of newspaper Effective date of Community State and county No. where notice was published Chief executive officer of community modification No.

DuPage ...... Village of Woodridge Nov. 25, 2010, Dec 2, 2010, The Honorable William F. Murphy, Mayor, November 12, 2010 ...... 170737 (10–05–5743P). The Bugle Newspaper. Village of Woodridge, 5 Plaza Drive, Woodridge, IL 60517. Will ...... Village of Nov. 25, 2010, Dec. 2, 2010, The Honorable Roger C. Claar, Mayor, November 12, 2010 ...... 170812 Bolingbrook (10– The Bugle Newspaper. Village of Bolingbrook, 375 West 05–5743P). Briarcliff Road, Bolingbrook, IL 60440. DuPage ...... Unincorporated Dec. 13, 2010, Dec. 20, 2010, Mr. Robert J. Schillerstrom, Chairman, April 19, 2011 ...... 170197 areas of DuPage The Daily Herald. DuPage County Board, Jack T. County (10–05– Knuepfer Administration Building, 421 1256P). North County Farm Road, Wheaton, IL 60187. DuPage ...... City of Darien (10– Dec. 13, 2010, Dec. 20, 2010, The Honorable Kathleen A. Weaver, April 19, 2011 ...... 170750 05–1256P). The Daily Herald. Mayor, City of Darien, 1702 Plainfield Road, Darien, IL 60561. Kansas: Johnson ..... City of Lenexa (10– Nov. 30, 2010, Dec. 7, 2010, The Honorable Michael Boehm, Mayor, April 6, 2011 ...... 200168 07–0912P). The Legal Record. City of Lenexa, 12350 West 87th Street Parkway, Lenexa, KS 66215. Massachusetts: Bristol ...... Town of Swansea Oct. 20, 2010, Oct. 27, 2010, Mr. M. Scott Ventura, Chairman, Board of October 4, 2010 ...... 255221 (10–01–1791P). The Spectator. Selectmen, Swansea Town Hall Annex, 68 Stevens Road, Swansea, MA 02777. Bristol ...... Town of Easton (11– Nov. 1, 2010, Nov. 8, 2010, Mr. David Colton, Town of Easton Admin- October 26, 2010 ...... 250053 01–0022P). The Enterprise News. istrator, 136 Elm Street, Easton, MA 02356. Bristol ...... Town of Easton (11– Nov. 15, 2010, Nov. 22, 2010, Mr. David Colton, Town of Easton Admin- November 2, 2010 ...... 250053 01–0021P). The Enterprise News. istrator, 136 Elm Street, Easton, MA 02356. Michigan: Bay ...... Township of Oct. 7, 2010, Oct. 14, 2010, Mr. Ronald Campbell, Township of February 11, 2011 ...... 260022 Frankenlust (09– The Bay City Democrat & Frankenlust Supervisor, 2401 Delta 05–6111P). The Bay County Legal News. Road, Bay City, MI 48706. Minnesota: Olmsted ...... City of Rochester Oct. 7, 2010, Oct. 14, 2010, The Honorable Ardell F. Brede, Mayor, February 11, 2011 ...... 275246 (10–05–2736P). The Rochester Post-Bulletin. City of Rochester, 201 4th Street Southeast, Room 281, Rochester, MN 55904. Olmsted ...... Unincorporated Oct. 7, 2010, Oct. 14, 2010, Mr. Richard G. Delvin, Olmsted County February 11, 2011 ...... 270626 areas of Olmsted The Rochester Post-Bulletin. Administrator, 151 Southeast 4th County (10–05– Street, Rochester, MN 55904. 2736P). Anoka ...... City of Centerville Oct. 27, 2010, Nov. 10, 2010, The Honorable Mary Capra, Mayor, City March 10, 2011 ...... 270008 (10–05–2774P). The Citizen. of Centerville, 1880 Main Street, Centerville, MN 55038. Missouri: Phelps ...... City of Rolla (10–07– Dec. 13, 2010, Dec. 20, 2010, The Honorable William S. Jenks, III, April 19, 2011 ...... 290285 0319P). The Rolla Daily News. Mayor, City of Rolla, 901 North Elm Street, Rolla, MO 65401. St. Charles ...... Unincorporated December 15, 2010, Dec. 22, Mr. Steve Ehlmann, St. Charles County December 1, 2010 ...... 290315 areas of St. 2010, The Suburban Jour- Executive, 100 North 3rd Street, St. Charles County nals of St., Charles County. Charles, MO 63301. (10–07–1774P). St. Charles ...... City of St. Peters Dec. 15, 2010, Dec. 22, 2010, The Honorable Len Pagano, Mayor, City December 1, 2010 ...... 290319 (10–07–1774P). The Suburban Journals of St. of St. Peters, 1 St. Peters Centre Bou- Charles County. levard, St. Peters, MO 63376. Ohio: Summit ...... City of Akron (10– Nov. 29, 2010, Dec. 6, 2010, The Honorable Donald L. Plusquellic, December 17, 2010 ...... 390523 05–5693P). The Akron Legal News. Mayor, City of Akron, 166 South High Street, Room 200, Akron, OH 44308. Wisconsin: Waukesha ...... City of New Berlin Oct. 21, 2010, Oct. 28, 2010, The Honorable Jack F. Chiovatero, October 4, 2010 ...... 550487 (10–05–2901P). My Community Now— Mayor, City of Berlin, 3805 South Cas- Southwest. per Drive, New Berlin, WI 53151. Green ...... Unincorporated October 21, 2010, Oct. 28, Mr. Arthur Carter, Chairman, Green February 18, 2011 ...... 550157 areas of Green 2010, The Post Messenger County Board, 1016 16th Avenue, Mon- County (10–05– Recorder. roe, WI 53566. 1296P). Green ...... Village of New Oct. 21, 2010, Oct. 28, 2010, Mr. Jim Salter, President, Village of New February 18, 2011 ...... 550164 Glarus (10–05– The Post Messenger Re- Glarus Board, 319 2nd Street, P.O. Box 1296P). corder. 399, New Glarus, WI 53574. Washington ...... Unincorporated Nov. 9, 2010, Nov. 16, 2010, Mr. Herbert J. Tennies, Chairperson, March 16, 2010 ...... 550471 areas of Wash- The West Bend Daily News. Washington County, P.O. Box 1986, ington County 432 East Washington Street, West (10–05–2489P). Bend, WI 53095.

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(Catalog of Federal Domestic Assistance No. ADDRESSES: The modified BFEs for each community may at any time enact 97.022, ‘‘Flood Insurance.’’) community are available for inspection stricter requirements of its own or Dated: March 7, 2011. at the office of the Chief Executive pursuant to policies established by other Sandra K. Knight, Officer of each community. The Federal, State, or regional entities. The Deputy Federal Insurance and Mitigation respective addresses are listed in the changes in BFEs are in accordance with Administrator, Mitigation, Department of table below. 44 CFR 65.4. Homeland Security, Federal Emergency FOR FURTHER INFORMATION CONTACT: Luis National Environmental Policy Act. Management Agency. Rodriguez, Chief, Engineering This interim rule is categorically [FR Doc. 2011–8853 Filed 4–12–11; 8:45 am] Management Branch, Federal Insurance excluded from the requirements of 44 BILLING CODE 9110–12–P and Mitigation Administration, Federal CFR part 10, Environmental Emergency Management Agency, 500 C Consideration. An environmental Street SW., Washington, DC 20472, impact assessment has not been DEPARTMENT OF HOMELAND (202) 646–4064, or (e-mail) prepared. SECURITY [email protected]. Regulatory Flexibility Act. As flood elevation determinations are not within SUPPLEMENTARY INFORMATION: Federal Emergency Management The the scope of the Regulatory Flexibility Agency modified BFEs are not listed for each Act, 5 U.S.C. 601–612, a regulatory community in this interim rule. flexibility analysis is not required. 44 CFR Part 65 However, the address of the Chief Regulatory Classification. This Executive Officer of the community interim rule is not a significant where the modified BFE determinations [Docket ID FEMA–2011–0002; Internal regulatory action under the criteria of Agency Docket No. FEMA–B–1180] are available for inspection is provided. section 3(f) of Executive Order 12866 of Any request for reconsideration must September 30, 1993, Regulatory be based on knowledge of changed Changes in Flood Elevation Planning and Review, 58 FR 51735. conditions or new scientific or technical Determinations Executive Order 13132, Federalism. data. This interim rule involves no policies AGENCY: Federal Emergency The modifications are made pursuant that have federalism implications under Management Agency, DHS. to section 201 of the Flood Disaster Executive Order 13132, Federalism. ACTION: Protection Act of 1973, 42 U.S.C. 4105, Interim rule. Executive Order 12988, Civil Justice and are in accordance with the National Reform. This interim rule meets the SUMMARY: This interim rule lists Flood Insurance Act of 1968, 42 U.S.C. applicable standards of Executive Order communities where modification of the 4001 et seq., and with 44 CFR part 65. 12988. Base (1% annual-chance) Flood For rating purposes, the currently Elevations (BFEs) is appropriate because effective community number is shown List of Subjects in 44 CFR Part 65 of new scientific or technical data. New and must be used for all new policies Flood insurance, Floodplains, flood insurance premium rates will be and renewals. calculated from the modified BFEs for Reporting and recordkeeping The modified BFEs are the basis for requirements. new buildings and their contents. the floodplain management measures Accordingly, 44 CFR part 65 is DATES: These modified BFEs are that the community is required either to currently in effect on the dates listed in adopt or to show evidence of being amended to read as follows: the table below and revise the Flood already in effect in order to qualify or PART 65—[AMENDED] Insurance Rate Maps (FIRMs) in effect to remain qualified for participation in prior to this determination for the listed the National Flood Insurance Program ■ 1. The authority citation for part 65 communities. (NFIP). continues to read as follows: From the date of the second These modified BFEs, together with Authority: 42 U.S.C. 4001 et seq.; publication of these changes in a the floodplain management criteria Reorganization Plan No. 3 of 1978, 3 CFR, newspaper of local circulation, any required by 44 CFR 60.3, are the 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, person has ninety (90) days in which to minimum that are required. They 3 CFR, 1979 Comp., p. 376. request through the community that the should not be construed to mean that Deputy Federal Insurance and the community must change any § 65.4 [Amended] Mitigation Administrator reconsider the existing ordinances that are more The tables published under the changes. The modified BFEs may be stringent in their floodplain authority of § 65.4 are amended as changed during the 90-day period. management requirements. The follows:

Location and case Date and name of newspaper Chief executive Effective date of Community State and county No. where notice was published officer of community modification No.

Illinois: Kane ...... Unincorporated Aug. 19, 2010, Aug. 26, 2010, Ms. Karen McConnaughay Chairman, December 28, 2010 ...... 170896 areas of Kane The Fox Valley Labor News. Kane County Board, 719 South Batavia County (10–05– Avenue, Geneva, IL 60134. 2793P). Kane ...... Village of Hampshire Aug. 19, 2010, Aug. 26, 2010, Mr. Jeffrey Magnussen, President, Village December 28, 2010 ...... 170327 (10–05–2793P). The Fox Valley Labor News. of Hampshire, 234 South State Street, P.O. Box 457, Hampshire, IL 60140. Kane ...... Village of Huntley Aug. 23, 2010, Aug. 30, 2010, The Honorable Charles H. Saas, Mayor, December 28, 2010 ...... 170480 (10–05–2793P). The Northwest Herald. Village of Huntley, 10987 Main Street, Huntley, IL 60142. Kane ...... Village of Huntley Aug. 16, 2010, Aug. 23, 2010, The Honorable Charles H. Saas, Mayor, December 21, 2010 ...... 170480 (10–05–2799P). The Northwest Herald. Village of Huntley, 10987 Main Street, Huntley, IL 60142.

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Location and case Date and name of newspaper Chief executive Effective date of Community State and county No. where notice was published officer of community modification No.

Kane ...... Unincorporated Aug. 12, 2010, Aug. 19, 2010, Ms. Karen McConnaughay, Chairman, December 21, 2010 ...... 170896 areas of Kane The Fox Valley Labor News. Kane County Board, 719 South Batavia County (10–05– Avenue, Geneva, IL 60134. 2799P). Kane ...... Village of Gilberts Aug. 16, 2010, Aug. 23, 2010, The Honorable Rick Zirk, President, Vil- December 21, 2010 ...... 170326 (10–05–2799P). The Daily Herald. lage of Gilberts, 87 Galligan Road, Gil- berts, IL 60136. McHenry ...... Unincorporated Sept. 15, 2010, Sept. 22, 2010, Mr. Ken A. Koehler, Chairman, McHenry January 20, 2011 ...... 170732 areas of McHenry The Woodstock Independent. County Board, 2200 North Seminary County (10–05– Avenue, Woodstock, IL 60098. 3025P). McHenry ...... City of Woodstock Sept. 15, 2010, Sept. 22, 2010, The Honorable Dr. Brian Sager, Mayor, January 20, 2011 ...... 170488 (10–05–3025P). The Woodstock Independent. City of Woodstock, 811 Regina Court, Woodstock, IL 60098. Kansas: Johnson ...... City of Leawood Aug. 25, 2010, Sept. 1, 2010, The Honorable Peggy J. Dunn, Mayor, August 11, 2010 ...... 200167 (10–07–0270P). Sun Publications. City of Leawood, 4800 Town Center Drive, Leawood, KS 66211. Johnson ...... City of Overland Aug. 25, 2010, Sept. 1, 2010, The Honorable Carl Gerlach, Mayor, City August 11, 2010 ...... 200174 Park (10–07– Sun Publications. of Overland Park, 8500 Santa Fe Drive, 0270P). Overland Park, KS 66212. Missouri: Phelps ...... City of Rolla (10–07– Sept. 27, 2010, October 4, The Honorable William S. Jenks, III, February 2, 2011 ...... 290285 0800P). 2010, The Rolla Daily News. Mayor, City of Rolla, 901 North Elm Street, Rolla, MO 65401. Phelps ...... Unincorporated Sept. 27, 2010, October 4, The Honorable Randy Verkamp, Pre- February 2, 2011 ...... 290284 areas of Phelps 2010, The Rolla Daily News. siding Commissioner, Phelps County, County (10–07– 200 North Main Street, Rolla, MO 0800P). 65401. New Hampshire: City of Manchester July 29, 2010, Aug. 5, 2010, The Honorable Ted Gatsas, Mayor, City December 3, 2010 ...... 330169 Hillsborough. (10–01–1093P). The Union Leader News- of Manchester, One City Hall Plaza, paper. Manchester, NH 03101. Ohio: Greene ...... Unincorporated Aug. 24, 2010, Aug. 31, 2010, The Honorable Rick Perales, Greene December 29, 2010 ...... 390193 areas of Greene The Greene County Daily. County Commissioner, 35 Greene County (10–05– Street, Xenia, OH 45385. 2633P). Greene ...... City of Bellbrook Aug. 24, 2010, Aug. 31, 2010, The Honorable Mary Graves, Mayor, City December 29, 2010 ...... 390194 (10–05–2633P). The Greene County Daily. of Bellbrook, 15 East Franklin Street, 2nd Floor, Bellbrook, OH 45305. Lorain ...... City of Elyria (09– Aug. 26, 2010, Sept. 2, 2010, The Honorable William M. Grace, Mayor, January 3, 2011 ...... 390350 05–6438P). The Chronicle-Telegram. City of Elyria, 131 Court Street, Elyria, OH 44035. Delaware ...... Unincorporated Sept. 15, 2010, Sept. 22, 2010, Mr. Tommy Thompson, Delaware County January 20, 2011 ...... 390146 areas of Delaware Westerville News and Public Commissioner, 101 North Sandusky County (10–05– Opinions. Street, Delaware, OH 43015. 4584P). Franklin ...... City of Westerville Sept. 15, 2010, Sept. 22, 2010, The Honorable Kathy Cocuzzi, Mayor, January 20, 2011 ...... 390179 (10–05–4584P). The Columbus Dispatch. City of Westerville, 21 South State Street, Westerville, OH 43081. Wisconsin: Manitowoc ...... Unincorporated Sept. 13, 2010, Sept. 20, 2010, Mr. Bob Ziegelbauer, Manitowoc County January 18, 2011 ...... 550236 areas of The Herald-Times-Reporter. Executive, Courthouse, 1010 South 8th Manitowoc County Street, Manitowoc, WI 54220. (10–05–2864P). Dane ...... City of Sun Prairie Sept. 23, 2010, Sept. 30, 2010, The Honorable Joe Chase, Mayor, City of August 30, 2010 ...... 550573 (10–05–3124P). The Star. Sun Prairie, 300 East Main Street, Sun Prairie, WI 53590.

(Catalog of Federal Domestic Assistance No. DEPARTMENT OF HOMELAND SUMMARY: Modified Base (1% annual- 97.022, ‘‘Flood Insurance.’’) SECURITY chance) Flood Elevations (BFEs) are Dated: March 7, 2011. finalized for the communities listed Federal Emergency Management Sandra K. Knight, below. These modified BFEs will be Agency used to calculate flood insurance Deputy Federal Insurance and Mitigation premium rates for new buildings and Administrator, Mitigation, Department of 44 CFR Part 65 their contents. Homeland Security, Federal Emergency Management Agency. DATES: The effective dates for these [Docket ID FEMA–2011–0002] [FR Doc. 2011–8840 Filed 4–12–11; 8:45 am] modified BFEs are indicated on the following table and revise the Flood BILLING CODE 9110–12–P Changes in Flood Elevation Insurance Rate Maps (FIRMs) in effect Determinations for the listed communities prior to this date. AGENCY: Federal Emergency Management Agency, DHS. ADDRESSES: The modified BFEs for each community are available for inspection ACTION: Final rule. at the office of the Chief Executive

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Officer of each community. The and must be used for all new policies the scope of the Regulatory Flexibility respective addresses are listed in the and renewals. Act, 5 U.S.C. 601–612, a regulatory table below. The modified BFEs are the basis for flexibility analysis is not required. the floodplain management measures FOR FURTHER INFORMATION CONTACT: Luis Regulatory Classification. This final that the community is required either to Rodriguez, Chief, Engineering rule is not a significant regulatory action adopt or to show evidence of being Management Branch, Federal Insurance under the criteria of section 3(f) of already in effect in order to qualify or and Mitigation Administration, Federal Executive Order 12866 of September 30, to remain qualified for participation in Emergency Management Agency, 500 C 1993, Regulatory Planning and Review, the National Flood Insurance Program Street, SW., Washington, DC 20472, 58 FR 51735. (NFIP). (202) 646–4064, or (e-mail) These modified BFEs, together with Executive Order 13132, Federalism. [email protected]. the floodplain management criteria This final rule involves no policies that have federalism implications under SUPPLEMENTARY INFORMATION: The required by 44 CFR 60.3, are the Federal Emergency Management Agency minimum that are required. They Executive Order 13132, Federalism. (FEMA) makes the final determinations should not be construed to mean that Executive Order 12988, Civil Justice listed below of the modified BFEs for the community must change any Reform. This final rule meets the each community listed. These modified existing ordinances that are more applicable standards of Executive Order BFEs have been published in stringent in their floodplain 12988. management requirements. The newspapers of local circulation and List of Subjects in 44 CFR Part 65 ninety (90) days have elapsed since that community may at any time enact publication. The Deputy Federal stricter requirements of its own or Flood insurance, Floodplains, Insurance and Mitigation Administrator pursuant to policies established by other Reporting and recordkeeping has resolved any appeals resulting from Federal, State, or regional entities. requirements. this notification. These modified BFEs are used to meet the floodplain management Accordingly, 44 CFR part 65 is The modified BFEs are not listed for requirements of the NFIP and also are amended to read as follows: each community in this notice. used to calculate the appropriate flood However, this final rule includes the PART 65—[AMENDED] insurance premium rates for new address of the Chief Executive Officer of buildings built after these elevations are the community where the modified BFE ■ made final, and for the contents in those 1. The authority citation for part 65 determinations are available for buildings. The changes in BFEs are in continues to read as follows: inspection. accordance with 44 CFR 65.4. Authority: 42 U.S.C. 4001 et seq.; The modified BFEs are made pursuant National Environmental Policy Act. Reorganization Plan No. 3 of 1978, 3 CFR, to section 206 of the Flood Disaster This final rule is categorically excluded 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, Protection Act of 1973, 42 U.S.C. 4105, from the requirements of 44 CFR part 3 CFR, 1979 Comp., p.376. and are in accordance with the National 10, Environmental Consideration. An § 65.4 [Amended] Flood Insurance Act of 1968, 42 U.S.C. environmental impact assessment has 4001 et seq., and with 44 CFR part 65. not been prepared. ■ 2. The tables published under the For rating purposes, the currently Regulatory Flexibility Act. As flood authority of § 65.4 are amended as effective community number is shown elevation determinations are not within follows:

Location and case Date and name of newspaper Effective date of modi- Community State and county No. where notice was published Chief executive officer of community fication No.

Arizona: Maricopa City of Peoria (10– Oct. 21, 2010, Oct. 28, 2010, The Honorable Bob Barrett, Mayor, City October 15, 2010 ...... 040050 (FEMA Dock- 09–1908P). The Arizona Business Ga- of Peoria, 8401 West Monroe Street, et No.: B– zette. Peoria, AZ 85345. 1172). Maricopa Unincorporated Oct. 21, 2010, Oct. 28, 2010, Mr. Don Stapley, Chairman, Maricopa October 15, 2010 ...... 040037 (FEMA Dock- areas of Maricopa The Arizona Business Ga- County Board of Supervisors, 301 West et No.: B– County (10–09– zette. Jefferson Street, 10th Floor, Phoenix, 1172). 1908P). AZ 85003. Maricopa Unincorporated Sept. 30, 2010, Oct. 7, 2010, Mr. Don Stapley, Chairman, Maricopa February 4, 2011 ...... 040037 (FEMA Dock- areas of Maricopa The Arizona Business Ga- County Board of Supervisors, 301 West et No.: B– County (10–09– zette. Jefferson Street, 10th Floor, Phoenix, 1165). 1720P). AZ 85003. Yavapai (FEMA City of Prescott (10– Oct. 8, 2010, Oct. 15, 2010, The Honorable Marlin Kuykendall, Mayor, February 14, 2011 ...... 040098 Docket No.: 09–0220P). The Daily Courier. City of Prescott, 201 South Cortez B–1165). Street, Prescott, AZ 86302. Yavapai (FEMA Unincorporated Oct. 8, 2010, Oct. 15, 2010, Ms. Carol Springer, Chair, Yavapai Coun- February 14, 2011 ...... 040093 Docket No.: areas of Yavapai The Daily Courier. ty Board of Supervisors, 10 South 6th B–1165). County (10–09– Street, Cottonwood, AZ 86326. 0220P). California: Placer (FEMA City of Rocklin (09– Oct. 7, 2010, Oct. 14, 2010, The Honorable George Magnuson, February 11, 2011 ...... 060242 Docket No.: 09–2897P). The Placer Herald. Mayor, City of Rocklin, 3970 Rocklin B–1165). Road, Rocklin, CA 95677. San Diego Unincorporated Oct. 22, 2010, Oct. 29, 2010, Mr. Bill Horn, Chairman, San Diego Coun- November 18, 2010 ...... 060284 (FEMA Dock- areas of San The San Diego Transcript. ty Board of Supervisors, 1600 Pacific et No.: B– Diego County (10– Highway, San Diego, CA 92101. 1165). 09–2166P). Colorado: El Paso (FEMA City of Colorado Oct. 27, 2010, Nov. 3, 2010, The Honorable Lionel Riviera, Mayor, City November 17, 2010 ...... 080060 Docket No.: Springs (10–08– The El Paso County Adver- of Colorado Springs, P.O. Box 1575, B–1172). 0460P). tiser and News. Colorado Springs, CO 80903.

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Location and case Date and name of newspaper Effective date of modi- Community State and county No. where notice was published Chief executive officer of community fication No.

Summit (FEMA Unincorporated Nov. 5, 2010, Nov. 12, 2010, Ms. Karn Stiegelmeier, Chair, Summit November 29, 2010 ...... 080290 Docket No.: areas of Summit The Summit County Journal. County Board of Commissioners, P.O. B–1172). County (10–08– Box 68, Breckenridge, CO 80424. 0470P). Weld (FEMA Town of Firestone Oct. 8, 2010, Oct. 15, 2010, The Honorable Chad Auer, Mayor, Town February 14, 2011 ...... 080241 Docket No.: (10–08–0823P). The Greeley Tribune. of Firestone, 151 Grant Avenue, P.O. B–1172). Box 100, Firestone, CO 80520. Weld (FEMA Town of Frederick Oct. 8, 2010, Oct. 15, 2010, The Honorable Eric Doering, Mayor, February 14, 2011 ...... 080244 Docket No.: (10–08–0823P). The Greeley Tribune. Town of Frederick, 401 Locust Street, B–1172). P.O. Box 435, Frederick, CO 80530. Weld (FEMA Unincorporated Oct. 8, 2010, Oct. 15, 2010, Ms. Barbara Kirkmeyer, Chair, Weld February 14, 2011 ...... 080266 Docket No.: areas of Weld The Greeley Tribune. County Board of Commissioners, 915 B–1172). County (10–08– 10th Street, P.O. Box 758, Greeley, CO 0823P). 80632. Florida: Collier (FEMA City of Marco Island Nov. 5, 2010, Nov. 12, 2010, Mr. Frank Recker, Chairman, City of October 27, 2010 ...... 120426 Docket No.: (10–04–7495P). The Naples Daily News. Marco Island Council, 50 Bald Eagle B–1172). Drive, Marco Island, FL 34145. Sarasota (FEMA City of Sarasota Nov. 5, 2010, Nov. 12, 2010, The Honorable Kelly M. Kirschner, Mayor, October 28, 2010 ...... 125150 Docket No.: (10–04–6569P). The Sarasota Herald-Tribune. City of Sarasota, 1565 1st Street, B–1172). Room 101, Sarasota, FL 34236. Georgia: Forsyth (FEMA Unincorporated Oct. 27, 2010, Nov. 3, 2010, Mr. Brian R. Tam, Chairman, Forsyth November 17. 2010 ...... 130312 Docket No.: areas of Forsyth The Forsyth County News. County Board of Commissioners, 110 B–1172). County (10–04– East Main Street, Suite 210, Cumming, 6459P). GA 30040. South Carolina: Dor- Unincorporated Oct. 8, 2010, Oct. 15, 2010, Mr. Larry Hargett, Chairman, Dorchester February 14, 2011 ...... 450068 chester (FEMA areas of Dor- The Post and Courier. County Council, 201 Johnston Street, Docket No.: B– chester County St. George, SC 29477. 1165). (10–04–6791P). South Dakota: Minnehaha City of Hartford (10– Oct. 8, 2010, Oct. 15, 2010, The Honorable Paul Zimmer, Mayor, City February 14, 2011 ...... 460180 (FEMA Dock- 08–0469P). The Argus Leader. of Hartford, 125 North Main Avenue, et No.: B– Hartford, SD 57033. 1165). Minnehaha Unincorporated Oct. 8, 2010, Oct. 15, 2010, Mr. John Pekas, Chairman, Minnehaha February 14, 2011 ...... 460057 (FEMA Dock- areas of Minne- The Argus Leader. County Board of Commissioners, 415 et No.: B– haha County (10– North Dakota Avenue, 1st Floor, Sioux 1165). 08–0469P). Falls, SD 57104. Utah: Utah (FEMA City of Spanish Fork Oct. 8, 2010, Oct. 15, 2010, The Honorable G. Wayne Anderson, February 14, 2011 ...... 490241 Docket No.: (10–08–0282P). The Daily Herald. Mayor, City of Spanish Fork, 40 South B–1172). Main Street, Spanish Fork, UT 84660. Utah (FEMA Unincorporated Oct. 8, 2010, Oct. 15, 2010, Mr. Gary J. Anderson, Chairman, Utah February 14, 2011 ...... 495517 Docket No.: areas of Utah The Daily Herald. County Board of Commissioners, 100 B–1172). County (10–08– East Center Street, Suite 2300, Provo, 0282P). UT 84606.

(Catalog of Federal Domestic Assistance No. DEPARTMENT OF HOMELAND DATES: These modified BFEs are 97.022, ‘‘Flood Insurance.’’) SECURITY currently in effect on the dates listed in Dated: March 30, 2011. the table below and revise the Flood Federal Emergency Management Insurance Rate Maps (FIRMs) in effect Sandra K. Knight, Agency prior to this determination for the listed Deputy Federal Insurance and Mitigation communities. Administrator, Mitigation, Department of 44 CFR Part 65 Homeland Security, Federal Emergency From the date of the second Management Agency. publication of these changes in a [Docket ID FEMA–2011–0002; Internal [FR Doc. 2011–8841 Filed 4–12–11; 8:45 am] newspaper of local circulation, any Agency Docket No. FEMA–B–1183] person has ninety (90) days in which to BILLING CODE 9110–12–P request through the community that the Changes in Flood Elevation Deputy Federal Insurance and Determinations Mitigation Administrator reconsider the changes. The modified BFEs may be AGENCY: Federal Emergency changed during the 90-day period. Management Agency, DHS. ADDRESSES: The modified BFEs for each ACTION: Interim rule. community are available for inspection SUMMARY: This interim rule lists at the office of the Chief Executive communities where modification of the Officer of each community. The Base (1% annual-chance) Flood respective addresses are listed in the Elevations (BFEs) is appropriate because table below. of new scientific or technical data. New FOR FURTHER INFORMATION CONTACT: Luis flood insurance premium rates will be Rodriguez, Chief, Engineering calculated from the modified BFEs for Management Branch, Federal Insurance new buildings and their contents. and Mitigation Administration, Federal

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Emergency Management Agency, 500 C the National Flood Insurance Program section 3(f) of Executive Order 12866 of Street, SW., Washington, DC 20472, (NFIP). September 30, 1993, Regulatory (202) 646–4064, or (e-mail) These modified BFEs, together with Planning and Review, 58 FR 51735. [email protected]. the floodplain management criteria Executive Order 13132, Federalism. required by 44 CFR 60.3, are the This interim rule involves no policies SUPPLEMENTARY INFORMATION: The minimum that are required. They that have federalism implications under modified BFEs are not listed for each should not be construed to mean that Executive Order 13132, Federalism. community in this interim rule. the community must change any Executive Order 12988, Civil Justice However, the address of the Chief existing ordinances that are more Reform. This interim rule meets the Executive Officer of the community stringent in their floodplain applicable standards of Executive Order where the modified BFE determinations management requirements. The 12988. are available for inspection is provided. community may at any time enact Any request for reconsideration must stricter requirements of its own or List of Subjects in 44 CFR Part 65 be based on knowledge of changed pursuant to policies established by other Flood insurance, Floodplains, conditions or new scientific or technical Federal, State, or regional entities. The Reporting and recordkeeping data. changes in BFEs are in accordance with requirements. The modifications are made pursuant 44 CFR 65.4. Accordingly, 44 CFR part 65 is to section 201 of the Flood Disaster National Environmental Policy Act. amended to read as follows: Protection Act of 1973, 42 U.S.C. 4105, This interim rule is categorically and are in accordance with the National excluded from the requirements of 44 PART 65—[AMENDED] Flood Insurance Act of 1968, 42 U.S.C. CFR part 10, Environmental 4001 et seq., and with 44 CFR part 65. Consideration. An environmental ■ 1. The authority citation for part 65 For rating purposes, the currently impact assessment has not been continues to read as follows: effective community number is shown prepared. Authority: 42 U.S.C. 4001 et seq.; and must be used for all new policies Regulatory Flexibility Act. As flood Reorganization Plan No. 3 of 1978, 3 CFR, and renewals. elevation determinations are not within 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, The modified BFEs are the basis for the scope of the Regulatory Flexibility 3 CFR, 1979 Comp., p. 376. the floodplain management measures Act, 5 U.S.C. 601–612, a regulatory § 65.4 [Amended] that the community is required either to flexibility analysis is not required. adopt or to show evidence of being Regulatory Classification. This ■ 2. The tables published under the already in effect in order to qualify or interim rule is not a significant authority of § 65.4 are amended as to remain qualified for participation in regulatory action under the criteria of follows:

Location and case Date and name of newspaper Chief executive Effective date of Community State and county No. where notice was published officer of community modification No.

Illinois: McHenry ...... Unincorporated Feb. 7, 2011, Feb. 14, 2011, Mr. Ken A. Koehler, Chairman, McHenry June 14, 2011 ...... 170732 areas of McHenry The Northwest Herald. County Board, 2200 North Seminary County, (10–05– Avenue, Woodstock, IL 60098. 4602P). Kansas: Johnson ..... City of Overland Jan. 5, 2011, Jan. 12, 2011, The Honorable Carl Gerlach, Mayor, City May 12, 2011 ...... 200174 Park (10–07– Sun Publications. of Overland Park, 8500 Santa Fe Drive, 2077P). Overland Park, KS 66212. Nebraska: Douglas .. City of Omaha (10– Jan. 13, 2011, Jan. 20, 2011, The Honorable Jim Suttle, Mayor, City of December 30, 2010 ...... 315274 07–2288P). The Daily Record. Omaha, Omaha-Douglas Civic Center, 1819 Farnam Street, Suite 300, Omaha, NE 68183. Ohio: Butler ...... City of Monroe (10– Feb. 3, 2011, Feb. 10, 2011, The Honorable Robert E. Routson, January 24, 2011 ...... 390042 05–4421P). The Middletown Journal. Mayor, City of Monroe, 233 South Main Street, P.O. Box 330, Monroe, OH 45050. Franklin ...... Unincorporated Jan. 24, 2011, Jan. 31, 2011, Mr. John O’Grady, President, Franklin May 31, 2011 ...... 390167 areas of Franklin The Daily Reporter. County, 373 South High Street, 26th County (10–05– Floor, Columbus, OH 43215. 2538P). Rhode Island: Provi- City of Cranston Feb. 3, 2011, Feb. 10, 2011, The Honorable Allan Fung, Mayor, City of January 21, 2011 ...... 445396 dence. (11–01–0960P). The Cranston Herald. Cranston, Cranston City Hall, 869 Park Avenue, Cranston, RI 02910.

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(Catalog of Federal Domestic Assistance Service, are then responsible for • Pacific eulachon, Southern DPS, as No. 97.022, ‘‘Flood Insurance.’’) publishing final rules to amend the List threatened (75 FR 13012; March 18, Dated: March 7, 2011. in the Code of Federal Regulations 2010); and • Sandra K. Knight, (CFR) at 50 CFR 17.11(h). Yelloweyerockfish, Puget Sound/ Deputy Federal Insurance and Mitigation Under section 4(a)(2)(A) of the Act, if Georgia Basin DPS, as threatened (75 FR Administrator, Mitigation, Department of NMFS determines that a species should 22276; April 28, 2010); Homeland Security, Federal Emergency be listed as endangered or threatened, or • Spotted seal, southern DPS, as Management Agency. that a species’ status should be changed threatened (75 FR 65239), with a 4(d) [FR Doc. 2011–8854 Filed 4–12–11; 8:45 am] from threatened to endangered, then rule. BILLING CODE 9110–12–P NMFS is required to inform the Service Please note: The Oregon Coast coho of the status change. The Service is then salmon ESU was listed on August 10, 1998, responsible for implementing the status as threatened (63 FR 42587), but in 2001, the DEPARTMENT OF THE INTERIOR change by publishing a final rule to U.S. District Court in Eugene, Oregon, set amend the List 50 CFR 17.11(h). Under aside that listing (AlseaValleyAlliance v. Fish and Wildlife Service section 4(a)(2)(B) of the Act, if NMFS Evans, 161 F. Supp. 2d 1154, (D. Or. 2001)). On February 11, 2008, NMFS listed the determines that a species should be Oregon Coast coho salmon ESU as 50 CFR Part 17 removed from the List (delisted), or that threatened, issued protective regulations [Docket No. FWS–R9–ES–2008–0125; a species’ status should be changed from under section 4(d) of the Act (known as a 92100–1111–0000–B3] an endangered to a threatened species, 4(d) rule), and designated critical habitat (73 then NMFS is required to recommend FR 7816). As a result of another court RIN 1018–AW09 the status change to the Service. If the challenge (Douglas County v. Balsiger (Civ. Service concurs with the recommended No. 08–01547; D. Or. 2008), NMFS reached Endangered and Threatened Wildlife status change, then the Service will a settlement with the litigants and agreed to and Plants; 44 Marine and implement the status change by conduct another status review of the ESU. Anadromous Taxa: Adding 10 Taxa, After conducting the additional status publishing a final rule to amend the List Delisting 1 Taxon, Reclassifying 1 review, NMFS proposed to affirm the status 50 CFR 17.11(h). Taxon, and Updating 32 Taxa on the for this ESU by promulgating a rule to List of Endangered and Threatened As described below and set forth at supersede its February 11, 2008, listing Wildlife table 1, NMFS has published rules determination (75 FR 29489; May 26, 2010). regarding each of the species mentioned AGENCY: Fish and Wildlife Service, in this rule. Section 4(a)(2)(A) applies to Delisting Interior. all of the rules except that for the We are delisting the following species ACTION: Final rule. Caribbean monk seal; with respect to based on a NMFS final rule: those rules, by publishing this final rule, • Caribbean monk seal (73 FR 63901; SUMMARY: We, the U.S. Fish and we are simply taking the necessary October 28, 2008). Wildlife Service (Service), are amending administrative step to codify these the List of Endangered and Threatened changes in the CFR. Section 4(a)(2)(B) Reclassification Wildlife (List) by adding 10 marine taxa, applies to the NMFS’s recommendation We are reclassifying the following delisting 1 marine taxon, reclassifying 1 to delist the Caribbean monk seal; we species based on a NMFS final rule: marine taxon, and revising 32 marine have concurred with NMFS’s • Coho salmon, Central California taxa in accordance with the Endangered recommendation, and this rule Coast ESU, from threatened to Species Act of 1973, as amended (Act). implements that action. endangered (70 FR 37160; June 28, These amendments are based on 2005). previously published determinations by Listings the National Marine Fisheries Service We are adding the following ten Revisions (NMFS) of the National Oceanic and species to the List based on NMFS final We are updating 32 entries on the List Atmospheric Administration, rules: based on NMFS final rules and to make Department of Commerce, which has • Coho salmon, Lower Columbia these entries easier for the public to jurisdiction for these species. River evolutionarily significant unit identify as follows: DATES: This rule is effective April 13, (ESU), as threatened (70 FR 37160; June • ‘‘Common Name’’ (adding ESU 2011. For applicability date by 28, 2005); subtitles) and ‘‘Vertebrate population individual taxon, see table 1 in • Steelhead, Puget Sound distinct where endangered or threatened’’ SUPPLEMENTARY INFORMATION. population segment (DPS), as threatened updates for 14 salmon ESUs—Chinook FOR FURTHER INFORMATION CONTACT: (72 FR 26722; May 11, 2007); (California coastal, Central Valley spring-run, Lower Columbia River, Michael Franz, 703–358–2171. • Coho salmon, Oregon Coast ESU, as Puget Sound, Sacramento River winter- SUPPLEMENTARY INFORMATION: threatened with critical habitat (73 FR run, Snake River fall-run, Snake River Background 7816; February 11, 2008); • spring/summer, Upper Columbia River In accordance with the Act (16 U.S.C. Beluga whale, Cook Inlet DPS, as spring-run (as discussed below), and 1531 et seq.) and Reorganization Plan endangered (73 FR 62919; October 22, Upper Willamette), chum (Columbia No. 4 of 1970 (35 FR 15627; October 6, 2008); River, Hood Canal summer-run), coho • 1970), NMFS has jurisdiction over the Black abalone as endangered (74 FR (Central California Coast, Southern marine and anadromous taxa specified 1937; January 14, 2009); Oregon–Northern California Coast), and in this rule. Under section 4(a)(2) of the • Bocaccio, Puget Sound/Georgia sockeye (Ozette Lake, Snake River)(70 Act, NMFS must decide whether a Basin DPS, as endangered (75 FR 22276; FR 37160; June 28, 2005). species under its jurisdiction should be April 28, 2010); • Common Name’’ (adding DPS classified as endangered or threatened. • Canary rockfish, Puget Sound/ subtitles) and ‘‘Vertebrate population NMFS makes these determinations via Georgia Basin DPS, as threatened (75 FR where endangered or threatened’’ its formal rulemaking process. We, the 22276; April 28, 2010); updates for 10 steelhead DPSs—

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California Central Valley, Central listed as a DPS by NMFS and the 2009), elkhorn coral and staghorn coral California Coast, Lower Columbia River, Service, to make it clearer to the public (74 FR 72209; November 26, 2008), and Middle Columbia River, Northern and a critical habitat entry (74 FR Southern DPS of the North American California, Snake River Basin, South– 29344, June 19, 2009; and 74 FR 29300, green sturgeon (74 FR 52299; October 9, Central California Coast, Southern June 19, 2009). 2009). California, Upper Columbia River, and • A right whale taxonomic revision of • A 4(d) rule entry for Puget Sound Upper Willamette River (71 FR 833; March 6, 2008 (73 FR 12024), which is January 5, 2006). consistent with the technical revision of steelhead (73 FR 55451; September 25, • A status correction from threatened 68 FR 17560 (April 10, 2003). We 2008), elkhorn and staghorn corals (73 to endangered for the Upper Columbia formally accept the technical revisions FR 64264; October 29, 2008), and the River spring-run Chinook ESU (64 FR of 68 FR 17560 as of this publication Southern DPS of green sturgeon (75 FR 14308, March 24, 1999; and 70 FR and revise the North Pacific right whale 30714; June 2, 2010). 37160, June 28, 2005) (This is the to add the critical habitat entry of April The previous NMFS Federal Register second change described to the entry for 8, 2008 (73 FR 19000). • publications to propose and finalize this species; the first is listed above with A critical habitat entry for the listings for these species are in table 1. the updates to the 14 salmon ESUs.). Southern Resident DPS of killer whale In all cases, within the published final • A new common name (Salmon, (71 FR 69054; November 29, 2006), rule, NMFS addressed the public Atlantic, Gulf of Maine DPS) for the United States DPS of the smalltooth comments received. endangered Salmosalar, which is jointly sawfish (74 FR 45353; September 2,

TABLE 1—RULEMAKING ACTIONS BY THE NATIONAL MARINE FISHERIES SERVICE TO ADD MARINE AND ANADROMOUS SPECIES TO THE LIST OF ENDANGERED AND THREATENED WILDLIFE

Proposed rule publication Final rule publication date, Common name Scientific name date, action change in action (If any) Effective date

Lower Columbia River Oncorhynchuskisutch ...... June 14, 2004 (69 FR June 28, 2005 (70 FR August 29, 2005. evolutionarily significant 33102), to list as threat- 37160). unit (ESU) of coho salm- ened. on. 16 ESUs of West Coast Oncorhynchustshawytscha, June 14, 2004 (69 FR June 28, 2005 (70 FR August 29, 2005. salmon. Oncorhynchuskisutch, Oncorhyn 33102), proposed rule 37160), final rule for chusnerka, Oncorhyn-chusketa. on 27 DPSs of salmon, listing determinations of including reclassifying 16 ESUs of West Coast the Central California salmon. Coast ESU of coho salmon (Oncorhyn- chuskisutch) from threatened to endan- gered. 10 DPSs of West Coast Oncorhynchusmykiss ...... June 14, 2004 (69 FR January 5, 2006 (71 FR February 6, 2006. steelhead. 33102), proposed rule 833), final rule for listing on 10 DPSs of determinations for 10 steelhead, including re- DPSs of West Coast classifying the Upper steelhead. Columbia River DPS from endangered to threatened. Killer whale ...... Orcinus orca ...... June 15, 2006 (71 FR November 29, 2006 (71 December 29, 34571), to designate FR 69054). 2006. critical habitat. Puget Sound distinct pop- Oncorhynchusmykiss ...... March 29, 2006 (71 FR May 11, 2007 (72 FR June 11, 2007. ulation segment (DPS) 15666), to list as threat- 26722). of steelhead. ened. May 11, 2007 (72 FR September 25, 2008 (73 October 27, 2008. 26722), to issue protec- FR 55451). tive regulations (a 4(d) rule). North Atlantic right, North Eubalaenaglacialis, Eubalaena ja- December 27, 2006 (71 March 6, 2008 (73 FR April 7, 2008. Pacific right, and South- ponica, Eubalaenaaustralis. FR 77694), taxonomic 12024). ern right whale. revision. North Pacific right whale ... Eubalaena japonica ...... October 29, 2007 (72 FR April 8, 2008 (73 FR May 8, 2008. 61089), to designate 19000). critical habitat. Oregon Coast ESU of Oncorhynchuskisutch ...... June 14, 2004 (69 FR February 11, 2008 (73 FR May 12, 2008. coho salmon. 33102), to list as threat- 7816). ened. Caribbean monk seal ...... Monachustropicalis ...... June 9, 2008 (73 FR October 28, 2008 (73 FR October 28, 2008. 32521), to delist. 63901). Cook Inlet DPS of beluga Delphinapterusleucas ...... April 20, 2007 (72 FR October 22, 2008 (73 FR December 22, whale. 19854), to list as en- 62919). 2008. dangered.

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TABLE 1—RULEMAKING ACTIONS BY THE NATIONAL MARINE FISHERIES SERVICE TO ADD MARINE AND ANADROMOUS SPECIES TO THE LIST OF ENDANGERED AND THREATENED WILDLIFE—Continued

Proposed rule publication Final rule publication date, Common name Scientific name date, action change in action (If any) Effective date

Elkhorn and staghorn cor- Acroporapalmata, December 14, 2007 (72 October 29, 2008 (73 FR November 28, als. Acroporacervicornis. FR 71102), to issue 64264). 2008. protective regulations (a 4(d) rule). February 6, 2008 (73 FR November 26, 2008 (73 December 26, 6895), to designate crit- FR 72210). 2008. ical habitat. Black abalone ...... Haliotiscracherodii ...... January 11, 2008 (73 FR January 14, 2009 (74 FR February 13, 2009. 1986), to list as endan- 1937). gered. Atlantic salmon (Gulf of Salmosalar ...... September 3, 2008 (73 DPS—June 19, 2009 (74 July 20, 2009. Maine DPS). FR 51415), to list a dis- FR 29344). tinct population seg- ment (DPS) as endan- gered. September 5, 2008 (73 Critical habitat—June 19, July 20, 2009. FR 51747), to des- 2009 (74 FR 29300). ignate critical habitat. Smalltooth sawfish (United Pristispectinata ...... November 20, 2008 (73 September 2, 2009 (74 October 2, 2009. States DPS). FR 70290), to des- FR 45353). ignate critical habitat. North American green Acipensermedirostris ...... September 8, 2008 (73 October 9, 2009 (74 FR November 9, 2009. sturgeon (Southern FR 52084), to des- 52300). DPS). ignate critical habitat. May 21, 2009 (74 FR June 2, 2010 (75 FR July 2, 2010. 23822), to issue protec- 30714). tive regulations (a 4(d) rule). Eulachon, Pacific (South- Thaleichthyspacificus ...... March 13, 2009 (74 FR March 18, 2010 (75 FR May 17, 2010. ern DPS). 10857) to list as threat- 13012). ened. Yelloweye rockfish, canary Sebastesruberrimus April 23, 2009 (74 FR April 28, 2010 (75 FR July 27, 2010. rockfish, bocaccio Sebastespinniger 18516), to list as en- 22276). (Puget Sound/Georgia Sebastespaucispinis. dangered or threatened. Basin DPS), Spotted seal (southern Phocalargha ...... October 20, 2009 (74 FR October 25, 2010 (75 FR November 22, DPS). 53685), to list as threat- 65239). 2010. ened, with 4(d) rule.

Administrative Procedure Act Environmental Policy Act of 1969, need Regulation Promulgation not be prepared in connection with Because NMFS provided a public Accordingly, we amend part 17, comment period on each of the regulations adopted pursuant to section subchapter B of chapter I, title 50 of the proposed rules for these taxa, we find 4(a) of the Act. We outlined our reasons Code of Federal Regulations, as set forth good cause that the notice and public for this determination in the Federal below: comment procedures of 5 U.S.C. 553(b) Register on October 25, 1983 (48 FR are unnecessary for this action. We also 49244). PART 17—[AMENDED] find good cause under 5 U.S.C. 553(d)(3) Paperwork Reduction Act ■ 1. The authority citation for part 17 to make this rule effective immediately continues to read as follows: upon publication. The NMFS rules We have examined this regulation extended protection under the Act to under the Paperwork Reduction Act of Authority: 16 U.S.C. 1361–1407; 16 U.S.C. these species and listed them in 50 CFR 1995 and found it to contain no 1531–1544; 16 U.S.C. 4201–4245; Pub. L. 99– parts 223 and 224 or designated critical information collection requirements. We 625, 100 Stat. 3500; unless otherwise noted. habitat under 50 CFR part 226; this rule may not conduct or sponsor, and you § 17.11 [Amended] is an administrative action to add the are not required to respond to, a ■ 2. Amend § 17.11(h) by: species to or update their status on the collection of information unless it ■ a. Removing the entry under List in 50 CFR 17.11(h). The public displays a currently valid Office of MAMMALS for ‘‘Seal, Caribbean monk’’; would not be served by delaying the Management and Budget (OMB) control ■ b. Revising the entries under effective date of this rulemaking action. number. MAMMALS for ‘‘Whale, killer’’ and Required Determinations List of Subjects in 50 CFR Part 17 ‘‘Whale, North Pacific right’’; under FISHES for National Environmental Policy Act Endangered and threatened species, • ‘‘Salmon, Atlantic (Gulf of Maine We have determined that an Exports, Imports, Reporting and DPS)’’, environmental assessment, as defined recordkeeping requirements, • ‘‘Salmon, Chinook (California under the authority of the National Transportation. Coastal ESU)’’,

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• ‘‘Salmon, Chinook (Central Valley • ‘‘Salmon, sockeye (Ozette Lake • ‘‘Steelhead (Upper Willamette River spring-run ESU)’’, ESU)’’, DPS)’’, and • ‘‘Salmon, Chinook (Lower Columbia • ‘‘Salmon, sockeye (Snake River • ‘‘Sturgeon, North American green River ESU)’’, ESU)’’, (Southern DPS); and under CORALS for • ‘‘Salmon, Chinook (Puget Sound • ‘‘Sawfish, smalltooth (United States ‘‘Coral, elkhorn’’ and ‘‘Coral, staghorn’’; ESU)’’, DPS)’’, and • ‘‘Salmon, Chinook (Sacramento • ‘‘Steelhead (California Central ■ c. Adding entries in alphabetic order River winter-run ESU)’’, Valley DPS)’’, under MAMMALS for ‘‘Seal, spotted • ‘‘Salmon, Chinook (Snake River fall- • ‘‘Steelhead (Central California Coast (Southern DPS)’’, ‘‘Whale, beluga (Cook run ESU)’’, DPS)’’, Inlet DPS)’’; under FISHES for • ‘‘Salmon, Chinook (Snake River • ‘‘Steelhead (Lower Columbia River • ‘‘Bocaccio (Puget Sound/Georgia spring/summer-run ESU)’’, DPS)’’, Basin DPS)’’, • ‘‘Salmon, Chinook (Upper Columbia • ‘‘Steelhead (Middle Columbia River • ‘‘Eulachon, Pacific (Southern DPS)’’, spring-run ESU)’’, DPS)’’, • ‘‘Rockfish, canary (Puget Sound/ • ‘‘Salmon Chinook (Upper • ‘‘Steelhead (Northern California Georgia Basin DPS)’’, Willamette River ESU)’’, DPS)’’, • ‘‘Rockfish, yelloweye (Puget Sound/ • ‘‘Salmon, chum (Columbia River • ‘‘Steelhead (Snake River Basin Georgia Basin DPS)’’, ESU)’’, DPS)’’, • ‘‘Salmon, coho (Lower Columbia • ‘‘Salmon, chum (Hood Canal • ‘‘Steelhead (South Central River ESU)’’, summer-run ESU)’’, California Coast DPS)’’, • ‘‘Salmon, coho (Oregon Coast • ‘‘Salmon, coho (Central California • ‘‘Steelhead (Southern California ESU)’’, and Coast ESU)’’, DPS)’’, • ‘‘Steelhead (Puget Sound DPS)’’; • ‘‘Salmon, coho (Southern Oregon– • ‘‘Steelhead (Upper Columbia River and under SNAILSfor ‘‘Abalone, black’’ northern California Coast ESU)’’, DPS)’’, to read as set forth below:

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

MAMMALS

******* Seal, spotted Phocalargha ...... Pacific Ocean; Sea of Southern DPS—all breeding popu- T 776 NA 223.211 (southern Japan and northern lations of spotted seals south of DPS). Yellow Sea. 43 degrees north latitude in the Pacific Ocean. Whale, beluga Delphinapterusleucas ...... Oceanic; Cook Inlet, Cook Inlet DPS—Cook Inlet, Alaska E 776 NA NA (Cook Inlet northern Gulf of Alas- DPS). ka.

******* Whale, killer Orcinus orca ...... Pacific Ocean...... Southern Resident DPS, which E 756 226.206 NA (Southern consists of whales from the J, K, Resident and L pods, wherever they are DPS). found in the wild.

******* Whale, North Eubalaena japonica ...... Oceanic ...... Entire ...... E 3 226.215 NA Pacific right.

******* FISHES

******* Bocaccio Sebastespaucispinis ...... Pacific coast from Puget Sound–Georgia Basin E 776 NA NA (Puget Punta Blanca, Baja DPS—U.S.A. (WA) and British Sound–Geor- California, to the Gulf Columbia, including Puget Sound gia Basin of Alaska off Krozoff and Georgia Basin. DPS). and Kodiak Islands.

******* Eulachon, Pa- Thaleichthyspacificus ...... Eastern Pacific Ocean, Southern DPS—Populations T 776 NA NA cific (South- from northern Cali- spawning from the Skeena River ern DPS). fornia to south- in British Columbia (inclusive) western Alaska and south to the Mad River in North- into the southeastern ern California (inclusive), wher- Bering Sea. ever found.

******* Rockfish, ca- Sebastespinniger ...... Pacific coast from Puget Sound–Georgia Basin T 776 NA NA nary (Puget Punta Colnett, Baja DPS—U.S.A. (WA) and British Sound–Geor- California, to the Columbia, including Puget Sound gia Basin Western Gulf of Alas- and Georgia Basin. DPS). ka.

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

Rockfish, Sebastesruberrimus ...... Pacific coast from Puget Sound–Georgia Basin T 776 NA NA yelloweye northern Baja Cali- DPS—U.S.A. (WA) and British (Puget fornia to the Aleutian Columbia, including Puget Sound Sound–Geor- Islands, Alaska. and Georgia Basin. gia Basin DPS). Salmon, Atlan- Salmosalar ...... U.S.A., Canada, Green- Gulf of Maine DPS—U.S.A. (ME), E 705 226.217 NA tic (Gulf of land, western Europe. which includes all naturally repro- Maine DPS). ducing populations and those river-specific hatchery popu- lations cultured from them. Salmon, Chi- Oncorhynchustshawytscha North America from California Coastal ESU—U.S.A. T 674 226.211 NA nook (Cali- Ventura River in Cali- (CA), including all naturally fornia Coast- fornia to Point Hope, spawned populations of Chinook al ESU). Alaska, and the Mac- salmon from rivers and streams kenzie River area in south of the Klamath River to the Canada; northeast Russian River, California, as well Asia from Hokkaido, as seven artificial propagation Japan, to the Anadyr programs: See 223.102. River, Russia. Salmon, Chi- Oncorhynchustshawytscha North America from Central Valley spring-run ESU— T 674 226.211 NA nook (Central Ventura River in Cali- U.S.A. (CA), including all natu- Valley spring- fornia to Point Hope, rally spawned populations of run ESU). Alaska, and the Mac- spring-run Chinook salmon in the kenzie River area in Sacramento River and its tribu- Canada; northeast taries in California, including the Asia from Hokkaido, Feather River, as well as the Japan, to the Anadyr Feather River Hatchery spring- River, Russia. run Chinook program. Salmon, Chi- Oncorhynchustshawytscha North America from Lower Columbia River ESU— T 664 226.212 223.203 nook (Lower Ventura River in Cali- U.S.A. (OR, WA), including all Columbia fornia to Point Hope, naturally spawned populations of River ESU). Alaska, and the Mac- Chinook salmon from the Colum- kenzie River area in bia River and its tributaries from Canada; northeast its mouth at the Pacific Ocean Asia from Hokkaido, upstream to a transitional point Japan, to the Anadyr between Washington and Oregon River, Russia. east of the Hood River and the White Salmon River, and in- cludes the Willamette River to Willamette Falls, Oregon, exclu- sive of spring-run Chinook salm- on in the Clackamas River, as well as 17 artificial propagation programs: See 223.102. Salmon, Chi- Oncorhynchustshawytscha North America from Puget Sound ESU—U.S.A. (WA), T 664 226.212 223.203 nook (Puget Ventura River in Cali- including all naturally spawned Sound ESU). fornia to Point Hope, populations of Chinook salmon Alaska, and the Mac- from rivers and streams flowing kenzie River area in into Puget Sound including the Canada; northeast Straits of Juan De Fuca from the Asia from Hokkaido, Elwha River, eastward, including Japan, to the Anadyr rivers and streams flowing into River, Russia. Hood Canal, South Sound, North Sound and the Strait of Georgia in Washington, as well as 26 arti- ficial propagation programs: See 223.102. Salmon, Chi- Oncorhynchustshawytscha North America from Sacramento River winter-run E 383E, 407, 226.204 NA nook (Sac- Ventura River in Cali- ESU—U.S.A. (CA), including all 534 ramento fornia to Point Hope, naturally spawned populations of River winter- Alaska, and the Mac- winter-run Chinook salmon in the run ESU). kenzie River area in Sacramento River and its tribu- Canada; northeast taries in California, as well as two Asia from Hokkaido, artificial propagation programs: Japan, to the Anadyr See 224.101(a). River, Russia. Salmon, Chi- Oncorhynchustshawytscha North America from Snake River fall-run ESU—U.S.A. T 516, 557E 226.205 NA nook (Snake Ventura River in Cali- (ID, OR, WA), including all natu- River fall fornia to Point Hope, rally spawned populations of fall- ESU). Alaska, and the Mac- run Chinook salmon in the kenzie River area in mainstem Snake River below Canada; northeast Hells Canyon Dam, and in the Asia from Hokkaido, Tucannon River, Grande Ronde Japan, to the Anadyr River, Imnaha River, Salmon River, Russia. River, and Clearwater River, as well as four artificial propagation programs: See 223.102.

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

Salmon, Chi- Oncorhynchustshawytscha North America from Snake River spring/summer-run T 516, 557E 226.205 NA nook (Snake Ventura River in Cali- ESU—U.S.A. (ID, OR, WA), in- River spring/ fornia to Point Hope, cluding all naturally spawned summer-run Alaska, and the Mac- populations of spring/summer-run ESU). kenzie River area in Chinook salmon in the mainstem Canada; northeast Snake River and the Tucannon Asia from Hokkaido, River, Grande Ronde River, Japan, to the Anadyr Imnaha River, and Salmon River River, Russia. subbasins, as well as 15 artificial propagation programs: See 223.102. Salmon, Chi- Oncorhynchustshawytscha North America from Upper Columbia spring-run ESU— E 664 226.212 NA nook (Upper Ventura River in Cali- U.S.A. (WA), including all natu- Columbia fornia to Point Hope, rally spawned populations of Chi- spring-run Alaska, and the Mac- nook salmon in all river reaches ESU). kenzie River area in accessible to Chinook salmon in Canada; northeast Columbia River tributaries up- Asia from Hokkaido, stream of the Rock Island Dam Japan, to the Anadyr and downstream of Chief Joseph River, Russia. Dam in Washington (excluding the Okanogan River), the Colum- bia River from a straight line con- necting the west end of the Clatsop jetty (south jetty, Oregon side) and the west end of the Peacock jetty (north jetty, Wash- ington side) upstream to Chief Joseph Dam in Washington, as well as six artificial propagation programs: See 224.101(a). Salmon, Chi- Oncorhynchustshawytscha North America from Upper Willamette River ESU— T 664 226.212 223.203 nook (Upper Ventura River in Cali- U.S.A. (OR), including all natu- Willamette fornia to Point Hope, rally spawned populations of River ESU). Alaska, and the Mac- spring-run Chinook salmon in the kenzie River area in Clackamas River and in the Wil- Canada; northeast lamette River, and its tributaries, Asia from Hokkaido, above Willamette Falls, Oregon, Japan, to the Anadyr as well as seven artificial propa- River, Russia. gation programs: See 223.102. Salmon, chum Oncorhynchusketa ...... North Pacific Rim from Columbia River ESU—U.S.A. (OR, T 664 226.212 223.203 (Columbia Korea and the Japa- WA), including all naturally River ESU). nese Island of spawned populations of chum Honshu east to Mon- salmon in the Columbia River terey Bay, California; and its tributaries in Washington Arctic Ocean from and Oregon, as well as three arti- the Laptev Sea in ficial propagation programs: See Russia to Mackenzie 223.102. River in Canada. Salmon, chum Oncorhynchusketa ...... North Pacific Rim from Hood Canal summer-run ESU— T 664 226.212 223.203 (Hood Canal Korea and the Japa- U.S.A. (WA), including all natu- summer-run nese Island of rally spawned populations of ESU). Honshu east to Mon- summer-run chum salmon in terey Bay, California; Hood Canal and its tributaries as Arctic Ocean from well as populations in Olympic the Laptev Sea in Peninsula rivers between Hood Russia to Mackenzie Canal and Dungeness Bay, River in Canada. Washington, as well as eight arti- ficial propagation programs: See 223.102. Salmon, coho Oncorhynchuskisutch ...... North Pacific Basin Central California Coast ESU— E 598 226.210 NA (Central Cali- from U.S.A. (CA to U.S.A. (CA), including all natu- fornia Coast AK) to Russia and rally spawned populations of ESU). Japan. coho salmon from Punta Gorda in northern California south to and including the San Lorenzo River in central California, as well as populations in tributaries to San Francisco Bay, excluding the Sacramento–San Joaquin River system, as well as four artificial propagation programs: See 224.101(a).

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

Salmon, coho Oncorhynchuskisutch ...... North Pacific Basin Lower Columbia River ESU— T 776 NA NA (Lower Co- from U.S.A. (CA to U.S.A. (OR, WA), including all lumbia River AK) to Russia and naturally spawned populations of ESU). Japan. coho salmon in the Columbia River and its tributaries in Wash- ington and Oregon, from the mouth of the Columbia up to and including the Big White Salmon and Hood Rivers, and includes the Willamette River to Willam- ette Falls, Oregon, as well as 25 artificial propagation programs: See 223.102. Salmon, coho Oncorhynchuskisutch ...... North Pacific Basin Oregon Coast ESU—U.S.A. (OR), T 776 226.212 223.203 (Oregon from U.S.A. (CA to all naturally spawned populations Coast ESU). AK) to Russia and of coho salmon in Oregon coast- Japan. al streams south of the Columbia River and north of Cape Blanco, including the Cow Creek (Oregon Department of Fish and Wildlife stock #37) coho hatchery pro- gram. Salmon, coho Oncorhynchuskisutch ...... North Pacific Basin Southern Oregon–Northern Cali- T 618 226.210 NA (Southern from U.S.A. (CA to fornia Coast ESU—U.S.A. (CA, Oregon– AK) to Russia and OR), including all naturally Northern Japan. spawned populations of coho California salmon in coastal streams be- Coast ESU). tween Cape Blanco, Oregon, and Punta Gorda, California, as well as three artificial propagation pro- grams: See 223.102. Salmon, sock- Oncorhynchusnerka ...... North Pacific Basin Ozette Lake ESU—U.S.A. (WA), in- T 664 226.212 223.203 eye (Ozette from U.S.A. (CA) to cluding all naturally spawned Lake ESU). Russia. populations of sockeye salmon in Ozette Lake and streams and tributaries flowing into Ozette Lake, Washington, as well as two artificial propagation programs: See 223.102. Salmon, sock- Oncorhynchusnerka ...... North Pacific Basin Snake River ESU—U.S.A. (ID), in- E 455 226.205 NA eye (Snake from U.S.A. (CA) to cluding all anadromous and re- River ESU). Russia. sidual sockeye salmon from the Snake River Basin, Idaho, as well as artificially propagated sockeye salmon from the Redfish Lake captive propagation pro- gram. Sawfish, Pristispectinata ...... North Atlantic (Medi- United States, DPS, Gulf of Mexico E 748 226.218 NA smalltooth terranean, U.S. Atlan- from Texas to Florida and along (United tic and Gulf of Mex- the east coast from Florida to States DPS). ico) and the South- Cape Hatteras. west Atlantic.

******* Steelhead Oncorhynchusmykiss ...... North Pacific Ocean California Central Valley DPS— T 638 226.211 223.203 (California from the Kamchatka U.S.A. (CA), including all natu- Central Val- Peninsula in Asia to rally spawned anadromous O. ley DPS). the northern Baja Pe- mykisssteelhead populations ninsula. below natural and manmade im- passable barriers in the Sac- ramento and San Joaquin Rivers and their tributaries, excluding steelhead from San Francisco and San Pablo Bays and their tributaries. It also includes steelhead from the Coleman Na- tional Fish Hatchery and Feather River Hatchery programs.

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

Steelhead Oncorhynchusmykiss ...... North Pacific Ocean Central California Coast DPS— T 638 226.211 223.203 (Central Cali- from the Kamchatka U.S.A. (CA), including all natu- fornia Coast Peninsula in Asia to rally spawned anadromous O. DPS). the northern Baja Pe- mykiss (steelhead) populations ninsula. below natural and manmade im- passable barriers in California streams from the Russian River (inclusive) to Aptos Creek (inclu- sive), and the drainages of San Francisco and San Pablo Bays eastward to Chipps Island at the confluence of the Sacramento and San Joaquin Rivers. Tribu- tary streams to Suisun Marsh in- cluding Suisun Creek, Green Val- ley Creek, and anunnamed tribu- tary to Cordelia Slough (com- monly referred to as Red Top Creek), excluding the Sac- ramento-San Joaquin River Basin, It also includes steelhead from the Don Clausen Fish Hatchery and Kingfisher Flat Hatchery—Scott Creek (Monterey Bay Salmon and Trout Project) programs. Steelhead Oncorhynchusmykiss ...... North Pacific Ocean Lower Columbia River DPS— T 638 226.212 223.203 (Lower Co- from the Kamchatka U.S.A. (OR, WA), including all lumbia River Peninsula in Asia to naturally spawned anadromous DPS). the northern Baja Pe- O. mykiss (steelhead) popu- ninsula. lations below natural and man- made impassable barriers in streams and tributaries to the Co- lumbia River between the Cowlitz and Wind Rivers, Washington, in- clusive, and the Willamette and Hood Rivers, Oregon, inclusive. It also includes steelhead from 10 artificial propagation programs: See 223.102. Steelhead (Mid- Oncorhynchusmykiss ...... North Pacific Ocean Middle Columbia River DPS— T 664 226.212 223.203 dle Columbia from the Kamchatka U.S.A. (OR, WA), including all River DPS). Peninsula in Asia to naturally spawned anadromous the northern Baja Pe- O. mykiss (steelhead) popu- ninsula. lations below natural and man- made impassable barriers in streams from above the Wind River, Washington, and the Hood River, Oregon (exclusive), up- stream to, and including, the Yakima River, Washington, ex- cluding O. mykiss from the Snake River Basin. It also in- cludes steelhead from seven arti- ficial propagation programs: See 223.102. Steelhead Oncorhynchusmykiss ...... North Pacific Ocean Northern California DPS—U.S.A. T 701 226.211 NA (Northern from the Kamchatka (CA), including all naturally California Peninsula in Asia to spawned anadromous O. mykiss DPS). the northern (steelhead) populations below Baja Peninsula. natural and manmade impass- able barriers in California coastal river basins from Redwood Creek southward to, but not including, the Russian River. It also in- cludes steelhead from the Yager Creek Hatchery, and North Fork Gualala River Hatchery (Gualala River Steelhead Project) hatchery programs.

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

Steelhead Oncorhynchusmykiss ...... North Pacific Ocean Puget Sound DPS—U.S.A. (WA), T 776 NA 223.203 (Puget from the Kamchatka including all naturally spawned Sound DPS). Peninsula in Asia to anadromous O. mykiss the northern Baja Pe- (steelhead) populations, from ninsula. streams in the river basins of the Strait of Juan de Fuca, Puget Sound, and Hood Canal, Wash- ington, bounded to the west by the Elwha River (inclusive) and to the north by the Nooksack River and Dakota Creek (inclusive), as well as the Green River natural and HammaHamma winter-run steelhead hatchery stocks. Steelhead Oncorhynchusmykiss ...... North Pacific Ocean Snake River Basin DPS—U.S.A. T 638 226.212 223.203 (Snake River from the Kamchatka (ID, OR, WA), including all natu- Basin DPS). Peninsula in Asia to rally spawned anadromous O. the northern Baja Pe- mykiss (steelhead) populations ninsula. below natural and manmade im- passable barriers in streams in the Snake River Basin of south- east Washington, northeast Or- egon, and Idaho. It also includes steelhead from six artificial prop- agation programs: See 223.102. Steelhead Oncorhynchusmykiss ...... North Pacific Ocean South Central California Coast T 638 226.211 223.203 (South Cen- from the Kamchatka DPS—U.S.A. (CA), including all tral California Peninsula in Asia to naturally spawned anadromous Coast DPS). the northern Baja Pe- O. mykiss (steelhead) popu- ninsula. lations below natural and man- made impassable barriers in streams from the Pajaro River (inclusive), to (but not including) the Santa Maria River, California. Steelhead Oncorhynchusmykiss ...... North Pacific Ocean Southern California DPS—U.S.A. E 638 226.211 NA (Southern from the Kamchatka (CA), including all naturally California Peninsula in Asia to spawned anadromous O. mykiss DPS). the northern Baja Pe- (steelhead) populations below ninsula. natural and manmade impass- able barriers in streams from the Santa Maria River, San Luis Obispo County, California, (inclu- sive) to the U.S.–Mexico border. Steelhead Oncorhynchusmykiss ...... North Pacific Ocean Upper Columbia River DPS— T 638 226.212 NA (Upper Co- from the Kamchatka U.S.A. (WA), including all natu- lumbia River Peninsula in Asia to rally spawned anadromous O. DPS). the northern Baja Pe- mykiss (steelhead) populations ninsula. below natural and manmade im- passable barriers in streams in the Columbia River Basin up- stream from the Yakima River, Washington, to the U.S.–Canada border, as well as six artificial propagation programs: See 223.102. Steelhead Oncorhynchusmykiss ...... North Pacific Ocean Upper Willamette River DPS— T 664 226.212 223.203 (Upper Wil- from the Kamchatka U.S.A. (OR), including all natu- lamette River Peninsula in Asia to rally spawned anadromous O. DPS). the northern Baja Pe- mykiss (steelhead) populations ninsula. below natural and manmade im- passable barriers in the Willam- ette River, Oregon, and its tribu- taries upstream from Willamette Falls to the Calapooia River, in- clusive.

******* Sturgeon, North Acipensermedirostris ...... U.S.A. (CA) ...... Southern DPS—U.S.A. (CA), which T 756 226.219 223.210 American includes all spawning populations green south of the Eel River (exclu- (Southern sive), principally including the DPS). Sacramento River spawning pop- ulation.

******* SNAILS

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

******* Abalone, Black Haliotiscracherodii ...... North America (West NA ...... E 776 NA NA coast from Crescent City, CA, USA, to Cape San Lucas, Baja California, Mex- ico.

******* CORALS

******* Coral, elkhorn Acroporapalmata ...... U.S.A. (FL, PR, VI, NA ...... T 756 226.216 223.208 Navassa); and wider Caribbean—Belize, Colombia, Costa Rica, Guatemala, Honduras, Mexico, Nicaragua, Panama, Venezuela, and all the islands of the West Indies. Coral, staghorn Acroporacervicornis ...... U.S.A. (FL, PR, VI, NA ...... T 756 226.216 223.208 Navassa); and wider Caribbean—Belize, Colombia, Costa Rica, Guatemala, Honduras, Mexico, Nicaragua, Panama, Venezuela, and all the islands of the West Indies.

Dated: February 10, 2011. Rowan W. Gould, Acting Director, U.S. Fish and Wildlife Service. [FR Doc. 2011–8822 Filed 4–12–11; 8:45 am] BILLING CODE P

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Proposed Rules Federal Register Vol. 76, No. 71

Wednesday, April 13, 2011

This section of the FEDERAL REGISTER Electronic Submissions Nation’s food supply, assistance to low contains notices to the public of the proposed Submit electronic comments in the income families, the Head Start issuance of rules and regulations. The program, services to older Americans, purpose of these notices is to give interested following way: Federal eRulemaking Portal: http:// and direct health services delivery. HHS persons an opportunity to participate in the is comprised of 18 staff divisions and 12 rule making prior to the adoption of the final www.regulations.gov. Follow the rules. instructions for submitting comments. operating divisions, many of which HHS will post all comments received have responsibility for promulgating before the close of the comment period regulations pursuant to HHS’s statutory DEPARTMENT OF HEALTH AND as soon as possible after they have been authority. Although many components HUMAN SERVICES received: of HHS, currently conduct periodic retrospective reviews, until now there 2 CFR Chapters III and XXX Written Submissions has been no single HHS-wide plan for Submit written submissions in the ongoing review of HHS regulations. 5 CFR Chapter XLV following ways: HHS’s goal is to establish a robust and FAX: (202) 690–7203. resilient framework for each HHS 21 CFR Chapter I Mail/Hand delivery/Courier (for agency to undertake a periodic paper, disk, or CD–ROM submissions): thoughtful analysis of its significant 25 CFR Chapter V 200 Independence Avenue, SW., Room existing regulations, resulting in a more 639G, Washington, DC 20201. streamlined, flexible, less burdensome 42 CFR Chapters I, IV and V FOR FURTHER INFORMATION CONTACT: regulatory structure. HHS seeks Oliver Potts at (202) 690–6392. comments from the public on various aspects of the framework that might be 45 CFR Subtitle A and Chapters II, III, SUPPLEMENTARY INFORMATION: considered as HHS develops its plan. IV, X, XIII On January 18, 2011, President Obama issued Executive Order 13563 to Request for Information 48 CFR Chapter 3 improve regulation and regulatory HHS has determined that the plan review by requiring Federal agencies to called for by the President should reflect HHS Plan for Retrospective Review design cost effective, evidence-based Under Executive Order 13563 HHS’s overall approach to regulatory regulations that are compatible with review, leaving implementation of that economic growth, job creation, and AGENCY: Department of Health and plan to each individual regulatory competitiveness, and which rely on the Human Services. agency. Accordingly, HHS solicits best, most innovative, and least comments on the following elements to ACTION: Notice; request for information. burdensome tools to achieve regulatory be included in its preliminary plan: ends. To meet that objective, the • Schedule for Ongoing Review—The SUMMARY: In accordance with Executive President directs each Executive Branch public is first asked to comment on how Order 13563, ‘‘Improving Regulation and agency to consider how best to promote HHS should determine a schedule for Regulatory Review,’’ the Department of periodic retrospective review of existing review. Understanding that an effective Health and Human Services (HHS) seeks significant rules to determine if they are review process can be time consuming, comment from interested parties to outmoded, ineffective, insufficient, or comments might address how best to assist in the development of its excessively burdensome. Each agency is schedule periodic reviews that will be preliminary plan to review existing to develop and submit to the Office of meaningful, yet not unduly burden regulations. The purpose of the plan is Management and Budget’s Office of individual agencies within HHS, or how to establish a process by which HHS can Information and Regulatory Affairs a best to integrate mandatory reviews of determine whether any such regulations preliminary plan under which the HHS regulations—for example, reviews should be modified, streamlined, agency will periodically review existing of regulations at least every ten years expanded, or repealed so as to make rules to determine whether any such that have a significant economic impact HHS’s regulatory program more regulations should be modified, on a substantial number of small effective or less burdensome in streamlined, expanded, or repealed. businesses as required by the Regulatory achieving its regulatory objectives. Flexibility Act; annual reviews of Background DATES: Submit electronic or written hospital, physician, nursing facility, comments on this notice by May 12, HHS is the Federal Government’s dialysis facility, and other provider 2011. principal agency charged with payment rules setting reimbursement protecting the health of all Americans Instructions: All submissions received rates under Medicare for each fiscal and providing essential human services. year; or reviews every five years of must include the Agency name HHS– HHS’ responsibilities include: Medicare, ES–2011–001 for this notice. All regulations establishing relative value Medicaid, increasing access to care and units for health care provider activities comments received may be posted insurance coverage, support for public for Medicare reimbursement purposes— without change to http:// health preparedness and emergency with the retrospective reviews called for www.regulations.gov, including any response, biomedical research, under the new Executive Order. personal information provided. substance abuse and mental health • Process for Setting Priorities—HHS ADDRESSES: You may submit comments, treatment and prevention, assurance of solicits comments about factors it identified by HHS–ES–2011–001 by any safe and effective drugs and other should consider and the process it of the following methods: medical products, protection of our should use in setting priorities and

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selecting rules for review. For example, regulations that are redundant, to Docket No. APHIS–2011–0006, should the amount of time a regulation inconsistent or overlapping. Regulatory Analysis and Development, is in effect be criteria for review? If so, • General Comments on What HHS PPD, APHIS, Station 3A–03.8, 4700 how much time should that be? Should Should Include in Its Plan—HHS seeks River Road, Unit 118, Riverdale, MD HHS involve outside experts in setting comment on how best to structure its 20737–1238. Please state that your its review priorities? What metrics framework for conducting ongoing comment refers to Docket No. APHIS– should HHS use to evaluate regulations retrospective reviews, and other criteria 2011–0006. after they have been implemented? For that should be considered in Reading Room: You may read any example, should review be limited to preparation of its preliminary plan. comments that we receive on the rules based on their projected or actual HHS notes that this RFI is issued petition in our reading room. The impact? solely for information and program- reading room is located in room 1141 of • Public Participation—HHS solicits planning purposes. HHS will not the USDA South Building, 14th Street comments on ways to further engage respond to individual comments, but and Independence Avenue, SW., and increase public comment in its will consider them as it formulates its Washington, DC. Normal reading room rulemaking. Comments might suggest preliminary plan. While responses to hours are 8 a.m. to 4:30 p.m., Monday ways to improve HHS’ continuing this RFI do not bind HHS to any further through Friday, except holidays. To be efforts to use online technologies to actions related to the response, all sure someone is there to help you, facilitate greater participation in the submissions will be made publicly please call (202) 690–2817 before rulemaking process, particularly social available on http://www.regulations.gov. coming. media and regulations.gov. Comments Dated: April 7, 2011. Other Information: Additional information about APHIS and its might also suggest ways to increase Dawn L. Smalls, open exchanges of information by programs is available on the Internet at Executive Secretary to the Department. interested parties, or ways to allow http://www.aphis.usda.gov. [FR Doc. 2011–8780 Filed 4–12–11; 8:45 am] interested parties the opportunity to FOR FURTHER INFORMATION CONTACT: Dr. react to (and benefit from) the BILLING CODE 4150–03–P Rachel Cezar, Horse Protection Program comments, arguments, and information National Coordinator, Animal Care, of others during the rulemaking process. APHIS, 4700 River Road, Unit 84, HHS also welcomes comments on how DEPARTMENT OF AGRICULTURE Riverdale, MD 20737–1238; (301) 734– it can remain informed on new 5784. Animal and Plant Health Inspection technologies, events or processes that SUPPLEMENTARY INFORMATION: may render significant rules potentially Service obsolete, outdated, or require Background 9 CFR Part 11 modification. The Horse Protection Act (HPA, 15 • Analysis of Costs and Benefits— [Docket No. APHIS–2011–0006] U.S.C. 1821–1831) authorizes the HHS invites public comment on how it Secretary of Agriculture to promulgate ought to develop its analysis of costs Horse Protection Act; Petition for regulations prohibiting the showing, and benefits of those rules under Amendments to Regulations exhibition, transport, or sale of horses consideration for retrospective review. subjected to soring, a practice of AGENCY: Animal and Plant Health The metrics used to assess costs and accentuating a horses’ gait through the Inspection Service, USDA. benefits at the time a rule is infliction of pain. The Secretary of promulgated are likely to be different ACTION: Notice. Agriculture has delegated the from those available or necessary to SUMMARY: We are notifying the public responsibility for enforcing the HPA to assess costs and benefits of a rule in its that the Animal and Plant Health the Administrator of the Animal and present form. Comments might usefully Inspection Service has received a Plant Health Inspection Service address data sources that will help petition requesting changes to our horse (APHIS). Exercising its rulemaking assess the cost benefit analysis of a protection regulations and our current authority under the Act, APHIS enforces regulation after the initial projection has enforcement practices and related regulations that are contained in 9 CFR been made or whether there are existing policies regarding those regulations. We part 11, referred to below as the sources of data that HHS should use to are making this petition available to the regulations, that prohibit, among other evaluate the post-promulgation effects public for review and comment. We are things, devices and methods that might of regulations over time. Additionally, noting, however, that certain requests in sore horses. HHS is interested in comments on ways the petition lack authority in the Horse In a petition sent on August 4, 2010, to quantify values that are difficult or Protection Act to implement. The Humane Society of the United impossible to quantify, including States, the American Society for the equity, human dignity, fairness, and DATES: We will consider all comments Prevention of Cruelty to Animals, the distributive impacts. that we receive on or before June 13, American Horse Protection Association, • Coordination with Other 2011. Inc., Friends of Sound Horses, Inc., and Departments—HHS is interested in ADDRESSES: You may submit comments former Senator Joseph D. Tydings public comment on ways that HHS can by either of the following methods: (referred to below as the petitioners) consider the combined effects of • Federal eRulemaking Portal: Go to requested that APHIS change its regulations (together with those of other http://www.regulations.gov/fdmspublic/ regulations and policies regarding the agencies) on particular sectors and component/main?main=DocketDetail& protection of horses from the practice of industries, particularly small d=APHIS-2011-0006 to submit or view soring. The petitioners’ requests businesses, and State, local and tribal comments and to view supporting and included permanently disqualifying governments; and ways to promote related materials available horses that have been scarred from greater coordination across agencies, electronically. soring from competitions, permanently harmonization of regulatory • Postal Mail/Commercial Delivery: disqualifying repeat violators of the requirements, and the identification of Please send one copy of your comment HPA, requiring horse industry

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organizations to impose minimum training of personnel who access the accessing the docket or go to Docket penalties for violations, and decertifying airport non-movement area (ramp and Operations in Room W12–140 of the noncompliant horse industry apron) to help prevent accidents and West Building Ground Floor at 1200 organizations. incidents in that area. This proposal New Jersey Avenue, SE., Washington, The HPA does not provide APHIS would require a certificate holder to DC, between 9 a.m. and 5 p.m., Monday with the authority to implement certain conduct pavement surface evaluations through Friday, except Federal holidays. requests in the petition. Specifically, to ensure reliability of runway surfaces FOR FURTHER INFORMATION CONTACT: APHIS does not have the authority in wet weather conditions. This Kenneth Langert, AAS–300, Office of under the HPA to permanently proposed action would also require a Airports, Federal Aviation disqualify horses that have been scarred Surface Movement Guidance Control Administration, 800 Independence from soring from competitions, nor does System (SMGCS) plan if the certificate Avenue, SW., Washington, DC 20591, APHIS have the authority to holder conducts low visibility telephone (202) 493–4529; e-mail permanently disqualify repeat violators operations, facilitating the safe [email protected]. of the HPA. The disqualification movement of aircraft and vehicles in SUPPLEMENTARY INFORMATION: See the provisions and penalty provisions are low visibility conditions. Finally, this ‘‘Additional Information’’ section for clearly enumerated in the HPA. proposal would clarify the applicability information on how to comment on this You may review the petition and of part 139 and explicitly prohibit proposal and how the FAA will handle submit comments through the fraudulent or intentionally false comments received. The ‘‘Additional Regulations.gov Web site (see statements in a certificate application or Information’’ section also contains ADDRESSES above for instructions for record required to be maintained. This related information about the docket, accessing Regulations.gov). We welcome action reopens the comment period. all comments on the issues outlined in privacy, and the handling of proprietary DATES: The comment period for the or confidential business information. In the petition. We are particularly NPRM published on February 1, 2011, interested in receiving comments addition, there is information on (76 FR 5510) closed on April 4, 2011, obtaining copies of related rulemaking regarding those areas where APHIS has and is reopened until May 13, 2011. existing authority under the HPA. We documents. ADDRESSES: You may send comments encourage the submission of scientific identified by Docket Number FAA– Background data, studies, or research to support 2010–0247 using any of the following On February 1, 2011, the FAA issued your comments and position, including methods: Notice No. 11–01, entitled ‘‘Safety scientific data or research that supports • Federal eRulemaking Portal: Go to Enhancements Part 139, Certification of any industry or professional standards http://www.regulations.gov and follow Airports’’ [76 FR 5510]. Comments to that pertain to horse care. We also invite the online instructions for sending your that document were to be received on or data on the costs and benefits associated comments electronically. before April 4, 2011. with any recommendations. We will • Mail: Send comments to Docket Historically, the FAA’s Flight consider all comments and Operations, M–30; U.S. Department of Standards Service (AFS) has approved recommendations we receive. Transportation (DOT), 1200 New Jersey airlines (via Operations Specifications) Authority: 15 U.S.C. 1823–1825 and 1828; Avenue, SE., Room W12–140, West to depart at visibilities less than runway 7 CFR 2.22, 2.80, and 371.7. Building Ground Floor, Washington, DC visual range (RVR) 1200 feet even in Done in Washington, DC, this 7th day of 20590–0001. cases where the instrument approach April 2011. • Hand Delivery or Courier: Take procedures are published at landing Gregory L. Parham, comments to Docket Operations in visibilities above RVR 1200. These Acting Administrator, Animal and Plant Room W12–140 of the West Building departure operations are routinely Health Inspection Service. Ground Floor at 1200 New Jersey available where runway centerline [FR Doc. 2011–8773 Filed 4–12–11; 8:45 am] Avenue, SE., Washington, DC, between lights and RVR equipment are installed. BILLING CODE 3410–34–P 9 a.m. and 5 p.m., Monday through Recently, the FAA Office of Airports Friday, except Federal holidays. (ARP) learned that a number of airport • Fax: Fax comments to Docket operators may not be aware that low- DEPARTMENT OF TRANSPORTATION Operations at 202–493–2251. visibility approaches and departures Privacy: The FAA will post all have been approved for their airport. Federal Aviation Administration comments it receives, without change, Advisory Circular AC 120–57A, Surface to http://www.regulations.gov, including Movement Guidance and Control 14 CFR Part 139 any personal information the System (SMGCS) Plans, includes commenter provides. Using the search recommendations that airports should [Docket No. FAA- 2010–0247; Notice No. 11– 01] function of the docket Web site, anyone follow in low-visibility take-off can find and read the electronic form of operations or develop their own similar RIN 2120–AJ70 all comments received into any FAA procedures. The proposed rule would docket, including the name of the require a SMGCS plan, similar to that Safety Enhancements, Certification of individual sending the comment (or described in AC–120–57A, for each Airports; Reopening of Comment signing the comment for an association, certificate holder where departures Period business, labor union, etc.). DOT’s below RVR 1200 are authorized, as well AGENCY: Federal Aviation complete Privacy Act Statement can be as where approach minima less than Administration (FAA), DOT. found in the Federal Register published RVR 1200 are published. ACTION: Notice of proposed rulemaking on April 11, 2000 (65 FR 19477–19478), The FAA would like to ensure all (NPRM); Reopening of comment period. as well as at http://DocketsInfo.dot.gov. airports and industry associations are Docket: Background documents or fully aware of both AC 120–57A and the SUMMARY: The FAA published a comments received may be read at proposed rule. For this reason, and in proposed rule on February 1, 2011, to http://www.regulations.gov at any time. the interest of transparency, the FAA establish minimum standards for Follow the online instructions for will notify, by letter, airports with

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approved low-visibility departures. The INFORMATION CONTACT section of this DEPARTMENT OF ENERGY reopening of the comment period will document, and marked as proprietary or allow time for affected airports to confidential. If submitting information Federal Energy Regulatory receive notice from the FAA, review this on a disk or CD–ROM, mark the outside Commission NPRM, and adequately assess, prepare, of the disk or CD–ROM, and identify and submit comments on the possible electronically within the disk or CD– 18 CFR Part 284 impact of this NPRM. ROM the specific information that is [Docket No. RM11–15–000] Reopening of Comment Period proprietary or confidential. Under 14 CFR 11.35(b), if the FAA is Bidding by Affiliates in Open Seasons In accordance with § 11.47(c) of title for Pipeline Capacity 14, Code of Federal Regulations, the aware of proprietary information filed FAA has determined that re-opening of with a comment, the agency does not AGENCY: Federal Energy Regulatory the comment period is consistent with place it in the docket. It is held in a Commission, DOE. the public interest, and that good cause separate file to which the public does ACTION: Notice of proposed rulemaking, exists for taking this action. To not have access, and the FAA places a DOE. accomplish the strategies for providing note in the docket that it has received additional information to the public, the it. If the FAA receives a request to SUMMARY: The Federal Energy FAA has determined that re-opening the examine or copy this information, it Regulatory Commission is proposing comment period is consistent with the treats it as any other request under the revisions to its regulations governing public interest, and that good cause Freedom of Information Act (5 U.S.C. interstate natural gas pipelines to exists for this action. Absent unusual 552). The FAA processes such a request prohibit multiple affiliates of the same circumstances, the FAA does not under Department of Transportation entity from bidding in an open season anticipate any further extension of the procedures found in 49 CFR part 7. for pipeline capacity in which the comment period for this rulemaking. pipeline may allocate capacity on a pro Accordingly, the comment period for B. Availability of Rulemaking rata basis, unless each affiliate has an Notice No. 11–01 is reopened until May Documents independent business reason for 13, 2011. submitting a bid. The Commission is An electronic copy of rulemaking also proposing that if more than one Additional Information documents may be obtained from the affiliate of the same entity participates A. Comments Invited Internet by— in such an open season, then none of The FAA invites interested persons to 1. Searching the Federal eRulemaking those affiliates may release any capacity participate in this rulemaking by Portal (http://www.regulations.gov); obtained in that open season pursuant submitting written comments, data, or 2. Visiting the FAA’s Regulations and to a pro rata allocation to any affiliate, or otherwise allow any affiliate to obtain views. The agency also invites Policies web page at http:// the use of the allowed capacity. comments relating to the economic, www.faa.gov/regulations_policies or DATES: Comments are due May 31, 2011. environmental, energy, or federalism 3. Accessing the Government Printing ADDRESSES: You may submit comments, impacts that might result from adopting Office’s Web page at http:// the proposals in this document. The identified by docket number and in www.gpoaccess.gov/fr/index.html. most helpful comments reference a accordance with the requirements specific portion of the proposal, explain Copies may also be obtained by posted on the Commission’s Web site, the reason for any recommended sending a request to the Federal http://www.ferc.gov. Comments may be change, and include supporting data. To Aviation Administration, Office of submitted by any of the following ensure the docket does not contain Rulemaking, ARM–1, 800 Independence methods: duplicate comments, commenters Avenue, SW., Washington, DC 20591, or • Agency Web Site: Documents should send only one copy of written by calling (202) 267–9680. Commenters created electronically using word comments, or if comments are filed must identify the docket or notice processing software should be filed in electronically, commenters should number of this rulemaking. native applications or print-to-PDF submit only one time. All documents the FAA considered in format, and not in a scanned format, at The FAA will file in the docket all http://www.ferc.gov/docs-filing/ developing this proposed rule, comments it receives, as well as a report efiling.asp. including economic analyses and summarizing each substantive public • Mail/Hand Delivery: Commenters technical reports, may be accessed from contact with FAA personnel concerning unable to file comments electronically this proposed rulemaking. Before acting the Internet through the Federal must mail or hand deliver an original on this proposal, the FAA will consider eRulemaking Portal referenced in item copy of their comments to: Federal all comments it receives on or before the (1) above. Energy Regulatory Commission, closing date for comments. The FAA Issued in Washington, DC, on April 7, Secretary of the Commission, 888 First will consider comments filed after the 2011. Street, NE., Washington, DC 20426. comment period has closed if it is James R. White, These requirements can be found on the possible to do so without incurring Deputy Director of Airport Safety and Commission’s Web site, see, e.g., the expense or delay. The agency may Standards. ‘‘Quick Reference Guide for Paper change this proposal in light of the Submissions,’’ available at http:// [FR Doc. 2011–8838 Filed 4–12–11; 8:45 am] comments it receives. www.ferc.gov/docs-filing/efiling.asp or Proprietary or Confidential Business BILLING CODE 4910–13–P via phone from FERC Online Support at Information: Do not file proprietary or (202) 502–6652 or toll-free at 1–866– confidential business information in the 208–3676. docket. Such information must be sent Instructions: For detailed instructions or delivered directly to the person on submitting comments and additional identified in the FOR FURTHER information on the rulemaking process,

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see the Comment Procedures section of Washington, DC 20426. [email protected]. (202) 502– this document. [email protected]. (202) 502– 8156. 6102. FOR FURTHER INFORMATION CONTACT: Robert McLean, Office of the General Notice of Proposed Rulemaking Jennifer Kunz, Office of the General Counsel, Federal Energy Regulatory Table of Contents Counsel, Federal Energy Regulatory Commission, 888 First Street, NE., Commission, 888 First Street, NE., Washington, DC 20426. (April 7, 2011)

Paragraph Nos.

I. Background ...... 2 II. Prohibition on Multiple Affiliate Bidding in Open Seasons for Pipeline Capacity ...... 9 III. Prohibition on Release of Capacity ...... 15 IV. Regulatory Requirements ...... 18 A. Information Collection Statement ...... 18 B. Environmental Analysis ...... 19 C. Regulatory Flexibility Act ...... 20 D. Comment Procedures ...... 22 E. Document Availability ...... 26

1. In this Notice of Proposed permits but does not require a net is an economically efficient way of Rulemaking, the Commission proposes present value (NPV) evaluation as a tool allocating capacity and is consistent to revise its Part 284 regulations to for determining the highest valued use.3 with Commission policy.’’ 7 prohibit multiple affiliate bidding in 3. Some pipelines hold open seasons 5. In the event that there is not open seasons for interstate natural gas to alert shippers to the availability of sufficient capacity to meet all equal pipeline capacity and the subsequent capacity on the pipeline and allow the maximum bids, pipelines apply a release of acquired capacity to affiliates shippers to bid for available capacity. tiebreaker mechanism. One such under certain circumstances. The pipeline’s open season process is an mechanism is the pro rata allocation Specifically, the Commission proposes open and transparent procedure that is methodology. Under a pro rata to prohibit multiple affiliates of the set forth in the pipeline’s tariff. The allocation tiebreaker mechanism, in the same entity from bidding in an open pipeline notifies shippers of the event that there is not sufficient season for pipeline capacity in which availability of capacity by posting an capacity to meet all qualifying bids, the the pipeline may allocate capacity on a open season notice on its EBB and/or capacity is allocated pro rata, i.e., based pro rata basis, unless each affiliate has Web site for the available capacity. on the ratio of each shipper’s respective an independent business reason for During the open season, the nomination to all qualifying submitting a bid. The Commission also Commission requires pipelines to sell nominations, applied to the total proposes that if more than one affiliate all available capacity to shippers willing available capacity.8 to pay the pipeline’s maximum recourse of the same entity participates in such B. Multiple Affiliate Bidding an open season, then none of those rate.4 affiliates may release any capacity 4. NPV is a method for awarding 6. It has come to the attention of the obtained in that open season pursuant capacity from the bids received during Commission that some entities have 5 to a pro rata allocation to any affiliate, the open season. NPV is a standard developed and applied a strategy of or otherwise allow any affiliate to obtain method of evaluating bids for capacity bidding with multiple affiliates in open seasons for available capacity in order to the use of the allowed capacity. These by using the time value of money to defeat the pro rata allocation tiebreaker proposals would prevent determine the present value of a time 6 mechanism and obtain a greater share of anticompetitive gaming of the pro rata series of discounted cash flows. The the available capacity than a single allocation methodology by using highest bidder, based on the NPV of the bidder could have acquired by itself. multiple affiliates of the same entity to bid, receives the capacity. Factors Under conditions where the available acquire a larger share of the available determining NPV are price, volume of capacity is limited and the value of the capacity than one affiliate would be able gas, and duration of the contract. The to acquire by itself. Commission has stated that a ‘‘net present value evaluation * * * allocates 7 Tenn. Gas Pipeline Co., 76 FERC ¶ 61,101, at I. Background 61,522 (1996), order on reh’g, 79 FERC ¶ 61,297 capacity to the shipper who will (1997), order on reh’g, 82 FERC ¶ 61,008 (1998), A. Open Seasons for Pipeline Capacity produce the greatest revenue and the remanded sub nom. Process Gas Consumers Group least unsubscribed capacity. As such, it v. FERC, 177 F.3d 995 (DC Cir. 1999), order on 2. The Commission’s policy under the compliance, 91 FERC ¶ 61,333 (2000), order on 1 Natural Gas Act (NGA) is to allocate 3 remand, 91 FERC ¶ 61,053 (2000), reh’g denied, 94 Texican II, 132 FERC ¶ 61,167 at P 26. FERC ¶ 61,097 (2001), petitions for review denied available interstate pipeline capacity to 4 Promotion of a More Efficient Capacity Release sub nom. Process Gas Consumers Group v. FERC, the shipper that values it the most, up Market, 72 FR 65916 (November 26, 2007), FERC 292 F.3d 831, 837 (DC Cir. 2002). to the maximum rate.2 In furtherance of Stats. & Regs. ¶ 32,625, at P 40 (2007), (citing Tenn. 8 An alternative tiebreaker mechanism for this goal, the Commission favors the use Gas Pipeline Co., 91 FERC ¶ 61,053 (2000), reh’g multiple maximum bids is to award the capacity to denied, 94 FERC ¶ 61,097 (2001), petitions for of open seasons to allocate capacity and the earliest applicant. The Commission has stated review denied sub nom., Process Gas Consumers that ‘‘no single tiebreaker method is definitely better Group v. FERC, 292 F.3d 831, 837 (DC Cir. 2002)). than other methods; each system has advantages 1 15 U.S.C. 717 et al. (2006). 5 NPV is not the only method a pipeline could and disadvantages * * *. So long as its method is 2 N. Natural Gas Co., 108 FERC ¶ 61,044, at P 11 use. Another is the ‘‘first come-first served’’ reasonable [a pipeline] may choose any method it (2004); Texican N. La. Transport, LLC v. Southern approach, where the first shipper to submit a wishes for inclusion as the default tiebreaker in its Natural Gas Co., 129 FERC ¶ 61,270, at P 70 (2009) qualifying bid receives the capacity. tariff.’’ Trailblazer Pipeline Co., 103 FERC ¶ 61,225, (Texican I), order on reh’g, 132 FERC ¶ 61,167, at 6 Saltville Gas Storage Co., L.L.C., 128 FERC at 61,869 (2003), order on reh’g and compliance P 23, 26 (2010) (Texican II). ¶ 61,257, at P 2 n.3 (2009). filing, 108 FERC ¶ 61,049, at 61,305 (2004).

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capacity is high, shippers are strongly affiliates receive a disproportionate such independent reasons from motivated to obtain as much of that share of the available capacity, placing defeating a pro rata allocation valuable capacity as possible in order to bidders that did not submit bids by mechanism by using multiple affiliate take advantage of the opportunity for multiple affiliates at a competitive bidding to lessen competition and profit. Where the available capacity is disadvantage. In theory, a company obtain more capacity than they could finite, the price is capped by the could employ this strategy to the independently. Therefore, the pipeline’s maximum tariff rate, and the extreme by bidding hundreds or even Commission proposes to add a new tiebreaker is a pro rata allocation, thousands of affiliates in a single open section 284.15 to its regulations, shippers can obtain more capacity than season to squeeze out competitors and prohibiting multiple affiliates of the they would be able to obtain themselves give that company a dominant share of same entity from participating in an by bidding multiple affiliates to defeat the capacity. The affiliates bidding open season for pipeline capacity the pro rata allocation mechanism. would not need to have any direct conducted by any interstate pipeline 7. Since the pro rata allocation customers or employees to confer the providing service under subparts B and mechanism will result in proportional competitive advantage to the affiliate G of part 284 of the Commission’s shares of the capacity being distributed designed to benefit from the multiple regulations in which the pipeline may to the qualifying bidders, each affiliate affiliate bidding—in fact, a company allocate capacity on a pro rata basis, with a maximum NPV bid could then could create affiliate corporations unless each affiliate has an independent release the capacity to a single affiliate merely for the sake of bidding in open business reason for submitting a bid. or otherwise allow its affiliate seasons to obtain the benefit of multiple The Commission proposes that, for effectively to obtain the use of the affiliate bidding. Regardless of the purposes of the new regulation, the term allocated capacity, resulting in an entity degree to which multiple affiliate ‘‘affiliate’’ be defined as provided in receiving a larger share than it would bidding is used to obtain a competitive section 358.3(a)(1) and (3) of the have been able to acquire by itself. Such advantage, ultimately bidders that do Commission’s existing regulations.10 gaming of the pro rata allocation not submit bids by multiple affiliates 13. It is impossible to describe in mechanism has a chilling effect on will be harmed, and by extension their advance every situation that competition and permits entities that customers will be harmed, by losing demonstrates an independent business apply a multiple affiliate bidding valuable capacity to bidders that employ reason. This phrase is intended to strategy inappropriately to gain a a multiple affiliate bidding strategy. assure companies bidding for capacity disproportionate share of available 10. Furthermore, this multiple that our rule will not prohibit capacity by denying a fair distribution bidding behavior frustrates the transactions with economic substance, to all maximum bidders. This has the Commission’s policy of allocating in which the bidding affiliate is effect of harming entities that submit capacity to the shipper that values it the providing service of value to its only one bid and, by extension, harming most. By bidding multiple affiliates customers that is facilitated or enhanced their customers. under a pro rata tiebreaker, an entity by the capacity being acquired, such as 8. The foregoing discussion is based can gain a greater share of valuable the scenarios described in P 11. Those upon recent Commission experience capacity not because it values the scenarios are illustrative of situations in with multiple affiliate bidding.9 Based capacity more than other bidders, but which a business unit uses awarded on that experience, the Commission merely because it arranges to submit capacity to serve its own customers or now proposes to revise its regulations to more maximum NPV bids through the otherwise acts consistently with its make explicit that, unless independent use of affiliates. business plan, interests, and obligations. business reasons exist, as discussed 11. The Commission, however, Indications that a company is not acting further below, such bidding is recognizes that not all multiple affiliate independently would be if the business inappropriate and, therefore, prohibited. bidding is used to defeat a pro rata unit is used by its parent or affiliate in allocation mechanism. In some cases, a way that differs from its usual II. Prohibition on Multiple Affiliate affiliates may have independent business operations, is used to perform Bidding in Open Seasons for Pipeline business reasons for submitting their transactions that an affiliate or parent Capacity bids. For example, a marketing arm of could not, or is acting as an ‘‘alter ego’’ 9. The Commission is of the view that an energy company may bid to secure of an affiliate or parent. The multiple affiliate bidding as described capacity for its wholesale customers and independent business reason criterion above lessens competition because other a retail operation of the same company ensures that bidders for pipeline bidders not engaging in similar conduct may bid to secure capacity to serve its capacity act in a market-driven, pro- will necessarily receive less capacity— retail customers, and each would have competitive manner, not in an effort to not because such bidders value the an independent business reason for its gain an unfair competitive advantage in capacity any less, but because they bid bid. Or a marketing company may have acquiring capacity. The general only through the unit of the company two or more affiliates operating in guidance provided here reflects the fact intending to use the capacity or because different geographic areas, thus serving that we oversee a dynamic and evolving they did not have multiple affiliates. distinct markets all of which may be market where addressing yesterday’s Those who submit bids by multiple served by transportation on the same concerns may not address tomorrow’s pipeline. When affiliates bid in such concerns. Over time, however, 9 Tenaska Marketing Ventures, et al., 126 FERC cases, other bidders are not unduly experience in applying this rule should ¶ 61,040 (2009) (order approving stipulations and harmed, undue discrimination is not be instructive to both the Commission agreements). See also Trailblazer Pipeline Co., 101 practiced, and Commission policy is not FERC ¶ 61,405 (2002), order on technical and capacity market participants. As we conference and denying reh’g, 103 FERC ¶ 61,225 violated. (2003), order on reh’g and compliance filing, 108 12. Although there may be instances 10 18 CFR 358.3(a)(1) and (3) (2010). Section FERC ¶61,049 (2004). The Commission notes that where affiliates have an independent 358.3(a)(1) provides that an affiliate of a specified the conduct on Trailblazer predated section 4A of business reason for bidding for given entity is ‘‘another person that controls, is controlled the NGA, 15 U.S.C. 717c–1 (2006), the anti- by or is under common control with, the specified manipulation authority granted to the Commission capacity, in the Commission’s view entity. An affiliate includes a division of the in the Energy Policy Act of 2005, Public Law 109– amendments to our existing regulations specified entity that operates as a functional unit.’’ 58, 119 Stat. 594 (2005). are necessary to prevent entities without Section 358.3(a)(3) defines the term ‘‘control.’’

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apply the rule, we will be mindful of the Commission notes that some companies affiliate bidding, that affiliate would fact that we are not only taking steps to bidding with multiple affiliates have incur an additional violation with assure non-discriminatory access to used capacity release as the final step in resulting penalties for transferring the capacity but also providing guidance to consolidating multiple shares of advantage of the multiple affiliate market participants in general.11 capacity for use by one of the company’s bidding to the affiliated entity that 14. This proposed rule is designed to units.14 By releasing the capacity would benefit from it. This ensure that an entity cannot use acquired in the open season, affiliates complementary prohibition provides an multiple affiliates solely to secure a are able to transfer the capacity each additional deterrent to violation of the larger allocation of capacity than it acquires to a single company that first prohibition, helping to ensure that benefits by obtaining more capacity than could acquire by itself. The proposed the only instances of multiple affiliate rule would also provide clear notice to it could have obtained by itself. 16. In order to prevent the use of bidding are those with independent parties participating in open seasons for business reasons for each bid. In the interstate pipeline capacity that capacity release or other mechanisms as Commission’s view, this prohibition, in multiple affiliate bidding and part of a scheme to game a pro rata combination with the provision subsequent release of acquired capacity allocation by transferring the benefit of to one affiliate, or other devices to the capacity to the affiliate that has a prohibiting multiple affiliate bidding confer the value of the capacity on one business use for the capacity, the unless each affiliate has an independent affiliate, are prohibited. Commission proposes to prohibit business reason for submitting a bid, affiliates from releasing any capacity will fairly ensure that both steps of the III. Prohibition on Release of Capacity obtained in an open season pursuant to gaming process are prohibited. a pro rata allocation to any affiliate or 15. The Commission adopted its IV. Regulatory Requirements capacity release program as part of the otherwise from allowing any affiliate restructuring of interstate natural gas effectively to obtain the use of the A. Information Collection Statement pipelines required by Order No. 636.12 allocated capacity. This will not inhibit The capacity release program permits two or more affiliates from obtaining 18. Office of Management and Budget firm shippers to release their capacity to and using valuable pro rated capacity (OMB) regulations require OMB to others when they are not using it.13 The where they each have an independent approve certain information collection business reason for their bids. If the requirements imposed by agency rule.16 11 The approach taken here is similar to that taken affiliate has an independent business The proposed regulations discussed in Order No. 644, which adopted market behavior reason for initially bidding on the above do not impose reporting or rules for sellers of natural gas. Amendments to capacity, it presumably has a need for Blanket Sales Certificates, Order No. 644, FERC recordkeeping requirements on Stats. & Regs. ¶ 31,153 (2003), reh’g denied 107 the capacity once it has been awarded applicable entities as defined by the FERC ¶ 61,174 (2004). Order No. 644 adopted rules it. Therefore, requiring the capacity- Paperwork Reduction Act.17 As a result, that prohibited transactions without a ‘‘legitimate winning affiliate to retain the capacity the Commission is not submitting this business purpose’’ and that were ‘‘intended to or in such a circumstance should present NOPR to OMB for review and approval. foreseeably could manipulate market prices, market little, if any, hardship to such affiliate. conditions, or market rules for natural gas.’’ In that case the rule prohibited certain transactions (such If a company believes that retaining B. Environmental Analysis as wash trades and collusion), but the Commission capacity in a certain case would in fact specifically declined to limit the rule to pre- create a hardship to an affiliate, the 19. The Commission is required to determined circumstances. Order No. 644, FERC company can seek a waiver of the prepare an Environmental Assessment Stats. & Regs. ¶ 31,153 at P 32–36. Similarly, here 15 or an Environmental Impact Statement we recognize scenarios in which the independent prohibition. business reason standard can be met, and decline 17. This prohibition against capacity for any action that may have a to limit the rule to pre-determined circumstances. release reinforces the prohibition significant adverse effect on the human The relevant market behavior rules adopted in against multiple affiliate bidding unless environment.18 The Commission has Order No. 644 were rescinded after the Commission adopted section 1c.1 of the Regulations. each affiliate has an independent categorically excluded certain actions Amendments to Codes of Conduct for Unbundled business reason for submitting a bid by from these requirements as not having a Sales Service and for Persons Holding Blanket further deterring affiliates from bidding significant effect on the human Marketing Certificates, Order No. 673, FERC Stats. for capacity for which they have no environment.19 The actions proposed to & Regs. ¶ 31,207 (2006). independent use. Should an affiliate 12 Pipeline Service Obligations and Revisions to be taken here fall within categorical Regulations Governing Self-Implementing violate the prohibition against multiple exclusions in the Commission’s Transportation and Regulation of Natural Gas regulations for rules that are corrective, Pipelines After Partial Wellhead Decontrol, Order tariff rate, but not more. 18 CFR 284.8(e) (2010). The No. 636, 57 FR 13267 (April 16, 1992), FERC Stats. results of all releases are posted by the pipeline on clarifying or procedural, for information & Regs., Regulations Preambles January 1991–June its Internet Web site and made available through gathering, analysis, and dissemination, 1996 ¶ 30,939 (1992), order on reh’g, Order No. standardized, downloadable files. and for sales, exchange, and 636–A., 57 FR 36128 (August 12, 1002), FERC Stats. 14 Tenaska Marketing Ventures, et al., 126 FERC transportation of natural gas that & Regs., Regulations Preambles January 1991–June ¶ 61,040 at P 13, 18. 20 1996 ¶ 30,950 (1992); order on reh’g, Order No. 15 If multiple affiliate bidding occurs in open requires no construction of facilities. 636–B, 57 FR 57911 (Dec. 8, 1992), 61 FERC seasons for relatively short term capacity, hardship Therefore an environmental review is ¶ 61,272 (1992), order on reh’g, 62 FERC ¶ 61,007 is unlikely. If multiple affiliates acquire longer-term unnecessary and has not been prepared (1993), aff’d in part, vacated and remanded in part, capacity, later changes in markets or corporate United Dist. Cos. v. FERC, 88 F.3d 1105 (DC Cir. structure could create a hardship for an affiliate to in this rulemaking. 1996), order on remand, Order No. 636–C, 78 FERC keep the capacity it had been awarded. For ¶ 61,186 (1997). example, a successful bidder might lose the market 16 5 CFR 1320.11 (2010). 13 In brief, under the Commission’s capacity for which the capacity had been obtained and wish 17 44 U.S.C. 3502(2)–(3) (2006). release program, a firm shipper (releasing shipper) to release the capacity to an affiliate for other use, 18 sells its capacity by returning its capacity to the or a company may reorganize to merge the Regulations Implementing the National pipeline for reassignment to the buyer (replacement successful bidder with another affiliate or to Environmental Policy Act of 1969, Order No. 486, shipper). The pipeline contracts with, and receives reassign the successful bidder’s functions to another 52 FR 47897 (Dec. 17, 1987), FERC Stats. & Regs., payment from, the replacement shipper and then affiliate. In such cases, the affected entity should Regulation Preambles 1986–1990 ¶ 30,783 (1987). issues a credit to the releasing shipper. The seek a waiver of the prohibition and present the 19 18 CFR 380.4 (2010). replacement shipper on a long term, year or more facts that support a release of the capacity to an 20 18 CFR 380.4(a)(2)(ii), 380.4(a)(5), and release, may pay less than the pipeline’s maximum affiliate. 380.4(a)(27)(2010).

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C. Regulatory Flexibility Act created electronically using word PART 284—CERTAIN SALES AND 20. The Regulatory Flexibility Act of processing software should be filed in TRANSPORTATION OF NATURAL GAS 1980 (RFA) 21 generally requires a native applications or print-to-PDF UNDER THE NATURAL GAS POLICY description and analysis of final rules format and not in a scanned format. ACT OF 1978 AND RELATED that will have significant economic Commenters filing electronically do not AUTHORITIES impact on a substantial number of small need to make a paper filing. 24. Commenters that are not able to 1. The authority citation for part 284 entities. The Commission is not continues to read as follows: required to make such an analysis if file comments electronically must mail proposed regulations would not have or hand deliver an original copy of their Authority: 15 U.S.C. 717–717w, 3301– 22 comments to: Federal Energy Regulatory 3432; 42 U.S.C. 7101–7352; 43 U.S.C. 1331– such an effect. Most companies 1356. regulated by the Commission do not fall Commission, Secretary of the within the RFA’s definition of a small Commission, 888 First Street, NE., 2. Section 284.15 is added to read as entity.23 Washington, DC 20426. follows. 21. The rule proposed herein should 25. All comments will be placed in the Commission’s public files and may § 284.15 Bidding by affiliates in open have no significant negative impact on seasons for pipeline capacity. those entities, be they large or small, be viewed, printed, or downloaded (a) Multiple affiliates of the same subject to the Commission’s regulatory remotely as described in the Document entity may not participate in an open jurisdiction under the NGA. Most Availability section below. Commenters season for pipeline capacity conducted companies to which the rules proposed on this proposal are not required to by any interstate pipeline providing herein, if finalized, would apply, do not serve copies of their comments on other service under subparts B and G of this fall within the RFA’s definition of small commenters. part, in which the pipeline may allocate entities. In addition, the proposed rule E. Document Availability capacity on a pro rata basis, unless each is only triggered if more than one affiliate has an independent business affiliate of the same entity participates 26. In addition to publishing the full text of this document in the Federal reason for submitting a bid. in an open season for pipeline capacity (b) If more than one affiliate of the in which the pipeline may allocate Register, the Commission provides all interested persons an opportunity to same entity participates in an open capacity on a pro rata basis, and each season subject to paragraph (a) of this affiliate does not have an independent view and/or print the contents of this document via the Internet through section, none of those affiliates may business reason for submitting a bid. release any capacity obtained in that Therefore, the rule would only affect a FERC’s Home Page (http://www.ferc.gov) and in FERC’s Public Reference Room open season to any affiliate, or limited number of small entities. The otherwise allow any affiliate effectively rules proposed herein, if finalized, will during normal business hours (8:30 a.m. to 5 p.m. Eastern time) at 888 First to obtain the use of the allocated not have a significant economic effect capacity. on these small entities because the rule Street, NE., Room 2A, Washington, DC 20426. (c) For purposes of this section, an does not impose any reporting or affiliate is any person that satisfies the recordkeeping requirements. Therefore, 27. From FERC’s Home Page on the Internet, this information is available on definition of affiliate in §§ 358.3(a)(1) the Commission certifies that the and (3) of this chapter with respect to proposed rules will not have a eLibrary. The full text of this document is available on eLibrary in PDF and another entity participating in an open significant economic effect on a season subject to paragraph (a) of this substantial number of small entities. Microsoft Word format for viewing, printing, and/or downloading. To access section. D. Comment Procedures this document in eLibrary, type the [FR Doc. 2011–8915 Filed 4–12–11; 8:45 am] 22. The Commission invites interested docket number excluding the last three BILLING CODE 6717–01–P persons to submit comments on the digits of this document in the docket matters and issues proposed in this number field. notice to be adopted, including any 28. User assistance is available for DEPARTMENT OF HEALTH AND related matters or alternative proposals eLibrary and the FERC’s Web site during HUMAN SERVICES that commenters may wish to discuss. normal business hours from FERC Comments are due 45 days from Online Support at (202) 502–6652 (toll Food and Drug Administration publication in the Federal Register. free at 1–866–208–3676) or e-mail at Comments must refer to Docket No. [email protected], or the 21 CFR Parts 16, 312, 511, and 812 RM11–15–000, and must include the Public Reference Room at (202) 502– [Docket No. FDA–2011–N–0079] commenter’s name, the organization 8371, TTY (202)502–8659. E-mail the they represent, if applicable, and their Public Reference Room at RIN 0910–AG49 address in their comments. [email protected]. Disqualification of a Clinical 23. The Commission encourages List of Subjects in 18 CFR Part 284 Investigator comments to be filed electronically via the eFiling link on the Commission’s Continental shelf, Natural gas, AGENCY: Food and Drug Administration, Web site at http://www.ferc.gov. The Reporting and recordkeeping HHS. Commission accepts most standard requirements. ACTION: Proposed rule. word processing formats. Documents By direction of the Commission. SUMMARY: The Food and Drug Kimberly D. Bose, 21 5 U.S.C. 601–612 (2006). Administration (FDA) is proposing to 22 5 U.S.C. 605(b) (2006). Secretary. amend the regulations to expand the 23 5 U.S.C. 601(3) (citing section 3 of the Small In consideration of the foregoing, the scope of clinical investigator Business Act, 15 U.S.C. 623 (2006)). Section 3 defines a ‘‘small-business concern’’ as a business Commission proposes to amend part disqualification. Under this proposal, which is independently owned and operated and 284, Chapter I, Title 18, Code of Federal when the Commissioner of Food and which is not dominant in its field of operation. Regulations, to read as follows: Drugs determines that an investigator is

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ineligible to receive certain test articles Management, 5630 Fishers Lane, rm. supports an application for a research or (drugs, devices, or new animal drugs), 1061, Rockville, MD 20852. marketing permit for products regulated the investigator also will be ineligible to FOR FURTHER INFORMATION CONTACT: by FDA, including drugs, biologics, conduct any clinical investigation that Kathleen E. Pfaender, Office of Good devices, new animal drugs, foods, supports an application for a research or Clinical Practice, Food and Drug including dietary supplements, that bear marketing permit for products regulated Administration, 10903 New Hampshire a nutrient content claim or a health by FDA. This proposal is based in part Ave., Bldg. 32, rm. 5129, Silver Spring, claim, infant formulas, food and color upon recommendations from the MD 20993, 301–796–8340. additives, and tobacco products. Other proposed revisions are intended Government Accountability Office, and SUPPLEMENTARY INFORMATION: is intended to help ensure adequate to clarify and harmonize the clinical protection of research subjects and the Table of Contents investigator disqualification regulations in parts 312, 511, and 812 (21 CFR parts quality and integrity of data submitted I. Introduction to FDA. FDA also is amending the list II. Background 312, 511, and 812). FDA proposes this of regulatory provisions under which an III. Description of the Proposed Rule rulemaking to help protect the rights informal regulatory hearing is available A. Disqualification Proceedings and safety of subjects involved in FDA- by changing the scope of certain (§§ 312.70(a), 511.1(c)(1), and 812.119(a)) regulated investigations and to help provisions and adding regulatory B. Ineligibility To Receive Any Test Article ensure the reliability and integrity of the provisions that were inadvertently (§§ 312.70(b), 511.1(c)(2), and data used to support marketing of omitted. 812.119(b)) products regulated by FDA. C. Disqualified Investigator’s Data in DATES: Submit either electronic or Applications and Submissions to FDA II. Background written comments on the proposed rule (§§ 312.70(c), 511.1(c)(3), and 812.119(c)) FDA inspects the records of a clinical by July 12, 2011. See section VII of this D. Disqualified Investigator’s Data in investigator to evaluate the quality and document for the proposed effective Applications and Submissions to FDA— integrity of clinical data used to support date of a final rule based on this Sponsor Notification, Opportunities, and Responsibilities (§§ 312.70(d), applications under review by FDA and document. 511.1(c)(4), and 812.119(d)) to evaluate whether protections are afforded to participating research ADDRESSES: You may submit comments, E. Disqualified Investigator’s Data in subjects, where required. FDA may identified by Docket No. FDA–2011–N– Applications and Submissions to FDA— Withdrawal of Product Approval consider disqualification of a clinical 0079 and/or RIN number 0910–AG49, (§§ 312.70(e), 511.1(c)(5), and 812.119(e)) investigator when FDA has information by any of the following methods: F. Other Proceedings that an investigator has repeatedly or Electronic Submissions G. Reinstatement (§§ 312.70(f), 511.1(c)(6), deliberately failed to comply with and 812.119(f)) applicable requirements for the conduct Submit electronic comments in the H. Part 511 Definitions (§ 511.3) of clinical investigations, or has following way: IV. Regulatory Hearing Before the Food and repeatedly or deliberately submitted to • Federal eRulemaking Portal: http:// Drug Administration V. Environmental Impact FDA or to the sponsor false information www.regulations.gov. Follow the in any required report. instructions for submitting comments. VI. Legal Authority VII. Proposed Implementation Plan Disqualification of an investigator is Written Submissions VIII. Analysis of Impacts initiated by the appropriate FDA Center A. Objective depending upon the particular type of Submit written submissions in the B. Background test article under study by the following ways: C. Baseline investigator in the clinical investigation. • FAX: 301–827–6870. D. Costs of the Proposed Rule For example, the Center for Devices and • Mail/Hand delivery/Courier (for E. Benefit Radiological Health may pursue paper, disk, or CD–ROM submissions): F. Alternatives disqualification of a clinical investigator Division of Dockets Management (HFA– G. Small Business Impact IX. Paperwork Reduction Act of 1995 who conducted a device study and 305), Food and Drug Administration, X. Federalism allegedly violated the regulations. The 5630 Fishers Lane, rm. 1061, Rockville, XI. Request for Comments regulations provide the investigator, MD 20852. XII. References who is subject to disqualification, an Instructions: All submissions received opportunity to be heard and explain the must include the Agency name and I. Introduction matter(s) complained of; i.e., explain the Docket No. FDA–2011–N–0079 and Under current regulations, a clinical alleged violation(s). If the explanation Regulatory Information Number (RIN) investigator disqualified by the offered is not accepted by the Center, for this rulemaking. All comments Commissioner of Food and Drugs (the the investigator will be given an received may be posted without change Commissioner) is ineligible to receive a opportunity for an informal regulatory to http://www.regulations.gov, including particular type of FDA-regulated test hearing under part 16 (21 CFR part 16). any personal information provided. For article only; i.e., drugs (including After evaluating all available additional information on submitting biologics) in § 312.70 (21 CFR 312.70); information, including any explanation comments, see the ‘‘Comments’’ heading new animal drugs in § 511.1(c) (21 CFR presented by the investigator, the of the SUPPLEMENTARY INFORMATION 511.1(c)); or devices in § 812.119 (21 Commissioner issues a Commissioner’s section of this document. CFR 812.119). The proposed rulemaking decision regarding the eligibility of the Docket: For access to the docket to will amend §§ 312.70, 511.1(c), and investigator to receive a particular type read background documents or 812.119 to provide that when the of test article. When disqualified by a comments received, go to http:// Commissioner determines that a clinical Commissioner’s decision, the www.regulations.gov and insert the investigator is ineligible to receive the investigator is no longer eligible to docket number, found in brackets in the test article under that provision (e.g., receive the particular type of test article heading of this document, into the drugs in § 312.70), the clinical (drugs, devices, or new animal drugs) ‘‘Search’’ box and follow the prompts investigator also will be ineligible to under study when the violations and/or go to the Division of Dockets conduct any clinical investigation that occurred. Under current regulations, an

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investigator disqualified by a risk to human subjects who participate clinical investigator disqualification Commissioner’s decision as ineligible to in FDA-regulated investigations. This regulations. receive investigational devices, for proposed rule may also lead to • To harmonize the provisions in example, may still be eligible to receive improved public confidence in the § 312.70(a) with those currently in investigational drugs (including clinical data supporting FDA decisions. § 812.119(a), we propose to add a biologics), because the regulations do We therefore propose that a clinical provision for accepting an investigator’s not specifically prohibit such an investigator disqualified by a explanation concerning the alleged investigator from receiving other types Commissioner’s decision will be misconduct. That is, if the investigator of test articles. ineligible to receive any test article offers an explanation in writing or In September 2009, the Government under the disqualification regulations in during an informal conference and the Accountability Office (GAO) released a parts 312, 511, or 812, and, in addition, explanation is accepted by the final report on FDA’s oversight of the investigator will be ineligible to applicable Center, the Center will clinical investigators (Ref. 1). In that conduct any clinical investigation that discontinue pursuit of the report, the GAO recommended, among supports an application for a research or disqualification proceeding. This other things, that FDA extend marketing permit for products regulated proposed revision clarifies FDA’s disqualification by a Commissioner’s by FDA. Those products include drugs, current policies and makes consistent decision to include ineligibility to biologics, devices, new animal drugs, the clinical investigator disqualification receive drugs, biologics, and medical regulations. foods, including dietary supplements, • devices. The GAO noted that FDA’s that bear a nutrient content claim or a To simplify the regulations, we ‘‘ disqualification regulations are included health claim, infant formulas, food and propose to change Center for Drug in separate sets of regulations and, as a color additives, and tobacco products. Evaluation and Research or the Center ’’ result, the regulations as currently To effect this change, FDA proposes to for Biologics Evaluation and Research ‘‘ ’’ ‘‘ written limit the types of test articles to amend the current regulations in to applicable Center after If an which disqualification applies and §§ 312.70, 511.1(c), and 812.119. explanation is offered but not accepted consequently, limits FDA’s oversight of by the * * *’’. clinical investigators (Ref. 1 at page 40, III. Description of the Proposed Rule • We propose to add ‘‘of this chapter’’ under ‘‘FDA’s Regulations Allow after ‘‘the investigator will be given an To harmonize the headings for the Disqualified Clinical Investigators to opportunity for a regulatory hearing clinical investigator disqualification Conduct Trials for Other Medical under part 16 * * *’’, for clarity and to regulations in parts 312, 511, and 812, Products’’). The GAO elaborated, harmonize § 312.70(a) with the FDA proposes to change the heading in comparing disqualifications that provisions currently in § 812.119(a). § 511.1(c) to match those currently in resulted from a Commissioner’s • Regarding the question of whether §§ 312.70 and 812.119. Therefore, we decision with those resulting from a the investigator is entitled to receive test consent agreement between FDA and propose to change the heading in articles, we propose to change ‘‘entitled’’ ‘‘ the investigator. That is, a consent § 511.1(c) from Withdrawal of to ‘‘eligible’’ because ‘‘eligible’’ is the agreement may contain ‘‘more extensive eligibility to receive investigational-use correct term for this provision. ’’ ‘‘ restrictions by disqualifying the new animal drugs to Disqualification • We propose to change the scope of investigator from receiving any FDA- of a clinical investigator’’. This revision the question addressed during a part 16 regulated investigational products will help to identify the investigator hearing, should the investigator request (including drugs, biologics, devices, disqualification regulations pertaining and be granted an informal hearing, animal drugs, and food additives)’’ (Ref. to new animal drugs. from whether the investigator is eligible 1 at page 41). The GAO concluded that A. Disqualification Proceedings to receive ‘‘investigational new drugs’’ to it is critical for FDA to take action and (§§ 312.70(a), 511.1(c)(1), and whether the investigator is eligible to to have the authority to take action to 812.119(a)) receive ‘‘test articles under this part and prevent clinical investigators who eligible to conduct any clinical engaged in serious misconduct from FDA proposes to revise the provisions investigation that supports an doing so again, whether in research that currently in §§ 312.70(a), 511.1(c)(1), application for a research or marketing involves drugs, biologics, or devices and 812.119(a), to clarify, simplify, and permit for products regulated by FDA’’. (Ref. 1 at page 42). to harmonize those provisions. Also, for Those FDA-regulated products include In past investigator disqualification consistency with other proposed drugs, biologics, devices, new animal actions, there is little, if any, evidence changes to the disqualification drugs, foods, including dietary that an investigator disqualified from regulations, FDA proposes to change the supplements, that bear a nutrient receiving one type of test article (e.g., scope of the question addressed during content claim or a health claim, infant drugs) later conducted a clinical a part 16 hearing, should the formulas, food and color additives, and investigation studying a different type of investigator request and be granted an tobacco products. test article (e.g., devices). Even so, FDA informal regulatory hearing. 2. Proposed Revisions to § 511.1(c)(1) agrees with the GAO’s recommendation 1. Proposed Revisions to § 312.70(a) and its underlying rationale to expand • To harmonize the investigator the scope of articles covered when an • To harmonize the provisions in disqualification regulations, we propose investigator is disqualified by a § 312.70(a) with those currently in to change the first words in the first Commissioner’s decision. This proposed § 812.119(a), we propose to add sentence in § 511.1(c)(1) from action of explicitly extending a ‘‘repeatedly or deliberately’’ before the ‘‘Whenever the Food and Drug disqualified investigator’s ineligibility reference to submitting false Administration’’ to ‘‘If FDA’’. to receive any FDA-regulated test article information in any required report. The • Although already applicable, we would help to reduce the risk of addition of ‘‘repeatedly or deliberately’’ propose to add explicit provisions in additional violations in other FDA- before ‘‘submitted to FDA or to the § 511.1(c)(1), consistent with the current regulated investigations and thus, sponsor false information in any regulations in § 312.70(a), that a clinical would help to ensure the integrity of required report,’’ codifies FDA’s current investigator includes a sponsor- clinical trial data and help reduce the policies and makes consistent the investigator. Because sponsor-

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investigators must meet an investigator’s • For consistency with the § 812.119(a) from ‘‘the disqualification regulatory responsibilities as well as a regulations currently in §§ 312.70(a) and process will be terminated’’ to ‘‘the sponsor’s, FDA has consistently 812.119(a), we propose to change in the Center will discontinue pursuit of the considered sponsor-investigators to be second sentence in § 511.1(c)(1) (the disqualification proceeding.’’ subject to the clinical investigator third sentence in this proposal), ‘‘shall • For consistency with the proposed disqualification provisions in studies of have’’ to ‘‘will be given’’, and remove revisions to §§ 312.70(a) and 511.1(c)(1), drugs, animal drugs, and devices.1 after ‘‘an opportunity for a regulatory we propose to add ‘‘applicable’’ before • To harmonize the provisions in hearing * * *’’ the clause, ‘‘before the ‘‘Center’’ to read, ‘‘If an explanation is § 511.1(c)(1) with the provisions Food and Drug Administration pursuant offered but not accepted by the currently in § 812.119(a), we propose to to * * *’’ Also, in this sentence, we applicable Center’’. • Regarding the question of whether add ‘‘repeatedly or deliberately’’ before propose to change the term ‘‘entitled’’ to the investigator is entitled to receive test the reference to submitting false the term ‘‘eligible’’. • articles, we propose to change the term information in any required report. The We propose to change the scope of ‘‘entitled’’ to ‘‘eligible’’. ‘‘ ’’ the question addressed during a part 16 addition of repeatedly or deliberately • We propose to change the scope of codifies FDA’s current policies and hearing, should the investigator request and be granted an informal hearing, the question addressed during a part 16 makes consistent the clinical hearing, should the investigator request investigator disqualification regulations. from whether the investigator is eligible to receive ‘‘investigational new animal and be granted an informal hearing, • To make the investigator drugs’’ to whether the investigator is from whether the investigator is eligible disqualification regulations consistent, eligible to receive ‘‘test articles under to receive investigational devices to we propose to change the wording of the this part and eligible to conduct any whether the investigator is eligible to first sentence in § 511.1(c)(1) to read as ‘‘ clinical investigation that supports an receive test articles under this part and follows, ‘‘If FDA has information application for a research or marketing eligible to conduct any clinical indicating that an investigator permit for products regulated by FDA’’. investigation that supports an (including a sponsor-investigator) has Those FDA-regulated products include application for a research or marketing repeatedly or deliberately failed to permit for products regulated by FDA’’. drugs, biologics, devices, new animal comply with the conditions of these Those FDA-regulated products include drugs, foods, including dietary exempting regulations or has repeatedly drugs, biologics, devices, new animal supplements, that bear a nutrient or deliberately submitted to FDA or to drugs, foods, including dietary content claim or a health claim, infant the sponsor false information in any supplements, that bear a nutrient formulas, food and color additives, and required report, the Center for content claim or a health claim, infant tobacco products. Veterinary Medicine will furnish the formulas, food and color additives, and investigator written notice of the matter 3. Proposed Revisions to § 812.119(a) tobacco products. In summary, the proposed complained of and offer the investigator • Although already applicable, we harmonized provisions in §§ 312.70(a), an opportunity to explain the matter in propose to add explicit provisions in 511.1(c)(1), and 812.119(a) provide that writing, or, at the option of the § 812.119(a), consistent with the current ’’ when FDA has information indicating investigator, in an informal conference. regulations in § 312.70(a), that a clinical that a clinical investigator, including a For this first sentence, this proposal investigator includes a sponsor- ‘‘ sponsor-investigator, has repeatedly or removes the reference to in general investigator. Because sponsor- ’’ deliberately failed to comply with the terms concerning the Center’s written investigators must meet an investigator’s notice of the matter to the investigator. relevant regulatory requirements or has regulatory responsibilities as well as a repeatedly or deliberately submitted to This proposal also replaces offering sponsor’s, FDA has consistently ‘‘ ’’ ‘‘ ’’ FDA or to the sponsor of the him with offering the investigator an considered sponsor-investigators to be opportunity to explain. At the end of investigation false information in any subject to the clinical investigator required report, the applicable FDA this first sentence, the wording is disqualification provisions in studies of ‘‘ Center notifies the investigator in changed from in an informal drugs, animal drugs, and devices.2 conference and/or in writing’’ to ‘‘in • writing of the alleged violations. This To harmonize the provisions in written notice offers the investigator an writing, or, at the option of the § 812.119(a) with those currently in investigator, in an informal conference.’’ opportunity to explain the matter in § 312.70(a), we propose to change after writing, or, at the option of the • To harmonize the provisions in repeatedly or deliberately submitted investigator, during an informal § 511.1(c)(1) with those currently in ‘‘false information either to the sponsor conference. If the investigator offers an § 812.119(a), we propose to add a of the investigation or * * *’’, to read explanation that is accepted by the provision for accepting an investigator’s instead, ‘‘to FDA or to the sponsor false applicable Center, that Center will explanation concerning the alleged information in any required report, discontinue pursuit of the misconduct. That is, if the investigator ***’’ disqualification proceeding. If, however, offers an explanation in writing or • To harmonize the provisions in the investigator offers an explanation during an informal conference and the § 812.119(a) with those currently in not accepted by the applicable Center, explanation is accepted by the affected § 312.70(a), we propose to change the the investigator will be offered an Center, the Center will discontinue matter ‘‘under complaint’’ to the matter opportunity to request an informal pursuit of the disqualification ‘‘complained of’’. regulatory hearing 3 under part 16 4 on proceeding. This proposed revision • For clarity and consistency with our the question of whether the investigator clarifies FDA’s current policies and current procedures and the proposed is eligible to receive test articles under makes consistent the clinical changes to §§ 312.70(a) and 511.1(c)(1), investigator disqualification regulations. we propose to change the language in 3 FDA issues to the investigator a ‘‘Notice of Opportunity for Hearing’’. The investigator must 1 See, for example, the final rule at 62 FR 46875, 2 See, for example, the final rule at 62 FR 46875, show that there is a genuine and substantial issue September 5, 1997; clarifying FDA’s authority to September 5, 1997; clarifying FDA’s authority to of fact that warrants a hearing (§ 16.26(a)). reach sponsor-investigators under the regulations reach sponsor-investigators under the regulations 4 See part 16, subpart D—Procedures for for disqualification of a clinical investigator. for disqualification of a clinical investigator. Regulatory Hearing.

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the applicable part and eligible to the investigator and sponsor will be devices, new animal drugs, foods, conduct any clinical investigation that notified about the basis for the including dietary supplements, that bear supports an application for a research or disqualification determination. The a nutrient content claim or a health marketing permit for products regulated notification to the sponsor, for example, claim, infant formulas, food and color by FDA. Those FDA-regulated products will provide a statement of the basis for additives, and tobacco products. include drugs, biologics, devices, new disqualification such as a list of the • For clarity and consistency with our animal drugs, foods, including dietary investigator’s violations, and also procedures, we propose to add an supplements, that bear a nutrient include instructions concerning ongoing explicit reference concerning content claim or a health claim, infant studies and any approved products notification by FDA about the formulas, food and color additives, and containing the investigator’s data. investigator’s disqualification. That is, tobacco products. • For consistency with our the investigator and sponsor will be procedures, we propose to add that the notified about the basis for the B. Ineligibility To Receive Any Test reviewing IRB(s) also will be notified disqualification determination. The Article (§§ 312.70(b), 511.1(c)(2), and about the basis for the disqualification notification to the sponsor, for example, 812.119(b)) determination. will provide a statement of the basis for disqualification such as a list of the 1. Proposed Revisions to § 312.70(b) 2. Proposed Revisions to § 511.1(c)(2) • investigator’s violations, and also For consistency, we propose to refer • To harmonize the investigator include instructions concerning ongoing to ‘‘repeatedly or deliberately’’ in the disqualification regulations in studies and any approved products same order throughout the provision. § 511.1(c)(2) with those currently in • containing the investigator’s data. For clarity, we propose to move §§ 312.70(b) and 812.119(b), we propose after ‘‘submitted’’ the clause, ‘‘to FDA or to change the first word ‘‘If’’ in 3. Proposed Revisions to § 812.119(b) to the sponsor’’. Therefore, the proposed § 511.1(c)(2) to read instead, ‘‘After • For consistency, we propose to refer provision reads, ‘‘or has repeatedly or evaluating all available information, to ‘‘repeatedly or deliberately’’ in the deliberately submitted to FDA or to the including any explanation presented by same order throughout the provision. sponsor false information in any the investigator, if the Commissioner • For clarity and to harmonize required report, * * *’’. determines that * * *’’. § 812.119(b) with the proposed • We propose to add a notification to • We propose to change the term investigator disqualification regulations the reviewing institutional review ‘‘section’’ to ‘‘subchapter’’. The in §§ 312.70(b) and 511.1(c)(2), we board(s) (IRB(s)) about the investigator’s disqualification action is pursuant to the propose to move and modify the clause disqualification. This proposed change investigator’s failure to comply with the ‘‘to the sponsor of an investigation’’, add will harmonize § 312.70(b) with FDA’s conditions of the exempting regulations ‘‘to FDA’’, and remove ‘‘either’’, to read, current procedures along with those in subchapter E (21 CFR chapter I, ‘‘or has repeatedly or deliberately provisions currently in § 812.119(b). subchapter E)—Animal drugs, feeds, submitted to FDA or to the sponsor false IRBs play a significant role in ensuring and related products. Therefore, we information in any required report, that clinical investigators meet the propose ‘‘this subchapter’’ is the ***’’. applicable statutory and regulatory applicable and correct term as opposed • We propose to change ‘‘entitled’’ to requirements.5 We therefore propose to to the narrower reference currently in ‘‘eligible’’. • add this provision in § 312.70(b) to help § 511.1(c)(2) to ‘‘this section’’. FDA proposes to harmonize the ensure that any reviewing IRB is aware • For clarity and to harmonize disqualification regulations by changing of the clinical investigator’s § 511.1(c)(2) with the proposed the investigator’s ineligibility from disqualification. investigator disqualification regulations receiving ‘‘investigational devices’’ to • We propose to change ‘‘entitled’’ to in §§ 312.70(b) and 812.119(b), we ineligibility to receive ‘‘test articles ‘‘eligible’’. propose to move and modify the clause under this part.’’ We are also proposing • FDA proposes to harmonize the ‘‘to the sponsor of an investigation’’ and that an investigator disqualified by a disqualification regulations by changing add ‘‘to FDA’’ and ‘‘in any required Commissioner’s decision also will be the investigator’s ineligibility from report’’, to read, ‘‘or has repeatedly or ineligible to conduct any clinical receiving ‘‘investigational drugs’’ to deliberately submitted to FDA or to the investigation that supports an ineligibility to receive ‘‘test articles sponsor false information in any application for a research or marketing under this part.’’ We are also proposing required report, * * *’’. permit for products regulated by FDA, that an investigator disqualified by a • For clarity and to harmonize the including drugs, biologics, devices, new Commissioner’s decision also will be investigator disqualification regulations, animal drugs, foods, including dietary ineligible to conduct any clinical we propose to change ‘‘he’’ to ‘‘the supplements, that bear a nutrient investigation that supports an investigator’’. content claim or a health claim, infant application for a research or marketing • We propose to change ‘‘entitled’’ to formulas, food and color additives, and permit for products regulated by FDA, ‘‘eligible’’. tobacco products. including drugs, biologics, devices, new • FDA proposes to harmonize the • For clarity and consistency with our animal drugs, foods, including dietary disqualification regulations by changing procedures, we propose to add an supplements, that bear a nutrient the investigator’s ineligibility from explicit reference concerning content claim or a health claim, infant receiving ‘‘investigational use new notification by FDA about the formulas, food and color additives, and animal drugs’’ to ineligibility to receive investigator’s disqualification. That is, tobacco products. ‘‘test articles under this part.’’ We are the investigator, sponsor, and reviewing • For clarity and consistency with our also proposing that an investigator IRB(s) will be notified about the basis procedures, we propose to add an disqualified by a Commissioner’s for the disqualification determination. explicit reference concerning decision also will be ineligible to The notification to the sponsor, for notification by FDA about the conduct any clinical investigation that example, will provide a statement of the investigator’s disqualification. That is, supports an application for a research or basis for disqualification such as a list marketing permit for products regulated of the investigator’s violations, and also 5 63 FR 55873 at 55874, October 19, 1998. by FDA, including drugs, biologics, include instructions concerning ongoing

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studies and any approved or cleared part 314. Also, we propose to change regulations in § 812.119(c) to clarify the products containing the investigator’s ‘‘drugs’’ to ‘‘FDA-regulated test articles’’; applicability of this provision, update data. ‘‘continuation of the investigation’’ to this provision consistent with Therefore, as proposed, an ‘‘continuation of any investigation’’; and §§ 312.70(b), 511.1(c)(2), and 812.119(b) investigator determined to be ineligible add after ‘‘essential to the approval of of this proposal, and to harmonize the to receive test articles under one part of any marketing application’’ the phrase disqualification regulations in FDA’s regulations also would be ‘‘essential to the continued marketing of §§ 312.70(c), 511.1(c)(3), and 812.119(c). ineligible to conduct any clinical an FDA-regulated product.’’ Therefore, we propose to revise investigation that supports an ‘‘ 2. Proposed Revisions to § 511.1(c)(3) § 812.119(c) to provide, Each application for a research or marketing application or submission to FDA under permit for products regulated by FDA, Currently, § 511.1(c)(3) provides, the provisions of this chapter and including drugs, biologics, devices, new ‘‘Each ‘Notice of Claimed Investigational containing data reported by an animal drugs, foods, including dietary Exemption for a New Animal Drug’ and investigator who has been determined to supplements, that bear a nutrient each approved new animal drug be ineligible to receive FDA-regulated content claim or a health claim, infant application containing data reported by test articles will be examined to formulas, food and color additives, and an investigator who has been determine whether the investigator has tobacco products. This proposal is determined to be ineligible to receive submitted unreliable data that are consistent with the underlying rationale investigational-use new animal drugs essential to the continuation of any for disqualifying a clinical investigator, will be examined to determine whether investigation or essential to the which is to preserve the integrity of he has submitted unreliable data that clearance or approval of any marketing study data and to help ensure the safety, are essential to the continuation of the application, or essential to the rights, and welfare of study subjects. As investigation or essential to the approval continued marketing of an FDA- proposed, those principles would apply of any new animal drug application.’’ regulated product.’’ The ‘‘provisions of to all test articles and studies; an FDA proposes to revise the current this chapter’’ refers to chapter I and investigator who is determined to have regulations in § 511.1(c)(3) to clarify the includes investigational device repeatedly or deliberately violated the applicability of this provision, update exemptions (IDEs), and cleared or regulations while conducting a study of this provision consistent with approved applications submitted under a particular type of test article sufficient §§ 312.70(b), 511.1(c)(2), and 812.119(b) part 812; 21 CFR part 807, subpart E; or to warrant disqualification would thus of this proposal, and to harmonize the part 814 (21 CFR part 814). be ineligible to receive any FDA- disqualification regulations in regulated test article or conduct any §§ 312.70(c), 511.1(c)(3), and 812.119(c). D. Disqualified Investigator’s Data in clinical investigation that supports an Therefore, we propose to revise Applications and Submissions to FDA— ‘‘ application for a research or marketing § 511.1(c)(3) to provide, Each Sponsor Notification, Opportunities, permit for products regulated by FDA. application or submission to FDA under and Responsibilities (§§ 312.70(d), the provisions of this chapter and 511.1(c)(4), and 812.119(d)) C. Disqualified Investigator’s Data in containing data reported by an 1. Proposed Revisions to § 312.70(d) Applications and Submissions to FDA investigator who has been determined to (§§ 312.70(c), 511.1(c)(3), and be ineligible to receive FDA-regulated • In accordance with FDA’s 812.119(c)) test articles will be examined to procedures and for consistency with the provisions currently in § 812.119(d), we 1. Proposed Revisions to § 312.70(c) determine whether the investigator has submitted unreliable data that are propose to add ‘‘and the reviewing Currently, § 312.70(c) provides, ‘‘Each essential to the continuation of any IRB(s)’’ after ‘‘shall terminate the IND IND and each approved application investigation or essential to the approval immediately and notify the sponsor submitted under part 314 containing of any marketing application, or ***’’. data reported by an investigator who has essential to the continued marketing of • We propose to change been determined to be ineligible to an FDA-regulated product.’’ The ‘‘determination’’ to ‘‘termination’’. This receive investigational drugs will be ‘‘provisions of this chapter’’ refers to correction is consistent with the examined to determine whether the chapter I and includes a notice of regulations currently in §§ 511.1(c)(4) investigator has submitted unreliable claimed investigational exemption for a and 312.44 and, therefore, will data that are essential to the new animal drug and an approved new harmonize and clarify the regulations. continuation of the investigation or animal drug application. This proposal provides, ‘‘If a danger to essential to the approval of any the public health exists * * * the marketing application.’’ FDA proposes 3. Proposed Revisions to § 812.119(c) Commissioner shall terminate the IND to revise the current regulations in Currently, § 812.119(c) provides, immediately and notify the sponsor and § 312.70(c) to clarify the applicability of ‘‘Each investigational device exemption the reviewing IRB(s) of the termination.’’ this provision, update this provision (IDE) and each cleared or approved • We propose to add a new sentence consistent with §§ 312.70(b), 511.1(c)(2), application submitted under this part, at the end of § 312.70(d), to clarify and and 812.119(b) of this proposal, and to subpart E of part 807 of this chapter, or emphasize the sponsor’s responsibilities harmonize the disqualification part 814 of this chapter containing data under this provision. That is, we regulations in §§ 312.70(c), 511.1(c)(3), reported by an investigator who has propose to add that when the and 812.119(c). Therefore, we propose been determined to be ineligible to Commissioner determines that an to amend § 312.70(c) to change ‘‘Each receive investigational devices will be investigation may not be considered in IND and each approved application examined to determine whether the support of a research or marketing submitted under part 314’’ to ‘‘Each investigator has submitted unreliable application, or a notification or petition application or submission to FDA under data that are essential to the submission, this determination does not the provisions of this chapter’’. The continuation of the investigation or relieve the sponsor of any obligation ‘‘provisions of this chapter’’ refers to essential to the approval or clearance of under any other applicable regulation to chapter I and includes INDs and any marketing application.’’ FDA submit to FDA the results of the approved applications submitted under proposes to revise the current investigation.

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2. Proposed Revisions to § 511.1(c)(4) E. Disqualified Investigator’s Data in 3. Proposed Revisions to § 812.119(e) Applications and Submissions to FDA— • The current investigator For the purpose of plain language Withdrawal of Product Approval and for consistency with the current and disqualification regulations provide that (§§ 312.70(e), 511.1(c)(5), and if the Commissioner determines, after proposed investigator disqualification 812.119(e)) regulations, FDA proposes to make the unreliable data submitted by the corrections to § 511.1(c)(4): 1. Proposed Revisions to § 312.70(e) investigator are eliminated from consideration, that the continued Æ Change ‘‘he shall first’’ to ‘‘the The current investigator clearance or approval of the marketing Commissioner will’’, disqualification regulations provide that application for which the data were if the Commissioner determines, after Æ Change ‘‘before the Food and Drug submitted cannot be justified, the the unreliable data submitted by the Administration pursuant to’’ to ‘‘before Commissioner will proceed to withdraw investigator are eliminated from ’’ approval or rescind clearance of the FDA under , consideration, that the continued Æ Remove ‘‘on whether the exemption medical device in accordance with the approval of the drug product for which applicable provisions of the FD&C Act. should be terminated’’, the data were submitted cannot be We propose to harmonize and simplify Æ Change ‘‘he’’ to ‘‘the Commissioner’’, justified, the Commissioner will the provisions in §§ 312.70(e), proceed to withdraw approval of the Æ Change ‘‘forthwith’’ to 511.1(c)(5), and 812.119(e). Therefore, drug product in accordance with the ‘‘immediately’’, in § 812.119(e), we propose to change applicable provisions of the Federal ‘‘ ’’ ‘‘ Æ Change ‘‘event’’ to ‘‘case’’, marketing application and medical Food, Drug, and Cosmetic Act as device’’ to ‘‘product’’ and change ‘‘in Æ Change ‘‘the Food and Drug amended (the FD&C Act). We also note accordance with the applicable Administration pursuant to’’ to ‘‘FDA that the Commissioner would revoke provisions of the act’’ to ‘‘in accordance under’’, and any biologics license approved under with the applicable provisions of the the Public Health Service Act. To Æ ‘‘ relevant statutes’’. Also, we propose to Remove (see 42 FR 15075, March harmonize the investigator 22, 1977)’’. change the order of ‘‘withdraw approval disqualification regulations in or rescind clearance’’ to ‘‘rescind • We propose to add a new sentence §§ 312.70(e), 511.1(c)(5), and 812.119(e), clearance or withdraw approval’’ to at the end of § 511.1(c)(4), to clarify and we propose to remove the reference to match respectively the order at the emphasize the sponsor’s responsibilities ‘‘ ’’ drug . To keep the investigator beginning of the sentence. under this provision. That is, we disqualification regulations consistent, propose to add that when the this proposal also changes the reference F. Other Proceedings Commissioner determines that an to the applicable provisions of the FD&C Although not explicit in the proposed investigation may not be considered in Act to a reference to the applicable codified, the disqualification of an support of a research or marketing provisions of the relevant statutes. investigator is independent of, and application, or a notification or petition 2. Proposed Revisions to § 511.1(c)(5) neither in lieu of nor a precondition to, submission, this determination does not other proceedings or actions authorized relieve the sponsor of any obligation The current investigator by the FD&C Act. That is, at any time, under any other applicable regulation to disqualification regulations in FDA may, through the Department of submit to FDA the results of the § 511.1(c)(5) provide that if the Justice, institute any appropriate investigation. Commissioner determines, after the judicial proceedings (civil or criminal) unreliable data submitted by the 3. Proposed Revisions to § 812.119(d) and any other appropriate regulatory investigator are eliminated from action, in addition to or in lieu of, and consideration, that the ‘‘data remaining • We propose to change before, at the time of, or after, are such that a new animal drug ‘‘determination’’ to ‘‘termination’’. This disqualification. Also, FDA may refer application would not have been correction is consistent with the pertinent matters to another Federal, approved, he will proceed to withdraw regulations currently in § 511.1(c)(4) State, or local government agency for approval of the application in and therefore will harmonize and clarify any action determined appropriate by accordance with section 512(e) of the that agency. the regulations. Also, we propose to add act.’’ This proposal does not change the ‘‘(s)’’ at the end of ‘‘IRB’’ because there meaning of this provision, however, for G. Reinstatement (§§ 312.70(f), might be more than one reviewing IRB, simplicity and to keep the investigator 511.1(c)(6), and 812.119(f)) to provide that ‘‘the Commissioner shall disqualification regulations consistent, terminate the IDE immediately and FDA proposes minor revisions to the we propose changes to harmonize the regulations currently in §§ 312.70(f), notify the sponsor and the reviewing investigator disqualification regulations, IRB(s) of the termination.’’ 511.1(c)(6), and 812.119(f), to make the as follows: investigator disqualification regulations • We propose to add a new sentence • Change the ‘‘data remaining are consistent. This proposal changes the at the end of § 812.119(d). As proposed such that a new animal drug application references to an investigator who has for §§ 312.70(d) and 511.1(c)(4), we would not have been approved’’ to been determined to be ineligible to propose to add that when the ‘‘continued approval of the product for receive ‘‘investigational drugs’’, Commissioner determines that an which the data were submitted cannot ‘‘investigational-use new animal drugs’’, investigation may not be considered in be justified’’, and ‘‘investigational devices’’ currently support of a research or marketing • Change ‘‘he’’ to ‘‘the Commissioner’’, in those provisions to, instead, reference application, or a notification or petition • Change ‘‘application’’ to ‘‘product’’, an investigator who has been submission, this determination does not and determined to be ineligible under the relieve the sponsor of any obligation • Change ‘‘in accordance with section appropriate paragraph in the relevant under any other applicable regulation to 512(e) of the act’’ to ‘‘in accordance with section (e.g., in proposed § 312.70(f), ‘‘an submit to FDA the results of the the applicable provisions of the relevant investigator who has been determined to investigation. statutes’’. be ineligible under paragraph (b) of

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[§ 312.70] may be reinstated as eligible VI. Legal Authority 1980), affirmed sub nom. Merrill Lynch, ***’’). This proposal also changes the The disqualification of a clinical Pierce, Fenner & Smith v. Curran, 456 current references to ‘‘parts 50 and 56’’ investigator is a remedial measure. The U.S. 353 (1982). The Supreme Court has and to ‘‘the provisions of this part’’ in purpose of disqualifying investigators often recognized ‘‘the construction of a §§ 312.70(f) and 812.119(f), and the who violate the regulations is to statute by those charged with its reference to ‘‘the exempting regulations preserve the integrity of data needed to administration is entitled to substantial ’’ ‘‘ ’’ in this section in § 511.1(c)(6), to the assess the safety and effectiveness of an deference. United States v. Rutherford, ’’ applicable provisions of this chapter FDA-regulated product before the 442 U.S. 544 (1979). Board of Governors (i.e., chapter I). We also added, for product is made available to the public, of FRS v. First Lincolnwood, 439 U.S. 234, 248, 99 S.Ct. 505, 513, 58 L.Ed.2d consistency with the proposed changes and to protect the safety of study to §§ 312.70(b), 511.1(c)(2), and 484 (1978) (the Court’s conclusion ‘‘is subjects during the conduct of a clinical 812.119(b), the phrase, ‘‘and will influenced by the principle that courts investigation and patient safety after the conduct any clinical investigation that should defer to an agency’s construction approval or clearance of a marketing supports an application for a research or of its own statutory mandate, Red Lion application. marketing permit for products regulated Broadcasting Co. v. FCC, 395 U.S. at Although the concept of by FDA’’. We therefore propose that an 381; Commissioner v. Sternberger’s disqualification is not explicitly investigator who has been determined to Estate, 348 U.S. 187, 199 (1955), mentioned in the FD&C Act, FDA has be ineligible under §§ 312.70(b), particularly when that construction the authority to disqualify clinical 511.1(c)(2), or 812.119(b), may be accords with well established investigators who violate FDA’s reinstated as eligible when the congressional goals.’’ 439 U.S. at 251); regulations. The Supreme Court in Commissioner determines that the Bayside Enterprises, Inc. v. NLRB, 429 Weinberger v. Bentex Pharmaceuticals, investigator has presented adequate U.S. 298, 304, 97 S.Ct. 576, 581, 50 Inc., 412 U.S. 645, 653 (1973) has assurances that the investigator will L.Ed.2d 494 (1977); Udall v. Tallman, recognized that FDA has authority that employ all test articles, and will 380 U.S. 1, 16, 85 S.Ct. 792, 801, 13 ‘‘is implicit in the regulatory scheme, conduct any clinical investigation that L.Ed.2d 616 (1965). not spelled out in haec verba’’ in the supports an application for a research or Under section 701(a) of the FD&C Act statute. As stated in Morrow v. Clayton, marketing permit for products regulated (21 U.S.C. 371(a)), the Commissioner is 326 F.2d 36, 44 (10th Cir. 1963): by FDA, solely in compliance with the empowered to promulgate regulations [I]t is a fundamental principle of applicable provisions of chapter I. for the efficient enforcement of the administrative law that the powers of an FD&C Act. Regulations issued by the H. Part 511 Definitions (§ 511.3) administrative agency are not limited to Commissioner under section 701(a) for FDA proposes to amend part 511 by those expressly granted by the statutes, determining whether a clinical adding a new section that provides but include, also, all of the powers that investigation of a drug intended for definitions for a contract research may fairly be implied therefrom. human use, among other things, was organization, investigator, sponsor, and See Mourning v. Family Publications scientifically reliable and valid to sponsor-investigator. We propose to add Service, Inc., 411 U.S. 356 (1973), and support approval of a new drug, have those definitions to harmonize part 511 National Petroleum Refiners been upheld by the Supreme Court with other regulations for the Association v. FTC, 482 F.2d 672 (DC (Weinberger v. Hynson, Westcott & disqualification of a clinical Cir. 1973). See also Weinberger v. Dunning, Inc.); see also Upjohn Co. v. investigator. Hynson, Westcott & Dunning, Inc., 412 Finch, 422 F.2nd 944 (6th Cir. 1970); U.S. 609 (1973); National Nutritional and Pharmaceutical Manufacturers IV. Regulatory Hearing Before the Food Foods Association v. Weinberger, 512 Association v. Richardson, 318 F.Supp. and Drug Administration F.2d 688, cert denied, 423 U.S. 827 301 (D.Del. 1970)). We propose to add to 16.1(b)(2) an (1975); United States v. Nova Scotia Furthermore, sections 505(i), 512(j) entry for 812.119 and to revise the Food Products Corp., 568 F.2d 240, and 520(g) of the FD&C Act regarding entries for 312.70 and 511.1(c)(1). Also, 246–248 (2d Cir. 1977); American clinical investigations that require prior the list of regulatory provisions under Frozen Food Institute v. Mathews 413 FDA authorization direct the which a part 16 regulatory hearing is F.Supp. 548 (D.D.C. 1976) aff’d per Commissioner to promulgate regulations available (§ 16.1(b)(2)) is incomplete. curiam, 555 F.2d 1059 (DC Cir. 1977); to protect the public health in the The provisions for § 58.204(b) (21 CFR National Confectioners Association v. course of those investigations. Also, 58.204(b)), relating to disqualifying a Califano, 569 F.2d 690 (DC Cir. 1978); sections 505(i)(1), 512(j), and testing facility, and § 822.7(a)(3) (21 CFR and National Association of 520(g)(2)(A) of the FD&C Act require 822.7(a)(3)), relating to an order to Pharmaceutical Manufacturers v. FDA, that investigations be conducted by conduct postmarket surveillance of a 637 F.2d 877 (2d Cir. 1981). ‘‘experts qualified by scientific training medical device under section 522 of the ‘‘[R]egulatory acts should be given a and experience.’’ An investigator who FD&C Act (21 U.S.C. 360l), were practical construction, and one which repeatedly or deliberately violates the inadvertently omitted. We, therefore, will enable the agency to perform the regulations or who repeatedly or propose to amend part 16 by adding duties required of it by Congress.’’ deliberately submits false information those provisions. Federal Deposit Ins. Corp. v. Sumner would not be considered a qualified Fin. Corp., 451 F.2d 898, 904 (5th Cir. expert with the experience required to V. Environmental Impact 1971). Congressional inaction on conduct investigations of FDA-regulated The agency has determined under 21 proposed legislation that would state articles. Among other stated objectives, CFR 25.30(h) that this action is of a type expressly an agency’s authority to act the proposed rulemaking is intended to that does not individually or does not support an inference that the fulfill those mandates. cumulatively have a significant effect on agency lacks implicit authority to act The Commissioner therefore the human environment. Therefore, under existing legislation. Red Lion concludes that legal authority to neither an environmental assessment Broadcasting Co. v. FCC, 395 U.S. 367, promulgate those regulations regarding nor an environmental impact statement 381–382 n. 11 (1969). See also Leist v. clinical investigators exists under is required. Simplot, 638 F.2d 283, 318 (2d Cir. sections 505(i), 512(j), 520(g) and 701(a)

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of the FD&C Act, as essential to A. Objective deliberately violated FDA’s regulations protection of the public health and The objective of the proposed rule is governing the proper conduct of clinical safety and to enforcement of the to strengthen the process for ensuring investigations. However, the regulatory agency’s responsibilities under sections the reliability and integrity of the language may allow a disqualified 409, 502, 503, 505, 506, 510, 512, 513, clinical trial data supporting FDA investigator to participate in clinical 514, 515, 518, 519, 520 and 801 of the decision-making on product investigations as long as the FD&C Act (21 U.S.C. 348, 352, 353, 355, applications and to help ensure the investigational products studied are 356, 360, 360b, 360c, 360d, 360e, 360h, adequate protection of research subjects different from the product involved in 360i, 360j and 381), as well as the participating in FDA-regulated clinical the disqualification. responsibilities of FDA under section investigations. Specifically, this rule C. Baseline 351 of the Public Health Service Act (42 would expand the scope of FDA’s U.S.C. 262). To develop a baseline of the disqualification actions so that a disqualification actions that would be VII. Proposed Implementation Plan disqualified clinical investigator is affected by this proposed rule, FDA’s FDA proposes that any final rule that ineligible to receive any FDA-regulated Office of Good Clinical Practice may issue based on this proposal test article. That is, an investigator reviewed all FDA disqualification become effective 30 days after the date determined to be ineligible to receive actions over a 10-year period, 1998– of publication of the final rule in the test articles under parts 312, 511 or 812, 2007. This time-period was selected to Federal Register. will be ineligible to conduct any clinical provide a data set large enough to investigation that supports an analyze and to allow sufficient elapsed VIII. Analysis of Impacts application for a research or marketing time from initiation to final action to FDA has examined the impacts of the permit for products regulated by FDA, characterize completed actions. Over proposed rule under Executive Order including drugs, biologics, devices, new this 10-year period, FDA has initiated a 12866 and the Regulatory Flexibility Act animal drugs, foods, including dietary total of about 60 disqualification (5 U.S.C. 601–612), and the Unfunded supplements, that bear a nutrient actions, or an average of 6 per year. Of Mandates Reform Act of 1995 (Pub. L. content claim or a health claim, infant those 60 disqualification actions, 5 104–4). Executive Order 12866 directs formulas, food and color additives, and percent of the investigators were not agencies to assess all costs and benefits tobacco products. This action would disqualified. Approximately 75 percent of available regulatory alternatives and, help reduce the risk to human subjects of clinical investigators entered into a when regulation is necessary, to select who participate in FDA-regulated consent agreement or a restricted regulatory approaches that maximize clinical investigations by explicitly agreement that restricts their ability to net benefits (including potential extending a disqualified investigator’s investigate other FDA-regulated economic, environmental, public health ineligibility to receive any FDA- products, i.e., products different from and safety, and other advantages; regulated test article. In addition, the the one in the study (or studies) that led distributive impacts; and equity). The proposed rulemaking would establish to disqualification. A small number of Agency believes that this proposed rule uniform language across the several clinical investigators, about 20 percent is not a significant regulatory action as existing regulations that address of the disqualification actions, were defined by the Executive order. investigator disqualification. ultimately disqualified following a The Regulatory Flexibility Act B. Background Commissioner’s decision. In those requires agencies to analyze regulatory matters, FDA does not have regulatory options that would minimize any In 2009, the GAO conducted a study authority to prohibit those investigators, significant impact of a rule on small of FDA’s oversight of clinical who are disqualified by a entities. Because this proposed rule investigators who conduct research Commissioner’s decision, from does not impose new requirements on involving new drugs, biologics and conducting investigations involving any entity and therefore has no medical devices, ‘‘Oversight of Clinical other FDA-regulated articles. We have associated compliance costs, the Agency Investigators—Action Needed To little, if any, evidence that any of the proposes to certify that the final rule Improve Timeliness and Enhance Scope investigators to date who have been will not have a significant economic of FDA’s Debarment and disqualified via a Commissioner’s impact on a substantial number of small Disqualification Processes for Medical decision have conducted investigations entities. Product Investigators’’ (Ref 1.). Among with other types of FDA-regulated test Section 202(a) of the Unfunded its findings, the GAO recommended that articles. Nonetheless, the agency agrees Mandates Reform Act of 1995 requires FDA amend its regulations to ensure with GAO’s recommendation that FDA that agencies prepare a written that those clinical investigators who have in place uniform and enforceable statement, which includes an have engaged in misconduct sufficient regulatory requirements to prevent assessment of anticipated costs and to warrant disqualification for one type clinical investigations in other product benefits, before proposing ‘‘any rule that of investigational medical product are areas by disqualified clinical includes any Federal mandate that may not able to serve as clinical investigators investigators. result in the expenditure by State, local, for other types of medical products. and Tribal governments, in the Currently, FDA regulations provide D. Costs of the Proposed Rule aggregate, or by the private sector, of authority to disqualify researchers We estimate that there may be an $100,000,000 or more (adjusted conducting clinical investigations of average of about 1 or 2 matters per year annually for inflation) in any one year.’’ medical products when FDA determines of clinical investigators who are The current threshold after adjustment that the investigators have not followed ultimately disqualified via a for inflation is $135 million, using the the rules intended to protect study Commissioner’s decision. Because the most current (2009) Implicit Price subjects, or who have submitted false majority of disqualification actions are Deflator for the Gross Domestic Product. information. The actions to disqualify concluded by consent agreements that FDA does not expect this proposed rule clinical investigators are initiated specifically preclude the investigator to result in any 1-year expenditure that because FDA has evidence that the from investigating other FDA-regulated would meet or exceed this amount. clinical investigator repeatedly or articles and current practices already

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reduce the risk of such occurrences, we regulated test article. However, this OMB control number 0910–0014; do not expect that this proposed rule would not meet the objective of helping expiration date August 31, 2011.6 The would impose additional costs. Past to ensure the adequate protection of notification of IRB(s) in proposed disqualification actions show little, if human subjects in clinical § 312.70 is approved under OMB control any, evidence that an investigator investigations or helping to ensure the number 0910–0130—Protection of disqualified from receiving one type of reliability and integrity of the clinical Human Subjects; Recordkeeping test article later conducted a clinical trial data supporting FDA decision- Requirements for Institutional Review investigation studying a different type of making on product applications. There Boards (IRBs); expiration date December test article. Nonetheless, based in part are no other viable alternatives. 31, 2010 (renewal pending at OMB).7 on GAO recommendations, we find that G. Small Business Impact The information collection in § 511.1(c) explicit regulatory language is needed to pertaining to the disqualification of a ensure that a disqualified investigator The clinical research community, clinical investigator and an cannot conduct a clinical investigation including clinical investigators, is investigator’s opportunity to respond to with any FDA-regulated test article. composed of many large and small FDA is approved under the new animal FDA would realize cost savings if business entities. Clinical investigators drugs for investigational use regulations there are future disqualification matters may be associated with government and OMB control number 0910–0117; involving clinical investigators who are academic research institutions, contract expiration date August 31, 2011.8 The already disqualified and then conduct research organizations, site-management information collection in § 812.119 additional research in another FDA- organizations, or independent pertaining to the disqualification of a regulated product area. There would be researchers. Investigational product clinical investigator and an no need to bring a second action research is often sponsored by FDA- investigator’s opportunity to respond to because the first disqualification would regulated firms that seek to bring a new FDA is approved under the prohibit research by the disqualified product to market. investigational device exemptions investigator with any test article. We The proposed rule is not expected to reports and records in part 812, OMB cannot estimate the amount of savings, have a significant economic impact on control number 0910–0078; expiration but the legal costs avoided would be a substantial number of small entities as date February 28, 2013.9 In addition, considerable for each additional product previously discussed in this document. INDs and new drug applications are area. As stated above in this section of this approved under OMB control number document, we do not expect that the E. Benefit 0910–0416; animal drug applications, proposed rule would impose additional 21 CFR part 514 are approved under The proposed rule would help ensure new costs. This proposed rule is OMB control number 0910–0032; that disqualified investigators cannot expected to affect an average of about 1 receive any FDA-regulated article, i.e., premarket notification submissions, to 2 clinical investigators per year. 510(k), subpart E are approved under disqualified investigators will be Affected investigators are disqualified ineligible to conduct any clinical OMB control number 0910–0120; and because FDA has evidence that the premarket approvals of medical devices, investigation that supports an clinical investigator repeatedly or application for a research or marketing part 814, are approved under OMB deliberately violated FDA’s regulations control number 0910–0231. permit for products regulated by FDA, governing the proper conduct of clinical including drugs, biologics, devices, new investigations. FDA is not imposing any X. Federalism animal drugs, foods, including dietary additional requirements for the conduct supplements, that bear a nutrient FDA has analyzed this proposed rule of clinical investigations used to in accordance with the principles set content claim or a health claim, infant support marketing applications. It is formulas, food and color additives, and forth in Executive Order 13132. FDA clarifying its regulatory authority over has determined that the proposed rule, tobacco products. Explicitly expanding disqualified investigators. Under this a disqualified investigator’s ineligibility if finalized, would not contain policies proposed rule a disqualified investigator that would have substantial direct to receive any FDA-regulated test article would explicitly be ineligible to would help to reduce the risk of effects on the States, on the relationship conduct any studies of FDA-regulated between the National Government and additional violations in other FDA- articles. We have little, if any, evidence regulated investigations and would help the States, or on the distribution of that a disqualified investigator has power and responsibilities among the to ensure the integrity of clinical trial conducted a clinical investigation data. This action would help reduce the various levels of government. studying a different type of test article. Accordingly, the Agency tentatively risk to human subjects who participate For the reasons stated above, we concludes that the proposed rule does in FDA-regulated investigations. This propose to certify that this proposed not contain policies that have proposed rule may also lead to rule would not have a significant federalism implications as defined in improved public confidence in the economic impact on a substantial the Executive order and, consequently, clinical data supporting FDA decisions. number of small entities. a federalism summary impact statement F. Alternatives IX. Paperwork Reduction Act of 1995 is not required. This proposed rule constitutes a This proposed rule contains no new minor change to existing regulations to collections of information. Therefore, 6 See http://www.reginfo.gov/public/do/ _ ensure that FDA has the clear regulatory clearance by the Office of Management PRAViewICR?ref nbr=200905-0910-005 (accessed on February 4, 2011). authority it needs to protect human and Budget under the Paperwork 7 See http://www.reginfo.gov/public/do/ subjects from exposure to research Reduction Act of 1995 is not required. PRAViewICR?ref_nbr=200711-0910-003 (accessed conducted by disqualified clinical The information collection in § 312.70 on February 4, 2011). investigators. We considered not pertaining to the disqualification of a 8 See http://www.reginfo.gov/public/do/ expanding the scope of FDA’s clinical investigator and an PRAViewICR?ref_nbr=200806-0910-005 (accessed on February 4, 2011). disqualification actions to include the investigator’s opportunity to respond to 9 See http://www.reginfo.gov/public/do/ ineligibility of a disqualified clinical FDA is approved under the PRAViewICR?ref_nbr=201001-0910-010 (accessed investigator to receive any FDA- investigational new drug regulations, on February 4, 2011).

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XI. Request for Comments PART 16—REGULATORY HEARING medical device under section 522 of the BEFORE THE FOOD AND DRUG act. Interested persons may submit to the ADMINISTRATION * * * * * Division of Dockets Management (see ADDRESSES) either electronic or written 1. The authority citation for 21 CFR PART 312—INVESTIGATIONAL NEW comments regarding this document. It is part 16 continues to read as follows: DRUG APPLICATION only necessary to send one set of Authority: 15 U.S.C. 1451–1461; 21 U.S.C. 3. The authority citation for 21 CFR comments. It is no longer necessary to 141–149, 321–394, 467f, 679, 821, 1034; 28 send two copies of mailed comments. U.S.C. 2112; 42 U.S.C. 201–262, 263b, 364. part 312 continues to read as follows: Identify comments with the docket Authority: 21 U.S.C. 321, 331, 351, 352, 2. Section 16.1 is amended in 353, 355, 360bbb, 371; 42 U.S.C. 262. number found in brackets in the paragraph (b)(2) by adding in numerical heading of this document. Received sequence entries for ‘‘§ 58.204(b)’’, 4. Section 312.70 is revised to read as comments may be seen in the Division ‘‘§ 812.119’’, and ‘‘§ 822.7(a)(3)’’ and by follows: of Dockets Management between 9 a.m. revising the entries for ‘‘§ 312.70’’ and § 312.70 Disqualification of a clinical and 4 p.m., Monday through Friday. ‘‘§ 511.1(c)(1)’’ to read as follows: investigator. XII. References § 16.1 Scope. (a) If FDA has information indicating that an investigator (including a The following reference has been * * * * * sponsor-investigator) has repeatedly or placed on display in the Division of (b) * * * deliberately failed to comply with the Dockets Management, Food and Drug (2) * * * requirements of this part, part 50 of this Administration, 5630 Fishers Lane, rm. § 58.204(b), relating to disqualifying a chapter, or part 56 of this chapter, or has 1061, Rockville, MD 20857 and may be testing facility. repeatedly or deliberately submitted to seen by interested persons between * * * * * FDA or to the sponsor false information 9 a.m. and 4 p.m., Monday through § 312.70, relating to whether an in any required report, the Center for Friday. We have verified the Web site investigator is eligible to receive test Drug Evaluation and Research or the address, but we are not responsible for articles under part 312 of this chapter Center for Biologics Evaluation and any subsequent changes to the Web site and eligible to conduct any clinical Research will furnish the investigator after this document publishes in the investigation that supports an written notice of the matter complained Federal Register. application for a research or marketing of and offer the investigator an 1. GAO Report to Congressional permit for products regulated by FDA, opportunity to explain the matter in Requesters—Oversight of Clinical including drugs, biologics, devices, new writing, or, at the option of the Investigators, Action Needed to Improve animal drugs, foods, including dietary investigator, in an informal conference. Timeliness and Enhance Scope of FDA’s supplements, that bear a nutrient If an explanation is offered and accepted Debarment and Disqualification content claim or a health claim, infant by the applicable Center, the Center will Processes for Medical Product formulas, food and color additives, and discontinue pursuit of the Investigators; GAO–09–807. See http:// tobacco products. disqualification proceeding. If an explanation is offered but not accepted www.gao.gov/new.items/d09807.pdf * * * * * by the applicable Center, the (accessed on February 4, 2011). § 511.1(c)(1), relating to whether an investigator is eligible to receive test investigator will be given an List of Subjects articles under part 511 of this chapter opportunity for a regulatory hearing under part 16 of this chapter on the 21 CFR Part 16 and eligible to conduct any clinical investigation that supports an question of whether the investigator is Administrative practice and application for a research or marketing eligible to receive test articles under this procedure. permit for products regulated by FDA part and eligible to conduct any clinical including drugs, biologics, devices, new investigation that supports an 21 CFR Part 312 animal drugs, foods, including dietary application for a research or marketing supplements, that bear a nutrient permit for products regulated by FDA. Drugs, Exports, Imports, (b) After evaluating all available content claim or a health claim, infant Investigations, Labeling, Medical information, including any explanation formulas, food and color additives, and research, Reporting and recordkeeping presented by the investigator, if the tobacco products. requirements, Safety. Commissioner determines that the * * * * * 21 CFR Part 511 investigator has repeatedly or § 812.119, relating to whether an deliberately failed to comply with the Animal drugs, Medical research, investigator is eligible to receive test requirements of this part, part 50 of this Reporting and recordkeeping articles under part 812 of this chapter chapter, or part 56 of this chapter, or has requirements. and eligible to conduct any clinical repeatedly or deliberately submitted to investigation that supports an FDA or to the sponsor false information 21 CFR Part 812 application for a research or marketing in any required report, the permit for products regulated by FDA Health records, Medical devices, Commissioner will notify the including drugs, biologics, devices, new investigator, the sponsor of any Medical research, Reporting and animal drugs, foods, including dietary recordkeeping requirements. investigation in which the investigator supplements, that bear a nutrient has been named as a participant, and Therefore, under the Federal Food, content claim or a health claim, infant the reviewing institutional review board Drug, and Cosmetic Act and under formulas, food and color additives, and (IRB(s)) that the investigator is not authority delegated to the Commissioner tobacco products. eligible to receive test articles under this of Food and Drugs, it is proposed that * * * * * part. The notification to the investigator, 21 CFR parts 16, 312, 511, and 812 be § 822.7(a)(3), relating to an order to sponsor, and IRB(s) will provide a amended as follows: conduct postmarket surveillance of a statement of the basis for such

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determination. The notification also will investigator has presented adequate eligible to receive test articles under this explain that an investigator determined assurances that the investigator will part. The notification to the investigator to be ineligible to receive test articles employ all test articles, and will and sponsor will provide a statement of under this part will be ineligible to conduct any clinical investigation that the basis for such determination. The conduct any clinical investigation that supports an application for a research or notification also will explain that an supports an application for a research or marketing permit for products regulated investigator determined to be ineligible marketing permit for products regulated by FDA, solely in compliance with the to receive test articles under this part by FDA, including drugs, biologics, applicable provisions of this chapter. will be ineligible to conduct any clinical devices, new animal drugs, foods, investigation that supports an including dietary supplements, that bear PART 511—NEW ANIMAL DRUGS FOR application for a research or marketing a nutrient content claim or a health INVESTIGATIONAL USE permit for products regulated by FDA, claim, infant formulas, food and color 5. The authority citation for 21 CFR including drugs, biologics, devices, new additives, and tobacco products. part 511 continues to read as follows: animal drugs, foods, including dietary (c) Each application or submission to supplements, that bear a nutrient FDA under the provisions of this Authority: 21 U.S.C. 321, 351, 352, 353, content claim or a health claim, infant 360b, 371. chapter and containing data reported by formulas, food and color additives, and an investigator who has been 6. Section 511.1 is amended by tobacco products. determined to be ineligible to receive revising paragraph (c) to read as follows: (3) Each application or submission to FDA-regulated test articles will be FDA under the provisions of this examined to determine whether the § 511.1 New animal drugs for investigational use exempt from section chapter and containing data reported by investigator has submitted unreliable 512(a) of the act. an investigator who has been data that are essential to the * * * * * determined to be ineligible to receive continuation of any investigation or FDA-regulated test articles will be essential to the approval of any (c) Disqualification of a clinical investigator. (1) If FDA has information examined to determine whether the marketing application, or essential to investigator has submitted unreliable the continued marketing of an FDA- indicating that an investigator (including a sponsor-investigator) has data that are essential to the regulated product. continuation of any investigation or (d) If the Commissioner determines, repeatedly or deliberately failed to essential to the approval of any after the unreliable data submitted by comply with the conditions of these marketing application, or essential to the investigator are eliminated from exempting regulations or has repeatedly the continued marketing of an FDA- consideration, that the data remaining or deliberately submitted to FDA or to regulated product. are inadequate to support a conclusion the sponsor false information in any that it is reasonably safe to continue the required report, the Center for (4) If the Commissioner determines, investigation, the Commissioner will Veterinary Medicine will furnish the after the unreliable data submitted by notify the sponsor who shall have an investigator written notice of the matter the investigator are eliminated from opportunity for a regulatory hearing complained of and offer the investigator consideration, that the data remaining under part 16 of this chapter. If a danger an opportunity to explain the matter in are inadequate to support a conclusion to the public health exists, however, the writing, or, at the option of the that it is reasonably safe to continue the Commissioner shall terminate the IND investigator, in an informal conference. investigation, the Commissioner will immediately and notify the sponsor and If an explanation is offered and accepted notify the sponsor who shall have an the reviewing IRB(s) of the termination. by the Center for Veterinary Medicine, opportunity for a regulatory hearing In such case, the sponsor shall have an the Center will discontinue pursuit of under part 16 of this chapter. If a danger opportunity for a regulatory hearing the disqualification proceeding. If an to the public health exists, however, the before FDA under part 16 of this chapter explanation is offered but not accepted Commissioner shall terminate the on the question of whether the IND by the Center for Veterinary Medicine, exemption immediately and notify the should be reinstated. The determination the investigator will be given an sponsor of the termination. In such case, that an investigation may not be opportunity for a regulatory hearing the sponsor shall have an opportunity considered in support of a research or under part 16 of this chapter on the for a regulatory hearing before FDA marketing application or a notification question of whether the investigator is under part 16 of this chapter on the or petition submission does not, eligible to receive test articles under this question of whether the exemption however, relieve the sponsor of any part and eligible to conduct any clinical should be reinstated. The determination obligation under any other applicable investigation that supports an that an investigation may not be regulation to submit to FDA the results application for a research or marketing considered in support of a research or of the investigation. permit for products regulated by FDA. marketing application or a notification (e) If the Commissioner determines, (2) After evaluating all available or petition submission does not, after the unreliable data submitted by information, including any explanation however, relieve the sponsor of any the investigator are eliminated from presented by the investigator, if the obligation under any other applicable consideration, that the continued Commissioner determines that the regulation to submit to FDA the results approval of the product for which the investigator has repeatedly or of the investigation. data were submitted cannot be justified, deliberately failed to comply with the (5) If the Commissioner determines, the Commissioner will proceed to conditions of the exempting regulations after the unreliable data submitted by withdraw approval of the product in in this subchapter, or has repeatedly or the investigator are eliminated from accordance with the applicable deliberately submitted to FDA or to the consideration, that the continued provisions of the relevant statutes. sponsor false information in any approval of the product for which the (f) An investigator who has been required report, the Commissioner will data were submitted cannot be justified, determined to be ineligible under notify the investigator and the sponsor the Commissioner will proceed to paragraph (b) of this section may be of any investigation in which the withdraw approval of the product in reinstated as eligible when the investigator has been named as a accordance with the applicable Commissioner determines that the participant that the investigator is not provisions of the relevant statutes.

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(6) An investigator who has been PART 812—INVESTIGATIONAL determined to be ineligible to receive determined to be ineligible under DEVICE EXEMPTIONS test articles under this part will be paragraph (c)(2) of this section may be ineligible to conduct any clinical 8. The authority citation for 21 CFR reinstated as eligible when the investigation that supports an part 812 continues to read as follows: Commissioner determines that the application for a research or marketing investigator has presented adequate Authority: 21 U.S.C. 331, 351, 352, 353, permit for products regulated by FDA, 355, 360, 360c–360f, 360h–360j, 371, 372, assurances that the investigator will including drugs, biologics, devices, new 374, 379e, 381, 382, 383; 42 U.S.C. 216, 241, animal drugs, foods, including dietary employ all test articles, and will 262, 263b–263n. conduct any clinical investigation that supplements, that bear a nutrient 9. Section 812.119 is revised to read content claim or a health claim, infant supports an application for a research or as follows: formulas, food and color additives, and marketing permit for products regulated tobacco products. by FDA, solely in compliance with the § 812.119 Disqualification of a clinical (c) Each application or submission to investigator. applicable provisions of this chapter. FDA under the provisions of this * * * * * (a) If FDA has information indicating chapter and containing data reported by that an investigator (including a an investigator who has been 7. Part 511 is amended by adding sponsor-investigator) has repeatedly or § 511.3 to read as follows: determined to be ineligible to receive deliberately failed to comply with the FDA-regulated test articles will be § 511.3 Definitions. requirements of this part, part 50 of this examined to determine whether the chapter, or part 56 of this chapter, or has investigator has submitted unreliable As used in this part: repeatedly or deliberately submitted to data that are essential to the Contract research organization means FDA or to the sponsor false information continuation of any investigation or a person that assumes, as an in any required report, the Center for essential to the clearance or approval of independent contractor with the Devices and Radiological Health, the any marketing application, or essential sponsor, one or more of the obligations Center for Biologics Evaluation and to the continued marketing of an FDA- Research, or the Center for Drug of a sponsor, e.g., design of a protocol, regulated product. Evaluation and Research will furnish (d) If the Commissioner determines, selection or monitoring of the investigator written notice of the investigations, evaluation of reports, after the unreliable data submitted by matter complained of and offer the the investigator are eliminated from and preparation of materials to be investigator an opportunity to explain submitted to FDA. consideration, that the data remaining the matter in writing, or, at the option are inadequate to support a conclusion Investigator means an individual who of the investigator, in an informal that it is reasonably safe to continue the actually conducts a clinical conference. If an explanation is offered investigation, the Commissioner will investigation (i.e., under whose and accepted by the applicable Center, notify the sponsor who shall have an immediate direction the drug is the Center will discontinue pursuit of opportunity for a regulatory hearing administered or dispensed to a subject). the disqualification proceeding. If an under part 16 of this chapter. If a danger In the event an investigation is explanation is offered but not accepted to the public health exists, however, the conducted by a team of individuals, the by the applicable Center, the Commissioner shall terminate the IDE investigator is the responsible leader of investigator will be given an immediately and notify the sponsor and the team. ‘‘Subinvestigator’’ includes any opportunity for a regulatory hearing the reviewing IRB(s) of the termination. other individual member of that team. under part 16 of this chapter on the In such case, the sponsor shall have an question of whether the investigator is opportunity for a regulatory hearing Sponsor means a person who takes eligible to receive test articles under this before FDA under part 16 of this chapter responsibility for and initiates a clinical part and eligible to conduct any clinical on the question of whether the IDE investigation. The sponsor may be an investigation that supports an should be reinstated. The determination individual or pharmaceutical company, application for a research or marketing that an investigation may not be governmental agency, academic permit for products regulated by FDA. considered in support of a research or institution, private organization, or (b) After evaluating all available marketing application or a notification other organization. The sponsor does information, including any explanation or petition submission does not, not actually conduct the investigation presented by the investigator, if the however, relieve the sponsor of any unless the sponsor is a sponsor- Commissioner determines that the obligation under any other applicable investigator. A person other than an investigator has repeatedly or regulation to submit to FDA the results individual that uses one or more of its deliberately failed to comply with the of the investigation. own employees to conduct an requirements of this part, part 50 of this (e) If the Commissioner determines, investigation that it has initiated is a chapter, or part 56 of this chapter, or has after the unreliable data submitted by sponsor, not a sponsor-investigator, and repeatedly or deliberately submitted to the investigator are eliminated from the employees are investigators. FDA or to the sponsor false information consideration, that the continued in any required report, the clearance or approval of the product for Sponsor-investigator means an Commissioner will notify the which the data were submitted cannot individual who both initiates and investigator, the sponsor of any be justified, the Commissioner will conducts an investigation, and under investigation in which the investigator proceed to rescind clearance or whose immediate direction the has been named as a participant, and withdraw approval of the product in investigational drug is administered or the reviewing IRB(s) that the accordance with the applicable dispensed. The term does not include investigator is not eligible to receive test provisions of the relevant statutes. any person other than an individual. articles under this part. The notification (f) An investigator who has been The requirements applicable to a to the investigator, sponsor, and IRB(s) determined to be ineligible under sponsor-investigator under this part will provide a statement of the basis for paragraph (b) of this section may be include both those applicable to an such determination. The notification reinstated as eligible when the investigator and a sponsor. also will explain that an investigator Commissioner determines that the

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investigator has presented adequate I. Background In general, the meeting format will assurances that the investigator will FSMA (Pub. L. 111–353) amends the include introductory presentations by employ all test articles, and will Federal Food, Drug, and Cosmetic Act FDA. Listening to our stakeholders is conduct any clinical investigation that (the FD&C Act) to establish the the primary purpose of this meeting. In supports an application for a research or foundation for a modernized, order to meet this goal, FDA will marketing permit for products regulated prevention-based food safety system and provide multiple opportunities for by FDA, solely in compliance with the gives FDA for the first time a legislative individuals to actively express their applicable provisions of this chapter. mandate to require comprehensive, views by making presentations at the meeting, participating in a total of three Dated: April 7, 2011. science-based preventive controls across 75-minute break-out sessions on the David Dorsey, the food supply. In particular, section 103 of FSMA provisions discussed at the meeting, and Acting Deputy Commissioner for Policy, submitting written comments to the requires the owner, operator, or agent in Planning and Budget. docket within 30 days after this charge of a facility that is required to [FR Doc. 2011–8786 Filed 4–12–11; 8:45 am] meeting. (Participants can select up to register under section 415 of the FD&C BILLING CODE 4160–01–P three of the following five break-out Act (21 U.S.C. 350d) to take certain sessions: Preventive Controls Guidance, preventive actions, including to On-Farm Manufacturing and Small evaluate the hazards that could affect DEPARTMENT OF HEALTH AND Business, Product Testing and food manufactured, processed, packed, HUMAN SERVICES Environmental Monitoring, Training or held by the facility, and to identify and Technical Assistance, and Food and Drug Administration and implement preventive controls to Preventive Controls and the significantly minimize or prevent the 21 CFR Chapter I Relationship to cGMPs.) There will be occurrence of such hazards. FDA is an interactive Webcast; see section III of required to develop regulations to [Docket No. FDA–2011–N–0251] this document, ‘‘How to Participate in establish science-based standards for the Meeting.’’ In order to provide conducting a hazard analysis, FDA Food Safety Modernization Act: Webcast participants with information documenting hazards, implementing Focus on Preventive Controls for before and after the meeting, we request preventive controls, and documenting Facilities; Public Meeting attendees provide their name, their their implementation. affiliation, and email when registering. AGENCY: Food and Drug Administration, In addition, FDA is required to issue HHS. guidance with respect to hazard analysis III. How To Participate in the Meeting ACTION: Notice of public meeting; and preventive controls. Given the Stakeholders will have an opportunity request for comment. diversity of registered facilities and to provide oral comments. Due to regulated foods, FDA will use the limited space and time, FDA encourages SUMMARY: The Food and Drug guidance to assist the food and feed all persons who wish to attend the Administration (FDA) is announcing a industries in complying with the meeting, including those requesting an public meeting entitled ‘‘FDA Food preventive controls regulations, when opportunity to make an oral Safety Modernization Act: Focus on they are finalized. FDA will leverage, presentation during the time allotted for Preventive Controls for Facilities.’’ The where appropriate, best practices for public comment at the meeting, to purpose of the public meeting is to hazards and controls identified by register in advance and to provide the provide interested persons an industry for specific types of food and specific topic or issue to be addressed opportunity to discuss implementation feed and specific methods in and the approximate desired length of of the preventive controls for facilities manufacturing, processing, packing, and their presentation. Depending on the provisions of the recently enacted FDA holding food and feed. FDA is interested number of requests for such oral Food Safety Modernization Act (FSMA). in making appropriate best practices presentations, there may be a need to FDA is seeking information on publicly available. FDA is particularly limit the time of each oral presentation preventive controls used by facilities to interested in preventive control (e.g., 3 minutes each). If time permits, identify and address hazards associated practices that are applicable and individuals or organizations that did not with specific types of food and specific practical for small and very small register in advance may be granted the processes. The public will have an businesses to implement. opportunity for such an oral presentation. FDA would like to opportunity to provide information and II. Purpose and Format of the Meeting share views that will inform the maximize the number of stakeholders development of guidance and If you wish to attend and/or present who make a presentation at the meeting regulations on preventive controls for at the meeting scheduled for April 20, and will do our best to accommodate all food facilities that manufacture, process, 2011, please register by e-mail at persons who wish to make a pack or hold human food or animal food http://www.blsmeetings.net/ presentation or express their views at and feed (including pet food). FDAPreventiveControls by April 15, the meeting. FDA anticipates that there DATES: See ‘‘How to Participate in the 2011. FDA is holding the public meeting will be several opportunities to speak in Meeting’’ in the SUPPLEMENTARY on section 103 of FSMA to receive input break-out sessions and an interactive INFORMATION section of this document. from the public to inform the Webcast will also be available for development of the regulations and stakeholders who are not onsite. FOR FURTHER INFORMATION CONTACT: guidance identified previously in this FDA encourages persons and groups Patricia M. Kuntze, Office of External document. FDA will also consider input who have similar interests to Affairs, Food and Drug Administration, it has received previously through its consolidate their information for 10903 New Hampshire Ave., Bldg. 32, engagement of stakeholders as part of presentation through a single rm. 5322, Silver Spring, MD 20993, the process to examine and update representative. After reviewing the 301–796–8641, current good manufacturing practice presentation requests, FDA will notify [email protected]. requirements and to develop an animal each participant before the meeting of SUPPLEMENTARY INFORMATION: feed safety system. the amount of time available and the

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approximate time their presentation is registration is recommended because Table 1 of this document provides scheduled to begin. seating is limited. Onsite registration information on participating in the There is no fee to register for the will be accepted after all preregistered meeting and on submitting comments to public meeting and registration will be attendees are seated. the docket. on a first-come, first-served basis. Early TABLE 1—INFORMATION ON PARTICIPATION IN THE MEETING AND SUBMITTING COMMENTS

Date Electronic address Address (non-electronic) Other information

Date of Public Meeting ...... April 20, 2011, 9 a.m. to 5:30 ...... FDA White Oak Campus, The Registration begins at 7:30 p.m. Great Room, Bldg. 31, rm. a.m. 1503, 10903 New Hamp- shire Ave., Silver Spring, MD 20993. Webcast ...... April 20, 2011, 9 a.m. to 5:30 https://collaboration.fda.gov/ ...... • If you have never attended a p.m. preventivecontrols/. ConnectPRO meeting: Test your connection: https://col- laboration.fda.gov/common/ help/en/support/meet- ing_test.htm. Get a quick overview: http:// www.adobe.comgo/ connectpro_overview.1 • The webcast will provide closed captioning. Advance Registration ...... By April 15, 2011 ...... http://www.blsmeetings.net/ ...... Registration to attend the FDAPreventiveControls. meeting will also be accept- ed onsite on the day of the meeting, as space permits. Registration information may be posted without change to http://www.regulations.gov, including any personal infor- mation provided. Request special accommoda- By April 15, 2011 ...... Patricia M. Kuntze, 301–796– tions due to disability. 8641, email: Patricia.Kuntze @fda.hhs.gov. Make a request for oral pres- By April 15, 2011 ...... http://www.blsmeetings.net/ ...... Requests made on the day of entation. FDAPreventiveControls. the meeting to make an oral presentation may be granted as time permits. Information on requests to make an oral presentation may be posted without change to http:// www.regulations.gov, includ- ing any personal information provided. Provide a brief description of By April 15, 2011 ...... http://www.blsmeetings.net/ ...... Written material associated the oral presentation and FDAPreventiveControls. with an oral presentation any written material for the should be submitted in presentation. Microsoft PowerPoint, Micro- soft Word, or Adobe Port- able Document Format (PDF) and may be posted without change to http:// www.regulations.gov, includ- ing any personal information provided. Submit electronic or written Submit comments by May 20, Federal eRulemaking Portal: FAX: 301–827–6870. Mail/ All comments must include the comments. 2011. http://www.regulations.gov. Hand delivery/Courier (for Agency name and the dock- Follow the instructions for paper, disk, or CD–ROM et number in brackets in the submitting comments. submissions): Division of heading of this document. All Dockets Management (HFA– received comments may be 305), Food and Drug Admin- posted without change to istration, 5630 Fishers Lane, http://www.regulations.gov, rm. 1061, Rockville, MD including any personal infor- 20852. mation provided. FDA en- courages the submission of electronic comments by using the Federal eRulemaking Portal. For ad- ditional information on sub- mitting comments, see the ‘‘Comments’’ heading of the SUPPLEMENTARY INFOR- MATION section of this doc- ument. 1 Adobe, the Adobe logo, Acrobat and Acrobat Connect are either registered trademarks or trademarks of Adobe Systems Incorporated in the United States and/or other countries.

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IV. Comments DATES: The Department of State will articles even if ITAR-controlled Regardless of attendance at the public accept comments on this proposed rule ‘‘technical data’’ is not provided to a meeting, interested persons may submit until June 13, 2011. foreign person during the provision of to the Division of Dockets Management ADDRESSES: Interested parties may such services. Additionally, the new (see table 1 of this document) either submit comments within 60 days of the rule specifies that training for foreign electronic or written comments for date of the publication by any of the ‘‘units or forces’’ will be considered a consideration at or after the meeting in following methods: defense service only if the training • addition to, or in place of, a request for E-mail: involves the employment of a defense an opportunity to make an oral [email protected] with the article, regardless of whether technical presentation. It is only necessary to send subject line, ‘‘Regulatory Changes— data is involved. This operational Defense Services.’’ definition improves upon the current one set of comments. It is no longer • necessary to send two copies of mailed Mail: PM/DDTC, SA–1, 12th Floor, open-ended wording of § 120.9(a)(3), comments. Received comments may be Directorate of Defense Trade Controls, which covers ‘‘military training of seen in the Division of Dockets Office of Defense Trade Controls Policy, foreign units and forces.’’ Also, Management between 9 a.m. and 4 p.m., ATTN: Regulatory Changes—Defense significantly, the proposed new rule Monday through Friday. Services, Bureau of Political Military specifies in subpart (b) examples of Affairs, U.S. Department of State, activities that do not constitute defense V. Transcripts Washington, DC 20522–0112. services. For example, the proposed • Please be advised that as soon as a Internet: View this notice by new rule would prevent the anomalous transcript is available, it will be searching for its RIN on the U.S. situation where foreign companies are accessible at http://www.regulations.gov Government regulations Web site at reluctant to hire U.S. citizens for fear and http://www.fda.gov/Food/ http://www.regulations.gov. that such employment alone constitutes FoodSafety/FSMA/default.htm. It may FOR FURTHER INFORMATION CONTACT: a defense service, even where no be viewed at the Division of Dockets Director Charles B. Shotwell, Office of technical data would be transferred to Management (HFA–305), Food and Drug Defense Trade Controls Policy, the employer. Administration, 5630 Fishers Lane, rm. Department of State, Telephone (202) A new § 120.38 is proposed to provide 1061, Rockville, MD 20852. A transcript 663–1282 or Fax (202) 261–8199; E-mail definitions for ‘‘Organizational-Level will also be available in either hardcopy [email protected]. ATTN: Maintenance’’ (or basic level or on CD–ROM, after submission of a Regulatory Changes—Defense Services. maintenance), ‘‘Intermediate-Level Freedom of Information request. Written SUPPLEMENTARY INFORMATION: As part of Maintenance,’’ and ‘‘Depot-Level requests are to be sent to Division of the President’s Export Control Reform Maintenance,’’ terms used in the Freedom of Information (HFI–35), Office effort, the Department of State is proposed revision of § 120.9. of Management Programs, Food and proposing to amend parts 120 and 124 The Department proposes to make Drug Administration, 5600 Fishers of the ITAR to reflect new policy several other conforming changes to the Lane, rm. 6–30, Rockville, MD 20857. regarding coverage of defense services. ITAR. The proposed rule modifies § 124.1(a), which describes the approval Dated: April 7, 2011. The Department reviewed the ITAR’s treatment of defense services with a requirements of manufacturing license David Dorsey, view to enhancing support to allies and agreements and technical assistance Acting Deputy Commissioner for Policy, friends, improving efficiency in agreements. The proposed change Planning and Budget. licensing, and reducing unintended removes the requirement in § 124.1(a) to [FR Doc. 2011–8785 Filed 4–12–11; 8:45 am] consequences. As a result, it was seek the Directorate of Defense Trade BILLING CODE 4160–01–P determined that the current definition of Controls’ approval if the defense service defense services in § 120.9 is overly that is being rendered uses public broad, capturing certain forms of domain data or data otherwise exempt DEPARTMENT OF STATE assistance or services that do not from ITAR licensing requirements. This warrant ITAR control. The proposed change would be made to conform with 22 CFR Parts 120 and 124 change in subpart (a) of the definition of the revisions made to § 120.9. The ‘‘defense services’’ narrows the focus of Department proposes to delete [Public Notice: 7415] services to furnishing of assistance § 124.2(a), as this requirement is no (including training) using ‘‘other than longer applicable as a result of proposed RIN 1400–AC80 public domain data’’, integrating items changes to § 120.9. Conforming changes are to be made to § 124.2(c) to reflect the International Traffic in Arms into defense articles, or training of proposed deletion of § 124.2(a). Regulations: Defense Services foreign forces in the employment of defense articles. Consequently, services This proposed rule was presented to AGENCY: Department of State. based solely upon the use of public the Defense Trade Advisory Group ACTION: Proposed rule. domain data would not constitute (DTAG), a Department of State advisory defense services under this part of the committee, for purposes of comment SUMMARY: The Department of State definition and, therefore, would not and evaluation. The DTAG commented proposes to amend the International require a license, technical assistance favorably on most aspects of this Traffic in Arms Regulations (ITAR) to agreement, or manufacturing license proposed rule, but also recommended update the policy regarding defense agreement to provide to a foreign certain changes. Having thoroughly services, to clarify the scope of activities person. The proposed new definition of reviewed and evaluated the comments that are considered a defense service, defense service also includes a new and the recommended changes, the and to provide definitions of provision that would control the Department has determined that it will ‘‘Organizational-Level Maintenance,’’ ‘‘integration’’ of items, whether proceed with the proposed rule per the ‘‘Intermediate-Level Maintenance,’’ and controlled by the U.S. Munitions List Department’s evaluation of the written ‘‘Depot-Level Maintenance,’’ and to (USML) or the Commerce Control List comments and recommendations as make other conforming changes. (CCL), into USML controlled defense follows:

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The DTAG recommended the qualifier ‘‘tactical employment.’’ We did not agree Unfunded Mandates Reform Act of 1995 ‘‘U.S. origin’’ be added before ‘‘technical with the need to define the first term, This proposed amendment does not data’’ in the proposed § 120.9. We note believing that the meaning should be involve a mandate that will result in the the current definition of technical data clear in the context of the proposed rule. expenditure by State, local, and tribal in § 120.10 is not restricted to U.S. Subsequent to the DTAG’s evaluation of governments, in the aggregate, or by the origin data. We do not believe that a this proposed rule, the word ‘‘tactical’’ private sector, of $100 million or more departure from the existing definition of was removed from before the word in any year and it will not significantly technical data for the purposes of ‘‘employment’’ in § 120.9(a)(3). In or uniquely affect small governments. defense services is prudent. However, § 120.9(a)(3), the DTAG recommended Therefore, no actions were deemed the confusion caused by the term we change ‘‘conducting direct combat necessary under the provisions of the ‘‘technical data’’ lead to the rewrite of operations or providing intelligence Unfunded Mandates Reform Act of the definition to require the use of data services for a foreign person’’ to 1995. ‘‘other than public domain data’’ as the ‘‘conducting direct combat operations of regulatory standard. This rewrite Small Business Regulatory Enforcement a military function for or providing Fairness Act of 1996 provides clarity and an objective military intelligence services to a standard that can be easily applied. This proposed amendment has been foreign person.’’ We do not believe that Using data that is ‘‘other than public found not to be a major rule within the adding the words ‘‘military function’’ or domain data,’’ including proprietary meaning of the Small Business ‘‘military’’ are necessary or add clarity. data or ‘‘technology’’ ‘‘subject to the Regulatory Enforcement Fairness Act of Export Administration Regulations,’’ to The clarification in subsection § 120.9 1996. provide assistance would constitute a (b)(5) suffices. Executive Orders 12372 and 13132 defense service under this change. The The DTAG advised that ‘‘U.S. citizen’’ DTAG also recommended adding in § 120.9 (b)(2) be changed to ‘‘U.S. This proposed amendment will not definitions of ‘‘intermediate or depot person.’’ We did not concur with that have substantial direct effects on the level repair or maintenance.’’ We agreed recommendation because the proposed States, on the relationship between the with the recommendation and added rule was intended to cover individuals, national government and the States, or such definitions in a new § 120.38. The not business entities such as on the distribution of power and DTAG agreed with the addition of corporations. The use of ‘‘U.S. persons’’ responsibilities among the various ‘‘integration’’ but recommended that a would have included the latter. The levels of government. Therefore, in definition of that term be added, DTAG recommended we add the words accordance with Executive Order 13132, especially to distinguish it from ‘‘or installed’’ after the word ‘‘integrated’’ it is determined that this proposed ‘‘installation.’’ We declined to accept in § 120.9 (b)(3). We accepted the amendment does not have sufficient federalism implications to require that recommendation, finding that inclusion of those words, but consultations or warrant the preparation integration has plain meaning in the subsequently changed the word of a federalism summary impact context of the proposed rule. As used in ‘‘integrated’’ to ‘‘incorporated.’’ The statement. The regulations the proposed definition of defense DTAG also suggested adding ‘‘physical implementing Executive Order 12372 services, ‘‘installation’’ means the act of security or personal protective training’’ putting something in its pre-determined regarding intergovernmental to § 120.9 (b)(4). We accepted that consultation on Federal programs and place and does not require changes or change. modifications to the item in which it is activities do not apply to this proposed being installed (e.g., installing a Regulatory Analysis and Notices amendment. dashboard radio into a military vehicle Executive Order 12866 where no changes or modifications to Administrative Procedure Act The Department of State does not the vehicle are required; connecting The Department of State is of the wires and fastening the radio inside of consider this proposed rule to be a opinion that controlling the import and ‘‘ ’’ the preexisting opening is the only significant regulatory action under export of defense services is a foreign Executive Order 12866, section 3(f), assistance that is necessary). affairs function of the United States ‘‘Integration’’ means the systems Regulatory Planning and Review. The Government and that rules Department is of the opinion that engineering design process of uniting implementing this function are exempt two or more things in order to form, controlling the import and export of from § 553 (Rulemaking) and § 554 coordinate, or blend into a functioning defense articles and services is a foreign (Adjudications) of the Administrative or unified whole, including affairs function of the United States Procedure Act. Although the introduction of software to enable Government and that rules governing proper operation of the device. This Department is of the opinion that this the conduct of this function are exempt includes determining where to install proposed rule is exempt from the from the requirements of Executive something (e.g., integration of a civil rulemaking provisions of the APA, the Order 12866. engine into a destroyer which requires Department is publishing this proposed Executive Order 13563 rule with a 60-day provision for public changes or modifications to the The Department of State has destroyer in order for the civil engine to comment and without prejudice to its determination that controlling the considered this rule in light of Section operate properly; not simply plug and 1(b) of Executive Order 13563, dated play). The DTAG suggested that import and export of defense services is a foreign affairs function. January 18, 2011, and affirms that this language in § 120.9(a)(3) be changed regulation is consistent with the from ‘‘whether or not use of technical Regulatory Flexibility Act guidance therein. data is involved’’ to ‘‘whether or not the transfer of technical data is involved.’’ Since this proposed amendment is not Executive Order 12988 We adopted that recommendation. subject to 5 U.S.C. 553, it does not The Department of State has reviewed The DTAG suggested we add require analysis under the Regulatory this proposed amendment in light of definitions of ‘‘irregular forces’’ and Flexibility Act. sections 3(a) and 3(b)(2) of Executive

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Order 12988 to eliminate ambiguity, Control List (see 15 CFR part 774) into ‘‘off-equipment’’ (on removed minimize litigation, establish clear legal an end item (see § 121.8(a) of this components, parts, or equipment) by standards, and reduce burden. subchapter) or component (see designated maintenance shops or § 121.8(b) of this subchapter) that is centers, tenders, and mobile teams in Executive Order 13175 controlled as a defense article on the direct support of end-users units or The Department of State has USML, regardless of the origin; or organizations. Its phases consist of: determined that this proposed (3) Training or providing advice to Calibration, repair, or testing and amendment will not have tribal foreign units and forces, regular and replacement of damaged or implications, will not impose irregular, regardless of whether unserviceable parts, components, or substantial direct compliance costs on technical data is transferred to a foreign assemblies. Indian tribal governments, and will not person, including formal or informal (c) Depot-level maintenance is third- pre-empt tribal law. Accordingly, the instruction of foreign persons in the level maintenance performed on-or off- requirement of Section 5 of Executive United States or abroad by any means equipment at or by a major repair Order 13175 does not apply to this including classroom or correspondence facility, shipyard, or field team with proposed amendment. instruction, conduct or evaluation of extensive equipment, and personnel of training and training exercises, in the Paperwork Reduction Act higher technical skill in direct support employment of defense articles; or of end-user units or organizations. It This proposed amendment does not (4) Conducting direct combat consists of providing evaluation or impose any new reporting or operations for or providing intelligence repair beyond unit or organizations recordkeeping requirements subject to services to a foreign person directly capability. Its phases include: the Paperwork Reduction Act, 44 U.S.C. related to a defense article. Inspection, testing, calibration or repair, Chapter 35. (b) The following is not a defense including overhaul, reconditioning and service: one-to-one replacement of any defective List of Subjects in 22 CFR Parts 120 and (1) Training in the basic operation items, parts or components; and 124 (functional level) or basic maintenance excluding any modification, Arms and munitions, Exports. (see § 120.38) of a defense article; or (2) Mere employment of a U.S. citizen enhancement upgrade or other form of Accordingly, for the reasons set forth by a foreign person; or alteration or improvement that enhances above, title 22, chapter I, subchapter M, (3) Testing, repair, or maintenance of the performance or capability of the parts 120 and 124 are amended as an item ‘‘subject to the Export defense article. follows: ’’ Administration Regulations (see 15 PART 124—AGREEMENTS, OFF- PART 120—PURPOSE AND CFR 734.2) administered by the SHORE PROCUREMENT AND OTHER DEFINITIONS Department of Commerce, Bureau of DEFENSE SERVICES Industry and Security, that has been 1. The authority citation for part 120 incorporated or installed into a defense 4. The authority citation for part 124 continues to read as follows: article; or continues to read as follows: (4) Providing law enforcement, Authority: Secs. 2, 38, and 71, Pub. L. 90– Authority: Sec. 2, 38, and 71, Pub. L. 90– 629, 90 Stat. 744 (22 U.S.C. 2752, 2778, physical security or personal protective 629, 90 Stat. 744 (22 U.S.C. 2752, 2778, 2797); 22 U.S.C. 2794; E.O. 11958, 42 FR training, advice, or services to or for a 2797); E.O. 11958, 42 FR 4311; 3 CFR 1977 4311; E.O. 13284, 68 FR 4075; 3 CFR, 1977 foreign person (see § 120.16 of this Comp. p. 79; 22 U.S.C. 2651a; 22 U.S.C. 2776; Comp. p. 79; 22 U.S.C. 2651a; Pub. L. 105– subchapter), using only public domain Pub. L. 105–261. 261, 112 Stat. 1920. data; or 5. Section 124.1(a) is revised to read (5) Providing assistance (including 2. Section 120.9 is amended by as follows: revising paragraphs (a)(1), (a)(2), and training) in medical, logistical (other (a)(3), and adding new paragraphs (a)(4) than maintenance), or other § 124.1 Manufacturing license agreements and (b) to read as follows: administrative support services to or for and technical assistance agreements. a foreign person. (a) Approval. The approval of the § 120.9 Defense service. 3. Sections 120.33 through 120.37 are Directorate of Defense Trade Controls (a) * * * added and reserved, and a new § 120.38 must be obtained before the defense (1) The furnishing of assistance is to be added to read as follows: services described in § 120.9(a) of this (including training) using other than § 120.33–120.37 [Reserved] subchapter may be furnished. In order public domain data to foreign persons to obtain such approval, the U.S. person (see § 120.16 of this subchapter), § 120.38 Maintenance levels. must submit a proposed agreement to whether in the United States or abroad, (a) Organizational-level maintenance the Directorate of Defense Trade in the design, development, (or basic level maintenance) is the first Controls. Such agreements are generally engineering, manufacture, production, level of maintenance performed by an characterized as manufacturing license assembly, testing, intermediate or depot end-user unit or organization ‘‘on- agreements, technical assistance level repair or maintenance (see equipment’’ (directly on the defense agreements, distribution agreements, or § 120.38 of this subchapter), article or support equipment) assigned off-shore procurement agreements, and modification, demilitarization, to the inventory of the end-user unit or may not enter into force without the destruction, or processing of defense organization. Its phases consist of prior written approval of the Directorate articles (see § 120.6 of this subchapter); repair, inspecting, servicing, or of Defense Trade Controls. Once or calibration, testing, lubricating and approved, the defense services (2) The furnishing of assistance to adjusting equipment, as well as described in the agreements may foreign persons, whether in the United replacing minor parts, components, generally be provided without further States or abroad, for the integration of assemblies and line-replaceable spares licensing in accordance with §§ 124.3 any item controlled on the U.S. or units. and 125.4(b)(2) of this subchapter. This Munitions List (USML) (see § 121.1 of (b) Intermediate-level maintenance is requirement also applies to the training this subchapter) or the Commerce second-level maintenance performed of any foreign military forces, regular

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and irregular, in the employment of discharge of indebtedness income of a statute; examples of statutory defense articles. Technical assistance grantor trust or a disregarded entity. The disregarded entities include a agreements must be submitted in such proposed regulations affect grantor corporation that is a qualified REIT cases. In exceptional cases, the trusts, disregarded entities, and their subsidiary (within the meaning of Directorate of Defense Trade Controls, owners. section 856(i)(2)), and a corporation that upon written request, will consider DATES: Written or electronic comments is a qualified subchapter S subsidiary approving the provision of defense and requests for a public hearing must (within the meaning of section services described in § 120.9(a) of this be received by July 12, 2011. 1361(b)(3)(B)). The activities of an entity that is a subchapter by granting a license under ADDRESSES: Send submissions to: disregarded entity are treated in the part 125 of this subchapter. CC:PA:LPD:PR (REG–154159–09), Room same manner as a sole proprietorship, * * * * * 5203, Internal Revenue Service, P.O. branch, or division of the owner (except 6. In § 124.2, paragraph (a) is removed Box 7604, Ben Franklin Station, for certain employment and excise tax and reserved and paragraph (c) Washington, DC 20044. Submissions rules). Accordingly, for Federal income introductory text is revised to read as may be hand-delivered Monday through tax purposes, all assets, liabilities, and follows: Friday between the hours of 8 a.m. and items of income, deduction, and credit 4 p.m. to CC:PA:LPD:PR (REG–154159– § 124.2 Exemptions for training and of a disregarded entity are treated as 09), Courier’s Desk, Internal Revenue military service. assets, liabilities, and such items (as the Service, 1111 Constitution Avenue, case may be) of the owner of the (a) [Reserved] NW., Washington, DC; or sent disregarded entity. * * * * * electronically, via the Federal (c) For NATO countries, Australia, A grantor trust is any portion of a eRulemaking Portal at http:// trust that is treated (under subpart E of Japan and Sweden, in addition to the www.regulations.gov (IRS REG–154159– part I of subchapter J of chapter 1) as basic maintenance information 09). being owned by the grantor or another exemption in § 125.4(b)(5) of this FOR FURTHER INFORMATION CONTACT: person. In the case of any grantor trust, subchapter, no technical assistance Bryan A. Rimmke or Benjamin H. items of income, deductions, and credits agreement is required for maintenance Weaver, (202) 622–3050 (not a toll-free attributable to the trust are includable in training or the performance of number). computing the taxable income and maintenance, including the export of SUPPLEMENTARY INFORMATION: credits of the owner. supporting technical data, when the following criteria can be met: Background Explanation of Provisions * * * * * Section 61(a)(12) of the Internal The proposed regulations provide Dated: April 5, 2011. Revenue Code (the Code) provides that that, for purposes of applying section Ellen O. Tauscher, income from the discharge of 108(a)(1)(A) and (B) to discharge of indebtedness is includable in gross indebtedness income of a grantor trust Under Secretary, Arms Control and International Security, Department of State. income. However, such income may be or a disregarded entity, the term excludable from gross income under taxpayer, as used in section 108(a)(1) [FR Doc. 2011–8998 Filed 4–12–11; 8:45 am] section 108 in certain circumstances. and (d)(1) through (3), refers to the BILLING CODE 4710–25–P Section 108(a)(1)(A) and (B) excludes owner(s) of the grantor trust or from gross income any amount that disregarded entity. The proposed would be includible in gross income by regulations further provide that grantor DEPARTMENT OF THE TREASURY reason of the discharge of indebtedness trusts and disregarded entities of the taxpayer if the discharge occurs themselves will not be considered Internal Revenue Service in a Title 11 case or to the extent the owners for this purpose. Finally, the taxpayer is insolvent when the proposed regulations provide that, in 26 CFR Part 1 discharge occurs. Section 108(d)(1) the case of a partnership, the owner [REG–154159–09] through (3) provides the meaning of the rules apply at the partner level to the terms ‘‘indebtedness of the taxpayer,’’ partners of the partnership to whom the RIN 1545–BJ14 ‘‘Title 11 case,’’ and ‘‘insolvent,’’ for discharge of indebtedness income is Guidance Under Section 108(a) purposes of applying section 108, and allocable. Thus, for example, if a Concerning the Exclusion of Section each definition uses the term ‘‘taxpayer.’’ partnership holds an interest in a 61(a)(12) Discharge of Indebtedness Section 7701(a)(14) defines a taxpayer grantor trust or disregarded entity, the Income of a Grantor Trust or a as any person subject to any internal applicability of section 108(a)(1)(A) and Disregarded Entity revenue tax. (B) to discharge of indebtedness income Several types of disregarded entities of the grantor trust or disregarded entity AGENCY: Internal Revenue Service (IRS), exist under the Code and regulations. is tested by looking to the partners to Treasury. For instance, § 301.7701–2(a) of the whom the income is allocable. If any ACTION: Notice of proposed rulemaking. Procedure and Administration partner is itself a grantor trust or Regulations provides that the term disregarded entity, the applicability of SUMMARY: This document contains business entity includes an entity with section 108(a)(1)(A) and (B) is proposed regulations relating to the a single owner that may be disregarded determined by looking through such exclusion from gross income under as an entity separate from its owner grantor trust or disregarded entity to the section 108(a) of discharge of under § 301.7701–3; an example of a ultimate owner(s) of such partner. indebtedness income of a grantor trust disregarded entity under this provision Some taxpayers have taken the or an entity that is disregarded as an is a domestic single member limited position that the insolvency exception is entity separate from its owner. The liability company that does not elect to available to the extent a grantor trust or proposed regulations provide rules be classified as a corporation for Federal disregarded entity is insolvent, even if regarding the term ‘‘taxpayer’’ for income tax purposes. Additionally, its owner is not. The IRS and the purposes of applying section 108 to some disregarded entities are created by Treasury Department do not believe this

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is an appropriate application of the consideration will be given to any case, but the owner of the grantor trust relevant statutory provisions. The written (a signed original and eight (8) or disregarded entity is not, section proposed regulations clarify that, copies) or electronic comments that are 108(a)(1)(A) will not apply to the subject to the special rule for submitted timely to the IRS. The IRS discharge of indebtedness income. If partnerships under section 108(d)(6), and Treasury Department request indebtedness of a grantor trust or the insolvency exception is available comments on the clarity of the proposed disregarded entity is otherwise only to the extent the owner is rules and how they can be made easier discharged, section 108(a)(1)(B) will insolvent, as owner is determined as to understand. All comments will be apply only to the extent the owner of described in this preamble. available for public inspection and the grantor trust or disregarded entity is Some taxpayers have taken the copying. A public hearing may be insolvent. If the grantor trust or position that the bankruptcy exception scheduled if requested in writing by any is available if a grantor trust or disregarded entity is insolvent, but the person that timely submits written owner of the grantor trust or disregarded disregarded entity is under the comments. If a public hearing is entity is not, section 108(a)(1)(B) will jurisdiction of a bankruptcy court, even scheduled, notice of the date, time, and not apply to the discharge of if its owner is not. These taxpayers may place for the public hearing will be argue that because, for Federal income published in the Federal Register. indebtedness income. tax purposes, the disregarded entity is (b) Application to partnerships. Under disregarded and the ‘‘taxpayer’’ is the Drafting Information section 108(d)(6), in the case of a owner of the disregarded entity’s assets The principal authors of these partnership, section 108(a)(1)(A) and (B) and liabilities, the taxpayer is properly regulations are Bryan A. Rimmke and applies at the partner level. seen as being subject to the bankruptcy Benjamin H. Weaver, Office of the Accordingly, in the case of a court’s jurisdiction. Under the proposed Associate Chief Counsel (Passthroughs partnership, paragraph (a) of this section regulations, it is insufficient for the & Special Industries). However, other applies to the partners of such grantor trust or disregarded entity to be personnel from the IRS and Treasury partnership to whom the discharge of subject to the bankruptcy court’s Department participated in its indebtedness income is allocable. jurisdiction. The proposed regulations development. clarify that, subject to the special rule (c) Definitions—(1) Disregarded for partnerships under section 108(d)(6), List of Subjects in 26 CFR Part 1 entities. For purposes of this section, a the bankruptcy exception is available Income taxes, Reporting and disregarded entity is an entity that is only if the owner of the grantor trust or recordkeeping requirements. disregarded as an entity separate from its owner for Federal income tax disregarded entity is subject to the Proposed Amendments to the purposes. Examples of disregarded bankruptcy court’s jurisdiction, as Regulations owner is determined as described in this entities include a domestic single preamble. Accordingly, 26 CFR part 1 is member limited liability company that proposed to be amended as follows: Proposed Effective/Applicability Date does not elect to be classified as a corporation for Federal income tax PART 1—INCOME TAXES These regulations are proposed to purposes, a corporation that is a apply to discharge of indebtedness Paragraph 1. The authority citation qualified REIT subsidiary (within the income occurring on or after the date for part 1 continues to read in part as meaning of section 856(i)(2)), and a final regulations are published in the follows: corporation that is a qualified Federal Register. No inference is subchapter S subsidiary (within the intended that the provisions set forth in Authority: 26 U.S.C. 7805 * * * meaning of section 1361(b)(3)(B)). these proposed regulations are not Par. 2. Section 1.108–9 is added to current law. read as follows: (2) Grantor trust. For purposes of this section, a grantor trust is any portion of Special Analyses § 1.108–9 Application of insolvency and a trust that is treated under subpart E of It has been determined that this notice bankruptcy provisions of section 108 to disregarded entities and grantor trusts. part I of subchapter J of chapter 1 as of proposed rulemaking is not a being owned by the grantor or another (a) General rule. For purposes of significant regulatory action as defined person. in Executive Order 12866. Therefore, a applying section 108(a)(1)(A) and (B) to regulatory assessment is not required. It discharge of indebtedness income of a (3) Owner. Notwithstanding any other has also been determined that section grantor trust or disregarded entity, provision of this section to the contrary, 553(b) of the Administrative Procedure neither the grantor trust nor the neither a grantor trust nor a disregarded Act (5 U.S.C. chapter 5) does not apply disregarded entity shall be considered to entity shall be considered an owner for to these regulations, and because the be the ‘‘taxpayer,’’ as that term is used purposes of this section. regulations do not impose a collection in section 108(a)(1) and (d)(1) through (d) Effective/applicability date. The of information on small entities, the (3). Rather, for purposes of section rules of this section are proposed to Regulatory Flexibility Act (5 U.S.C. 108(a)(1) and (d)(1) through (3) and apply to discharge of indebtedness chapter 6) does not apply. Pursuant to subject to section 108(d)(6), the owner income occurring on or after the date section 7805(f) of the Code, this of the grantor trust or disregarded entity final regulations are published in the is the taxpayer. If indebtedness of a regulation has been submitted to the Federal Register. Chief Counsel for Advocacy of the Small grantor trust or disregarded entity is Business Administration for comment discharged in a Title 11 case, section Steven T. Miller, on its impact on small business. 108(a)(1)(A) will apply only to an owner Deputy Commissioner for Services and of the grantor trust or disregarded entity Enforcement. Comments and Requests for a Public that is under the jurisdiction of the [FR Doc. 2011–8758 Filed 4–12–11; 8:45 am] Hearing court in a Title 11 case. If the grantor BILLING CODE 4830–01–P Before the proposed regulations are trust or disregarded entity is under the adopted as final regulations, jurisdiction of the court in a Title 11

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DEPARTMENT OF THE TREASURY written comments, must submit an DATES: Comments and related material outline of the topics to be discussed and must be received by the Coast Guard on Internal Revenue Service the amount of time to be devoted to or before May 31, 2011. each topic (signed original and eight (8) Requests for public meetings must be 26 CFR Parts 1 and 31 copies) by Friday, April 8, 2011. received by the Coast Guard on or before A period of 10 minutes is allotted to April 20, 2011. [REG–146097–09] each person for presenting oral ADDRESSES: You may submit comments RIN 1545–BJ01 comments. After the deadline for identified by docket number USCG– receiving outlines has passed, the IRS 2011–0103 using any one of the Guidance on Reporting Interest Paid to will prepare an agenda containing the following methods: Nonresident Aliens; Hearing schedule of speakers. Copies of the (1) Federal e-Rulemaking Portal: agenda will be made available, free of AGENCY: Internal Revenue Service (IRS), http://www.regulations.gov. charge, at the hearing or in the Freedom Treasury. (2) Fax: 202–493–2251. of Information Reading Room (FOIA RR) (3) Mail: Docket Management Facility ACTION: Notice of public hearing on (Room 1621) which is located at the (M–30), U.S. Department of proposed rulemaking. 11th and Pennsylvania Avenue, NW. Transportation, West Building Ground SUMMARY: This document contains a entrance, 1111 Constitution Avenue, Floor, Room W12–140, 1200 New Jersey rescheduled notice of public hearing on NW., Washington, DC. Avenue, SE., Washington, DC 20590– a notice of proposed rulemaking (REG– Because of access restrictions, the IRS 0001. 146097–09) that was published in the will not admit visitors beyond the (4) Hand delivery: Same as mail Federal Register on Tuesday, January immediate entrance area more than 30 address above, between 9 a.m. and 18, 2011 (76 FR 2852) and Friday, minutes before the hearing starts. For 5 p.m., Monday through Friday, except January 7, 2011 (76 FR 1105) providing information about having your name Federal holidays. The telephone number guidance on the reporting requirements placed on the building access list to is 202–366–9329. To avoid duplication, please use only for interest on deposits maintained at attend the hearing, see the FOR FURTHER one of these four methods. See the U.S. offices of certain financial INFORMATION CONTACT section of this ‘‘Public Participation and Request for institutions and paid to nonresident document. Comments’’ portion of the alien individuals. Guy R. Traynor, SUPPLEMENTARY INFORMATION section DATES: The public hearing is being Acting Chief, Publications and Regulations below for instructions on submitting rescheduled on Monday, April 25, 2011, Branch, Legal Processing Division, Associate comments. at 10 a.m. Chief Counsel (Procedure and Administration). FOR FURTHER INFORMATION CONTACT: If ADDRESSES: The public hearing is being you have questions on this proposed held in the auditorium, Internal [FR Doc. 2011–8771 Filed 4–12–11; 8:45 am] rule, call or e-mail MST1 David Labadie Revenue Building, 1111 Constitution BILLING CODE 4830–01–P of the Waterways Management Division, Avenue, NW., Washington, DC. Send U.S. Coast Guard Sector Boston; submissions to: CC:PA:LPD:PR (REG– telephone 617–223–3010, e-mail 146097–09), Room 5203, Internal DEPARTMENT OF HOMELAND [email protected]. If you have Revenue Service, P.O. Box 7604, Ben SECURITY questions on viewing or submitting Franklin Station, Washington, DC material to the docket, call Renee V. 20044. Submissions may be hand- Coast Guard Wright, Program Manager, Docket delivered Monday through Friday Operations, telephone 202–366–9826. between the hours of 8 a.m. and 4 p.m. 33 CFR Part 100 SUPPLEMENTARY INFORMATION: to CC:PA:LPD:PR (REG–146097–09), [Docket No. USCG–2011–0103] Courier’s Desk, Internal Revenue Public Participation and Request for Service, 1111 Constitution Avenue, RIN 1625–AA08 Comments NW., Washington, DC. We encourage you to participate in Alternatively, taxpayers may submit Special Local Regulation; Extreme this rulemaking by submitting electronic outlines of oral comments via Sailing Series Boston; Boston Harbor, comments and related materials. All the Federal eRulemaking Portal at Boston, MA comments received will be posted http://www.regulations.gov. AGENCY: Coast Guard, DHS. without change to http:// FOR FURTHER INFORMATION CONTACT: ACTION: Notice of proposed rulemaking. www.regulations.gov and will include Concerning the proposed regulations, any personal information you have Kathryn Holman at (202) 622–3840; SUMMARY: The Coast Guard is proposing provided. concerning submissions of comments, to establish a temporary special local the hearing, and/or to be placed on the regulation in Boston Harbor, Boston, Submitting Comments building access list to attend the Massachusetts, within the Captain of the If you submit a comment, please hearing, Richard A. Hurst at Port (COTP) Boston Zone. This special include the docket number for this [email protected] or local regulation is necessary to provide rulemaking (USCG–2011–0103), (202) 622–7180 (not toll-free numbers). for the safety of life on navigable waters indicate the specific section of this SUPPLEMENTARY INFORMATION: The during the Extreme Sailing Series document to which each comment subject of the public hearing is the Boston regatta. The special local applies, and provide a reason for each notice of proposed rulemaking (REG– regulation will temporarily restrict suggestion or recommendation. You 146097–09) that was published in the vessel traffic in a portion of Boston may submit your comments and Federal Register on Friday, January 7, Harbor, and prohibit vessels not material online (via http:// 2011 (76 FR 1105). participating in the Extreme Sailing www.regulations.gov) or by fax, mail, or Persons, who wish to present oral Series event from entering the hand delivery, but please use only one comments at the hearing that submitted designated race area. of these means. If you submit a

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comment online via http:// in the January 17, 2008, issue of the representative. Specific instructions for www.regulations.gov, it will be Federal Register (73 FR 3316). entering into, transiting through, considered received by the Coast Guard mooring or anchoring within the Public Meeting when you successfully transmit the regulated areas, will be coordinated by comment. If you fax, hand deliver, or We do not now plan to hold a public the COTP Boston or the designated on- mail your comment, it will be meeting. But you may submit a request scene representative. The COTP or the considered as having been received by for one, on or before April 20, 2011, designated on-scene representative may the Coast Guard when it is received at using one of the four methods specified be contacted via VHF Channel 16 or by the Docket Management Facility. We under ADDRESSES. Please explain why telephone at (617) 223–5750. recommend that you include your name you believe a public meeting would be Regulatory Analyses and a mailing address, an e-mail beneficial. If we determine that one address, or a telephone number in the would aid this rulemaking, we will hold We developed this proposed rule after body of your document so that we can one at a time and place announced by considering numerous statutes and contact you if we have questions a later notice in the Federal Register. executive orders related to rulemaking. regarding your submission. For information on facilities or services Below we summarize our analyses To submit your comment online, go to for individuals with disabilities or to based on 13 of these statutes or http://www.regulations.gov, click on the request special assistance at the public executive orders. meeting, contact Petty Officer David ‘‘submit a comment’’ box, which will Regulatory Planning and Review then become highlighted in blue. In the Labadie at the telephone number or e- This proposed rule is not a significant ‘‘Document Type’’ drop down menu mail address indicated under the FOR regulatory action under section 3(f) of select ‘‘Proposed Rule’’ and insert FURTHER INFORMATION CONTACT section of Executive Order 12866, Regulatory ‘‘USCG–2011–0103’’ in the ‘‘Keyword’’ this notice. Planning and Review, and does not box. Click ‘‘Search’’ then click on the Basis and Purpose require an assessment of potential costs balloon shape in the ‘‘Actions’’ column. The legal basis for this rule is and benefits under section 6(a)(3) of that If you submit your comments by mail or 33 U.S.C. 1233, which authorizes the Order. The Office of Management and hand delivery, submit them in an Coast Guard to define Special Local Budget has not reviewed it under that unbound format, no larger than 81⁄2 by Regulations. Order. 11 inches, suitable for copying and This proposed rule is necessary to We expect the economic impact of electronic filing. If you submit ensure the safety of vessels and this rule to be so minimal that a full comments by mail and would like to spectators from the hazards associated regulatory evaluation is unnecessary. know that they reached the Facility, with competitive sailing regattas. This rule may have some impact on the please enclose a stamped, self-addressed Without the proposed rule, the public, but these potential impacts will postcard or envelope. We will consider combination of a large number of be minimal for the following reasons: all comments and material received recreational vessels due to spectators, (1) The rule will be in effect for five during the comment period and may sailboats traveling at high speeds on the hours per day for five days; (2) persons change the rule based on your race course, and large numbers of and vessels may still enter, transit comments. spectators on the adjacent Fan Pier in through, anchor in, or remain within the Viewing Comments and Documents close proximity to the water and in a regulated area if they obtain permission small area of water, could easily result from the COTP or the designated To view comments, as well as in serious injuries or fatalities. representative; and (3) advance documents mentioned in this preamble Establishing a special local regulation notification will be made to the as being available in the docket, go to for the event will help ensure the safety maritime community via broadcast http://www.regulations.gov, click on the of persons and property and minimize notice to mariners and Local Notice to ‘‘read comments’’ box, which will then the associated risks by controlling vessel Mariners (LNM). become highlighted in blue. In the traffic and movement. ‘‘Keyword’’ box insert ‘‘USCG–2011– Small Entities 0103’’ and click ‘‘Search.’’ Click the Discussion of Proposed Rule Under the Regulatory Flexibility Act ‘‘Open Docket Folder’’ in the ‘‘Actions’’ This proposed temporary special local (5 U.S.C. 601–612), we have considered column. You may also visit the Docket regulation is necessary to ensure the whether this proposed rule would have Management Facility in Room W12–140 safety of vessels, participants, and the a significant economic impact on a on the ground floor of the Department public during the Extreme Sailing Series substantial number of small entities. of Transportation West Building, 1200 Boston regatta. The event will take place The term ‘‘small entities’’ comprises New Jersey Avenue, SE., Washington, over the course of five days in Boston small businesses, not-for-profit DC 20590, between 9 a.m. and 5 p.m., Harbor in the vicinity of Fan Pier. There organizations that are independently Monday through Friday, except Federal will be two regulated areas associated owned and operated and are not holidays. We have an agreement with with this event and they will be dominant in their fields, and the Department of Transportation to use enforced immediately before, during, governmental jurisdictions with the Docket Management Facility. and after the regatta, from June 30th populations of less than 50,000. Privacy Act through July 4th, 2011, from 1 p.m. to The Coast Guard certifies under 6 p.m. daily. 5 U.S.C. 605(b) that this proposed rule Anyone can search the electronic The COTP will inform the public would not have a significant economic form of comments received into any of about the details of the regulated areas impact on a substantial number of small our dockets by the name of the using a variety of means, including, but entities. individual submitting the comment (or not limited to, Broadcast Notice to This proposed rule will affect the signing the comment, if submitted on Mariners and Local Notice to Mariners. following entities, some of which may behalf of an association, business, labor All persons and vessels shall comply be small entities: The owners or union, etc.). You may review a Privacy with the instructions of the COTP operators of vessels intending to enter, Act notice regarding our public dockets Boston or the designated on-scene transit through, anchor in or remain

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within this regulated area during would either preempt State law or determined that it is not a ‘‘significant periods of enforcement. impose a substantial direct cost of energy action’’ under that order because This proposed rule will not have a compliance on them. We have analyzed it is not a ‘‘significant regulatory action’’ significant economic impact on a this proposed rule under that Order and under Executive Order 12866 and is not substantial number of small entities for have determined that it does not have likely to have a significant adverse effect the following reasons: This proposed implications for federalism. on the supply, distribution, or use of rule will be enforced for a short energy. The Administrator of the Office Unfunded Mandates Reform Act duration and the race area within the of Information and Regulatory Affairs Special Local Regulation area can be The Unfunded Mandates Reform Act has not designated it as a significant quickly collapsed at the discretion of of 1995 (2 U.S.C. 1531–1538) requires energy action. Therefore, it does not the COTP, as necessary to allow for Federal agencies to assess the effects of require a Statement of Energy Effects certain vessels greater than 65 feet in their discretionary regulatory actions. In under Executive Order 13211. length to transit, provided the vessels particular, the Act addresses actions have given a five-hour advance notice of that may result in the expenditure by a Technical Standards their intended transit to the COTP. All State, local, or tribal government, in the The National Technology Transfer other vessels not required to provide aggregate, or by the private sector of and Advancement Act (NTTAA) (15 advance notification may transit within $100,000,000 (adjusted for inflation) or U.S.C. 272 note) directs agencies to use the Special Local Regulation area, with more in any one year. Though this voluntary consensus standards in their the exception of the race area, at all proposed rule would not result in such regulatory activities unless the agency times while following the regulations in expenditure, we do discuss the effects of provides Congress, through the Office of this proposed rule. this rule elsewhere in this preamble. Management and Budget, with an Additionally, the race organizers will Taking of Private Property explanation of why using these coordinate with industry and the Boston standards would be inconsistent with Pilots to provide minimal interruption This proposed rule would not cause a applicable law or otherwise impractical. of commercial vessel traffic during the taking of private property or otherwise Voluntary consensus standards are enforcement periods. have taking implications under technical standards (e.g., specifications If you think that your business, Executive Order 12630, Governmental of materials, performance, design, or organization, or governmental Actions and Interference with operation; test methods; sampling jurisdiction qualifies as a small entity Constitutionally Protected Property procedures; and related management and that this rule would have a Rights. systems practices) that are developed or significant economic impact on it, Civil Justice Reform adopted by voluntary consensus please submit a comment (see standards bodies. ADDRESSES) explaining why you think it This proposed rule meets applicable standards in sections 3(a) and 3(b)(2) of This proposed rule does not use qualifies and how and to what degree technical standards. Therefore, we did this rule would economically affect it. Executive Order 12988, Civil Justice Reform, to minimize litigation, not consider the use of voluntary Assistance for Small Entities eliminate ambiguity, and reduce consensus standards. Under section 213(a) of the Small burden. Environment Business Regulatory Enforcement Protection of Children Fairness Act of 1996 (Pub. L. 104–121), We have analyzed this proposed rule we want to assist small entities in We have analyzed this proposed rule under Department of Homeland understanding this proposed rule so that under Executive Order 13045, Security Management Directive 023–01 they can better evaluate its effects on Protection of Children from and Commandant Instruction them and participate in the rulemaking. Environmental Health Risks and Safety M16475.lD, which guide the Coast If the rule would affect your small Risks. This rule is not an economically Guard in complying with the National business, organization, or governmental significant rule and would not create an Environmental Policy Act of 1969 jurisdiction and you have questions environmental risk to health or risk to (NEPA) (42 U.S.C. 4321–4370f), and concerning its provisions or options for safety that might disproportionately have made a preliminary determination compliance, please contact PO David affect children. under paragraph 34(h) of the Instruction, that this action is one of a Labadie at the telephone number or e- Indian Tribal Governments mail address indicated under the FOR category of actions that do not FURTHER INFORMATION CONTACT section of This proposed rule does not have individually or cumulatively have a this notice. The Coast Guard will not tribal implications under Executive significant effect on the human retaliate against small entities that Order 13175, Consultation and environment. This proposed rule question or complain about this Coordination with Indian Tribal involves the establishment of a special proposed rule or any policy or action of Governments, because it would not have local regulation. A preliminary the Coast Guard. a substantial direct effect on one or environmental analysis checklist more Indian tribes, on the relationship supporting this determination is Collection of Information between the Federal Government and available in the docket where indicated This proposed rule would call for no Indian tribes, or on the distribution of under ADDRESSES. We seek any new collection of information under the power and responsibilities between the comments or information that may lead Paperwork Reduction Act of 1995 (44 Federal Government and Indian tribes. to the discovery of a significant U.S.C. 3501–3520.). environmental impact from this Energy Effects proposed rule. Federalism We have analyzed this proposed rule List of Subjects in 33 CFR Part 100 A rule has implications for federalism under Executive Order 13211, Actions under Executive Order 13132, Concerning Regulations That Marine safety, Navigation (water), Federalism, if it has a substantial direct Significantly Affect Energy Supply, Reporting and recordkeeping effect on State or local governments and Distribution, or Use. We have requirements, Waterways.

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For the reasons discussed in the who is designated by the COTP to act Dated: March 30, 2011. preamble, the Coast Guard proposes to on his behalf. The designated on-scene John N. Healey, amend 33 CFR part 100 as follows: representative will be aboard either a Captain, U.S. Coast Guard, Captain of the Coast Guard or Coast Guard Auxiliary Port Boston. PART 100—SAFETY OF LIFE ON vessel. The COTP or the designated on- [FR Doc. 2011–8833 Filed 4–12–11; 8:45 am] NAVIGABLE WATERS scene representative may be contacted BILLING CODE 9110–04–P 1. The authority citation for part 100 via VHF Channel 16 or by telephone at continues to read as follows: (617) 223–5750. (1) The following restrictions apply to ENVIRONMENTAL PROTECTION Authority: 33 U.S.C. 1233. the special local regulation area AGENCY 2. Add 33 CFR 100.35–T01–0103 to identified in section (a)(1) of this read as follows: regulation. 40 CFR Part 52 (i) Special Anchorage ‘‘A’’, which is a § 100.35–T01–0103 Special Local [EPA–R05–OAR–2008–0514; FRL–9294–6] Regulation; Extreme Sailing Series Boston; small vessel anchorage located near Boston Harbor; Boston, MA. Rowes Wharf, is the only permitted area Approval and Promulgation of Air (a) Regulated Area. for anchoring. All other anchoring Quality Implementation Plans; Ohio; (1) The following is designated as the within this special local regulation area, Control of Emissions of Organic special local regulation area: All waters including in Anchorage Area #1, is Materials That Are Not Regulated by of Boston Harbor near Boston, MA, prohibited. Volatile Organic Compound surface to bottom, encompassed by an (ii) This special local regulation area Reasonably Available Control area starting at position: 42°21.3′ N; is designed to restrict vessel traffic, Technology Rules ° ′ including all non-motorized vessels, 071 03 W, thence crossing the Fort AGENCY: except as may be permitted by the COTP Environmental Protection Point Channel along Northern Avenue Agency (EPA). ° ′ ° ′ Boston or the designated on-scene to position 42 21.3 N; 071 02.9 W, ACTION: Proposed rule. continuing Southeast along the representative. Shoreline past Fan Pier to the end of the (iii) Within this area all vessels will SUMMARY: EPA is proposing to approve, North Jetty at position 42°20.8′ N; transit at the minimum speed necessary as part of Ohio’s State Implementation 071°01.4′ W, continuing and crossing to maintain headway without creating a Plan (SIP) under the Clean Air Act Boston Harbor to the opposite shore wake. (CAA), a revised rule 3745–21–07, near Logan Airport at position 42°21.2′ (iv) Due to the waterway area ‘‘Control of emissions of organic N; 071°01′ W, continuing Northwest in restriction and the expected increase in materials from stationary sources (i.e., a straight line along the shoreline to Pier recreational vessels in the area, vessel emissions that are not regulated by rule One at position 42°21.9′ N; 071°02.5′ W, operators of all vessels 65 feet in length 3745–21–09, 3745–21–12, 3745–21–14, thence back across Boston Harbor to the or greater desiring to enter or operate 3745–21–15, 3745–21–16, or 3745–21– point of origin at position 42°21.3′ N; within the special local regulation area 18 of the Administrative Code).’’ This 071°03′ W. shall contact the COTP or the rule has been revised because the prior (2) The following area within the designated on-scene representative at version of 3745–21–07, in Ohio’s SIP, special local regulation area is specified least five hours prior to the desired has inadequate compliance test methods as the race area: transit time to obtain permission to do and definitions. The most significant All waters of Boston Harbor near so. Permission to enter the special local problem with the prior version is the Boston, MA, surface to bottom, regulation area will be considered on a definition of ‘‘photochemically reactive encompassed by an area starting at case-by-case basis at the discretion of material,’’ which is different than the position: 42°21.59′ N; 071°02.52′ W, the COTP and vessels may be escorted definition of ‘‘volatile organic thence to position 42°21.28′ N; through the area if the COTP deems it compounds’’ (VOC), upon which EPA’s 071°01.83′ W, thence to position necessary for safe transit. Failure to reasonably available control technology 42°21.10′ N; 071°01.95′ W, thence to provide notification of entry at least five (RACT) regulations are based. The position 42°21.20′ N; 071°02.26′ W, hours prior to transit may result in a revised rule is approvable because it thence to position 42°21.15′ N; denial of entry into the regulated area satisfies the requirements for RACT 071°02.31′ W, thence to position during the enforcement period. Vessel under the CAA. ° ′ ° ′ 42 21.31 N; 071 02.72 W, thence to the operators given permission to enter the DATES: Comments must be received on point of origin at position 42°21.59′ N; area must comply with all directions or before May 13, 2011. ° ′ given to them by the COTP or the 071 02.52 W. This area will be clearly ADDRESSES: Submit your comments, designated on-scene representative. defined by floating buoys and will have identified by Docket ID No. EPA–R05– (2) The following restrictions apply to the ability to be collapsed quickly to OAR–2008–0514, by one of the the area identified as the race area in allow for safe passage of traffic if they following methods: have obtained permission from the section (a)(2) of this regulation. • http://www.regulations.gov: Follow COTP or the designated representative. (i) This area is closed to all vessel the on-line instructions for submitting (b) Regulations. In accordance with traffic, with the exception of vessels comments. the general regulations in 33 CFR part involved directly with the event such • E-mail: [email protected]. 100, to enter, transit through, anchor in, as: sailboat race participants, event • Fax: (312) 692–2511. or remain within the special local safety vessels, on-scene patrol and law • Mail: John Mooney, Chief, regulation area is prohibited unless enforcement vessels. Attainment Planning and Maintenance permission has been authorized by the (c) Effective Period: This regulation is Section, Air Programs Branch (AR–18J), Captain of the Port (COTP) Boston, or effective from 1 p.m. on June 30, 2011, U.S. Environmental Protection Agency, the designated on-scene representative. to 6 p.m. on July 4, 2011. This 77 West Jackson Boulevard, Chicago, The ‘‘designated on-scene regulation will be enforced daily from 1 Illinois 60604. representative’’ is any Coast Guard p.m. until 6 p.m., June 30, 2011 through • Hand Delivery: John Mooney, Chief, commissioned, warrant, or petty officer July 4, 2011. Attainment Planning and Maintenance

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Section, Air Programs Branch (AR–18J), copy at the Environmental Protection emissions that are not regulated by rule U.S. Environmental Protection Agency, Agency, Region 5, Air and Radiation 3745–21–09, 3745–21–12, 3745–21–14, 77 West Jackson Boulevard, Chicago, Division, 77 West Jackson Boulevard, 3745–21–15, 3745–21–16, or 3745–21– Illinois 60604. Such deliveries are only Chicago, Illinois 60604. This facility is 18 of the Administrative Code).’’ This accepted during the Regional Office open from 8:30 a.m. to 4:30 p.m., rule was submitted by the Ohio normal hours of operation, and special Monday through Friday, excluding Environmental Protection Agency (Ohio arrangements should be made for Federal holidays. We recommend that EPA) to EPA on April 7, 2008, but was deliveries of boxed information. The you telephone Steven Rosenthal, not approvable at that time because both Regional Office official hours of Environmental Engineer, at (312) 886– sheet molding compound (SMC) business are Monday through Friday, 6052 before visiting the Region 5 office. manufacturing operations and new or 8:30 a.m. to 4:30 p.m. excluding Federal FOR FURTHER INFORMATION CONTACT: modified sources after February 18, holidays. Steven Rosenthal, Environmental 2008, were exempted from that version Instructions: Direct your comments to Engineer, Attainment Planning and of the rule. However, on November 10, Docket ID No. EPA–R05–OAR–2008– Maintenance Section, Air Programs 2010, Ohio EPA submitted to EPA a new 0514. EPA’s policy is that all comments Branch (AR–18J), U.S. Environmental Rule 3745–21–25 ‘‘Control of VOC received will be included in the public Protection Agency, Region 5, 77 West emissions from reinforced plastic docket without change and may be Jackson Boulevard, Chicago, Illinois composites production operations,’’ made available online at http:// 60604, (312) 886–6052, which adequately regulates SMC www.regulations.gov, including any [email protected]. manufacturing operations. Also, on personal information provided, unless October 25, 2010, Ohio EPA submitted the comment includes information SUPPLEMENTARY INFORMATION: a demonstration that the new 3745–21– claimed to be Confidential Business Throughout this document whenever 07 does not violate the requirements of Information (CBI) or other information ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean Section 110(l) of the CAA by not whose disclosure is restricted by statute. EPA. This supplementary information applying to new or modified sources Do not submit information that you section is arranged as follows: after February 18, 2010. This consider to be CBI or otherwise I. What should I consider as I prepare my demonstration is discussed in detail in protected through http:// comments for EPA? the following section of this document. www.regulations.gov or e-mail. The II. What action is EPA taking today and what http://www.regulations.gov Web site is is the purpose of this action? III. What are the provisions of OAC an ‘‘anonymous access’’ system, which III. What are the provisions of OAC 3745–21– 3745–21–07 and are they approvable? means EPA will not know your identity 07 and are they approvable? As discussed below, this rule satisfies IV. Statutory and Executive Order Reviews or contact information unless you RACT requirements and is consistent provide it in the body of your comment. I. What should I consider as I prepare with the CAA and EPA regulations. A If you send an e-mail comment my comments for EPA? general discussion of the main elements directly to EPA without going through 1. Identify the rulemaking by docket of OAC 3745–21–07 (Control of http://www.regulations.gov your e-mail number and other identifying emissions of organic materials from address will be automatically captured information (subject heading, Federal stationary sources), all of which are and included as part of the comment Register date, and page number). approvable, follows: that is placed in the public docket and 2. Follow directions—EPA may ask 3745–21–07(A) Applicability made available on the Internet. If you you to respond to specific questions or (1)—Reserved. submit an electronic comment, EPA organize comments by referencing a recommends that you include your (2)—Reserved. Code of Federal Regulations (CFR) part (3)—This paragraph states that the name and other contact information in or section number. the body of your comment and with any rule applies to any source or operation, 3. Explain why you agree or disagree; for which installation commenced prior disk or CD–ROM you submit. If EPA suggest alternatives and substitute cannot read your comment due to to the effective date of this rule, and that language for your requested changes. is specifically identified in tables in technical difficulties and cannot contact 4. Describe any assumptions and paragraphs (K) to (N). This rule shall not you for clarification, EPA may not be provide any technical information and/ apply to VOC emissions from any such able to consider your comment. or data that you used. Electronic files should avoid the use of 5. If you estimate potential costs or source or operation regulated by the special characters, any form of burdens, explain how you arrived at VOC rules 3745–21–09, 3745–21–12, encryption, and be free of any defects or your estimate in sufficient detail to 3745–21–13, 3745–21–14, 3745–21–15, viruses. For additional instructions on allow for it to be reproduced. 3745–21–15, 3745–21–16, or 3745–21– submitting comments, go to Section I of 6. Provide specific examples to 18. Although this rule does not apply to the SUPPLEMENTARY INFORMATION section illustrate your concerns, and suggest any sources for which installation of this document. alternatives. commenced after the effective date of Docket: All documents in the docket 7. Explain your views as clearly as the rule (February 18, 2010) or will are listed in the http:// possible, avoiding the use of profanity commence installation in the future, www.regulations.gov index. Although or personal threats. Ohio demonstrated that this will likely listed in the index, some information is 8. Make sure to submit your not result in an increase in emissions. not publicly available, e.g., CBI or other comments by the comment period More specifically, Ohio reviewed all information whose disclosure is deadline identified. permits issued between January 2008 restricted by statute. Certain other and September 2010, and determined material, such as copyrighted material, II. What action is EPA taking today and that, due to other control requirements, will be publicly available only in hard what is the purpose of this action? no permit would result in an increase in copy. EPA is proposing to approve into VOC emissions due to paragraphs (A)(3) Publicly available docket materials Ohio’s SIP revised rule OAC 3745–21– and (A)(5). Furthermore, Ohio also are available either electronically in 07, ‘‘Control of emissions of organic demonstrated that sufficient reductions http://www.regulations.gov or in hard materials from stationary sources (i.e., are available from oxides of nitrogen

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(NOX) RACT rule reductions to more the definition of photochemically (M)—This paragraph provides facility- than offset any potential future increase reactive material. specific and general control in emissions, thereby satisfying the (5)—This paragraph states that the requirements for emissions from requirements of section 110(l) of the rule does not apply to any source for operations using liquid organic CAA. which installation commenced after the materials. In December 2007, Ohio EPA effective date of the rule. Please refer to (M)(1)—Lists emission units, covered promulgated rules in OAC chapter the discussion of (A)(3). by the prior version of 3745–21–07 that 3745–110, ‘‘NOX RACT.’’ These rules (6)—This paragraph specifies methods is contained in Ohio’s SIP, that are addressed the control of emissions of of determining compliance. subject to the control requirements in NOX from stationary sources such as (6)(a)—This paragraph specifies that (M)(2). boilers, combustion turbines, and the test methods and procedures of (M)(2)—Requires that the emission stationary internal combustion engines. paragraphs (A) to (C) of rule 3745–21– units listed in (M)(1) be subject to a The rules were submitted as part of the 10 of Ohio’s rules be used to determine control system that reduces organic attainment strategy in the Cleveland- emission and control efficiency emissions by at least 85 percent. Akron-Lorain ozone moderate information for controlled and (M)(3)—Other operations using liquid nonattainment area. On September 15, uncontrolled sources. organic materials. 2009, EPA redesignated the Cleveland- (6)(b)—This paragraph allows the use (M)(3)(a)—This paragraph lists nine Akron-Lorain metropolitan area to of emission factors approved by EPA. conditions in (M)(3)(a)(i) to (M)(3)(a)(ix). attainment for the 1997 8-hour ozone (6)(c)—This paragraph allows Any article, machine, equipment, or National Ambient Air Quality Standard. emission test data from similar sources other contrivance meeting all of these At the same time, EPA approved a or operations to be used provided where conditions must comply with the waiver from the NOX RACT EPA has indicated in writing that the control requirements in (M)(2). These requirements of section 182(f) of the use of such tests is acceptable. conditions include that the article, This paragraph is approvable because CAA for this area. Ohio’s NOX RACT machine, equipment, or other it specifies EPA-approved test methods, rules are, therefore, ‘‘surplus’’ and can be contrivance is equipped with control emission factors and test data from used to offset any potential increase in equipment for organic compound similar sources. emissions from any future source that emissions and also that it commenced would have had more stringent control (B)-(J)—Reserved. (K)—This paragraph provides specific installation prior to the effective date of requirements from the older 3745–21– this rule. 07 that is currently in the SIP. Ohio control requirements for storage tanks (M)(3)(b)—This paragraph requires obtained 538 tons NO /year actual (and covered by the prior version of 3745– X the owner or operator of any article, surplus) emission reductions from the 21–07 that is contained in Ohio’s SIP. machine, equipment, or other Arcelor-Mittal facility as a result of the (K)(1)—Lists emission units subject to contrivance meeting the specifications installation of low NO burners in its the control requirements in (K)(2), X of paragraph (M)(3)(a), and not listed in three reheat furnaces. The requirement which requires that the storage tank be paragraph (M)(1), to notify Ohio EPA, for these low NO burners is permanent equipped with either a floating pontoon X within 90 days after the effective date of and enforceable because the burner or double-deck type cover that includes this rule, of the need to be specified in controls are needed to comply with closure seals or with a vapor recovery paragraph (M)(1)—and therefore be OAC 3745–110, Ohio’s NOX RACT rule. system or control system that reduces In the Cleveland-Akron-Lorain area, the the emissions of organic compounds by subject to the control requirements in ratio of NO emissions to VOC at least 90 percent by weight. (M)(2). X (M)(3)(c)—This paragraph lists seven emissions is 1.36 pounds NOX/pound (K)(3)—Lists emission units, VOC. Applying this factor, the VOC consisting of storage tanks with a conditions and if any of them are met offset potential for the Arcelor-Mittal capacity of 65,000 gallons or less, then the control requirements of (M)(2)/ (M)(3)(a), and the reporting facility NOX reductions is 396 tons subject to the control requirements in VOC/year. Even if any reasonably (K)(4). (K)(4) requires the use of requirements in (M)(3)(b) shall not foreseeable source were to be submerged fill or a vapor recovery apply to any article, machine, constructed that would have been system. equipment, or other contrivance that controlled under the prior version of This paragraph is approvable because would otherwise be subject. 3745–21–07 but would be uncontrolled it is consistent with the control (M)(3)(c)(i)—This paragraph exempts under revised rule 3745–21–07, the requirements in the prior version of any article, machine, equipment, or difference in emissions would be more 3745–21–07 that is contained in Ohio’s other contrivance that commenced than compensated by the surplus SIP. operation after the effective date of this emission reduction at the Arcelor-Mittal (L)—This paragraph provides facility rule. Please see discussion for (A)(3) and facility. specific control requirements for oil- (A)(5). (4)—This paragraph voids control water separators covered by the prior (M)(3)(c)(ii)—This paragraph exempts requirements contained in a permit-to- version of 3745–21–07 that is contained any article, machine, equipment, or install, permit-by-rule, permit-to- in Ohio’s SIP. Any subject oil-water other contrivance whose uncontrolled operate, or Title V permit if the separators must be equipped with a potential to emit does not exceed 40 requirements refer to photochemically solid cover with all openings sealed, a pounds per day of organic compound reactive materials or the need to floating pontoon or double deck type emissions and allows the uncontrolled determine or document materials as cover that includes closure seals, or a potential to emit to be established using being photochemically reactive vapor recovery system that reduces the physical or operational limitation(s) that materials or any recordkeeping and emissions of organic compounds by at are federally enforceable or legally and reporting requirements related to least ninety percent by weight. practically enforceable by the state. photochemically reactive materials. This paragraph is approvable because (M)(3)(c)(iii) and (iv)—These This paragraph is approvable because it the control requirements are consistent paragraphs exempt any article, machine, is consistent with the main purpose of with the prior version of 3745–21–07 equipment, or other contrivance that is this rule revision, namely to eliminate that is contained in Ohio’s SIP. subject to and complying with an

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overall control efficiency that is greater temperatures exceeding 220 degrees required for the waste gas flare systems than 85 percent. Fahrenheit. that were covered by the prior version (M)(3)(c)(v)—This paragraph refers to (M)(5)(d)—This paragraph exempts of 3745–21–07 that is contained in paragraphs (M)(3)(g) and (M)(4), and is sources from the requirements of Ohio’s SIP. This paragraph is discussed with those paragraphs. paragraph (M)(4) if (i) the volatile approvable because it is consistent with (M)(3)(c)(vi)—This paragraph exempts content of the material described in the control requirements in the prior heatset web offset printing lines that are (M)(4) consists only of water and liquid version of 3745–21–07 that is contained subject to and complying with a organic material, and the liquid organic in Ohio’s SIP. requirement that specifies that their material comprises no more than 20 drier(s) be equipped with a control percent by volume of the volatile IV. Statutory and Executive Order device having either a control efficiency content; or, (ii) the volatile content of Reviews equal to or greater than 90 percent or an the material described in paragraph Under the CAA, the Administrator is outlet concentration of less than 20 (M)(4) does not exceed 20 percent by required to approve a SIP submission parts per million, by volume. volume. that complies with the provisions of the (M)(3)(c)(vii)—This paragraph (M)(5)(e)—This paragraph allows the CAA and applicable Federal regulations. exempts any article, machine, provisions of paragraphs (M)(2), 42 U.S.C. 7410(k); 40 CFR 52.02(a). equipment, or other contrivance that is (M)(3)(d), (M)(3)(e), (M)(3)(f), (M)(3)(g), Thus, in reviewing SIP submissions, regulated by and complying with (M)(3)(h), and (M)(4) to be replaced by EPA’s role is to approve state choices, chapter 3745–76, which regulates non- an alternative emission limitation if provided that they meet the criteria of methane organic emissions from EPA determines that the alternative the CAA. Accordingly, this action existing landfills. emission limitation is the lowest merely approves state law as meeting (M)(3)(d), (e) and (f)—These emission limitation that the article, Federal requirements and does not paragraphs provide alternative emission machine, equipment, or other impose additional requirements beyond limitations, which have been adequately contrivance is capable of meeting by the those imposed by state law. For that documented, to those in (M)(2), for application of control technology that is reason, this action: specifically identified emission units at reasonably available considering • Is not a ‘‘significant regulatory the indicated facilities. technological and economic feasibility. action’’ subject to review by the Office (M)(3)(g) and (h)—These paragraphs (M)(5)(f)—This paragraph exempts of Management and Budget under address SMC operations. Please refer to emissions resulting from the use of any Executive Order 12866 (58 FR 51735, liquid organic materials if those the discussion of (M)(5)(h). October 4, 1993); (M)(4)—Except as provided in emissions are regulated by rule 3745– • Does not impose an information paragraph (M)(5) (discussed below) this 21–09, 3745–21–12, 3745–21–13, 3745– collection burden under the provisions paragraph requires the owner or 21–14,3745–21–15, 3745–21–16, or of the Paperwork Reduction Act (44 operator of each article, machine, 3745–21–18. U.S.C. 3501 et seq.); equipment, or other contrivance in (M)(5)(g)—Consistent with existing • Is certified as not having a which any liquid organic material OAC 3745–21–07, this rule exempts significant economic impact on a comes into contact with flame or is sources in Darke, Fairfield, Madison, substantial number of small entities baked, heat-cured, or heat-polymerized, Perry, Pickaway, Preble, or Union under the Regulatory Flexibility Act (5 in the presence of oxygen, and is not County that are within a facility having U.S.C. 601 et seq.); specified in paragraph (M)(1) of this the potential to emit not more than 100 • Does not contain any unfunded rule, to not discharge more than 15 tons of organic compounds per calendar mandate or significantly or uniquely pounds of organic materials into the year. affect small governments, as described atmosphere in any one day, nor more (M)(5)(h)—This paragraph exempts in the Unfunded Mandates Reform Act than 3 pounds in any hour, unless the sheet molding compound of 1995 (Pub. L. 104–4); organic material emissions have been manufacturing operations from the • Does not have Federalism reduced by at least 85 percent by emission limits in (M)(3)(g) provided implications as specified in Executive weight. This paragraph does not apply that the resin delivery system to the Order 13132 (64 FR 43255, August 10, to any source for which installation doctor box on the SMC manufacturing machine is closed or covered and a 1999); commenced on or after the effective date • of this rule. nylon containing film is used to enclose Is not an economically significant (M)(5)—This paragraph lists several the sheet molding compound. regulatory action based on health or exemptions that are carried over from This exemption is acceptable because safety risks subject to Executive Order the prior version of 3745–21–07 that is Ohio has adopted OAC 3745–21–25 for 13045 (62 FR 19885, April 23, 1997); • contained in Ohio’s SIP. Reinforced Plastics Composites Is not a significant regulatory action (M)(5)(a)—exempts the use of cleanup Production Operations, which provides subject to Executive Order 13211 (66 FR material from the control requirements a sufficient level of control (95 percent 28355, May 22, 2001); in paragraph (M)(2). for subject sources) for SMC machines. • Is not subject to requirements of (M)(5)(b)—exempts emissions that are OAC 3745–21–25 was proposed for Section 12(d) of the National not VOCs from the control requirements approval on January 27, 2011 (76 FR Technology Transfer and Advancement in (M)(2), (M)(3)(a), and (M)(4). 4835). Paragraph M is approvable Act of 1995 (15 U.S.C. 272 note) because (M)(5)(c)—This paragraph exempts because the control requirements application of those requirements would the use of liquid organic material, from (typically 85 percent or higher) and be inconsistent with the CAA; and the control requirements in paragraph exemptions are consistent with the prior • Does not provide EPA with the (M)(2), if the liquid organic material has version of 3745–21–07 that is contained discretionary authority to address, as a boiling point higher than 200 degrees in Ohio’s SIP, except as it applies to appropriate, disproportionate human Fahrenheit at 0.5 millimeter mercury SMC machines. As stated above, Ohio health or environmental effects, using absolute pressure, or has an equivalent adopted rule 3745–21–25 for the control practicable and legally permissible vapor pressure, unless the liquid of SMC machines. (N) This paragraph methods, under Executive Order 12898 organic material is exposed to requires that smokeless flares be (59 FR 7629, February 16, 1994).

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In addition, this rule does not have this proposal. This action is being taken cannot read your comment due to tribal implications as specified by under section 110 of the CAA. technical difficulties and cannot contact Executive Order 13175 (65 FR 67249, DATES: Comments must be received on you for clarification, EPA may not be November 9, 2000), because the SIP is or before May 13, 2011. able to consider your comment. not approved to apply in Indian country ADDRESSES: Submit your comments, Electronic files should avoid the use of located in the state, and EPA notes that identified by Docket ID No. EPA–R06– special characters, any form of it will not impose substantial direct OAR–2011–0335, by one of the encryption, and be free of any defects or costs on tribal governments or preempt following methods: viruses. tribal law. • Federal e-Rulemaking Portal: Docket: All documents in the docket List of Subjects in 40 CFR Part 52 http://www.regulations.gov. Follow the are listed in the http:// online instructions for submitting www.regulations.gov index. Although Environmental protection, Air listed in the index, some information is pollution control, Incorporation by comments. • E-mail: Mr. Guy Donaldson at not publicly available, e.g., CBI or other reference, Intergovernmental relations, information whose disclosure is Nitrogen dioxide, Ozone, Reporting and [email protected]. Please also send a copy by e-mail to the person restricted by statute. Certain other recordkeeping requirements, Volatile material, such as copyrighted material, organic compounds. listed in the FOR FURTHER INFORMATION CONTACT section below. will be publicly available only in hard Dated: March 30, 2011. • Fax: Mr. Guy Donaldson, Chief, Air copy. Publicly available docket Susan Hedman, Planning Section (6PD–L), at fax materials are available either Regional Administrator, Region 5. number 214–665–7263. electronically in http:// [FR Doc. 2011–8951 Filed 4–12–11; 8:45 am] • Mail: Mr. Guy Donaldson, Chief, www.regulations.gov or in hard copy at BILLING CODE 6560–50–P Air Planning Section (6PD–L), the Air Planning Section (6PD–L), Environmental Protection Agency, 1445 Environmental Protection Agency, 1445 Ross Avenue, Suite 1200, Dallas, Texas Ross Avenue, Suite 700, Dallas, Texas ENVIRONMENTAL PROTECTION 75202–2733. 75202–2733. The file will be made AGENCY • Hand or Courier Delivery: Mr. Guy available by appointment for public Donaldson, Chief, Air Planning Section inspection in the Region 6 FOIA Review 40 CFR Part 52 (6PD–L), Environmental Protection Room between the hours of 8:30 a.m. [EPA–R06–OAR–2011–0335; FRL–9294–4] Agency, 1445 Ross Avenue, Suite 1200, and 4:30 p.m. weekdays except for legal Dallas, Texas 75202–2733. Such holidays. Contact the person listed in Approval and Promulgation of deliveries are accepted only between the the FOR FURTHER INFORMATION CONTACT Implementation Plans; Texas; hours of 8 a.m. and 4 p.m. weekdays, paragraph below or Mr. Bill Deese at Proposed Disapproval of Interstate and not on legal holidays. Special 214–665–7253 to make an appointment. Transport State Implementation Plan arrangements should be made for If possible, please make the Revision for the 2006 24-Hour PM2.5 deliveries of boxed information. appointment at least two working days NAAQS Instructions: Direct your comments to in advance of your visit. There will be Docket No. EPA–R06–OAR–2011–0335. a 15 cent per page fee for making AGENCY: Environmental Protection photocopies of documents. On the day Agency (EPA). EPA’s policy is that all comments received will be included in the public of the visit, please check in at the EPA ACTION: Proposed rule. docket without change and may be Region 6 reception area at 1445 Ross SUMMARY: Pursuant to our authority made available online at http:// Avenue, Suite 700, Dallas, Texas. under the Clean Air Act (CAA or Act), www.regulations.gov, including any The State submittal is also available EPA is proposing to disapprove the personal information provided, unless for public inspection during official portion of the Texas CAA section the comment includes information business hours, by appointment, at the 110(a)(2) ‘‘Infrastructure’’ State claimed to be Confidential Business Texas Commission on Environmental Implementation Plan (SIP) submittal Information (CBI) or other information Quality, Office of Air Quality, 12124 addressing significant contribution to whose disclosure is restricted by statute. Park 35 Circle, Austin, Texas 78753. nonattainment or interference with Do not submit information that you FOR FURTHER INFORMATION CONTACT: Carl maintenance in another state with consider to be CBI or otherwise Young, Air Planning Section (6PD–L), respect to the 2006 24-hour fine particle protected through http:// Environmental Protection Agency, (PM2.5) national ambient air quality www.regulations.gov or e-mail. The Region 6, 1445 Ross Avenue, Suite 700, standards (NAAQS). On November 23, http://www.regulations.gov Web site is Dallas, Texas 75202–2733, telephone 2009, the State of Texas, through the an ‘‘anonymous access’’ system, which (214) 665–6645; fax number (214) 665– Texas Commission on Environmental means EPA will not know your identity 7263; e-mail address Quality (TCEQ), submitted a SIP to EPA or contact information unless you [email protected]. intended to address the requirements of provide it in the body of your comment. SUPPLEMENTARY INFORMATION: CAA section 110(a)(2) for If you send an e-mail comment directly Throughout this document whenever ‘‘infrastructure.’’ In this action, EPA is to EPA without going through http:// ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean proposing to disapprove the portion of www.regulations.gov your e-mail EPA. This section provides additional the Texas’ SIP revision submittal that address will be automatically captured information by addressing the following intended to address the section and included as part of the comment questions: 110(a)(2)(D)(i)(I) requirements that is placed in the public docket and prohibiting a state’s emissions from made available on the Internet. If you I. What action is EPA proposing in today’s notice? significantly contributing to submit an electronic comment, EPA II. What is the background for this proposed nonattainment or interfering with recommends that you include your action? maintenance of the NAAQS in any other name and other contact information in III. What is EPA’s evaluation of Texas’ state. The rationale for the disapproval the body of your comment and with any submittal? action of the SIP revision is described in disk or CD–ROM you submit. If EPA IV. Statutory and Executive Order Reviews

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I. What action is EPA proposing in section 110, including 110(a)(2)(D)(i) for downwind state. CAIR was intended to today’s notice? the revised 2006 24-hour PM2.5 NAAQS. provide states covered by the rule with As identified in the 2009 Guidance, a mechanism to satisfy their CAA We are proposing to disapprove a the ‘‘good neighbor’’ provisions in section 110(a)(2)(D)(i)(I) obligations to submission from the State of Texas section 110(a)(2)(D)(i) require each state address significant contribution to intended to demonstrate that Texas has to submit a SIP that prohibits emissions downwind nonattainment and adequately addressed the elements of that adversely affect another state in the interference with maintenance in CAA section 110(a)(2)(D)(i)(I) that ways contemplated in the statute. another state with respect to the 1997 8- require the State’s SIP to contain Section 110(a)(2)(D)(i) contains four hour ozone and PM NAAQS. Many adequate provisions to prohibit air 2.5 distinct requirements related to the states adopted the CAIR provisions and pollutant emissions from sources within impacts of interstate transport. The SIP submitted SIPs to us to demonstrate a state from significantly contributing to must prevent sources in the state from compliance with the CAIR requirements nonattainment in or interference with emitting pollutants in amounts which in satisfaction of their 110(a)(2)(D)(i)(I) maintenance of the 2006 24-hour PM 2.5 will: (1) Contribute significantly to obligations for those two pollutants. NAAQS in any other state. We are nonattainment of the NAAQS in other proposing to determine that the Texas states; (2) interfere with maintenance of We were sued by a number of parties submission does not contain adequate the NAAQS in other states; (3) interfere on various aspects of CAIR, and on July provisions to prohibit air pollutant with provisions to prevent significant 11, 2008, the U.S. Court of Appeals for emissions from within the state that deterioration of air quality in other the District of Columbia Circuit issued significantly contribute to states; or (4) interfere with efforts to its decision to vacate and remand both nonattainment in or interference with protect visibility in other states. CAIR and the associated CAIR Federal maintenance of the 2006 24-hour PM2.5 In the 2009 Guidance, we indicated Implementation Plans (FIP) in their NAAQS in other downwind states. Any that SIP submissions from States entirety. North Carolina v. EPA, 531 remaining elements of the submittal, pertaining to the ‘‘significant F.3d 836 (DC Cir. Jul. 11, 2008). including language to address other contribution’’ and ‘‘interfere with However, in response to our petition for CAA Section 110(a)(2) elements, are not maintenance’’ requirements of section rehearing, the Court issued an order addressed in this action. EPA is 110(a)(2)(D)(i)(I) should contain remanding CAIR to us without vacating proposing to disapprove only the adequate provisions to prohibit air either CAIR or the CAIR FIPs. North provisions which relate to the Section pollutant emissions from within the Carolina v. EPA, 550 F.3d 1176 (DC Cir. 110(a)(2)(D)(i)(I) demonstration for the state that contribute significantly to Dec. 23, 2008). The Court thereby left 2006 PM2.5 NAAQS. This action is being nonattainment or interfere with CAIR in place in order to ‘‘temporarily taken under section 110 of the CAA. maintenance of the NAAQS in any other preserve the environmental values state. We further indicated that the covered by CAIR’’ until we replace it II. What is the background for this state’s submission should explain with a rule consistent with the Court’s proposed action? whether or not emissions from the state opinion. Id. at 1178. The Court directed On December 18, 2006, we revised the have this impact and, if so, address the us to ‘‘remedy CAIR’s flaws’’ consistent with its July 11, 2008, opinion, but 24-hour average PM2.5 primary and impact. We stated that the state’s secondary NAAQS from 65 micrograms conclusion should be supported by an declined to impose a schedule on us for per cubic meter (μg/m3) to 35 μg/m3. adequate technical analysis. We completing that action. Id. In order to Section 110(a)(1) of the CAA requires recommended the various types of address the judicial remand of CAIR, we states to submit infrastructure SIPs to information that could be relevant to have proposed a new rule to address address a new or revised NAAQS within support the state SIP submission, such interstate transport pursuant to section 3 years after promulgation of such as information concerning emissions in 110(a)(2)(D)(i)(I), the ‘‘Federal standards, or within such shorter period the state, meteorological conditions in Implementation Plans to Reduce as EPA may prescribe.1 the state and the potentially impacted Interstate Transport of Fine Particulate states, monitored ambient Matter and Ozone’’ (Transport Rule).2 Section 110(a)(2) lists the elements concentrations in the state, and air that such new infrastructure SIPs must quality modeling. Furthermore, we III. What is EPA’s evaluation of Texas’ address, as applicable, including section indicated that states should address the submittal? 110(a)(2)(D)(i), which pertains to ‘‘interfere with maintenance’’ interstate transport of certain emissions. On November 23, 2009, the State of requirement independently which On September 25, 2009, we issued our Texas, through TCEQ, provided a SIP requires an evaluation of impacts on ‘‘ revision to us intended to address the Guidance on SIP Elements Required areas of other states that are meeting the Under Sections 110(a)(1) and (2) for the requirements of Section 110(a)(2)(D)(i)(I) 2006 24-hour PM2.5 NAAQS, not merely 2006 24-Hour Fine Particle (PM2.5) for the 2006 24-hour PM2.5 NAAQS as areas designated nonattainment. Lastly well as other requirements of Section National Ambient Air Quality Standards in the 2009 Guidance, we stated that (NAAQS)’’ (2009 Guidance). We 110(a)(2). In this rulemaking, we are states could not rely on the Clean Air addressing only the requirements of developed the 2009 Guidance to make Interstate Rule (CAIR) to comply with recommendations to states for making Section 110(a)(2) that pertain to CAA section 110(a)(2)(D)(i) prohibiting sources in Texas from submissions to meet the requirements of requirements for the 2006 24-hour PM2.5 emitting pollutants that will NAAQS because CAIR does not address 1 significantly contribute to The rule for the revised PM2.5 NAAQS was this NAAQS. nonattainment or interfere with signed by the Administrator and publically We promulgated the CAIR on May 12, disseminated on September 21, 2006. The rule was maintenance of the 2006 24-hour PM 2005, (see 70 FR 25162). CAIR required 2.5 published in the Federal Register on October 17, NAAQS in other states. 2006 and became effective December 18, 2006 (71 states to reduce emissions of sulfur FR 61144). Because EPA did not prescribe a shorter dioxide and nitrogen oxides that period for 110(a) SIP submittals, these submittals 2 See ‘‘Federal Implementation Plans to Reduce for the 2006 24-hour NAAQS were due on significantly contribute to, and interfere Interstate Transport of Fine Particulate Matter and September 21, 2009, three years from the September with maintenance of the 1997 NAAQS Ozone; Proposed Rule,’’ 75 FR 45210 (August 2, 21, 2006 signature date. for PM2.5 and/or ozone in any 2010).

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In its submission, Texas certified that PM2.5 NAAQS. The portion of the Texas B. Paperwork Reduction Act the State is meeting its Section submission that addresses This proposed action does not impose 110(a)(2)(D)(i)(I) obligations by virtue of 110(a)(2)(D)(i)(I) is severable from the an information collection burden under its CAIR SIP for PM2.5. Texas remainder of the Texas submittal which the provisions of the Paperwork specifically said that it submitted a SIP addresses other elements of 110(a)(2), Reduction Act, 44 U.S.C. 3501 et seq., revision to implement CAIR and is meaning our disapproval of this element because this proposed SIP disapproval currently in the process of revising the does not impact the other elements of under section 110 and subchapter I, part CAIR SIP and rule to account for federal the Texas submission which we will D of the Clean Air Act will not in-and- rule revisions and state legislative address in separate Federal Register 3 of itself create any new information changes. Irrespective, CAIR was actions. Therefore, we are proposing to collection burdens but simply

promulgated before the 24-hour PM2.5 disapprove only those provisions which disapproves certain State requirements NAAQS was revised in 2006, and as relate to the 110(a)(2)(D)(i)(I) for inclusion into the SIP. Burden is mentioned above neither CAIR nor any demonstration and to take no action on defined at 5 CFR 1320.3(b). of the State’s revisions to its CAIR the remainder of the elements and their program address interstate transport demonstrations at this time. C. Regulatory Flexibility Act 4 with respect to the 2006 PM2.5 NAAQS. Under section 179(a) of the CAA, final The Regulatory Flexibility Act (RFA) Thus, reliance on CAIR and the State’s disapproval of a submittal that generally requires an agency to conduct CAIR SIP provisions cannot be used to addresses a requirement of a Part D Plan a regulatory flexibility analysis of any comply with Section 110(a)(2)(D)(i)(I) (42 U.S.C.A. §§ 7501–7515) or is rule subject to notice and comment for the respective 2006 PM2.5 NAAQS. required in response to a finding of rulemaking requirements unless the We also note that several states in substantial inadequacy as described in agency certifies that the rule will not their submission claim that controls § 7410(k)(5) (SIP call), starts a sanctions have a significant economic impact on planned for or already installed on clock. The provisions in the submittal a substantial number of small entities. sources within the state to meet the we are proposing to disapprove were Small entities include small businesses, CAIR provisions satisfied the Section not submitted to meet either of those small not-for-profit enterprises, and 110(a)(2)(D)(i)(I) requirements for the requirements. Therefore, if we take final small governmental jurisdictions. For 2006 24-hour PM2.5 NAAQS. However, action to disapprove this submittal, no purposes of assessing the impacts of states will not be able to rely sanctions will be triggered. The full or today’s rule on small entities, small permanently upon the emissions partial disapproval of a required State entity is defined as: (1) A small business reductions predicted by CAIR, because Implementation Plan revision triggers as defined by the Small Business CAIR was remanded to us and will not the requirement under section 110(c) Administration’s (SBA) regulations at 13 remain in force permanently. that EPA promulgate a FIP no later than CFR 121.201; (2) a small governmental Furthermore, we are in the process of 2 years from the date of the disapproval jurisdiction that is a government of a developing a new Transport Rule to unless the State corrects the deficiency, city, county, town, school district or address the concerns of the Court as and the Administrator approves the special district with a population of less outlined in its decision remanding plan or plan revision before the than 50,000; and (3) a small CAIR. For these reasons, we would not Administrator promulgates such FIP. In organization that is any not-for-profit be able to approve Texas’ SIP our Transport Rule proposal we took enterprise which is independently submission pertaining to the comment on whether we should include owned and operated and is not requirements under Section Texas in a FIP for PM2.5 (75 FR 45210, dominant in its field. 110(a)(2)(D)(i)(I) because it relies on 45284). The finalized Transport Rule After considering the economic CAIR for emission reduction measures. may serve as the FIP that EPA intends impacts of today’s proposed rule on Based upon our evaluation, we are to implement for the State. small entities, I certify that this action proposing that this SIP revision does not will not have a significant impact on a meet the requirements of Section IV. Statutory and Executive Order Reviews substantial number of small entities. 110(a)(2)(D)(i)(I) of the CAA. Therefore, This rule does not impose any we are proposing to disapprove the Under the CAA, the Administrator is requirements or create impacts on small portion of the Texas Infrastructure SIP required to approve a SIP submission entities. This proposed SIP disapproval submission intended to demonstrate that complies with the provisions of the under section 110 and subchapter I, part that its SIP meets the Interstate Act and applicable Federal regulations. D of the Clean Air Act will not in-and- Transport requirements of 42 U.S.C. 7410(k); 40 CFR 52.02(a). of itself create any new requirements 110(a)(2)(D)(i)(I) of the CAA for the 2006 Thus, in reviewing SIP submissions, but simply disapproves certain State EPA’s role is to act on state law as requirements for inclusion into the SIP. 3 On July 30, 2007, we approved as an abbreviated SIP revision for the allowance allocation meeting Federal requirements and does Accordingly, it affords no opportunity methodologies for Phase 1 of the CAIR NOX annual not impose additional requirements for EPA to fashion for small entities less trading program and the Compliance Supplement beyond those imposed by State law. burdensome compliance or reporting Pool; see 72 FR 41453. The subsequent SIP revision requirements or timetables or was submitted to EPA for review in March 4, 2010, A. Executive Order 12866: Regulatory exemptions from all or part of the rule. and was submitted to address our timing concerns Planning and Review and Executive The fact that the Clean Air Act with the Texas allowance allocation methodology Order 13563: Improving Regulation and for Phase 2 of the CAIR NOX annual trading prescribes that various consequences Regulatory Review program. EPA has not acted on this subsequent SIP (e.g., higher offset requirements) may or revision submittal and is not taking action on it at this time. This proposed action is not a will flow from this disapproval does not 4 Further, as explained above and in the ‘‘significant regulatory action’’ under the mean that EPA either can or must Transport Rule proposal, the DC Circuit in North terms of Executive Order 12866 (58 FR conduct a regulatory flexibility analysis Carolina v. EPA found that EPA’s quantification of 51735, October 4, 1993) and is therefore for this action. Therefore, this action states’ significant contribution and interference with maintenance in CAIR was improper and not subject to review under Executive will not have a significant economic remanded the rule to EPA. CAIR remains in effect Orders 12866 and 13563 (76 FR 3821, impact on a substantial number of small only temporarily. January 21, 2011). entities.

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We continue to be interested in the state, and EPA notes that it will not J. Executive Order 12898: Federal potential impacts of this proposed rule impose substantial direct costs on tribal Actions To Address Environmental on small entities and welcome governments or preempt tribal law. Justice in Minority Populations and comments on issues related to such Thus, Executive Order 13175 does not Low-Income Populations impacts. apply to this action. Executive Order 12898 (59 FR 7629 (Feb. 16, 1994)) establishes Federal D. Unfunded Mandates Reform Act G. Executive Order 13045, Protection of executive policy on environmental This action contains no Federal Children From Environmental Health justice. Its main provision directs mandates under the provisions of Title Risks and Safety Risks federal agencies, to the greatest extent II of the Unfunded Mandates Reform practicable and permitted by law, to Act of 1995 (UMRA), 2 U.S.C. 1531– EPA interprets Executive Order 13045 make environmental justice part of their 1538 for State, local, or tribal (62 FR 19885, April 23, 1997) as mission by identifying and addressing, governments or the private sector.’’ EPA applying only to those regulatory as appropriate, disproportionately high has determined that the proposed actions that concern health or safety and adverse human health or disapproval action does not include a risks, such that the analysis required environmental effects of their programs, Federal mandate that may result in under section 5–501 of the Executive policies, and activities on minority estimated costs of $100 million or more Order has the potential to influence the populations and low-income to either State, local, or tribal regulation. This proposed action is not populations in the United States. governments in the aggregate, or to the subject to Executive Order 13045 EPA lacks the discretionary authority private sector. This action proposes to because it because it is not an to address environmental justice in this disapprove pre-existing requirements economically significant regulatory proposed action. In reviewing SIP under State or local law, and imposes action based on health or safety risks submissions, EPA’s role is to approve or no new requirements. Accordingly, no subject to Executive Order 13045 (62 FR disapprove state choices, based on the additional costs to State, local, or tribal 19885, April 23, 1997).This proposed criteria of the Clean Air Act. governments, or to the private sector, SIP disapproval under section 110 and Accordingly, this action merely result from this action. subchapter I, part D of the Clean Air Act proposes to disapproves certain State E. Executive Order 13132, Federalism will not in-and-of itself create any new requirements for inclusion into the SIP under section 110 and subchapter I, part Executive Order 13132, entitled regulations but simply disapproves D of the Clean Air Act and will not in- ‘‘Federalism’’ (64 FR 43255, August 10, certain State requirements for inclusion and-of itself create any new 1999), requires EPA to develop an into the SIP. requirements. Accordingly, it does not accountable process to ensure H. Executive Order 13211, Actions That provide EPA with the discretionary ‘‘meaningful and timely input by State Significantly Affect Energy Supply, authority to address, as appropriate, and local officials in the development of Distribution or Use disproportionate human health or regulatory policies that have federalism environmental effects, using practicable implications.’’ ‘‘Policies that have This proposed action is not subject to and legally permissible methods, under federalism implications’’ is defined in Executive Order 13211 (66 FR 28355, Executive Order 12898. the Executive Order to include May 22, 2001) because it is not a regulations that have ‘‘substantial direct significant regulatory action under K. Statutory Authority effects on the States, on the relationship Executive Order 12866. The statutory authority for this action between the national government and is provided by section 110 of the CAA, the States, or on the distribution of I. National Technology Transfer and as amended (42 U.S.C. 7410). power and responsibilities among the Advancement Act various levels of government.’’ List of Subjects in 40 CFR Part 52 This proposed action does not have Section 12(d) of the National Environmental protection, Air federalism implications. It will not have Technology Transfer and Advancement pollution control, Intergovernmental substantial direct effects on the States, Act of 1995 (‘‘NTTAA’’), Public Law relations, Particulate matter. on the relationship between the national 104–113, section 12(d) (15 U.S.C. 272 Dated: April 5, 2011. government and the States, or on the note) directs EPA to use voluntary distribution of power and consensus standards in its regulatory Al Armendariz, responsibilities among the various activities unless to do so would be Regional Administrator, Region 6. levels of government, as specified in inconsistent with applicable law or [FR Doc. 2011–8995 Filed 4–12–11; 8:45 am] Executive Order 13132, because it otherwise impractical. Voluntary BILLING CODE 6560–50–P merely disapproves certain State consensus standards are technical requirements for inclusion into the SIP standards (e.g., materials specifications, ENVIRONMENTAL PROTECTION and does not alter the relationship or test methods, sampling procedures, and AGENCY the distribution of power and business practices) that are developed or responsibilities established in the Clean adopted by voluntary consensus 40 CFR Part 300 Air Act. Thus, Executive Order 13132 standards bodies. NTTAA directs EPA does not apply to this action. to provide Congress, through OMB, [EPA–HQ–SFUND–1983–0002; FRL–9291–5] F. Executive Order 13175, Coordination explanations when the Agency decides National Oil and Hazardous Substance With Indian Tribal Governments not to use available and applicable Pollution Contingency Plan National This proposed action does not have voluntary consensus standards. Priorities List: Deletion of the tribal implications, as specified in The EPA believes that this proposed Spiegelberg Landfill Superfund Site action is not subject to requirements of Executive Order 13175 (65 FR 67249, AGENCY: Environmental Protection November 9, 2000), because the SIP EPA Section 12(d) of NTTAA because Agency (EPA). is proposing to disapprove would not application of those requirements would ACTION: Proposed rule: notice of intent. apply in Indian country located in the be inconsistent with the Clean Air Act.

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SUMMARY: The U.S. Environmental personal information provided, unless Deletion of the Spiegelberg Landfill Protection Agency (EPA) Region 5 is the comment includes information Superfund Site without prior Notice of issuing a Notice of Intent to Delete the claimed to be Confidential Business Intent to Delete because we view this as Spiegelberg Landfill Superfund Site Information (CBI) or other information a noncontroversial revision and (Site) located in Green Oak Township, whose disclosure is restricted by statute. anticipate no adverse comment. We Michigan from the National Priorities Do not submit information that you have explained our reasons for this List (NPL) and requests public consider to be CBI or otherwise deletion in the preamble to the direct comments on this proposed action. The protected through http:// final Notice of Deletion, and those NPL, promulgated pursuant to Section www.regulations.gov or e-mail. The reasons are incorporated herein. If we 105 of the Comprehensive http://www.regulations.gov Web site is receive no adverse comment(s) on this Environmental Response, an ‘‘anonymous access’’ system, which deletion action, we will not take further Compensation, and Liability Act means EPA will not know your identity action on this Notice of Intent to Delete. (CERCLA) of 1980, as amended, is an or contact information unless you If we receive adverse comment(s), we appendix of the National Oil and provide it in the body of your comment. will withdraw the direct final Notice of Hazardous Substances Pollution If you send an e-mail comment directly Deletion, and it will not take effect. We Contingency Plan (NCP). EPA and the to EPA without going through http:// will, as appropriate, address all public State of Michigan, through the Michigan www.regulations.gov, your e-mail comments in a subsequent final Notice Department of Environmental Quality, address will be automatically captured of Deletion based on this Notice of have determined that all appropriate and included as part of the comment Intent to Delete. We will not institute a response actions under CERCLA have that is placed in the public docket and second comment period on this Notice been completed. However, this deletion made available on the Internet. If you of Intent to Delete. Any parties does not preclude future actions under submit an electronic comment, EPA interested in commenting must do so at Superfund. recommends that you include your this time. DATES: Comments must be received by name and other contact information in For additional information, see the May 13, 2011. the body of your comment and with any direct final Notice of Deletion which is disk or CD–ROM you submit. If EPA ADDRESSES: Submit your comments, located in the Rules and Regulations cannot read your comment due to identified by Docket ID No. EPA–HQ– section of this Federal Register. technical difficulties and cannot contact SFUND–1983–0002, by one of the you for clarification, EPA may not be List of Subjects in 40 CFR Part 300 following methods: able to consider your comment. • http://www.regulations.gov: Follow Environmental protection, Air Electronic files should avoid the use of on-line instructions for submitting pollution control, Chemicals, Hazardous special characters, any form of comments. waste, Hazardous substances, encryption, and be free of any defects or • E-mail: Howard Caine, Remedial Intergovernmental relations, Penalties, viruses. Reporting and recordkeeping Project Manager, at Docket: All documents in the docket [email protected] or Cheryl Allen, requirements, Superfund, Water are listed in the http:// pollution control, Water supply. Community Involvement Coordinator, at www.regulations.gov index. Although Authority: 33 U.S.C. 1321(c)(2); 42 U.S.C. [email protected]. listed in the index, some information • Fax: Gladys Beard, Deletion Process 9601–9657; E.O. 12777, 56 FR 54757, 3 CFR, may not be publicly available, e.g., CBI Manager, at (312) 697–2077. 1991 Comp., p. 351; E.O. 12580, 52 FR 2923; or other information whose disclosure is • Mail: Howard Caine, Remedial 3 CFR, 1987 Comp., p. 193. restricted by statute. Certain other Project Manager, U.S. Environmental Dated: April 5, 2011. material, such as copyrighted material, Protection Agency (SR–6J), 77 W. will be publicly available only in the Susan Hedman, Jackson Boulevard, Chicago, IL 60604, hard copy. Publicly available docket Regional Administrator, Region 5. (312) 353–9685, or Cheryl Allen, materials are available either [FR Doc. 2011–8880 Filed 4–12–11; 8:45 am] Community Involvement Coordinator, electronically at http:// BILLING CODE 6560–50–P U.S. Environmental Protection Agency www.regulations.gov or in hard copy at: (SI–7J), 77 W. Jackson Boulevard, • Chicago, IL 60604, (312) 353–6196 or U.S. Environmental Protection Agency—Region 5, 77 W. Jackson DEPARTMENT OF HOMELAND (800) 621–8431. SECURITY • Hand Delivery: Cheryl Allen, Boulevard, Chicago, IL 60604, Hours: Monday through Friday, 8:30 a.m. to Community Involvement Coordinator, Federal Emergency Management U.S. Environmental Protection Agency 4:30 p.m., excluding Federal holidays. • Hamburg Township Library, 10411 Agency (SI–7J), 77 W. Jackson Blvd., Chicago, IL Merrill Road., P.O. Box 247, Hamburg, 60604. Such deliveries are only MI 48139, (810) 231–1771, Hours: 44 CFR Part 67 accepted during the docket’s normal Monday through Thursday, 9 a.m. to 8 hours of operation, and special [Docket ID FEMA–2011–0002; Internal p.m.; Friday 12 p.m. to 6 p.m. and arrangements should be made for Agency Docket No. FEMA–B–1188] Saturday 9 a.m. to 5 p.m. deliveries of boxed information. The FOR FURTHER INFORMATION CONTACT: Proposed Flood Elevation normal business hours are Monday Determinations through Friday, 8:30 a.m. to 4:30 p.m., Howard Caine, Remedial Project excluding holidays. Manager, U.S. Environmental Protection AGENCY: Federal Emergency Instructions: Direct your comments to Agency (SR–6J), 77 W. Jackson Blvd., Management Agency, DHS. Chicago, IL 60604, (312) 353–9685, Docket ID no. EPA–HQ–SFUND–1983– ACTION: Proposed rule. 0002. EPA’s policy is that all comments [email protected]. received will be included in the public SUPPLEMENTARY INFORMATION: In the SUMMARY: Comments are requested on docket without change and may be ‘‘Rules and Regulations’’ section of the proposed Base (1% annual-chance) made available online at http:// today’s Federal Register, we are Flood Elevations (BFEs) and proposed www.regulations.gov, including any publishing a direct final Notice of BFE modifications for the communities

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listed in the table below. The purpose Emergency Management Agency, 500 C Consideration. An environmental of this proposed rule is to seek general Street, SW., Washington, DC 20472, impact assessment has not been information and comment regarding the (202) 646–4064, or (e-mail) prepared. proposed regulatory flood elevations for [email protected]. Regulatory Flexibility Act. As flood the reach described by the downstream SUPPLEMENTARY INFORMATION: The elevation determinations are not within and upstream locations in the table Federal Emergency Management Agency the scope of the Regulatory Flexibility below. The BFEs and modified BFEs are (FEMA) proposes to make Act, 5 U.S.C. 601–612, a regulatory a part of the floodplain management determinations of BFEs and modified flexibility analysis is not required. measures that the community is BFEs for each community listed below, Executive Order 12866, Regulatory required either to adopt or to show in accordance with section 110 of the Planning and Review. This proposed evidence of having in effect in order to Flood Disaster Protection Act of 1973, rule is not a significant regulatory action qualify or remain qualified for 42 U.S.C. 4104, and 44 CFR 67.4(a). under the criteria of section 3(f) of participation in the National Flood These proposed BFEs and modified Executive Order 12866, as amended. Insurance Program (NFIP). In addition, BFEs, together with the floodplain Executive Order 13132, Federalism. these elevations, once finalized, will be management criteria required by 44 CFR This proposed rule involves no policies used by insurance agents and others to 60.3, are the minimum that are required. that have federalism implications under calculate appropriate flood insurance They should not be construed to mean Executive Order 13132. premium rates for new buildings and that the community must change any Executive Order 12988, Civil Justice the contents in those buildings. existing ordinances that are more Reform. This proposed rule meets the DATES: Comments are to be submitted stringent in their floodplain applicable standards of Executive Order on or before July 12, 2011. management requirements. The 12988. community may at any time enact ADDRESSES: The corresponding List of Subjects in 44 CFR Part 67 preliminary Flood Insurance Rate Map stricter requirements of its own or (FIRM) for the proposed BFEs for each pursuant to policies established by other Administrative practice and community is available for inspection at Federal, State, or regional entities. procedure, Flood insurance, Reporting the community’s map repository. The These proposed elevations are used to and recordkeeping requirements. meet the floodplain management respective addresses are listed in the Accordingly, 44 CFR part 67 is requirements of the NFIP and also are table below. proposed to be amended as follows: You may submit comments, identified used to calculate the appropriate flood by Docket No. FEMA–B–1188, to Luis insurance premium rates for new PART 67—[AMENDED] Rodriguez, Chief, Engineering buildings built after these elevations are 1. The authority citation for part 67 Management Branch, Federal Insurance made final, and for the contents in those continues to read as follows: and Mitigation Administration, Federal buildings. Comments on any aspect of the Flood Emergency Management Agency, 500 C Authority: 42 U.S.C. 4001 et seq.; Insurance Study and FIRM, other than Street, SW., Washington, DC 20472, Reorganization Plan No. 3 of 1978, 3 CFR, the proposed BFEs, will be considered. (202) 646–4064, or (e-mail) 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, A letter acknowledging receipt of any [email protected]. 3 CFR, 1979 Comp., p. 376. comments will not be sent. FOR FURTHER INFORMATION CONTACT: Luis National Environmental Policy Act. § 67.4 [Amended] Rodriguez, Chief, Engineering This proposed rule is categorically 2. The tables published under the Management Branch, Federal Insurance excluded from the requirements of 44 authority of § 67.4 are proposed to be and Mitigation Administration, Federal CFR part 10, Environmental amended as follows:

* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above Flooding source(s) Location of referenced elevation ** ground Communities affected ∧ Elevation in meters (MSL) Effective Modified

Sevier County, Utah, and Incorporated Areas

Albinus Canyon ...... Approximately 400 feet downstream of Old U.S. High- None +5343 Unincorporated Areas of way 89. Sevier County. Approximately 500 feet upstream of I–70 ...... None +5445 East Koosharem Creek ...... Approximately 1,800 feet downstream of West 200 None +6870 Town of Koosharem, Unin- South Street. corporated Areas of Sevier County. Approximately 500 feet upstream of North 300 West None +6975 Street. Indian Creek...... Approximately 500 feet downstream of East 300 None +5416 Town of Joseph. North Street. At the downstream side of I–70 ...... None +5504 Indian Creek Split Flow ...... Approximately 400 feet downstream of State Highway None +5435 Town of Joseph. 118. At the Indian Creek divergence ...... None +5485

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* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above Flooding source(s) Location of referenced elevation ** ground Communities affected ∧ Elevation in meters (MSL) Effective Modified

Koosharem Creek ...... Approximately 1,700 feet downstream of West 200 None +6878 Town of Koosharem, Unin- South Street. corporated Areas of Sevier County. Approximately 0.4 mile upstream of West 200 North None +7037 Street. North Koosharem Creek ...... Approximately 700 feet downstream of North 200 None +6893 Town of Koosharem, Unin- East Street. corporated Areas of Sevier County. Approximately 1,800 feet upstream of North 300 West None +7033 Street.

* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ∧ Mean Sea Level, rounded to the nearest 0.1 meter. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to Luis Rodriguez, Chief, Engineering Management Branch, Federal Insurance and Mitigation Administration, Federal Emer- gency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES Town of Joseph Maps are available for inspection at 25 East 100 North Street, Joseph, UT 84739. Town of Koosharem Maps are available for inspection at 45 North Main Street, Koosharem, UT 84744. Unincorporated Areas of Sevier County Maps are available for inspection at 250 North Main Street, Richfield, UT 84701.

Yakima County, Washington, and Incorporated Areas

Cottonwood Creek ...... Approximately 970 feet downstream of Dazet Road ... None +1244 Unincorporated Areas of Yakima County. Approximately 2.08 miles upstream of Hubbard Road None +1831 Cottonwood Creek Left Bank At the Cottonwood Creek confluence ...... None +1293 Unincorporated Areas of Overflow Downstream. Yakima County. At the Cottonwood Creek divergence ...... None +1323 Cottonwood Creek Left Bank Approximately 0.26 mile downstream of Canyon Road None +1406 Unincorporated Areas of Overflow Upstream. Yakima County. Approximately 0.64 mile upstream of Canyon Road ... None +1475 Cottonwood Creek Tributary At the Cottonwood Creek confluence ...... None +1613 Unincorporated Areas of 1. Yakima County. Approximately 0.53 mile upstream of Cottonwood None +1668 Canyon Road. Secondary Tributary to Wide At the Tributary to Wide Hollow Creek Tributary 2 None +1519 Unincorporated Areas of Hollow Tributary 2. confluence. Yakima County. Approximately 0.36 mile upstream of the Tributary to None +1569 Wide Hollow Creek Tributary 2 confluence. Shaw Creek ...... At the Wide Hollow Creek confluence ...... None +1179 City of Yakima, Unincor- porated Areas of Yakima County. Approximately 160 feet upstream of Summitview None +1438 Road. Shaw Creek—Wide Hollow At the Wide Hollow Creek confluence ...... None +1152 City of Yakima. Creek Overflow. Approximately 0.27 mile upstream of Westbrook Loop None +1182 Shaw Creek—Wide Hollow At the Wide Hollow Creek confluence ...... None +1151 City of Yakima. Creek Walmart Overflow 1. Approximately 1,307 feet upstream of South 64th Av- None +1158 enue. Shaw Creek—Wide Hollow At the Wide Hollow Creek confluence ...... None +1149 City of Yakima. Creek Walmart Overflow 2. Approximately 1,236 feet upstream of South 64th Av- None +1160 enue. Shaw Creek Ditch 1 ...... At the Shaw Creek confluence ...... None +1431 Unincorporated Areas of Yakima County.

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* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above Flooding source(s) Location of referenced elevation ** ground Communities affected ∧ Elevation in meters (MSL) Effective Modified

Approximately 170 feet downstream of North 112th None +1435 Avenue. Shaw Creek Left Bank Over- At the Shaw Creek confluence ...... None +1252 Unincorporated Areas of flow. Yakima County. At the Shaw Creek divergence ...... None +1270 Shaw Creek North Pear At the Shaw Creek confluence ...... None +1235 City of Yakima, Unincor- Overflow. porated Areas of Yakima County. Approximately 560 feet upstream of Orchard Avenue None +1284 Shaw Creek Overflow ...... At the Shaw Creek confluence ...... None +1187 City of Yakima, Unincor- porated Areas of Yakima County. Approximately 0.3 mile upstream of South 91st Ave- None +1222 nue. Shaw Creek Overflow South At the Shaw Creek confluence ...... None +1182 City of Yakima, Unincor- porated Areas of Yakima County. Approximately 0.32 mile upstream of South 88th Ave- None +1215 nue. Shaw Creek Tributary ...... At the Shaw Creek confluence ...... None +1230 Unincorporated Areas of Yakima County. Approximately 160 feet downstream of South Mize None +1407 Road. Tributary to Wide Hollow At the Wide Hollow Creek Tributary 2 confluence ...... None +1470 Unincorporated Areas of Creek Tributary 2. Yakima County. Approximately 0.42 mile upstream of Lynch Road ...... None +1566 Wide Hollow Creek ...... At the Yakima River confluence ...... +959 +958 City of Union Gap, City of Yakima, Unincorporated Areas of Yakima Coun- ty. Approximately 1.08 miles upstream of Stone Road .... None +1733 Wide Hollow Creek Mill Weir At the Wide Hollow Creek confluence ...... None +958 City of Union Gap. Overflow. At the Wide Hollow Creek divergence ...... None +964 Wide Hollow Creek Right At the Wide Hollow Creek confluence ...... None +1413 Unincorporated Areas of Bank Overflow 1. Yakima County. Approximately 0.32 mile upstream of Wide Hollow None +1450 Road. Wide Hollow Creek Tributary At the Wide Hollow Creek confluence ...... None +1482 Unincorporated Areas of 1. Yakima County. Approximately 1.08 miles upstream of Cook Road ..... None +1712 Wide Hollow Creek Tributary At the Wide Hollow Creek Tributary 1 confluence ...... None +1647 Unincorporated Areas of 1 Midflow Split. Yakima County. At the Wide Hollow Creek Tributary 1 divergence ...... None +1660 Wide Hollow Creek Tributary Approximately 300 feet downstream of Stone Road ... None +1470 Unincorporated Areas of 1 Left Bank Overflow. Yakima County. Approximately 0.7 mile upstream of Hollow Creek None +1545 Lane. Wide Hollow Creek Tributary At the Wide Hollow Creek confluence ...... None +1450 Unincorporated Areas of 2. Yakima County. Approximately 0.45 mile upstream of Tieton Drive ...... None +1594 Wide Hollow Structure 116 At the Wide Hollow Creek confluence ...... None +1370 Unincorporated Areas of Bypass. Yakima County. At the Wide Hollow Creek divergence ...... None +1378 Wide Hollow Structure 125 At the Wide Hollow Creek confluence ...... None +1430 Unincorporated Areas of Bypass. Yakima County. At the upstream side of Wide Hollow Road ...... None +1438 Wide Hollow Structure 21 By- At the Ahtanum Creek confluence ...... None +953 City of Union Gap, Unin- pass. corporated Areas of Yakima County. At the Wide Hollow Creek divergence ...... None +975 Wide Hollow Structure 36 By- At the Wide Hollow Creek confluence ...... None +1012 City of Union Gap. pass. At the Wide Hollow Creek divergence ...... None +1016 Wide Hollow Structure 47 By- At the Wide Hollow Creek confluence ...... None +1045 City of Union Gap. pass.

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* Elevation in feet (NGVD) + Elevation in feet (NAVD) # Depth in feet above Flooding source(s) Location of referenced elevation ** ground Communities affected ∧ Elevation in meters (MSL) Effective Modified

At the Wide Hollow Creek divergence ...... None +1050 Wide Hollow Structure 86 By- At the Wide Hollow Creek confluence ...... None +1203 Unincorporated Areas of pass. Yakima County. At the Wide Hollow Creek divergence ...... None +1217 Wide Hollow Structure 99 By- At the Wide Hollow Creek confluence ...... None +1264 Unincorporated Areas of pass. Yakima County. At the Wide Hollow Creek divergence ...... None +1280

* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ∧ Mean Sea Level, rounded to the nearest 0.1 meter. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to Luis Rodriguez, Chief, Engineering Management Branch, Federal Insurance and Mitigation Administration, Federal Emer- gency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES City of Union Gap Maps are available for inspection at 102 West Ahtanum Road, Union Gap, WA 98903. City of Yakima Maps are available for inspection at 129 North 2nd Street, Yakima, WA 98901. Unincorporated Areas of Yakima County Maps are available for inspection at 128 North 2nd Street, Yakima, WA 98901.

Wirt County, West Virginia, and Incorporated Areas

Daley Run...... Approximately 1,400 feet downstream of County None +610 Unincorporated Areas of Route 14/1. Wirt County. Approximately 500 feet downstream of County Route None +610 14/1. Little Kanawha River ...... Approximately 1.8 miles downstream of the Hughes None +610 Unincorporated Areas of River confluence. Wirt County. Approximately 4.2 miles downstream of the Hughes None +610 River confluence. Approximately 1.4 miles downstream of State Route 5 None +623 Approximately 650 feet downstream of State Route 5 None +625 Tucker Creek ...... At the Little Kanawha River confluence ...... None +623 Unincorporated Areas of Wirt County. Approximately 1.1 miles upstream of the Little None +623 Kanawha River confluence.

* National Geodetic Vertical Datum. + North American Vertical Datum. # Depth in feet above ground. ∧ Mean Sea Level, rounded to the nearest 0.1 meter. ** BFEs to be changed include the listed downstream and upstream BFEs, and include BFEs located on the stream reach between the ref- erenced locations above. Please refer to the revised Flood Insurance Rate Map located at the community map repository (see below) for exact locations of all BFEs to be changed. Send comments to Luis Rodriguez, Chief, Engineering Management Branch, Federal Insurance and Mitigation Administration, Federal Emer- gency Management Agency, 500 C Street, SW., Washington, DC 20472. ADDRESSES Unincorporated Areas of Wirt County Maps are available for inspection at the Wirt County Courthouse, Corner Court of Washington Street, Elizabeth, WV 26143.

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(Catalog of Federal Domestic Assistance No. timely method of receiving and any HOS regulation listed in Appendix 97.022, ‘‘Flood Insurance.’’) processing your comments. C of 49 CFR part 385 during a single Dated: March 30, 2011. • Federal eRulemaking Portal: Go to compliance review to install and use Sandra K. Knight, http://www.regulations.gov. Follow the EOBRs on all of its CMVs for a period Deputy Federal Insurance and Mitigation online instructions for submitting of 2 years. The compliance date for the Administrator, Mitigation, Department of comments. rule is June 4, 2012. Homeland Security, Federal Emergency • Fax: 1–202–493–2251. Subsequently, on February 1, 2011, Management Agency. • Mail: Docket Management Facility; the Agency published an NPRM that [FR Doc. 2011–8852 Filed 4–12–11; 8:45 am] U.S. Department of Transportation, proposed to expand the scope of EOBR BILLING CODE 9110–12–P Room W12–140, 1200 New Jersey 1 to a broader population of motor Avenue, SE., Washington, DC 20590– carriers (EOBR 2) (76 FR 5537). Under 0001. the EOBR 2 NPRM, within 3 years of the • DEPARTMENT OF TRANSPORTATION Hand Delivery: Ground floor, Room effective date of the final rule, all motor W12–140, 1200 New Jersey Avenue, SE., carriers currently required to maintain Federal Motor Carrier Safety Washington, DC, between 9 a.m. and 5 RODS for HOS recordkeeping would be Administration p.m., e.t., Monday through Friday, required to use EOBRs. In both EOBR except Federal holidays. rulemakings, FMCSA explained that 49 CFR Parts 385, 390, and 395 Instructions: All submissions must DOT is directed by 49 U.S.C. 31137(a) include the Agency name and docket to consider driver harassment in [Docket No. FMCSA–2010–0167] number for this regulatory action. Note promulgating an EOBR rule. Section RIN 2126–AB20 that all comments received will be 31137(a) provides: posted without change to http:// If the Secretary of Transportation Electronic On-Board Recorders and www.regulations.gov, including any prescribes a regulation about the use of Hours of Service Supporting personal information provided. Refer to monitoring devices on commercial motor Documents the Privacy Act heading on http:// vehicles to increase compliance by operators www.regulations.gov for further of the vehicles with hours of service AGENCY: Federal Motor Carrier Safety regulations of the Secretary, the regulation Administration (FMCSA), DOT. information. Privacy Act: Anyone is able to search shall ensure that the devices are not used to ACTION: Notice; request for additional harass vehicle operators. However, the the electronic form for all comments public comment. devices may be used to monitor productivity received into any of our dockets by the of the operators. name of the individual submitting the SUMMARY: On February 1, 2011, FMCSA Although the Agency is not aware of comment (or signing the comment, if published a notice of proposed any legislative history or case law submitted on behalf of an association, rulemaking (NPRM), which proposed concerning 49 U.S.C. 31137(a), FMCSA business, labor union, etc.). You may that electronic on-board recorders assessed this provision in the context of review the DOT Privacy Act system of (EOBR) be required for commercial all existing legal authorities, permissible records notice for the FDMS in the motor vehicle (CMV) operators who productivity monitoring, and related Federal Register published on January must keep records of duty status (RODS) public comments. Based on these 17, 2008 (73 FR 3316) at http:// (EOBR 2). In the EOBR 2 NPRM and in considerations, the Agency understands edocket.access.gpo.gov/2008/pdf/E8- a predecessor EOBR rulemaking the term ‘‘harass’’ in Section 31137(a) to 785.pdf. published on April 5, 2010 (EOBR 1), refer to harassment of drivers resulting the Agency advised that it is required by FOR FURTHER INFORMATION CONTACT: For from invasion of their privacy and has statute to ensure that electronic devices technical issues: Ms. Deborah M. so interpreted the statutory language. are not used to harass CMV drivers, Freund, Vehicle and Roadside FMCSA has addressed that pertinent although they can be used by motor Operations Division, Office of Bus and statutory concern in this context in both carriers to monitor productivity. The Truck Standards and Operations, the EOBR 2 NPRM (76 FR at 5552) and Agency believes it satisfactorily Federal Motor Carrier Safety the EOBR 1 final rule (75 FR at 17220– addressed the statutory requirement in Administration, 1200 New Jersey 21). both its EOBR rulemaking proceedings. Avenue, SE., Washington, DC 20590– First, Section 31137(a) expressly In light of recent litigation challenging 0001 or by telephone at (202) 366–5370. permits use of EOBRs to monitor driver the Agency’s treatment of driver For legal issues: Mr. Charles Fromm, productivity. As a result, the statute harassment in EOBR 1, however, Assistant Chief Counsel for Enforcement permits carriers to use the devices for FMCSA wishes to ensure that interested and Litigation, Federal Motor Carrier productivity-related purposes, which parties have a full opportunity to Safety Administration, 1200 New Jersey could include maintaining contact with address this issue in the active EOBR 2 Avenue, SE., Washington, DC 20590– drivers, monitoring driver progress, rulemaking. 0001 or by telephone at (202) 366–3551. determining delivery and work DATES: Comments must be received on SUPPLEMENTARY INFORMATION: schedules, and even requiring drivers to or before May 23, 2011. return to duty, so long as the drivers ADDRESSES: You may submit comments Regulatory Background and Authority would not be put in violation of the identified by the Federal Docket On April 5, 2010, the Agency issued HOS or other regulations. Section Management System Number (FDMS) in a final rule (EOBR 1) (75 FR 17208) that 31137(a) also expressly contemplates the heading of this document by any of provides new technical requirements for the use of monitoring devices to the following methods. Do not submit electronic on-board recorders (EOBR). increase compliance with HOS the same comments by more than one The EOBR 1 final rule also requires the regulations. As a result, the statute method. However, to allow effective limited, remedial use of EOBRs for permits carriers to use the devices to public participation before the comment motor carriers with significant hours-of- monitor when, and for how long, drivers period deadline, the Agency encourages service (HOS) violations. The EOBR 1 are in a particular duty status. Although use of the Web site that is listed first. final rule requires a motor carrier found some drivers might perceive such It will provide the most efficient and to have a 10 percent violation rate for monitoring as a form of harassment,

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FMCSA construes Section 31137(a) to even if the ‘‘harassment’’ contemplated 2 NPRM, the Agency took specific steps permit these activities, either because by Section 31137(a) extended to these to ensure that EOBRs are not used to they ‘‘monitor productivity,’’ which is types of scenarios, previously-existing violate driver privacy or to otherwise expressly permitted under the statute, or statutes and regulations already address harass drivers in the privacy context. because they use an EOBR to ‘‘increase these concerns, and the Agency need The Agency also included additional compliance * * * with hours of service not adopt new regulations or limit the consideration of this issue in the regulations,’’ and thus are outside the capabilities of EOBRs to mitigate them. Privacy Impact Analysis conducted in meaning of ‘‘harass’’ under Section Rather, as explained above, FMCSA support of each EOBR rulemaking 31137(a). focused its obligations under Section initiative. For example, the technical Second, as FMCSA construes Section 31137(a) on privacy concerns because specifications for the devices mandated 31137(a), the Agency is not required, in those issues represented potential for in EOBR 1 and proposed for use in the EOBR rulemakings, to protect harassment that both arose for the first EOBR 2 do not require that an EOBR against any and all possible harassment time with EOBRs and which were not track the precise street address or that is not related to EOBRs. Rather, its addressed by previously-existing location of a driver, but that it only duty is to ensure that the monitoring statutes or regulations. record the nearest city, town or village devices required by the Agency do not Furthermore, the EOBRs required by and state when it records the driver’s increase the harassment of drivers, not the Agency do not increase the potential location (75 FR at 17220 and 76 FR at to ensure that the devices decrease any for carriers to harass drivers for 5545). And FMCSA requires an EOBR to previously-existing potential for driver ostensible productivity reasons that are record a driver’s location at no more harassment that might have occurred in actually illegal or illegitimate, beyond than 60 minute intervals, having the absence of such monitoring devices the potential that already exists with specifically rejected the ‘‘real time’’ 1- when paper records were the exclusive paper records. The EOBRs required by minute intervals proposed in the EOBR required means of recording and the Agency do not require the 1 NPRM as potentially invading drivers’ reporting driver duty status. immediate, real-time transmittal of privacy. While devices with such real Accordingly, in exercising its driver duty status data to carriers, which time capability are already available on obligations under Section 31137(a), might arguably increase the potential for the market, FMCSA does not read FMCSA may appropriately take into driver harassment. Rather, under EOBR Section 31137(a) as a mandate to account all existing authorities 1, drivers are required only to submit prohibit motor carriers from voluntarily prohibiting potential harassment of their duty status data to carriers within using these devices, or their enhanced drivers in determining whether the three days after it is recorded, see 49 functionality. The Agency understands Agency must enact new protections CFR 395.16(m), and under EOBR 2 Section 31137(a) to require FMCSA to against harassment specifically for drivers would be subject to the same ensure that the devices the Agency itself monitoring devices. requirement. Thus, other than the driver requires are not used to harass drivers; Other existing regulatory and privacy concerns noted and addressed the statute does not require the Agency statutory provisions already prohibit by FMCSA, the Agency perceives no to prohibit private parties from carriers from attempting to use EOBRs other form of ‘‘harassment’’ under voluntarily adopting technologies that to harass drivers for ostensible Section 31137(a) that is implicated by have capabilities beyond those required productivity reasons that are actually monitoring devices themselves that by the Agency-mandated EOBRs. Also, illegal or illegitimate. For example, 49 must be addressed by the Agency. EOBR 1 does include provisions to CFR 392.3 prohibits motor carriers from Indeed, commenters to EOBR 1 said that ensure information collected is not requiring ill or fatigued drivers to drive. EOBRs could actually limit carrier misused. See Privacy Impact Accordingly, carriers cannot use EOBRs harassment with respect to HOS rules. Assessment at 7 (FMCSA–2004–18940– to monitor a driver’s hours to see if the These commenters stated that EOBRs 1156). driver has driving time remaining, and would force carriers that might Recently, however, the Owner- then nonetheless force a driver who is otherwise harass drivers by coercing Operator Independent Drivers fatigued or ill to return to work. them to violate HOS rules to Association (OOIDA) challenged the Similarly, 49 CFR part 395 sets forth dramatically reduce such practices. EOBR I final rule in a lawsuit brought HOS regulations for CMV drivers. Given the accuracy of EOBRs compared in the United States Court of Appeals Section 395.3 prohibits a carrier from to paper logs, where such violations for the Seventh Circuit. In that case, permitting or requiring any driver to occur, they would be easier to detect Owner-Operator Independent Drivers violate these regulations. Section 395.8 and document to prove employer Ass’n v. U.S. Dep’t of Transp. (Case No. also subjects a carrier, as well as a harassment. 10–2340) (7th Cir.), OOIDA raised driver, to prosecution for making false Third, driver comments submitted to several concerns relating to EOBRs and reports of duty status. As a result, both the EOBR 1 and EOBR 2 dockets their potential for harassment. During carriers are forbidden from requiring a largely focused on the potential for oral argument on February 7, 2011, the driver to manipulate an EOBR to violate harassment in the privacy context. Their Court specifically noted these concerns. HOS regulations or to use an EOBR to concerns focused primarily on the The EOBR 1 rule is a final Agency otherwise violate those regulations. potential invasion of privacy by the action and currently remains under Further, employer retaliation against a government (e.g., vehicle tracking) and review by the Seventh Circuit. driver who refused to modify his on how data collected would be Accordingly, it is not subject to further accurate HOS records in response to safeguarded, used, and disseminated comment or consideration on carrier harassment would be illegal (e.g., in post-accident litigation or in harassment or any other matter. The under 49 U.S.C. 31105(a), which personal litigation such as divorce Agency believes that it has prohibits retaliation against employees proceedings). appropriately interpreted Section for filing safety complaints or refusing Based on the factors above, the 31137(a) to require the Agency, in the to operate vehicles in violation of safety Agency has determined that the statute EOBR rulemakings, to protect drivers regulations, based on unsafe vehicle requires it to protect against privacy from harassment resulting from invasion conditions, or where an employee invasion in the EOBR rulemakings. In of their privacy. To ensure no accurately reports hours on duty. Thus, its EOBR 1 rulemaking and in the EOBR misunderstanding on the issue,

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however, the Agency seeks to maximize ACTION: Notice of 90-day petition Service; 4401 N. Fairfax Drive, MS the opportunity for public participation finding. 2042–PDM; Arlington, VA 22203. on harassment by inviting further We will post all information we comment during the open EOBR 2 SUMMARY: We, the U.S. Fish and receive on http://www.regulations.gov. rulemaking. Wildlife Service, announce a 90-day This generally means that we will post By notice published on March 10, finding on a petition to list the Spring any personal information you provide 2011 (76 FR 13121), the Agency has Mountains acastus checkerspot butterfly us (see the Request for Information already extended the public comment (Chlosyne acastus robusta) as section below for more details). endangered under the Endangered period for the EOBR 2 NPRM to May 23, FOR FURTHER INFORMATION CONTACT: Jill 2011. The Agency encourages interested Species Act of 1973, as amended (Act). Ralston, Deputy State Supervisor, U.S. parties to take advantage of this Based on our review, we find that the Fish and Wildlife Service, Nevada Fish extended comment period to submit petition presents substantial scientific and Wildlife Office, 4701 North Torrey comment on the issues set forth in this or commercial information indicating Pines Drive, Las Vegas, NV 89130; by notice. As indicated in the March 10 that listing the Spring Mountains telephone 702–515–5230; or by extension notice, the Agency will also acastus checkerspot butterfly as facsimile to 702–515–5231. If you use a accept and consider comments on all endangered or threatened may be telecommunications device for the deaf issues within the scope of the NPRM. warranted. Therefore, with the (TDD), please call the Federal Request for Comments: FMCSA publication of this notice, we are Information Relay Service (FIRS) at encourages all interested parties to initiating a review of the status of the 800–877–8339. species to determine if listing the Spring submit comments, including supporting SUPPLEMENTARY INFORMATION: data, information or examples, regarding Mountains acastus checkerspot butterfly the use of EOBRs for purposes of driver as endangered or threatened is Request for Information warranted. To ensure that this status harassment. In particular, the Agency When we make a finding that a review is comprehensive, we are encourages commenters to address the petition presents substantial requesting scientific and commercial following: information indicating that listing a • data and other information regarding Experiences drivers have had species may be warranted, we are this subspecies. Based on the status regarding harassment, including required to promptly review the status review, we will issue a 12-month coercion by carriers to evade the HOS of the species (status review). For the finding on the petition, which will regulations; status review to be complete and based • address whether the petitioned action is Whether such carrier activity would on the best available scientific and warranted, as provided in section be permitted as productivity monitoring commercial information, we request 4(b)(3)(B) of the Act. or would be barred by other statutory or information on the Spring Mountains regulatory provisions; DATES: To allow us adequate time to • acastus checkerspot butterfly from Whether use of EOBRs would conduct this review, we request that we governmental agencies, Native impact the ability of carriers, shippers, receive information on or before June American Tribes, the scientific and other parties to harass or coerce 13, 2011. Please note that if you are community, industry, and any other drivers to violate HOS requirements; using the Federal eRulemaking Portal • interested parties. We seek information The effectiveness of mechanisms (see ADDRESSES section below), the on: currently available under 49 CFR 392.3, deadline for submitting an electronic (1) The subspecies’ biology, range, 49 CFR part 395 and 49 U.S.C. 31105(a) comment is Eastern Standard Time on and population trends, including: to protect against carrier coercion; and this date. After June 13, 2011, you must • (a) Habitat requirements for feeding, Whether additional regulations or submit information directly to the breeding, and sheltering; guidance from FMCSA are necessary to Nevada Fish and Wildlife Office (see (b) Genetics and taxonomy; ensure EOBR devices are not used to FOR FURTHER INFORMATION CONTACT (c) Historical and current range, harass vehicle operators. section below). Please note that we including distribution patterns; Issued on: April 7, 2011. might not be able to address or (d) Historical and current population Anne S. Ferro, incorporate information that we receive levels, and current and projected trends; Administrator. after the above requested date. and [FR Doc. 2011–8789 Filed 4–12–11; 8:45 am] ADDRESSES: You may submit (e) Past and ongoing conservation BILLING CODE 4910–EX–P information by one of the following measures for the subspecies, its habitat, methods: or both. • Electronically: Go to the Federal (2) The factors that are the basis for DEPARTMENT OF THE INTERIOR eRulemaking Portal: http:// making a listing/delisting/downlisting www.regulations.gov. In the Keyword determination for a species under Fish and Wildlife Service box, enter Docket No. FWS–R8–ES– section 4(a) of the Endangered Species 2010–0077, which is the docket number Act of 1973, as amended (Act) 50 CFR Part 17 for this rulemaking. Then, in the Search (16 U.S.C. 1531 et seq.), which are: panel on the left side of the screen, (a) The present or threatened [Docket No. FWS–R8–ES–2010–0077; MO under the Document Type heading, destruction, modification, or 92210–0–0008] click on the Proposed Rules link to curtailment of its habitat or range; Endangered and Threatened Wildlife locate this document. You may submit (b) Overutilization for commercial, and Plants; 90-Day Finding on a a comment by clicking on ‘‘Send a recreational, scientific, or educational Comment or Submission.’’ purposes; Petition To List Spring Mountains • Acastus Checkerspot Butterfly as By hard copy: Submit by U.S. mail (c) Disease or predation; Endangered or hand-delivery to: Public Comments (d) The inadequacy of existing Processing, Attn: FWS–R8–ES–2010– regulatory mechanisms; or AGENCY: Fish and Wildlife Service, 0077; Division of Policy and Directives (e) Other natural or manmade factors Interior. Management; U.S. Fish and Wildlife affecting its continued existence.

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If, after the status review, we Information and supporting Previous Federal Actions determine that listing the Spring documentation that we received and In 1991 and 1994, the U.S. Fish and Mountains acastus checkerspot butterfly used in preparing this finding is Wildlife Service (Service) included the is warranted, we will propose critical available for you to review at http:// Spring Mountains acastus checkerspot habitat (see definition in section 3(5)(A) www.regulations.gov, or you may make butterfly in a compilation of taxa that of the Act), under section 4 of the Act, an appointment during normal business were to be reviewed for possible to the maximum extent prudent and hours at the U.S. Fish and Wildlife addition to the Lists of Endangered and determinable at the time we propose to Service, Nevada Fish and Wildlife Threatened Wildlife and Plants (56 FR list the subspecies. Therefore, within Office (see FOR FURTHER INFORMATION 58804, November 21, 1991; 59 FR the geographical range currently CONTACT). 58982, November 15, 1994). In both occupied by the Spring Mountains years the Spring Mountains acastus acastus checkerspot butterfly, we Background checkerspot butterfly was assigned to a request data and information on: Section 4(b)(3)(A) of the Act requires ‘‘ ’’ (1) What may constitute ‘‘physical or Category 2 species. Such a designation that we make a finding on whether a indicated that proposing to list was biological features essential to the petition to list, delist, or reclassify a conservation of the species’’; possibly appropriate, but additional species presents substantial scientific or information on biological vulnerability (2) Where these features are currently commercial information indicating that found; and and threats were needed to support the the petitioned action may be warranted. preparation of a proposed rule. The (3) Whether any of these features may We are to base this finding on require special management trend for Spring Mountains acastus information provided in the petition, checkerspot butterfly was described as considerations or protection. supporting information submitted with In addition, we request data and ‘‘Unknown.’’ These notices stressed that the petition, and information otherwise information on ‘‘specific areas outside species in this category were not available in our files. To the maximum the geographical area occupied by the proposed for listing, nor were there any species’’ that are ‘‘essential to the extent practicable, we are to make this plans to list unless supporting conservation of the species.’’ Please finding within 90 days of our receipt of information became available. provide specific comments and the petition, and publish our notice of In the February 28, 1996, Candidate information as to what, if any, critical the finding promptly in the Federal Notice of Review (61 FR 7595), we habitat you think we should propose for Register. adopted a single category of candidate designation if the subspecies is Our standard for substantial scientific species defined as follows: ‘‘Those proposed for listing, and why such or commercial information within the species for which the Service has on file habitat meets the requirements of Code of Federal Regulations (CFR) with sufficient information on biological section 4 of the Act. regard to a 90-day petition finding is vulnerability and threat(s) to support Please include sufficient information ‘‘that amount of information that would issuance of a proposed rule to list but with your submission (such as scientific lead a reasonable person to believe that issuance of the proposed rule is journal articles or other publications) to the measure proposed in the petition precluded.’’ In previous Candidate allow us to verify any scientific or may be warranted’’ (50 CFR 424.14(b)). Notices of Review, species matching commercial information you include. If we find that substantial scientific or this definition were known as Category Submissions merely stating support commercial information was presented, 1 candidates for listing. Thus, the for or opposition to the action under we are required to promptly conduct a Service no longer considered Category 2 consideration without providing species status review, which we species as candidates and did not supporting information, although noted, subsequently summarize in our 12- include them in the 1996 or any will not be considered in making a month finding. subsequent Candidate Notices of determination. Section 4(b)(1)(A) of the Petition History Review. The decision to stop Act directs that determinations as to considering Category 2 species as whether any species is an endangered or On September 18, 2009, we received candidates was designed to reduce threatened species must be made ‘‘solely a petition, dated September 16, 2009, confusion about the status of these on the basis of the best scientific and from Bruce M. Boyd, requesting that the species and to clarify that we no longer commercial data available.’’ Spring Mountains acastus checkerspot regarded these species as candidates for You may submit your information butterfly be listed as endangered under listing. concerning this status review by one of the Act (Boyd 2009). The petition the methods listed in the ADDRESSES clearly identified itself as such and Species Information section. We will not accept comments included the requisite identification The Spring Mountains acastus sent by e-mail or fax or to an address not information for the petitioner, as checkerspot butterfly (Chlosyne acastus listed in the ADDRESSES section of this required by 50 CFR 424.14(a). In a robusta) is a subspecies of sagebrush document. If you submit information via November 24, 2009, letter to petitioner checkerspot butterfly (Chlosyne acastus) http://www.regulations.gov, your entire Bruce M. Boyd, we responded that we belonging to the Nymphalidae (brush- submission—including any personal reviewed the information presented in footed butterflies) family. Synonyms of identifying information—will be posted the petition and determined that issuing the genera Chlosyne have included on the Web site. If you submit a an emergency regulation temporarily Charidryas and Thessalia (Opler and hardcopy that includes personal listing the butterfly under section 4(b)(7) Warren 2003, pp. 35–36). Early identifying information, you may of the Act was not warranted (Service taxonomic assessments of specimens C. request at the top of your document that 2009, p. 1). We also stated that funding a. robusta ascribed it to C. a. we withhold this personal identifying was secured and that we anticipated vallismortis (= C. palla vallismortis; information from public review. making an initial finding in Fiscal Year Austin 1981, p. 71). Later However, we cannot guarantee that we 2010 as to whether the petition contains interpretations suggested that it was will be able to do so. We will post all substantial information indicating that more closely aligned to C. acastus hardcopy submissions on http:// the action may be warranted. This (Austin 1985, p. 108). Further www.regulations.gov. finding addresses the petition. evaluations resulted in recognition of

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the Spring Mountains acastus area such as rocks or branches (Scott (variously known as viscid rabbitbrush, checkerspot butterfly as a distinct 1986, pp. 46–47, 307; Kingsley 2008, pp. sticky leaved rabbitbrush, and narrow subspecies (Austin 1998a, p. 576). There 4, 7–8). At these sites males behave leaved rabbitbrush) (Niles and Leary are nine subspecies of sagebrush territorially by remaining in the same 2007, p. 19). It is unknown which of checkerspot butterflies described for area and pursuing any other butterflies these subspecies of C. viscidiflorus are North America (Pelham 2008, pp. 379– or insects that come within a zone of a used as a larval host by Spring 380), of which four (C. a. acastus, C. a. few square meters around the male and Mountains acastus checkerspot dorothyi, C. a. robusta, and C. a. continue this behavior towards the butterfly. Of butterfly host plants neumoegeni) occur in Nevada (Austin intruding animal until it leaves (Boyd described by Weiss et al. (1997, Figure 1998b, p. 842). and Austin 2001, p. 5; Boyd and Austin 4), Chrysothamnus viscidiflorus tends to The Spring Mountains acastus 2002, p. 5; Kingsley 2008, pp. 4, 7–8). be found in areas with the lowest checkerspot butterfly is known only During a brief flight season (Weiss et al. percentages of tree canopy cover (mean from the Spring Mountains in Clark and 1997, pp. 6, 37), females remain at the of 17 percent) compared to other host Nye Counties, Nevada (Austin 1998a, p. site long enough to find a male to mate plant species. 577), at elevations ranging from with, and then leave the area to oviposit Ericameria nauseosa minimums near 1,800 meters (m) to (Boyd and Austin 2001, p. 6; Boyd and (= Chrysothamnus nauseosus, rubber maximums at 2,700 m (5,900–8,900 feet Austin 2002, p. 5). rabbitbrush) also is suspected of being a (ft); Weiss et al. 1997, p. 17). In low The flight season of the Spring larval host plant (Weiss et al. 1997, p. elevation desert areas adjacent to the Mountains acastus checkerspot is 6). Boyd and Austin (1999, pp. 20–21) distribution of Spring Mountains between mid-May and mid-July (Weiss attempted to feed E. nauseosa to Spring acastus checkerspot butterfly, a similar et al. 1997, pp. 6, 37; Austin 1998a, p. Mountains acastus checkerspot larvae looking subspecies, C. a. neumoegeni, 576; Boyd 2004, pp. 1–2), peaking near unsuccessfully and reported that their may occur (Austin 1998a, p. 577), and the later part of June (Weiss et al. 1997, results were inconclusive. However, is likely the nearest subspecies spatially. pp. 6, 37; Boyd and Austin 1999, p. 20; they reported that other subspecies of The majority of observations and habitat Boyd and Austin 2002, p. 4; Boyd 2004, sagebrush checkerspot butterflies used for the Spring Mountains acastus p. 8). Distances moved during flight Acamptopappus sp. (goldenhead) and checkerspot butterfly occur within the periods have not been documented, Xylorhiza sp. (woodyaster) as larval host Spring Mountains National Recreation although Schrier et al. (1976, p. 285) plants (Austin and Austin 1980, as cited Area, which is managed by the U.S. observed that a related species, the in Boyd and Austin 1999, p. 21). Department of Agriculture, Forest northern checkerspot butterfly (C. Clusters of eggs are laid on the Service (hereafter referred to as Forest palla), could move as far as 1.6 underside of host leaves and sometimes Service), Humboldt-Toiyabe National kilometers (1 mile). During the flight on flower buds (Scott 1986, p. 307). Forest. However, one colony occurs on season, Spring Mountains acastus After the eggs hatch, the young larvae private property bordered by Forest checkerspot adults have been observed cluster together on leaves or flowers Service managed lands, and an nectaring on Eriodictyon angustifolium (Scott 1986, p. 307). Similar to other incidental observation at another (yerba santa), Heliomeris multiflora var. members of the subfamily Nymphalinae location has been documented on lands nevadensis (= Viguiera multiflora; and closely related subspecies, Spring managed by the U.S. Department of the Nevada golden-eye), Packera Mountains acastus checkerspot larvae Interior, Bureau of Land Management. multilobata (= Senecio multilobatus; likely hibernate during the winter and Sagebrush checkerspot butterfly lobeleaf groundsel), unknown may diapause [a period of arrested habitat is described as dry washes in Ceanothus sp. (ceanothus species), growth or reduced physiological sagebrush-juniper woodland, oak or unknown Melilotus sp. (clover species), activity, commonly induced by a mixed conifer woodland, and Penstemon palmeri (Palmer penstemon), seasonal change in photoperiod (i.e., streambeds (Opler 1999, p. 199). and an unknown Apocynum sp. day-length)] for many months or years Elevations used by Spring Mountains (dogbane species) (Weiss et al. 1995, p. (Scott 1986, pp. 27, 307). acastus checkerspot butterfly coincide 9; Boyd et al. 2000a, p. 6; Jones & Stokes Weiss et al. (1997, p. 2) indicated that with the intergraded upper elevation of 2007a, p. 4). butterfly populations are highly Pinus monophylla–Juniperus Chrysothamnus viscidiflorus has been dynamic, and from year to year, osteosperma (pin˜ yon-juniper) documented as a larval host plant (Boyd butterfly distributions can be highly communities at 1,250–2,500 m (4,100– and Austin 2002, p. 2; Austin and Leary variable. Butterflies may be restricted to 8,200 ft) and the lower elevation Abies 2008, p. 99), and according to the moist and cool habitats during dry, concolor–Pinus ponderosa var. petition, is common and widely warm periods, potentially expanding scopulorum (white fir-ponderosa pine) distributed in the range (Boyd 2009, p. their distribution during periods marked communities at 2,000–2,530 m (6,560– 1). Common names used by cooler and moister conditions (Weiss 8,300 ft) (Niles and Leary 2007, interchangeably among subspecies of C. et al. 1997, pp. 2–3). Some species, such pp. 5–6). Open vegetation communities viscidiflorus have included Douglas as the Spring Mountains acastus associated with previous fire rabbitbrush, chamisa, green rabbitbrush, checkerspot butterfly, may exist as a disturbances appear to be the preferred yellow rabbitbrush, viscid rabbitbrush, metapopulation within the Spring habitat (Boyd and Austin 2002, p. 5). sticky leaved rabbitbrush, downy Mountains (Weiss et al. 1997, p. 3). If Washes and linear features are used rabbitbrush, and narrow leaved this is the case, maintenance of primarily as mating sites during the rabbitbrush (Stubbendieck et al. 2003, p. dispersal corridors and unoccupied flight season (Boyd and Austin 2001, p. 249; Niles and Leary 2007, p. 19). Three habitats is an important management 6; Boyd and Austin 2002, p. 5). subspecies of C. viscidiflorus have been consideration (Weiss et al. 1997, p. 3). Spring Mountains acastus checkerspot documented in the Spring Mountains, The Spring Mountains acastus butterfly males may seek females all day including C. v. lanceolatus (variously checkerspot butterfly occurs throughout by perching and sometimes patrolling known as viscid rabbitbrush, sticky the Spring Mountains and has been gulches (Scott 1986, p. 307; Kingsley leaved rabbitbrush, and yellow observed in 17 areas (Table 1). However, 2008, pp. 7–8). Males may perch on rabbitbrush), C. v. puberulus (downy the number of occupied areas reported several projecting objects in the same rabbitbrush), and C. v. viscidiflorus in past studies varies (12 occupied areas

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were reported in Boyd and Austin 1999, to interchangeably as colonies or potential subsequent dispersal of p. 20) based on how observations are population sites (Boyd & Austin 1999, individuals may indicate the presence spatially grouped. Four of these areas pp. 9, 20–21; Boyd and Austin 2002, pp. of additional unknown colonies (Boyd (Trough Spring, Kyle Canyon, Griffith 5, 13; Boyd 2004, pp. 2–3). Currently, and Austin 1999, pp. 60–61; Boyd et al. Peak Trail/Harris Spring Road/Harris only four colonies are known to exist. 2000, p. 10) (Table 1). Mountain Road, and Potosi Mountain/ However, the increased existence of Mt. Potosi/Boy Scout Camp) are referred incidental sighting areas and the

TABLE 1—AREAS WHERE SPRING MOUNTAINS ACASTUS CHECKERSPOT OBSERVATIONS HAVE BEEN DOCUMENTED [Areas ordered to begin with the most northern and end with the most southern]

First year Observation area observed

Mt. Stirling ...... 1983. Big Timber Spring ...... 1995 or before. Wheeler Pass Road ...... 1987. Trough Spring * ...... 2001. McFarland Spring/Whisky Spring/Camp Bonanza ...... 2003. Willow Spring/Willow Creek ...... 1979. Clark Canyon ...... 1994. Foxtail Canyon ...... 1998. Deer Creek & Picnic Area ...... 1965. Deer Creek Road (Telephone Canyon side) ...... 1981 or 87. Kyle Canyon—lower ...... 1996 or before. Kyle Canyon—middle * ...... 1950. Kyle Canyon—upper ...... 1987. Griffith Peak Trail/Harris Spring Road/Harris Mountain Road * ...... 1990. Coal Spring ...... 1992. Switchback Spring ...... 2003. Potosi Mountain/Mt. Potosi/Boy Scout Camp * ...... 1995. * Asterisk indicates a colony. Colonies are isolated populations (Scott 1986, p. 108) based on mate locating behavior (Boyd and Austin 2002, p. 5; Boyd 2009, p. 1) of one or more males observed over a period of time and represent more than one incidental observation or sighting. Sources: Weiss et al. 1995, pp. 4 and 19; Weiss et al. 1997, pp. 6–7, 47; Boyd and Austin 1999, pp. 19–21; Boyd 2004, pp. 2–3; Nevada Nat- ural Heritage Program 2009.

A colony is ‘‘a local, isolated checkerspot butterfly was first observed there during previous surveys population’’ (Scott 1986, p. 108). Past documented at Potosi Mountain/Mt. in 1998 (Boyd and Austin 1999, p. 104– researchers defined colonies of Spring Potosi/Boy Scout Camp in 1995 (Weiss Table 12). These examples demonstrate Mountains acastus checkerspot et al. 1995, p. 6), and was described as that not seeing individuals at a site butterflies based on the mate locating a colony for the first time in 2000 (Boyd during surveys does not necessarily behavior of males, also referred to as et al. 2000a, p. 4). equate with extirpation because adult mate locating sites (Boyd and Austin DataSmiths (2007, p. 17) concluded surveys will not detect diapausing (in a 2002, p. 5; Boyd 2009, p. 1). The that absence of adults at a site does not physiological state of dormancy) larvae, remaining 13 areas are referred to as necessarily equate to ephemeral and short adult flight periods coupled incidental observations or sighting areas occupation or extirpation. Observations with low numbers may drastically (Boyd and Austin 2001, p. 2; Boyd and in areas reported for the Spring reduce the likelihood of observing Austin 2002, p. 3; Boyd 2004, p. 3), Mountains acastus checkerspot butterfly Spring Mountains acastus checkerspot where intermittent observations of a few illustrate this. Boyd et al. (2000a, p. 4) butterflies. butterflies were recorded at a location. searched 17 areas for the Spring Yearly population variation of the The areas where the Spring Mountains Mountains acastus checkerspot butterfly Spring Mountains acastus checkerspot acastus checkerspot butterfly has been in 1999; these 17 areas consisted of 8 butterfly also is expressed by variation observed in a colony or sighting area historical and 9 potential sites. Spring in the numbers of observed individuals represent the overall known population Mountains acastus checkerspot during repeat surveys at the same of the subspecies. butterflies were observed at five of the location (Table 2). At the Griffith Peak The largest known colony occurs at eight historical sites visited and two of Trail/Harris Spring Road/Harris Griffith Peak Trail/Harris Spring Road/ these were described as potential new Mountain Road site, surveys from 2000 Harris Mountain Road, and was first colonies. In later reports of surveys and 2001 revealed that the highest total documented as a sighting area in 1990 occurring in 2003, the Spring Mountains number of individuals observed on a and later described as a potential colony acastus checkerspot butterfly was single day increased from 19 to 104. In in 1999 (Boyd and Austin 1999, p. 20). observed again in the Willow Spring/ 2003, the highest number observed on a The Trough Spring colony was first Willow Creek area (Boyd 2004, pp. 2– single day at the same site decreased to identified in 2001 (Boyd and Austin 3), where it was not observed during 27. In a 2006 interview with the 2002, p. 5). Boyd (2004, p. 3) stated that surveys in 1999 (Boyd and Austin 1999, petitioner, Boyd reported that the a single male observed at Willow p. 98–Table 7). Similarly, in 2003, the Spring Mountains acastus checkerspot Spring/Willow Creek in 2003 may have Spring Mountains acastus checkerspot butterfly had ‘‘done better’’ than other dispersed from Trough Spring or butterfly also was observed in the endemic species and had ‘‘good another unknown colony, due to its not McFarland Spring/Whisky Spring/Camp numbers’’ at Griffith Peak Trail/Harris being sighted in the area since the Bonanza area for the first time (Boyd Spring Road/Harris Mountain Road 1980s. The Spring Mountains acastus 2004, p. 2), even though it was not (Boyd 2006, pers. comm.), as well as at

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Potosi Mountain/Mt. Potosi/Boy Scout (Boyd 2006, p. 2). These observations range, and populations at colony sites Camp (Boyd 2006, p. 2). At locations support the conclusions of Weiss et al. may fluctuate as indicated by where it was observed in 2006, the (1997, p. 2) of highly dynamic butterfly monitoring counts. petition states that the butterfly populations where observations may appeared to be in ‘‘appropriate’’ numbers occur periodically throughout a species’

TABLE 2—SUMMARY OF MONITORING RESULTS OF SPRING MOUNTAINS ACASTUS CHECKERSPOT BUTTERFLY AT THREE COLONY SITES

Year 1999 2000 2001 2002 2003 2006 2007 2008

Kyle Canyon (middle): Highest #/day ...... 5 ...... 6 ...... 8 ...... 6 ...... 7 ...... 4 ...... 1 ...... 4. Highest # male/day ...... 4 ...... 6 ...... 8 ...... 6 ...... 7 ...... 4 ...... 1 ...... 4. Highest # female/day ...... 1 ...... 1 ...... 1 ...... 0 ...... 1 ...... 0 ...... 0 ...... 0. # Visits ...... 11 ...... 9 ...... 6 ...... 4 ...... 4 ...... 1 ...... 6 ...... 8. Peak date(s) ...... June 19 .. June 15 June 18 .. June 24 .. June 10 .. June 21 .. June 13 June 24. & 30. & 21. Griffith Peak Trail/Harris Spring Road/Harris Mountain Road: Highest #/day ...... 19 ...... 104 ...... 50 ...... 27. Highest # male/day ...... 12 ...... 78 ...... 43 ...... 17. Highest # female/day ...... 5 ...... 26 ...... 9 ...... 10. # Visits ...... 9 ...... 5 ...... 5 ...... 4. Peak date ...... June 11 .. June 18 .. June 20 .. June 29. Trough Spring: Highest #/day ...... 20 ...... 41. Highest # male/day ...... 18 ...... 40. Highest # female/day ...... 7 ...... 3. # Visits ...... 3 ...... 5. Peak date ...... June 18 .. June 1. Sources: (Boyd 2004, p. 8; Jones and Stokes 2007a, p. 4; Jones and Stokes 2007b, p. 3; Kingsley 2008, p. 3).

Evaluation of Information for This extinction of the species such that the A. The Present or Threatened Finding species may warrant listing as Destruction, Modification, or Section 4 of the Act (16 U.S.C. 1533) endangered or threatened as those terms Curtailment of Its Habitat or Range and its implementing regulations at 50 are defined by the Act. The Information Provided in the Petition CFR 424 set forth the procedures for identification of factors that could Concerning All Sites impact a species negatively may not be adding a species to, or removing a The petition states that the overall sufficient to compel a finding that species from, the Federal Lists of numbers of all ‘‘covered’’ butterfly substantial information has been Endangered and Threatened Wildlife species in the Spring Mountains are and Plants. A species may be presented suggesting that listing may be declining, as seen with Plebejus determined to be an endangered or warranted. The information should (= Icaricia) shasta charlestonensis threatened species due to one or more contain evidence or the reasonable (Mt. Charleston blue butterfly). of the five factors described in section extrapolation that any factor(s) may be Specifically, the petition states that 4(a)(1) of the Act: an operative threat that acts on the declines became apparent by 2005 and (A) The present or threatened species to the point that the species may were exacerbated during the 2006, 2007, destruction, modification, or meet the definition of endangered or and 2008 seasons (Boyd 2009, p. 2). No curtailment of its habitat or range; threatened under the Act. data were reported for the 2009 season. (B) Overutilization for commercial, In making this 90-day finding, we In addition, the petition noted several recreational, scientific, or educational conservation agreements or plans exist purposes; evaluated whether information regarding the threats to the Spring to conserve the subspecies; however, (C) Disease or predation; few of the obligations documented in Mountains acastus checkerspot (D) The inadequacy of existing these agreements and plans have been butterfly, as presented in the petition regulatory mechanisms; or met. The petitioner also states that (E) Other natural or manmade factors and other information available in our monitoring requirements outlined in affecting its continued existence. files, is substantial, thereby indicating these agreements or plans were In considering what factors might that the petitioned action may be abandoned after 2003 (Boyd 2009, pp. constitute threats, we must look beyond warranted. Our evaluation of this 1–2). the exposure of the species to a information is presented below. Evaluation of Information Provided in particular factor to evaluate whether the For Factors A and E, we provide a species may respond to that factor in a the Petition and Available in Service discussion of our evaluation for each of Files Concerning All Sites way that causes actual impacts to the the four known colonies. In addition, for species. If there is exposure to a factor Factor A, we discuss threats as they Between 1998 and 2002, butterfly and the species responds negatively, the relate to all colonies. For Factors B, C, monitoring occurred throughout the factor may be a threat and we attempt and D, we provide a discussion of our Spring Mountains (Boyd and Austin to determine how significant a threat it 1999, pp. 1–77; Boyd et al. 2000a, pp. evaluation for the entire subspecies. is. The threat may be significant if it 1–24; Boyd et al. 2000b, pp. 1–8; Boyd drives, or contributes to, the risk of and Austin 2001, pp. 1–15; Boyd and

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Austin 2002, pp. 1–15; Dewberry et al. and Austin 1999; Boyd et al. 2000a; has occurred where activities may 2002, pp. 1–16; Boyd 2004, pp. 1–10). Boyd et al. 2000b; Boyd and Austin potentially affect the subspecies and its Butterfly numbers fluctuated between 2001; Boyd and Austin 2002; Dewberry habitat (e.g., DataSmiths 2007; Forest and within sites during this time (see et al. 2002; Boyd 2004). The frequency, Service 2007a; Forest Service Table 2 above). Many unknown intensity, and extent of monitoring have 2007b;Jones and Stokes 2007a; Jones elements exist pertaining to the varied since 2003. and Stokes 2007b; Kingsley 2008), but it petitioner’s site visits including: (1) The Spring Mountains acastus is unclear which conservation actions Survey protocol standards, (2) number checkerspot butterfly is a covered have taken place since 2003. of visits, (3) timing of visits, and (4) species under the Clark County Multiple Information Provided in the Petition weather conditions during the visits. Species Habitat Conservation Plan Concerning the Kyle Canyon (Middle) Since 2003, inventory efforts primarily (MSHCP). The Clark County MSHCP Colony Site have occurred where proposed activities identifies two goals for the Spring may affect the subspecies (DataSmiths Mountains acastus checkerspot: (a) The petition notes that when this site 2007, pp. 1–31; Forest Service 2007a, ‘‘Maintain stable or increasing has been surveyed, adults of both sexes pp. 1–9; Forest Service 2007b, pp. 1–57; population numbers and host and larval of the Spring Mountains acastus Jones and Stokes 2007a pp. 1–73; Jones plant species’’; and (b) ‘‘No net checkerspot butterfly are consistently and Stokes pp. 2007b 1–50; Kingsley unmitigated loss of larval host plant or present, but that the numbers of 2008, pp. 1–18). Such project-specific nectar plant species habitat’’ (RECON individuals found are low (Boyd 2009, monitoring assists in determining 2000a, Table 2.5, pp. 2–154; RECON p. 3). The petitioners assert that threats potential project impacts. Monitoring 2000b, pp. B162–B164). The Forest at the Kyle Canyon (middle) colony for populations and habitats of Spring Service is one of several signatories on include highway modifications Mountains acastus checkerspot butterfly the Implementing Agreement for the (expansions, grading, and wash has occurred purposefully, but Clark County MSHCP because many of realignments), power line maintenance, intermittently, with different levels of the activities from the 1998 fuels reduction or treatment projects, effort, at various locations throughout Conservation Agreement were and equestrian and vehicle traffic (Boyd its range. These differences and incorporated into the MSHCP. 2009, p. 3). The petition also notes inconsistencies in monitoring make it Primarily, activities undertaken by the (Boyd 2009, p. 3) plans for a large Forest difficult to determine the cause-and- Forest Service focused on conducting Service visitor’s complex at the site of effect relationships associated with surveys and monitoring for butterflies. a former golf course, and construction of activities that may affect the Spring Although the Forest Service, Clark a hiking trail. The proposed hiking trail Mountains acastus checkerspot butterfly County, and the Service contracted was asserted to traverse the length of the (see Factor E discussion below for some surveys and monitoring (see breeding site (Boyd 2009, p. 3). information on butterfly population above), a butterfly monitoring plan was Evaluation of Information Provided in trends in general). not fully implemented. The lack of inventory or monitoring does not the Petition and Available in Service The Spring Mountains acastus directly correlate to any threat to the Files Concerning the Kyle Canyon checkerspot butterfly is included in a Spring Mountains acastus checkerspot (Middle) Colony Site 1998 Conservation Agreement for the butterfly or its habitat. However, Information in Service files suggests Spring Mountains National Recreation monitoring population status may assist that this colony site is small relative to Area (Conservation Agreement) to with identifying potential responses to the other colonies, but likely stable (see facilitate cooperation among the parties threats. (U.S. Forest Service, U.S. Fish and In 2004, the Forest Service and the Table 1 above). Individuals have been Wildlife Service, and State of Nevada Service entered into a voluntary found every season the site is surveyed, Department of Conservation and Natural memorandum of agreement (MOA) to and the numbers of individuals found Resources) in providing long-term establish an interagency commitment to during surveys are consistently low. The protection for the rare and sensitive early communication, coordination, and petition states that this population has flora and fauna of the Spring Mountains conferencing to guide project been declining since the late 1990s, but (Forest Service 1998). The Conservation development on Forest Service lands the data we have available indicate that Agreement describes voluntary that provide habitat for the Spring the numbers at this site are low every conservation actions (described below) Mountains acastus checkerspot butterfly year (see Table 2 above). for the butterfly on lands within the (Forest Service and Service 2004, p. 1). We have no additional recent Forest Service’s jurisdiction (Forest This MOA is intended to ensure that information in our files concerning Service 1998, pp. 44–49); these forest activities are designed to reduce threats from highway modifications voluntary conservation actions were impacts to listed species under (expansions, grading, and wash intended to protect the subspecies and conservation agreements or habitat realignments), power line maintenance, its habitat. Those actions include conservation plans (Forest Service and and equestrian and vehicle traffic. Our research, inventory, and monitoring. Service 2004, p. 4). files contain a 1999 report (Boyd and The petition states that very few of the In 2007, a survey protocol was Austin 1999, p. 59) that lists a number conservation actions in the prepared to survey or inventory of habitat-related factors that could Conservation Agreement have been butterflies of concern at sites subject to adversely affect the Spring Mountains completed and that monitoring of sites Forest Service management (Forest acastus checkerspot butterfly in the Kyle was abandoned in 2003 (Boyd 2009, p. Service et al. 2007, p. 1). The butterfly Canyon area including grading, sod 2). The conservation actions outlined in inventory techniques, of assessing dumping, large vehicle occurrence as the Conservation Agreement were to be habitat and walking survey transects, indicated by tracks, and clearing. carried out within a 5-year period were utilized to maximize the Neither the 1999 report nor the petition between 1998 and 2002 (Forest Service possibility of encountering targeted provides any information or supporting 1998, p. 28). Between 1998 and 2002, adult butterflies (Forest Service et al. references that characterize the scope, butterfly monitoring occurred 2007, p. 1). Monitoring of the Spring immediacy, and intensity of any of these throughout the Spring Mountains (Boyd Mountains acastus checkerspot butterfly potential stressors.

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Our files contain information on both disturbances (Koniak 1985, p. 559). The Evaluation of Information Provided in the beneficial and negative impacts of Spring Mountains acastus checkerspot the Petition and Available in Service recent fuels reduction projects. Fuels butterfly could benefit from fuels Files Concerning the Potosi Mountain/ reduction projects are designed to treatment activities after a period of Mt. Potosi/Boy Scout Camp Colony Site reduce the volume and cover of woody time as the treatments improve nectar or We have no information in our files vegetation. Some potential negative host plant availability. to dispute or support the assertion that impacts of fuels reduction projects Information in our files confirms blocking has occurred or could threaten include the crushing of larvae, plans for a visitor center and associated the Spring Mountains acastus reductions in larval host plants or adult trail, but does not indicate that these checkerspot butterfly at this colony site. nectar plants, and reductions in the projects will have a significant negative We interpret the term ‘‘blocked’’ to mean number of male perching or mate impact on the Spring Mountains acastus obstruction of male perching/mate location sites. The most recent fuels checkerspot butterfly. Design criteria locating sites as a result of these areas reduction project is the Spring and measures were incorporated into being covered by debris. There is no Mountains National Recreation Area the project, specifically into the design information in our files to determine if, Hazardous Fuels Reduction Project of a hiking trail in or along Kyle Canyon or to what extent, the alleged blocking (Forest Service 2007a, pp. 1–9; Forest Wash, to prevent and minimize impacts of male perching sites is still occurring Service 2007b, pp. 1–57). Design criteria to the Spring Mountains acastus at this site. Though the numbers of sites outlined in the environmental checkerspot butterfly (Forest Service available for perching by males may be assessment for this project (Forest 2009, pp. 4–5). These criteria and reduced temporarily if cut waste is piled Service 2007b, Appendix B Design measures include employing for later treatment (commonly chipping Criteria W5, W6, W7, and M1) were construction techniques to avoid or or burning), other sites may be available, developed to address impacts to the minimize temporary disturbance as the Spring Mountains acastus Spring Mountains acastus checkerspot through known Spring Mountains checkerspot butterfly has been observed and other butterflies included in the acastus checkerspot butterfly breeding using multiple perch sites during mate Conservation Agreement, and provided areas, prohibit construction of Kyle locating (Kingsley 2008, pp. 4, 7–8). for surveys of butterflies and habitat, Canyon Wash Trail and buried utilities As noted above, fuels reduction habitat mapping, abstaining from any from early May to mid-July (to avoid the projects may have a short-term, negative host plant removal in core colonies, butterfly’s flight season), erect impact by reducing the number of male avoidance of host plants, minimization temporary construction fencing along perching/mate locating sites. The of disturbance by using manual the proposed construction limits of petition provided no population methods, monitoring during planned improvements prior to any estimates for this colony, nor do we implementation, and post-project ground-disturbing activities, require the have any information in our files monitoring of butterflies and their contractor to contain all construction regarding population estimates for this habitat. The Forest Service began activities within the approved colony. However, the petition states that implementation of the Spring construction limits, maintain temporary individuals of both sexes were found at Mountains Hazardous Fuels Reduction fencing until notified by the Contracting the site in 2006, but no individuals were Project in 2008, including employment Officer, collect native seed from found during the 2007 flight season of associated design criteria and appropriate larval host and nectar plants (Boyd 2009, p. 3). No surveys have been conservation measures. A monitoring and revegetate temporary construction completed since 2007. program is underway to assess the disturbance areas following completion impacts and benefits to butterfly host of construction, implement construction Information Provided in the Petition plants. dust control measures to minimize Concerning the Griffith Peak Trail/ The information indicates that fuels impacts to blooming nectar plant Harris Spring Road/Harris Mountain treatment projects can have short-term, populations, reduce off-trail use in Road Colony Site negative impacts to habitat and documented Spring Mountains acastus The petition states that there is no individuals, or loss of viability (Forest checkerspot breeding/mate selection immediate threat to habitat or range, as Service 2007a, pp. 18, 22–23). Even areas, and construct a fence/barrier a whole, at this site (Boyd 2009, pp. though the impact duration is short- adjacent to the newly constructed trail 3–4). term, given the small documented in Kyle Canyon Wash. When the project population at the Kyle Canyon (middle) is implemented in 2011, or later, the Evaluation of Information Provided in site, any short-term, negative impact incorporated design criteria and the Petition and Available in Service could be a threat to this colony (see measures should avoid or limit impacts Files Concerning the Griffith Peak Trail/ Table 2 above). to the Spring Mountains acastus Harris Spring Road/Harris Mountain Fuels treatment projects may be checkerspot butterfly in Kyle Canyon Road Colony Site beneficial to habitat and individuals by Wash. Any impacts to the Spring We have no additional information on reducing the risk of wildfire in the Mountains acastus checkerspot butterfly threats to the Spring Mountains acastus localized areas where the Spring in Kyle Canyon Wash are anticipated to checkerspot butterfly’s habitat or range Mountains acastus checkerspot butterfly be minor, and negligible to the overall at this site. occurs. Over the long term, fuels population of the subspecies at this site. reductions may improve habitat by Information Provided in the Petition increasing nectar and host plant Information Provided in the Petition Concerning the Trough Spring Colony availability. Studies of treatments in Concerning the Potosi Mountain/Mt. Site other areas of pin˜ yon-juniper showed Potosi/Boy Scout Camp Colony Site The petition asserts that horses and correlated increases of nectar plants, The petition asserts that a 2007 fuels introduced elk are having negative host plants, and butterflies (Koniak reduction project stacked cut waste effects on the Trough Spring colony site 1985, p. 559; Kleintjes et al. 2004, pp. more than a meter high along and on (Boyd 2009, p. 4). The petition also 235–236). The one known larval host, both sides of the dirt road at this site, indicates that while the site is closed to green rabbitbrush, re-sprouts or invades effectively blocking all male perching/ off-highway vehicle use, violations are vigorously after fires or other mate locating sites (Boyd 2009, p. 3). not uncommon (Boyd 2009, p. 4). In

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addition, the petition states that 20 destruction, modification, or D. The Inadequacy of Existing individuals were found when the site curtailment of the species’ habitat or Regulatory Mechanisms was surveyed in 2002, 41 individuals range, specifically because of fuels Information Provided in the Petition were found during surveys in 2003, but reduction projects, horses and 0 individuals were found during a 2007 introduced elk, and off-highway There was no information provided in visit to the site (Boyd 2009, p. 4). vehicles. the petition regarding the inadequacy of Evaluation of Information Provided in B. Overutilization for Commercial, existing regulatory mechanisms being a threat to the Spring Mountains acastus the Petition and Available in Service Recreational, Scientific, or Educational checkerspot butterfly. Files Concerning the Trough Spring Purposes Colony Site Evaluation of Information Provided in Information Provided in the Petition We have no information in our files the Petition and Available in Service to dispute or support the assertion that There was no information provided in Files the area is used by horses, elk, and off- the petition regarding the highway vehicles. However, neither the The petition does not provide any petition nor any available information overutilization for commercial, information pertaining to the in our files provides any information or recreational, scientific, or educational inadequacy of existing regulatory supporting references that describe the purposes being a threat to the Spring mechanisms with regard to the Spring scope, immediacy, and intensity of any Mountains acastus checkerspot Mountains acastus checkerspot of these potential stressors. butterfly. butterfly. In addition, the Service files During three site visits in 2002, the Evaluation of Information Provided in do not provide any information highest total number of individuals the Petition and Available in Service pertaining to the inadequacy of existing counted was 20. During five site visits Files regulatory mechanisms for the Spring in 2003, the highest total number of Mountains acastus checkerspot individuals counted was 41 (see Table Neither the petition nor information butterfly. Therefore, we find that the 2 above). While the petition notes a in our files provides any information information provided in the petition, as single site visit in 2007 where no pertaining to threats under this factor well as other information in our files, individuals were found, conducting a with regard to the Spring Mountains does not indicate or document that the single visit during the flight period is acastus checkerspot butterfly. Therefore, inadequacy of existing regulatory not in accordance with standard we find that the information provided in mechanisms poses a threat to the butterfly monitoring protocol, and is not the petition, as well as other species. However, we will evaluate all considered adequate to gauge factors, including the inadequacy of abundance or derive trends. However, information in our files, does not indicate or document that existing regulatory mechanisms, when because we have no recent survey data we conduct the status review. for this site, we cannot rule out the overutilization for commercial, possibility that the 2007 survey result of recreational, scientific, or educational E. Other Natural or Manmade Factors zero individuals may indicate a purposes poses a threat to the species. Affecting the Subspecies’ Continued downward trend in numbers at this site. However, we will evaluate all factors, Existence including overutilization from Summary of Factor A commercial, recreational, scientific, or Information Provided in the Petition Fuels reduction projects, horses and educational purposes, when we conduct Concerning the Kyle Canyon (Middle) introduced elk, and off-highway the status review. Colony Site vehicles may negatively affect Spring Mountains acastus checkerspot butterfly C. Disease or Predation The petition (Boyd 2009, p. 3) asserts highway contaminants, road salt, individuals and habitat. All of these Information Provided in the Petition activities could negatively alter habitat equestrian and vehicle traffic, and increasing abundance of Medicago sp., a through one or more of the following There was no information provided in nonnative alfalfa species, are threats to mechanisms: Crushing larvae, reducing the petition regarding disease or Spring Mountains acastus checkerspot the amounts of larval host plants, predation being a threat to the Spring reducing the amount of adult nectar butterfly at the Kyle Canyon (middle) Mountains acastus checkerspot colony site. plants, and reducing the amount of male butterfly. perching/mate location sites. Declines Evaluation of Information Provided in in numbers of individuals have been Evaluation of Information Provided in the Petition and Available in Service observed at sites where fuels reduction the Petition and Available in Service Files Concerning the Kyle Canyon projects (Potosi Mountain/Mt. Potosi/ Files (Middle) Colony Site Boy Scout Camp Colony Site), horses and introduced elk (Trough Spring Neither the petition nor information We have no information or supporting Colony Site), and off-highway vehicle in our files provides any information references that characterize the scope, activities (Trough Spring Colony Site) pertaining to disease or predation with immediacy, and intensity of any of these occur. This provides evidence to suggest regard to the Spring Mountains acastus potential stressors. However, the small that the Spring Mountains acastus checkerspot butterfly. Therefore, we documented population at this site may checkerspot butterfly may be negatively find that the information provided in increase the vulnerability of the Spring affected by these activities. In summary, the petition, as well as other Mountains acastus checkerspot butterfly we find that the information provided in information in our files, does not to other potential threats. We will the petition, as well as other indicate or document that disease or further investigate these potential information in our files, presents predation poses a threat to the species. threats as they pertain to the Spring substantial information indicating that However, we will evaluate all factors, Mountains acastus checkerspot butterfly the petitioned action may be warranted including disease and predation, when during our status review for this due to the present or threatened we conduct the status review. subspecies.

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Information Provided in the Petition in 2003, and 3 individuals in 2007 Spring Mountains acastus checkerspot Concerning the Potosi Mountain/Mt. (Boyd 2009, p. 4). This site has not been butterfly at this site. Potosi/Boy Scout Camp Colony Site visited since 2007. Summary of Factor E The petition asserts that a protracted Evaluation of Information Provided in Based on the available information, drought is adding to the stresses the Petition and Available in Service there appears to be potential population associated with the fuels reduction Files Concerning the Griffith Peak Trail/ declines at the Griffith Peak Trail/Harris project at the Potosi Mountain/Mt. Harris Spring Road/Harris Mountain Spring Road/Harris Mountain Road Potosi/Boy Scout Camp site (Boyd 2009, Road Colony Site colony site and the Trough Spring p. 3). We have no information in our files colony sites. The petition states that Evaluation of Information Provided in to support or dispute the assertion that vehicle and hiking traffic that disturb the Petition and Available in Service hikers and vehicular traffic are the butterfly during the flight period Files Concerning the Potosi Mountain/ disturbing Spring Mountains acastus may be a threat to the Spring Mountains Mt. Potosi/Boy Scout Camp Colony Site checkerspot butterflies at this site. acastus checkerspot butterfly, and we Neither the petition nor any available will further evaluate this in our status It has been observed that during information in our files provides any review. Information provided by the drought, butterfly populations may be information or supporting references petition and available in our files lower (Ehrlich et al. 1980, pp. 101–105; that characterize the scope, immediacy, suggests that drought may be a potential Thomas 1984, p. 344). In 2006, and intensity of any of these potential added stressor to the Spring Mountains populations of many butterfly species stressors. Surveys found butterfly acastus checkerspot butterfly at some were low throughout southern Nevada, numbers fluctuated from 19 individuals locations where additional threats south of the Great Basin, likely as a in 2000, to 104 individuals in 2001, to occur. In summary, we find that the result of drought conditions (Murphy 50 individuals in 2002, to 27 information provided in the petition, as 2006, p. 3). In 2007, other species of individuals in 2003 (see Table 2 above). well as other information in our files, butterflies in the Spring Mountains However, differences and presents substantial information experienced population declines, and inconsistencies in monitoring make it indicating that the petitioned action these declines were hypothesized to be difficult to interpret survey results. may be warranted due to other natural a result of drought (Datasmiths 2007, p. Based on the available information, or manmade factors affecting the 22). While Boyd (2008, p. 2) speculated there appears to be a potential subspecies’ continued existence, that populations of other butterfly population decline at the Griffith Peak specifically because of vehicle and species may have declined as a result of Trail/Harris Spring Road/Harris hiking traffic and drought. drought and other factors, population Mountain Road colony site. The petition Finding trends of the Spring Mountains acastus states that vehicle and hiking traffic that checkerspot butterfly were not being disturb the butterfly during the flight On the basis of our evaluation of the specifically monitored. Though period may be a threat to the Spring petition under section 4(b)(3)(A) of the populations may be low during some Mountains acastus checkerspot Act, we determine that the petition years as a result of drought, checkerspot butterfly. presents substantial scientific or species (Chlosyne sp.) may survive commercial information indicating that unfavorable weather years by Information Provided in the Petition listing the Spring Mountains acastus diapausing for 2 or more years (Scott Concerning the Trough Spring Colony checkerspot butterfly may be warranted. 1986, p. 307). Drought may not be a Site This finding is based on information threat, in and of itself, to the Spring Even though this site is relatively provided under Factors A and E. We Mountains acastus checkerspot remote and is closed to motorized determine that the information provided butterfly. However, drought coupled vehicles, the petition asserts that traffic under Factors B, C, and D is not with other factors, such as fuels from off-highway vehicle activity does substantial. The available information reduction projects and other manmade occur, and is a threat at the Trough indicates fuels reduction projects may stressors, may result in the Spring Spring site (Boyd 2009, p. 4). The have a negative impact on Spring Mountains acastus checkerspot butterfly petition also states that 20 individuals Mountains acastus checkerspot butterfly being more susceptible to other threats. were found when the site was surveyed individuals and habitat. The possible declining trends at the Potosi Mountain/ Information Provided in the Petition in 2002, and 41 individuals were found Mt. Potosi/Boy Scout Camp Colony Site Concerning the Griffith Peak Trail/ during surveys in 2003, but 0 indicate that fuels reduction projects Harris Spring Road/Harris Mountain individuals were found during a 2007 may be a threat to the Spring Mountains Road Colony Site site visit conducted during the appropriate time of year (Boyd 2009, acastus checkerspot butterfly at this site The petition asserts that disturbance p. 4). (Factor A). In addition, potential by vehicle and hiking traffic are threats declining population trends at the at the Griffith Peak Trail/Harris Spring Evaluation of Information Provided in Griffith Peak Trail/Harris Spring Road/ Road/Harris Mountain Road colony site the Petition and Available in Service Harris Mountain Road colony site and as a result of direct disturbanceS to the Files Concerning the Trough Spring the Trough Spring colony site indicate butterflies by vehicles and hikers (Boyd Colony Site that vehicle and hiking traffic that 2009, pp. 3–4). According to the We have no information or supporting disturb the butterfly flight period may petition, use of the road and trail references that characterize the scope, be a threat to the subspecies (Factor E). appears to be increasing, which disturbs immediacy, and intensity of this Additionally, drought (Factor E) may be the butterflies during the flight period. potential threat. However, based on the an added stressor to the Spring The petition states that the numbers of available information, there appears to Mountains acastus checkerspot butterfly individuals found during surveys at this be a potential recent population decline at some locations where additional site have continued to decline each year at the Trough Spring colony site. The threats occur. beginning with 104 individuals in 2001, petition states that illegal motorized Because we have found that the 50 individuals in 2002, 27 individuals vehicle activity may be a threat to the petition presents substantial

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information indicating that listing may petitioned action is warranted after we Authors be warranted, we are initiating a status have completed a thorough status review to determine whether listing the review of the species, which is The primary authors of this notice are Spring Mountains acastus checkerspot conducted following a substantial 90- the staff members of the Nevada Fish butterfly under the Act is warranted. All day finding. Because the Act’s standards and Wildlife Office (see FOR FURTHER relevant information pertaining to each for 90-day and 12-month findings are INFORMATION CONTACT). of the five factors will be fully evaluated different, as described above, a Authority in the forthcoming status review. substantial 90-day finding does not mean that the 12-month finding will The authority for this action is the The ‘‘substantial information’’ result in a warranted finding. Endangered Species Act of 1973, as standard for a 90-day finding differs amended (16 U.S.C. 1531 et seq.). from the Act’s ‘‘best scientific and References Cited commercial data’’ standard that applies A complete list of references cited is Dated: March 29, 2011. to a status review to determine whether available on the Internet at http:// Rowan W. Gould, a petitioned action is warranted. A 90- www.regulations.gov and upon request Acting Director, U.S. Fish and Wildlife day finding does not constitute a status from the Nevada Fish and Wildlife Service. review under the Act. In a 12-month Office (see FOR FURTHER INFORMATION [FR Doc. 2011–8824 Filed 4–12–11; 8:45 am] finding, we will determine whether a CONTACT). BILLING CODE 4310–55–P

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Notices Federal Register Vol. 76, No. 71

Wednesday, April 13, 2011

This section of the FEDERAL REGISTER to Docket No. APHIS–2010–0040, The regulations in § 340.6(a) provide contains documents other than rules or Regulatory Analysis and Development, that any person may submit a petition proposed rules that are applicable to the PPD, APHIS, Station 3A–03.8, 4700 to the Animal and Plant Health public. Notices of hearings and investigations, River Road Unit 118, Riverdale, MD Inspection Service (APHIS) seeking a committee meetings, agency decisions and 20737–1238. Please state that your determination that an article should not rulings, delegations of authority, filing of petitions and applications and agency comment refers to Docket No. APHIS– be regulated under 7 CFR part 340. statements of organization and functions are 2010–0040. Paragraphs (b) and (c) of § 340.6 examples of documents appearing in this Reading Room: You may read any describe the form that a petition for a section. comments that we receive on this determination of nonregulated status docket in our reading room. The reading must take and the information that must room is located in room 1141 of the be included in the petition. DEPARTMENT OF AGRICULTURE USDA South Building, 14th Street and APHIS has received a petition (APHIS Independence Avenue SW., Petition Number 08–315–01p) from Animal and Plant Health Inspection Washington, DC. Normal reading room Florigene Pty., Ltd. of Victoria, Service hours are 8 a.m. to 4:30 p.m., Monday Australia, seeking a determination of [Docket No. APHIS–2010–0040] through Friday, except holidays. To be nonregulated status for two hybrid rose sure someone is there to help you, lines designated as IFD–524;1–4 and Florigene Pty., Ltd.; Availability of please call (202) 690–2817 before IFD–529;1–9, which have been Petition and Environmental coming. genetically engineered to produce novel Assessment for Determination of Availability of Documents: The flower color, stating that these rose lines Nonregulated Status for Altered Color petition, draft environmental are unlikely to pose a plant pest risk Roses assessment, and plant pest risk and, therefore, should not be regulated assessment are on available on the articles under APHIS’ regulations in 7 AGENCY: Animal and Plant Health Regulations.gov Web site (see link CFR part 340. Inspection Service, USDA. above) or on the APHIS Web site at As described in the petition, the ACTION: Notice. http://www.aphis.usda.gov/brs/ _ addition of genes from pansy and aphisdocs/08 31501p.pdf, http://www. wishbone flower produces blue SUMMARY: We are advising the public _ aphis.usda.gov/brs/aphisdocs/08 pigments in the rose lines, altering the that the Animal and Plant Health _ 31501p ea.pdf, and http://www.aphis. flower color. Hybrid rose lines IFD– Inspection Service has received a _ _ usda.gov/brs/aphisdocs/08 31501p 524;1–4 and IFD–529;1–9 are petition from Florigene Pty., Ltd., pra.pdf. currently regulated under 7 CFR part seeking a determination of nonregulated FOR FURTHER INFORMATION CONTACT: Mr. 340. Importation and testing of hybrid status for roses designated as IFD– Evan Chestnut, Policy Analyst, rose lines IFD–524;1–4 and IFD– 524;1–4 and IFD–529;1–9, which have Biotechnology Regulatory Services, 529;1–9 have been conducted under been genetically engineered to produce APHIS, 4700 River Road Unit 147, permits issued or notifications novel flower color. The petition has Riverdale, MD 20737–1236; (301) 734– acknowledged by APHIS. been submitted in accordance with our 0942, e-mail: Trials conducted under APHIS regulations concerning the introduction [email protected]. To oversight allowed for evaluation in a of certain genetically engineered obtain copies of the petition, draft typical horticultural setting while organisms and products. In accordance environmental assessment, or plant pest imposing measures to minimize the risk with those regulations, we are soliciting risk assessment, contact Ms. Cindy Eck of persistence in the environment after comments on whether these genetically at (301) 734–0667, e-mail: completion of the test. Data were engineered roses are likely to pose a [email protected]. gathered on multiple parameters and plant pest risk. We are also making used by the applicant to evaluate available for public comment an SUPPLEMENTARY INFORMATION: phenotypic characteristics and product environmental assessment for the Background performance. These data are used by proposed determination of nonregulated The regulations in 7 CFR part 340, APHIS to determine if the new variety status. ‘‘Introduction of Organisms and poses a plant pest risk. Florigene has DATES: We will consider all comments Products Altered or Produced Through petitioned APHIS to make a that we receive on or before June 13, Genetic Engineering Which Are Plant determination that hybrid rose lines 2011. Pests or Which There Is Reason to IFD–524–1–4 and IFD–529–1–9 shall no ADDRESSES: You may submit comments Believe Are Plant Pests,’’ regulate, longer be considered regulated articles by either of the following methods: among other things, the introduction under 7 CFR part 340. • Federal eRulemaking Portal: Go to (importation, interstate movement, or In section 403 of the Plant Protection http://www.regulations.gov/fdmspublic/ release into the environment) of Act (7 U.S.C. 7701 et seq.), ‘‘plant pest’’ component/main?main=DocketDetail& organisms and products altered or is defined as any living stage of any of d=APHIS–2010–0040 to submit or view produced through genetic engineering the following that can directly or comments and to view supporting and that are plant pests or that there is indirectly injure, cause damage to, or related materials available reason to believe are plant pests. Such cause disease in any plant or plant electronically. genetically engineered organisms and product: A protozoan, a nonhuman • Postal Mail/Commercial Delivery: products are considered ‘‘regulated animal, a parasitic plant, a bacterium, a Please send one copy of your comment articles.’’ fungus, a virus or viroid, an infectious

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agent or other pathogen, or any article review. After reviewing and evaluating 59479; (406) 566–2292; E-mail similar to or allied with any of the the comments on the petition, the draft [email protected]. foregoing. APHIS has prepared a plant EA, plant pest risk assessment, and Individuals who use pest risk assessment to determine if other data, APHIS will furnish a telecommunication devices for the deaf hybrid rose lines IFD–524;1–4 and response to the petitioner, either (TDD) may call the Federal Information IFD–529;1–9 are unlikely to pose a approving or denying the petition. Relay Service (FIRS) at 1–800–877–8339 plant pest risk. APHIS will then publish a notice in the between 8 a.m. and 8 p.m., Eastern APHIS has also prepared a draft Federal Register announcing the Standard Time, Monday through Friday. environmental assessment (EA) in regulatory status of hybrid rose lines SUPPLEMENTARY INFORMATION: The which it presents two alternatives based IFD–524;1–4 and IFD–529;1–9 and the meeting is open to the public. The on its analyses of data submitted by availability of APHIS’ written following business will be conducted: Florigene, a review of other scientific environmental decision and regulatory (1) Introductions of all committee data, and field tests conducted under determination. members, replacement members and APHIS oversight. APHIS is considering Authority: 7 U.S.C. 7701–7772 and 7781– Forest Service personnel; (2) Selection the following alternatives: (1) Take no 7786; 31 U.S.C. 9701; 7 CFR 2.22, 2.80, and of a chairperson by the committee action, i.e., APHIS would not change the 371.3. members; (3) Receive materials regulatory status of hybrid rose lines Done in Washington, DC, this 7th day of explaining the process for considering IFD–524;1–4 and IFD–529;1–9 and April 2011. and recommending Title II projects; and they would continue to be regulated Gregory L. Parham, (4) Public Comment. Persons who wish articles, or (2) grant nonregulated status to bring related matters to the attention ; Acting Administrator, Animal and Plant to hybrid rose lines IFD–524 1–4 and Health Inspection Service. of the Committee may file written IFD–529;1–9 in whole. [FR Doc. 2011–8775 Filed 4–12–11; 8:45 am] statements with the Committee staff The draft EA has been prepared to before or after the meeting. provide the APHIS decisionmaker with BILLING CODE 3410–34–P a review and analysis of any potential Dated: April 7, 2011. environmental impacts associated with Ronald B. Wiseman, DEPARTMENT OF AGRICULTURE the proposed determination of Designated Federal Officer. nonregulated status for hybrid rose lines Forest Service [FR Doc. 2011–9006 Filed 4–12–11; 8:45 am] IFD–524;1–4 and IFD–529;1–9. The BILLING CODE 3410–11–P draft EA was prepared in accordance Central Montana Resource Advisory with (1) the National Environmental Committee Policy Act of 1969 (NEPA), as amended DEPARTMENT OF AGRICULTURE (42 U.S.C. 4321 et seq.), (2) regulations AGENCY: Forest Service, USDA. Rural Utilities Service of the Council on Environmental ACTION: Notice of meeting. Quality for implementing the SUMMARY: The Central Montana Oglethorpe Power Corporation: procedural provisions of NEPA (40 CFR Resource Advisory Committee will meet Proposed Biomass Power Plant parts 1500–1508), (3) USDA regulations in Stanford, Montana. The committee is AGENCY: Rural Utilities Service, USDA. implementing NEPA (7 CFR part 1b), meeting as authorized under the Secure and (4) APHIS’ NEPA Implementing Rural Schools and Community Self ACTION: Notice of Availability of a Draft Procedures (7 CFR part 372). Determination Act (Pub. L. 110–343) Environmental Impact Statement and In accordance with § 340.6(d) of the and in compliance with the Federal Notice of Public Hearing. regulations, we are publishing this notice to inform the public that APHIS Advisory Committee Act. The purpose SUMMARY: Notice is hereby given that will accept written comments regarding is to hold the first meeting of the newly the Rural Utilities Service (RUS), has the petition for a determination of formed committee. prepared a Draft Environmental Impact nonregulated status from interested or DATES: The meeting will be held April Statement (EIS) to meet its affected persons for a period of 60 days 29, 2011 and will begin at 7 p.m. responsibilities under the National from the date of this notice. We are also ADDRESSES: The meeting will be held at Environmental Policy Act (NEPA) and 7 soliciting written comments from the Judith Ranger District, located at 109 CFR part 1794 related to possible interested or affected persons on the Central Avenue, Stanford, MT. Written financial assistance to Oglethorpe Power draft EA prepared to examine any comments should be sent to Ron Corporation (Oglethorpe) for the potential environmental impacts of the Wiseman, Lewis and Clark National construction of a 100 megawatt (MW) proposed determination for the Forest, 109 Central Avenue, Stanford, biomass plant and related facilities deregulation of the subject hybrid rose Montana 59479. Comments may also be (Proposal) in Warren County, Georgia. lines, and the plant pest risk sent via e-mail to [email protected]. The purpose of the Proposal is to assessment. The petition, draft EA, and All comments, including names and provide a reliable, long-term supply of plant pest risk assessment are available addresses when provided, are placed in renewable and sustainable energy at a for public review, and copies of the the record and are available for public reasonable cost to meet part of the petition, draft EA, and plant pest risk inspection and copying. The public may electric energy needs of Oglethorpe’s assessment are available as indicated inspect comments received at Lewis and members. Oglethorpe may request under ADDRESSES and FOR FURTHER Clark National Forest, 109 Central financial assistance in the future from INFORMATION CONTACT above. Avenue, Stanford, Montana 59479. the RUS for the Proposal. After the comment period closes, Visitors are encouraged to call ahead to DATES: Written comments on the Draft APHIS will review all written comments (406) 566–2292 to facilitate entry into EIS must be received on or before May received during the comment period the building. 31, 2011. RUS will conduct a public and any other relevant information. All FOR FURTHER INFORMATION CONTACT: Ron meeting May 5, 2011, from 6 to 8 p.m. comments received regarding the Wiseman, Designated Federal Official, at the Warren County Community petition, draft EA, and plant pest risk USDA, Lewis and Clark National Forest, Service Building, located at: 48 Warren assessment will be available for public 109 Central Avenue, Stanford, MT Street, Warrenton, Georgia 30828. The

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first half hour of the meeting will be an July 27, 2009. RUS issued a Scoping Federal Advisory Committee Act open house followed by a formal public Report in March 2010. (FACA), that a meeting of the Louisiana information and comment meeting with In accordance with Section 106 of the Advisory Committee to the Commission brief presentations on the Draft EIS. National Historic Preservation Act and will convene on Tuesday, May 10, 2011 Members of the public will have an its implementing regulation, ‘‘Protection at 2 p.m. and adjourn at approximately opportunity to ask questions and of Historic Properties’’ (36 CFR part 800) 5:15 p.m. at Southern University Law provide comments on the Draft EIS. A and as part of its broad environmental Center, Chancellor’s Conference Room, court reporter will transcribe verbal review process, RUS must take into 2nd Floor, 1 Roosevelt Steptoe Dr., comments from the formal public account the effect of the proposal on Baton Rouge, LA 70813. The purpose of comment portion of the meeting. historic properties Pursuant to 36 CFR the meeting is to conduct a public FOR FURTHER INFORMATION CONTACT: To 800.2(d)(3), RUS is using its procedures briefing and planning meeting to obtain copies of the Draft EIS or for for public involvement under NEPA to identify a future civil rights project. further information, contact: Stephanie meet its’ responsibilities to solicit and Members of the public are entitled to Strength, Environmental Protection consider the views of the public during submit written comments. The Specialist, USDA, Rural Utilities Section 106 review. Any party wishing comments must be received in the Service, 1400 Independence Avenue, to participate more directly with RUS as regional office by June 3, 2011. The SW., Room 2244, Stop 1571, a ‘‘consulting party’’ in Section 106 address is U.S. Commission on Civil Washington, DC 20250–1571, or e-mail review may submit a written request to Rights, 400 State Avenue, Suite 908, [email protected]. the RUS contact provided in this notice. Kansas City, Kansas 66101. Persons Questions and comments should be sent wishing to e-mail their comments, or to ADDRESSES: A copy of the Draft EIS may to RUS at the mailing or e-mail present their comments verbally at the be viewed online at the following Web addresses provided in this Notice. RUS meeting, or who desire additional site: http://www.usda.gov/rus/water/ will accept comments on the Draft EIS information should contact Farella E. ees/eis.htm and at the: Warren County in writing by May 31, 2011 to ensure Robinson, Regional Director, Central Public Library, 10 Warren Street, that they are considered in the Final Regional Office, at (913) 551–1400, (or Warrenton, Georgia 30828, Phone (706) EIS. Once completed, a public notice for hearing impaired TDD 913–551– 465–2656. announcing the availability of the final 1414), or by e-mail to SUPPLEMENTARY INFORMATION: EIS will be published in the Federal [email protected]. Oglethorpe proposes to own, operate, Register and local newspapers. Hearing-impaired persons who will and maintain the Proposal in Warren Subsequent to a 30-day public review attend the meeting and require the County, Georgia. The purpose of the period of the Final EIS and resolution of services of a sign language interpreter Proposal is to provide a reliable, long- any additional comments, RUS will should contact the Regional Office at term supply of renewable and then issue and publish a Record of least ten (10) working days before the sustainable energy at a reasonable cost Decision. scheduled date of the meeting. to meet part of the electric energy needs Because the Proposal may involve Records generated from this meeting of Oglethorpe’s members. Three impacts to wetlands, this Notice of may be inspected and reproduced at the alternatives are evaluated in detail in Availability also serves as a notice of Central Regional Office, as they become the Draft EIS; the no action alternative, potential impacts to wetlands. In available, both before and after the and the proposed action at two different accordance with Executive Order 11990, meeting. Persons interested in the work locations: Warren County (the Proposal) the Draft EIS includes a wetland of this advisory committee are advised and Appling County (the Alternate). assessment and statement of no to go to the Commission’s Web site, Alternatives were evaluated in terms of practicable alternatives to proposed http://www.usccr.gov, or to contact the cost-effectiveness, technical feasibility, impacts to wetlands. Central Regional Office at the above e- and environmental factors. The Draft Any final action by RUS related to the mail or street address. EIS evaluated and eliminated from proposal will be subject to, and The meeting will be conducted detailed consideration 8 alternatives for contingent upon, compliance with all pursuant to the provisions of the rules renewable generation, one other relevant Federal, State and local and regulations of the Commission and generation alternative, demand side environmental laws and regulations, FACA. management, three alternative sites, two and completion of the environmental Dated in Washington, DC, April 7, 2011. alternatives for cooling, and two review requirements as promulgated in Peter Minarik, alternatives for water supply. RUS’ Environmental Policies and Acting Chief, Regional Programs The Proposal would be constructed Procedures (7 CFR part 1794). Coordination Unit. on an approximately 343-acre site Nivin Elgohary, [FR Doc. 2011–8834 Filed 4–12–11; 8:45 am] located three-fourths mile east of the Acting Assistant Administrator, Electric BILLING CODE 6335–01–P city limit of Warrenton. The tallest Program, Rural Utilities Service. structure would be the stack, with a maximum estimated height of [FR Doc. 2011–8779 Filed 4–12–11; 8:45 am] approximately 220 feet. The BILLING CODE P DEPARTMENT OF COMMERCE construction schedule of the Proposal is Submission for OMB Review; currently unknown. Comment Request A Notice of Intent to Prepare an EIS COMMISSION ON CIVIL RIGHTS and Hold a Scoping Meeting was Agenda and Notice of Public Meeting The Department of Commerce will published in the Federal Register at 74 of the Louisiana Advisory Committee submit to the Office of Management and FR 30520, on June 26, 2009, and local Budget (OMB) for clearance the newspapers. The scoping meeting for Notice is hereby given, pursuant to following proposal for collection of the EIS was held in the project area on the provisions of the rules and information under the provisions of the July 9, 2009, and public comments were regulations of the U.S. Commission on Paperwork Reduction Act (44 U.S.C. accepted from June 26, 2009, through Civil Rights (Commission), and the chapter 35).

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Agency: National Oceanic and notice to Frequency: Annually. Atmospheric Administration (NOAA). [email protected]. Respondent’s Obligation: Mandatory. OMB Desk Officer: Title: Reporting of Sea Turtle Dated: April 8, 2011. Entanglements in Fixed Gear Fisheries. [email protected]. Gwellnar Banks, OMB Control Number: 0648–0496. Copies of the above information Form Number(s): NA. Management Analyst, Office of the Chief collection proposal can be obtained by Type of Request: Regular submission Information Officer. calling or writing Diana Hynek, (extension of a current information [FR Doc. 2011–8828 Filed 4–12–11; 8:45 am] Departmental Paperwork Clearance collection with revisions). BILLING CODE 3510–22–P Officer, (202) 482–0266, Department of Number of Respondents: 59. Commerce, Room 6616, 14th and Average Hours per Response: Constitution Avenue, NW., Washington, Telephone calls and written reports, 1 DEPARTMENT OF COMMERCE DC 20230 (or via the Internet at hour; interviews, 30 minutes. [email protected]). Burden Hours: 99. Submission for OMB Review; Written comments and Needs and Uses: This notice is for Comment Request recommendations for the proposed extension, with revisions, of a current The Department of Commerce will information collection should be sent information collection. submit to the Office of Management and within 30 days of publication of this This collection of information Budget (OMB) for clearance the notice to involves sea turtles becoming following proposal for collection of [email protected]. accidentally entangled in active or information under the provisions of the Dated: April 8, 2011. discarded fixed fishing gear or marine Paperwork Reduction Act (44 U.S.C. Gwellnar Banks, debris. These entanglements may chapter 35). Management Analyst, Office of the Chief prevent the recovery of endangered and Agency: National Oceanic and Information Officer. threatened sea turtle populations. Atmospheric Administration (NOAA). [FR Doc. 2011–8830 Filed 4–12–11; 8:45 am] National Marine Fisheries Service Title: Alaska Region Bering Sea & BILLING CODE 3510–22–P (NMFS) Northeast Region (Maine to Aleutian Islands (BSAI) Crab Economic Virginia) has established the Sea Turtle Data Reports. Disentanglement Network to promote OMB Control Number: 0648–0518. DEPARTMENT OF COMMERCE reporting and increase successful Form Number(s): NA. disentanglement of sea turtles. This Type of Request: Regular submission International Trade Administration Network is made up of sea turtle (renewal with revisions of a current [A–552–801] stranding network organizations, as well information collection). as federal, state, and municipal Number of Respondents: 132. Certain Frozen Fish Fillets From the agencies. NMFS relies on the Network Average Hours per Response: Catcher Socialist Republic of Vietnam: and on opportunistic reports from vessel and catcher/processor economic Extension of Time Limit for Preliminary fishermen and recreational boaters for data reports (EDRs), 37 hours; stationary Results of the Seventh Antidumping information about entangled turtles. The floating processor and shoreside Duty Administrative Review information provided will help NMFS processor EDRs, 48 hours; EDR better assess the threat of sea turtle certifications only, 1 hour; verification AGENCY: Import Administration, entanglement in vertical line from fixed of data, 8 hours. International Trade Administration, gear fisheries (lobster, whelk/conch, Burden Hours: 4,534. Department of Commerce. crab, fish trap, gill net), discarded gear Needs and Uses: The National Marine ACTION: Notice. and marine debris. Our understanding Fisheries Service (NMFS) manages the SUMMARY: of the prevalence and nature of sea crab fisheries in the waters off the coast On September 29, 2010, the turtle entanglement in fixed gear of Alaska under the Fishery Department of Commerce ‘‘ ’’ fisheries is necessary to ensure sea Management Plan (FMP) for the Bering ( Department ) published a notice of initiation of antidumping and turtles are being conserved and Sea and Aleutian Islands (BSAI) Crab. countervailing duty administrative protected, as mandated by the The Magnuson-Stevens Fishery reviews and requests for revocation in Endangered Species Act of 1973, as Conservation and Management Act, 16 part for certain frozen fish fillets from amended (ESA). U.S.C. 1801 et seq. (Magnuson-Stevens Affected Public: Individuals or Act) mandated the Secretary of the Socialist Republic of Vietnam covering the period August 1, 2009, households; not for profit institutions. Commerce to implement the Crab Frequency: On occasion. Rationalization Program (CR Program) through July 31, 2010. The Department Respondent’s Obligation: Voluntary. for the BSAI Management Area (BSAI) may, however, extend the deadline for OMB Desk Officer: crab fisheries. The CR Program allocates completion of the preliminary results of [email protected]. BSAI crab resources among harvesters, an administrative review to 365 days if Copies of the above information processors, and coastal communities it determines it is not practicable to collection proposal can be obtained by and monitors the ‘‘economic stability for complete the review within the calling or writing Diana Hynek, harvesters, processors, and coastal foregoing time period. Departmental Paperwork Clearance communities.’’ The Magnuson-Stevens DATES: Effective Date: April 13, 2011. Officer, (202) 482–0266, Department of Act provides specific guidance on the FOR FURTHER INFORMATION CONTACT: Commerce, Room 6616, 14th and CR Program’s mandatory EDR used to Alexis Polovina or Javier Barrientos, Constitution Avenue, NW., Washington, assess the efficacy of the CR Program. AD/CVD Operations, Office 9, Import DC 20230 (or via the Internet at Data from the EDR will directly Administration, International Trade [email protected]). contribute to ongoing evaluation of Administration, U.S. Department of Written comments and potential anti-trust and anti-competitive Commerce, 14th Street and Constitution recommendations for the proposed practices in the crab industry. Avenue, NW., Washington, DC 20230; information collection should be sent Affected Public: Business or other for- telephone: (202) 482–3927 and (202) within 30 days of publication of this profit organizations. 482–2243, respectively.

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SUPPLEMENTARY INFORMATION: DEPARTMENT OF COMMERCE the concurrent CVD investigation expired on January 6, 2011. See section Background International Trade Administration 703(d) of the Act. Likewise, the On September 29, 2010, the [A–570–967] provisional measures in the AD Department of Commerce investigation will expire on May 11, (‘‘Department’’) published a notice of Aluminum Extrusions From the 2011. See section 733(d) of the Act. initiation of antidumping and People’s Republic of China: Notice of Thus, for the remainder of the AD provisional measures period, April 4, countervailing duty administrative Correction to the Final Determination 2011, (the date of publication of the AD reviews and requests for revocation in of Sales at Less Than Fair Value Final Determination) until May 11, part for certain frozen fish fillets from AGENCY: Import Administration, 2011, no CVD duties will be collected. the Socialist Republic of Vietnam International Trade Administration, Because no export subsidy-related covering the period August 1, 2009, Department of Commerce. duties will be collected during this through July 31, 2010. See Initiation of DATES: Effective Date: April 13, 2011. period, the Department has determined Antidumping and Countervailing Duty FOR FURTHER INFORMATION CONTACT: Paul that collecting the full AD cash deposit Administrative Reviews and Requests Stolz or Lori Apodaca, AD/CVD amounts during this period, without for Revocation in Part, 75 FR 60076 Operations, Office 8, Import adjusting for the amount of the export (September 29, 2010). The preliminary Administration, International Trade subsidies found in the concurrent CVD results are currently due on May 3, Administration, U.S. Department of proceeding, is appropriate. 2011. Commerce, 14th Street and Constitution Therefore, the Department will instruct U.S. Customs and Border Extension of Time Limits for Avenue, NW., Washington, DC 20230; Protection (‘‘CBP’’) to collect the full AD Preliminary Results telephone: (202) 482–4474 or (202) 482– 4551, respectively. cash deposit amounts specified in the Section 751(a)(3)(A) of the Tariff Act SUPPLEMENTARY INFORMATION: The Final AD Final Determination, without of 1930, as amended (‘‘Act’’), and 19 CFR Determination in this investigation was adjusting for export subsidies found in 351.213(h)(1) require the Department to published in the Federal Register on the concurrent CVD proceeding, for the issue the preliminary results in an April 4, 2011.1 For the AD Final period April 4, 2011, until May 11, administrative review of an Determination, the Department of 2011. Beginning May 11, 2011, and until such time as final measures, if any, are antidumping duty order 245 days after Commerce (‘‘the Department’’) assigned imposed, no cash deposits for estimated the last day of the anniversary month of an antidumping duty margin of 33.28 AD duties will be collected. In the event the order for which the administrative percent to the mandatory respondent that the ITC publishes an affirmative review was requested. The Department and an antidumping duty margin of 32.79 percent to 29 separate-rate final injury determination in either the may, however, extend the deadline for AD or CVD proceeding, then completion of the preliminary results of companies. Section 772(c)(1)(C) of the Tariff Act appropriate cash deposit instructions an administrative review to 365 days if will be forwarded to CBP for the it determines it is not practicable to of 1930, as amended (‘‘the Act’’), provides for an adjustment to the export imposition of final measures, effective complete the review within the on the date of publication of the ITC’s foregoing time period. See section price and constructed export price to offset any countervailing duties (‘‘CVD’’) affirmative final injury determination. 751(a)(3)(A) of the Act and 19 CFR based on export subsidies. Consistent This notice is published in 351.214(h)(2). with this mandate, the Department accordance with section 777(i) of the The Department finds that it is not applies an offset to the antidumping Act. practicable to complete the preliminary (‘‘AD’’) cash deposit rate equal to the Dated: April 6, 2011. results within this time limit. The amount of the export subsidy applied to Ronald K. Lorentzen, Department is extending the deadline that same party in the CVD Deputy Assistant Secretary for Import because it has provided parties investigation. In its AD Final Administration. additional time to submit surrogate Determination, the Department stated [FR Doc. 2011–8943 Filed 4–12–11; 8:45 am] country comments and thus will require that for the individually examined BILLING CODE 3510–DS–P additional time to analyze these respondent it would reduce the cash comments. We are therefore extending deposit requirement by the amount of the time for the completion of the export subsidies found for the same DEPARTMENT OF COMMERCE preliminary results of this review by 120 individually examined AD respondents International Trade Administration days to August 31, 2011. in the CVD proceeding (i.e., 0.26 percent). Similarly, the Department [A–552–802] This notice is published in stated that for the separate-rate accordance with section 751(a)(3)(A) of respondents it would reduce their cash Certain Frozen Warmwater Shrimp the Act and 19 CFR 351.213(h)(2). deposit requirements by the amount of From the Socialist Republic of Dated: April 7, 2011. export subsidies included in the All Vietnam: Preliminary Results of Gary Taverman, Others rate from the CVD Final Antidumping Duty New Shipper Determination (i.e., 42.16 percent).2 Acting Deputy Assistant Secretary for Review However, the provisional measures in Antidumping and Countervailing Duty AGENCY: Import Administration, Operations. 1 See Aluminum Extrusions from the People’s International Trade Administration, [FR Doc. 2011–8940 Filed 4–12–11; 8:45 am] Republic of China: Final Determination of Sales at Department of Commerce. BILLING CODE 3510–DS–P Less Than Fair Value, 76 FR 18524 (April 4, 2011) SUMMARY: On February 1, 2005, the (‘‘AD Final Determination’’). 2 See Aluminum Extrusions From the People’s Department of Commerce Republic of China: Final Affirmative Countervailing (‘‘Department’’) published in the Federal Duty Determination, 76 FR 18521, (April 4, 2011). Register the antidumping duty order on

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certain frozen warmwater shrimp preliminary results of this review to prepared meals (HTS subheading (‘‘shrimp’’) from the Socialist Republic April 14, 2011.4 1605.20.0510); (5) dried shrimp and of Vietnam (‘‘Vietnam’’).1 The prawns; (6) canned warmwater shrimp Scope of the Order Department is conducting a new shipper and prawns (HTS subheading review (‘‘NSR’’) of the Order, covering The scope of the order includes 1605.20.1040); (7) certain dusted the period of review (‘‘POR’’) of February certain frozen warmwater shrimp and shrimp; and (8) certain battered shrimp. 1, 2010, through July 31, 2010. If these prawns, whether wild-caught (ocean Dusted shrimp is a shrimp-based preliminary results are adopted in our harvested) or farm-raised (produced by product: (1) That is produced from fresh final results of review, we will instruct aquaculture), head-on or head-off, shell- (or thawed-from-frozen) and peeled U.S. Customs and Border Protection on or peeled, tail-on or tail-off,5 shrimp; (2) to which a ‘‘dusting’’ layer of (‘‘CBP’’) to assess antidumping duties on deveined or not deveined, cooked or rice or wheat flour of at least 95 percent entries of subject merchandise during raw, or otherwise processed in frozen purity has been applied; (3) with the the POR for which the importer-specific form. entire surface of the shrimp flesh assessment rates are above de minimis. The frozen warmwater shrimp and thoroughly and evenly coated with the prawn products included in the scope of DATES: Effective Date: April 13, 2011. flour; (4) with the non-shrimp content of the order, regardless of definitions in the end product constituting between FOR FURTHER INFORMATION CONTACT: Paul the Harmonized Tariff Schedule of the four and 10 percent of the product’s Walker, AD/CVD Operations, Office 9, United States (‘‘HTSUS’’), are products total weight after being dusted, but prior Import Administration, International which are processed from warmwater to being frozen; and (5) that is subjected Trade Administration, U.S. Department shrimp and prawns through freezing to IQF freezing immediately after of Commerce, 14th Street and and which are sold in any count size. application of the dusting layer. Constitution Avenue, NW., Washington The products described above may be Battered shrimp is a shrimp-based DC 20230; telephone: (202) 482–0413. processed from any species of product that, when dusted in SUPPLEMENTARY INFORMATION: warmwater shrimp and prawns. accordance with the definition of Warmwater shrimp and prawns are dusting above, is coated with a wet Background generally classified in, but are not viscous layer containing egg and/or On August 26, 2010, pursuant to limited to, the Penaeidae family. Some milk, and par-fried. section 751(a)(2)(B)(i) of the Tariff Act examples of the farmed and wild-caught The products covered by the order are of 1930, as amended (the ‘‘Act’’), and warmwater species include, but are not currently classified under the following section 351.214(c) of the Department’s limited to, white leg shrimp (Penaeus HTSUS subheadings: 0306.13.0003, regulations, the Department received a vannemei), banana prawn (Penaeus 0306.13.0006, 0306.13.0009, NSR request from Quoc Viet merguiensis), fleshy prawn (Penaeus 0306.13.0012, 0306.13.0015, Seaproducts Processing Trading and chinensis), giant river prawn 0306.13.0018, 0306.13.0021, Import-Export Co., Ltd. (‘‘Quoc Viet’’). (Macrobrachium rosenbergii), giant tiger 0306.13.0024, 0306.13.0027, Quoc Viet certified that it was the prawn (Penaeus monodon), redspotted 0306.13.0040, 1605.20.1010 and producer and exporter of the subject shrimp (Penaeus brasiliensis), southern 1605.20.1030. These HTSUS merchandise upon which the request brown shrimp (Penaeus subtilis), subheadings are provided for was based. On October 1, 2010, the southern pink shrimp (Penaeus convenience and for customs purposes Department published a notice of notialis), southern rough shrimp only and are not dispositive, but rather initiation of the NSR of the Order for (Trachypenaeus curvirostris), southern the written description of the scope of Quoc Viet.2 On September 28, 2010, the white shrimp (Penaeus schmitti), blue the order is dispositive. shrimp (Penaeus stylirostris), western Department issued its original Non-Market Economy Country Status antidumping duty questionnaire to white shrimp (Penaeus occidentalis) Quoc Viet. Between October 22, 2010, and Indian white prawn (Penaeus In every case conducted by the and February 3, 2011, Quoc Viet indicus). Department involving Vietnam, Vietnam submitted responses to the original and Frozen shrimp and prawns that are has been treated as a non-market supplemental sections A, C, D and packed with marinade, spices or sauce (‘‘NME’’) country. In accordance with Importer antidumping duty are included in the scope of the order. section 771(18)(C)(i) of the Act, any questionnaires. In addition, food preparations, which determination that a foreign country is ‘‘ ’’ On January 4, 2011, the Department are not prepared meals, that contain an NME country shall remain in effect more than 20 percent by weight of until revoked by the administering sent interested parties a letter requesting 6 comments on surrogate country shrimp or prawn are also included in authority. None of the parties to this selection and information pertaining to the scope of the order. proceeding have contested such Excluded from the scope are: (1) valuing factors of production (‘‘FOP’’). treatment. Accordingly, we calculated Breaded shrimp and prawns (HTS ‘‘ ’’ On January 31, 2011, Quoc Viet normal value ( NV ) in accordance with subheading 1605.20.1020); (2) shrimp section 773(c) of the Act, which applies submitted surrogate country comments and prawns generally classified in the to NME countries. and surrogate value (‘‘SV’’) data.3 Pandalidae family and commonly Separate Rate Determination On March 23, 2011, the Department referred to as coldwater shrimp, in any extended the deadline for the state of processing; (3) fresh shrimp and In proceedings involving NME prawns whether shell-on or peeled (HTS countries, there is a rebuttable 1 See Notice of Amended Final Determination of subheadings 0306.23.0020 and presumption that all companies within Sales at Less Than Fair Value and Antidumping the country are subject to government Duty Order: Certain Frozen Warmwater Shrimp 0306.23.0040); (4) shrimp and prawns in From the Socialist Republic of Vietnam, 70 FR 5152 control and, thus, should be assessed a (February 1, 2005) (‘‘Order’’). 4 See Certain Frozen Warmwater Shrimp From the single antidumping duty rate. It is the 2 See Certain Frozen Warmwater Shrimp From the Socialist Republic of Vietnam: Extension of Socialist Republic of Vietnam: Initiation of Preliminary Results of Antidumping Duty New 6 See Certain Frozen Fish Fillets From the Antidumping Duty New Shipper Review, 75 FR Shipper Review, 76 FR 16384 (March 23, 2011). Socialist Republic of Vietnam: Final Results of the 60730 (October 1, 2010). 5 ‘‘Tails’’ in this context means the tail fan, which Antidumping Duty Administrative Review and New 3 See Quoc Viet’s January 31, 2011 submission. includes the telson and the uropods. Shipper Reviews, 74 FR 11349 (March 17, 2009).

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Department’s standard policy to assign the government regarding the selection section 773(c)(1) of the Act directs it to all exporters of the merchandise subject of management.7 base NV, in most circumstances, on the to review in NME countries a single rate In its questionnaire responses, Quoc NME producer’s FOPs, valued in a unless an exporter can affirmatively Viet submitted evidence indicating an surrogate market economy (‘‘ME’’) demonstrate an absence of government absence of de facto government control country or countries considered to be control, both in law (de jure) and in fact over its export activities. Specifically, appropriate by the Department. In (de facto), with respect to exports. To this evidence indicates that: (1) Quoc accordance with section 773(c)(4) of the establish whether a company is Viet sets its own export prices Act, in valuing the FOPs, the sufficiently independent to be entitled independent of the government and Department shall utilize, to the extent to a separate, company-specific rate, the without the approval of a government possible, the prices or costs of FOPs in Department analyzes each exporting authority; (2) Quoc Viet retains the one or more ME countries that are: (1) entity in an NME country under the test proceeds from its sales and makes at a level of economic development established in the Final Determination independent decisions regarding the comparable to that of the NME country; disposition of profits or financing of of Sales at Less than Fair Value: and (2) significant producers of losses; (3) Quoc Viet has a general Sparklers from the People’s Republic of comparable merchandise. Further, manager, branch manager or division China, 56 FR 20588 (May 6, 1991) pursuant to section 351.408(c)(2) of the manager with the authority to negotiate (‘‘Sparklers’’), as amplified by the Notice Department’s regulations, the and bind the company in an agreement; Department will normally value FOPs in of Final Determination of Sales at Less (4) the general manager is selected by Than Fair Value: Silicon Carbide From a single country, except for labor. The the board of directors or company sources of the surrogate factor values are the People’s Republic of China, 59 FR employees, and the general manager 22585 (May 2, 1994) (‘‘Silicon Carbide’’). discussed under the ‘‘Normal Value’’ appoints the deputy managers and the section below.9 A. Absence of De Jure Control manager of each department; and (5) As noted above, on January 4, 2011, there is no restriction on any of either the Department sent interested parties a The Department considers the company’s use of export revenues. letter requesting comments on surrogate following de jure criteria in determining Therefore, the Department preliminarily country selection and information whether an individual company may be finds that Quoc Viet has established pertaining to valuing FOPs. On January granted a separate rate: (1) an absence of prima facie that it qualifies for a 31, 2011, the Department received restrictive stipulations associated with separate rate under the criteria comments from Quoc Viet suggesting an individual exporter’s business and established by Silicon Carbide and that the Department select Bangladesh export licenses; and (2) any legislative Sparklers. as the surrogate country, as well as enactments decentralizing control of New Shipper Review Bona Fide Bangladeshi SV data.10 companies. Analysis Pursuant to its practice, the In this NSR, Quoc Viet submitted Consistent with the Department’s Department received a list of potential complete responses to the separate rate practice, we investigated the bona fide surrogate countries from Import section of the Department’s NME Administration’s Office of Policy nature of the sale made by Quoc Viet in 11 questionnaire. The evidence submitted this NSR. We found that the sale by (‘‘OP’’). The OP determined that by Quoc Viet includes government laws Quoc Viet was made on a bona fide Bangladesh, Pakistan, India, Sri Lanka, and regulations on corporate ownership, basis.8 Based on our investigation into the Philippines and Indonesia were at a business licenses, and narrative the bona fide nature of the sale, the comparable level of economic 12 information regarding its operations and questionnaire responses submitted by development to Vietnam. The selection of management. The evidence Quoc Viet, and the company’s eligibility Department considers the six countries provided by Quoc Viet supports a for separate rates (see Separate Rate identified by the OP in its Surrogate finding of a de jure absence of Determination section above), we Country List as ‘‘equally comparable in 13 government control over each of its preliminarily determine that Quoc Viet terms of economic development.’’ export activities. Thus, we believe that has met the requirement to qualify as a Thus, we find that Bangladesh, the evidence on the record supports a new shipper during this POR. Therefore, Pakistan, India, Sri Lanka, the preliminary finding of an absence of de for the purposes of these preliminary Philippines, and Indonesia are all at an economic level of development equally jure government control based on: (1) results, we are treating Quoc Viet’s sale comparable to that of Vietnam. We note An absence of restrictive stipulations of subject merchandise to the United that the Surrogate Country List is a non- associated with the exporter’s business States as an appropriate transaction for exhaustive list of economically license; and (2) the legal authority on this NSR. comparable countries. the record decentralizing control over Surrogate Country Quoc Viet. When the Department conducts a 9 See also Memorandum to the File, through Scot B. Absence of De Facto Control review of imports from an NME country, T. Fullerton, Program Manager, Office IX, ‘‘Fourth New Shipper Review of Frozen Warmwater Shrimp from Vietnam: Surrogate Values for the Preliminary 7 The absence of de facto government See Silicon Carbide, 59 FR at 22587; Sparklers, Results,’’ dated concurrently with this notice (‘‘SV control over exports is based on whether 56 FR at 20589; see also Notice of Final Memo’’). Determination of Sales at Less Than Fair Value: 10 See Quoc Viet’s January 31, 2011 submission. the respondent: (1) Sets its own export Furfuryl Alcohol from the People’s Republic of 11 prices independent of the government China, 60 FR 22544, 22545 (May 8, 1995). See Memorandum from Carole Showers, Director, Office of Policy, to Scot T. Fullerton, and other exporters; (2) retains the 8 For more detailed discussion of this issue, see Memorandum to the File, through Scot T. Fullerton, Program Manager, AD/CVD Operations, Office 9, proceeds from its export sales and ‘‘ Program Manager, Office IX, from Paul Walker, Case Request for a List of Surrogate Countries for New makes independent decisions regarding Analyst, ‘‘Bona Fide Nature of the Sale in the Shipper Review of the Antidumping Duty Order on the disposition of profits or financing of Antidumping Duty New Shipper Review of Certain Frozen Warmwater Shrimp from the Socialist losses; (3) has the authority to negotiate Warmwater Shrimp from the Socialist Republic of Republic of Vietnam,’’ dated December 6, 2010 (‘‘Surrogate Country List’’). and sign contracts and other Vietnam: Quoc Viet Seaproducts Processing Trading and Import-Export Co., Ltd.,’’ dated 12 Id. agreements; and (4) has autonomy from concurrently with this notice. 13 Id.

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Quoc Viet submitted evidence that of NMEs renders price comparisons and Based on the existence of these subsidy Bangladesh, Pakistan, India, Sri Lanka, the calculation of production costs programs that were generally available the Philippines and Indonesia are all invalid under the Department’s normal to all exporters and producers in these significant producers of comparable methodologies. countries at the time of the POR, the merchandise.14 However, while we find Section 773(c)(1) of the Act provides Department finds that it is reasonable to that these countries are economically that the Department shall determine the infer that all exporters from India, comparable to Vietnam and produce NV using an FOP methodology if: (1) the Indonesia, South Korea and Thailand comparable merchandise, we note that merchandise is exported from an NME may have benefitted from these the record contains no publicly country; and (2) the information does subsidies. available SV factor information for not permit the calculation of NV using Additionally, we disregarded prices Pakistan, India, Sri Lanka, the home market prices, third country from NME countries.19 Finally, imports Philippines or Indonesia. prices, or constructed value under that were labeled as originating from an With regard to Bangladesh, the record section 773(a) of the Act. ‘‘unspecified’’ country were excluded contains publicly available surrogate from the average value, because the 16 factor value information. Given the B. Factor Valuations Department could not be certain that above-cited facts, we find that the In accordance with section 773(c) of they were not from either an NME information on the record shows that the Act, we calculated NV based on country or a country with general export Bangladesh is an appropriate surrogate FOPs reported by Quoc Viet for the subsidies.20 Lastly, the Department has country because Bangladesh is at a POR. To calculate NV, we multiplied also excluded imports from Bangladesh similar level of economic development the reported per-unit factor- into Bangladesh because there is no pursuant to section 773(c)(4) of the Act, consumption rates by publicly available evidence on the record regarding what is a significant producer of comparable Bangladeshi SVs. In selecting SVs, we these data represent (e.g., re- merchandise, and has reliable, publicly considered the quality, specificity and importations, another category of available data for surrogate valuation contemporaneity of the data. As unspecified imports, or the result of an purposes. appropriate, we adjusted input prices by error in reporting). Thus, these data do not represent the best available U.S. Price including freight costs to make them delivered prices. Specifically, we added information upon which to rely for For Quoc Viet’s export price (‘‘EP’’) to Bangladeshi import SVs a surrogate valuation purposes.21 sale, we used the EP methodology, freight cost using the shorter of the Therefore, based on the information pursuant to section 772(a) of the Act, reported distance from the domestic currently available, we have not used because the first sale to an unaffiliated supplier to the factory of production, or prices from these countries either in purchaser was made prior to the distance from the nearest seaport to calculating the Bangladeshi import- importation and constructed export the factory of production, where based SVs or in calculating ME input price was not otherwise warranted by appropriate. This adjustment is in values. In instances where an ME input the facts on the record. We calculated accordance with the Court of Appeals was obtained solely from suppliers EP based on cost and freight foreign port for the Federal Circuit’s (‘‘CAFC’’) located in these countries, we used price to the first unaffiliated purchaser decision in Sigma Corp. v. United Bangladeshi import-based SVs to value in the United States. We also deducted States, 117 F.3d 1401, 1407–1408 (Fed. the input. foreign inland freight, and foreign Cir. 1997). Where we did not use To value Quoc Viet’s raw shrimp brokerage and handling from the Bangladeshi Import Statistics, we input, we used data for Bangladesh from starting price (or gross unit price), in calculated freight based on the reported accordance with section 772(c) of the distance from the supplier to the Issues and Decision Memorandum at 4–5; Certain Act. We reviewed the movement factory. Cut-to-Length Carbon-Quality Steel Plate from expenses incurred in Vietnam by Quoc Indonesia: Final Results of Expedited Sunset In accordance with the OTCA 1988 Review, 70 FR 45692 (August 8, 2005) and Viet and found that they were provided legislative history, the Department accompanying Issues and Decision Memorandum at by an NME vendor or paid for using continues to apply its long-standing 4; see Corrosion-Resistant Carbon Steel Flat Vietnamese currency. Thus, we based practice of disregarding SVs if it has a Products from the Republic of Korea: Final Results the deduction of these movement of Countervailing Duty Administrative Review, 74 reason to believe or suspect the source FR 2512 (January 15, 2009) and accompanying 15 charges on SVs. data may be subsidized.17 In this regard, Issues and Decision Memorandum at 17, 19–20; see Normal Value the Department has previously found Final Affirmative Countervailing Duty that it is appropriate to disregard such Determination: Certain Hot-Rolled Carbon Steel Flat A. Methodology Products from Thailand, 66 FR 50410 (October 3, prices from India, Indonesia, South 2001) and accompanying Issues and Decision Section 773(c)(1)(B) of the Act Korea and Thailand because we have Memorandum at 23. provides that the Department shall determined that these countries 19 See Tapered Roller Bearings and Parts Thereof, determine the NV using an FOP maintain broadly available, non- Finished and Unfinished, from the People’s 18 Republic of China; Final Results of 1998–1999 methodology if the merchandise is industry specific export subsidies. Administrative Review, Partial Rescission of exported from an NME country and the Review, and Determination Not To Revoke Order in information does not permit the 16 In accordance with section 351.301(c)(3)(ii) of Part, 66 FR 1953 (January 10, 2001) and calculation of NV using home-market the Department’s regulations, for the final results in accompanying Issues and Decision Memorandum at an antidumping NSR, interested parties may submit Comment 1. prices, third-country prices, or publicly available information to value FOPs within 20 See Notice of Final Determination of Sales at constructed value under section 773(a) 20 days after the date of publication of the Less Than Fair Value and Negative Final of the Act. The Department bases NV on preliminary results. Determination of Critical Circumstances: Certain FOPs because the presence of 17 See Omnibus Trade and Competitiveness Act Color Television Receivers from the People’s government controls on various aspects of 1988, Conf. Report to Accompany H.R. 3, H.R. Republic of China, 69 FR 20594 (April 16, 2004). Rep. No. 576, 100th Cong., 2nd Sess. (1988) (‘‘OTCA 21 See Certain Frozen Warmwater Shrimp from 1988’’) at 590. the Socialist Republic of Vietnam: Final Results and 14 See Quoc Viet’s January 31, 2011 submission at 18 See, e.g., Carbazole Violet Pigment 23 from Partial Rescission of Antidumping Duty Exhibit 1. India: Final Results of the Expedited Five-year Administrative Review, 75 FR 47771 (August 9, 15 See SV Memo for details regarding the SVs for (Sunset) Review of the Countervailing Duty Order, 2010) and accompanying Issues and Decision movement expenses. 75 FR 13257 (March 19, 2010) and accompanying Memorandum at Comment 6.

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a study conducted by the Network of subsidized exports (i.e., Indonesia, we determined to be both economically Aquaculture Centres in Asia-Pacific South Korea, Thailand, and India), comparable to Vietnam, and significant (‘‘NACA’’), an intergovernmental imports from unspecified countries and producers of comparable merchandise. organization affiliated with the United imports from Bangladesh into A full description of the industry- Nation’s (‘‘UN’’) Food and Agricultural Bangladesh. specific wage rate calculation Organization (‘‘FAO’’). The Department’s It is the Department’s practice to methodology is provided in the SV practice when selecting the best calculate price index adjustors to inflate Memo. The Department calculated a available information for valuing FOPs, or deflate, as appropriate, SVs that are simple average industry-specific wage in accordance with section 773(c)(1) of not contemporaneous with the POR rate of $1.09 for these preliminary the Act, is to select, to the extent using the wholesale price index (‘‘WPI’’) results. Specifically, for this review, the practicable, SVs which are product- for the subject country.25 However, in Department has calculated the wage rate specific, representative of a broad- this case, a WPI was not available for using a simple average of the data market average, publicly available, Bangladesh. Therefore, where publicly provided to the ILO under Sub- contemporaneous with the POR and available information contemporaneous Classification 15 of the ISIC–Revision 3 exclusive of taxes and duties.22 The with the POR with which to value standard by countries determined to be Department notes that the value of the factors could not be obtained, SVs were both economically comparable to main input, head-on, shell-on shrimp, is adjusted using the Consumer Price Vietnam and significant producers of a critical FOP in the dumping Index (‘‘CPI’’) rate for Bangladesh, or the comparable merchandise. The calculation as it accounts for a WPI for India or Indonesia (for certain Department finds the two-digit significant percentage of NV. Moreover, SVs where Bangladeshi data could not description under ISIC–Revision 3 the ability to value shrimp on a count- be obtained), as published in the (‘‘Manufacture of Food Products and size basis is a significant consideration International Financial Statistics of the Beverages’’) to be the best available wage with respect to the data available on the International Monetary Fund. rate SV on the record because it is record, as the subject merchandise and Where necessary, the Department specific and derived from industries the raw shrimp input are both sold on made currency conversions into U.S. that produce merchandise comparable a count-size specific basis. The dollars, in accordance with section to the subject merchandise. Bangladeshi shrimp values within the 773A(a) of the Act, based on the Consequently, we averaged the ILO NACA study are compiled by the UN’s exchange rates in effect on the dates of industry-specific wage rate data or FAO from actual pricing records kept by the U.S. sales, as certified by the Federal earnings data available from the Bangladeshi farmers, traders, depots, Reserve Bank. We relied on the daily following countries found to be agents, and processors. The Bangladeshi exchange rates posted on the Import 26 economically comparable to Vietnam shrimp values within the NACA study Administration Web site. and are significant producers of On May 14, 2010, the CAFC in are publicly available, represent a comparable merchandise: The Dorbest Ltd. v. United States, 604 F.3d broad-market average, are product- Philippines, Egypt and Indonesia. For specific, count-size-specific, 1363, 1372 (CAFC 2010), found that the regression-based method for calculating further information on the calculation of contemporaneous and represent actual the wage rate, see SV Memo. transaction prices.23 wage rates, as stipulated by section We valued electricity using data from The Department used UN ComTrade 351.408(c)(3) of the Department’s the Bangladesh Ministry of Power, Statistics, provided by the UN regulations, uses data not permitted by Department of Economic and Social the statutory requirements laid out in Energy, & Mineral Resources. This Affairs’ Statistics Division, as its section 773 of the Act (i.e., 19 U.S.C. information was published on their primary source of Bangladeshi SV data 1677b(c)). The Department is continuing Power Division’s website. We valued to value the raw material and packing to evaluate options for determining water using 2007 data from the Asian material inputs that Quoc Viet used to labor values in light of the recent CAFC Development Bank. We inflated the produce the merchandise under review decision. However, for these value using the POR average CPI rate. during the POR, except where listed preliminary results, we have calculated We valued diesel using data published below.24 For a detailed description of all an hourly wage rate to use in valuing by the World Bank in ‘‘Bangladesh: SVs, see SV Memo. The data represents the respondent’s reported labor input by Transport at a Glance,’’ published in cumulative values for the calendar year averaging industry-specific earnings June 2006. We inflated the value using 2007, for inputs classified by the and/or wages in countries that are the POR average CPI rate. Harmonized Commodity Description economically comparable to Vietnam To value truck freight and motorcycle and Coding System number. As noted and that are significant producers of freight, we used data published in 2008 above, for each input value, we used the comparable merchandise. Statistical Yearbook of Bangladesh average value per unit for that input For the preliminary results of this published by the Bangladesh Bureau of imported into Bangladesh from all NSR, the Department is valuing labor Statistics. We inflated the value using countries that the Department has not using a simple average industry-specific the POR average CPI rate. We valued previously determined to be NME wage rate using earnings or wage data containerization using Indian countries, countries that the Department reported under Chapter 5B by the information previously available on the has determined to be countries which International Labor Organization Import Administration Web site. We (‘‘ILO’’). To achieve an industry-specific inflated the value using the POR average 22 See Fresh Garlic from the People’s Republic of labor value, we relied on industry- WPI rate. We valued brokerage and China: Final Results and Partial Rescission of the specific labor data from the countries handling using a price list of export Eleventh Administrative Review and New Shipper Reviews, 72 FR 34438 (June 22, 2007) and procedures necessary to export a accompanying Issues and Decision Memorandum at 25 See Notice of Preliminary Determination of standardized cargo of goods in Comment 2A. Sales at Less Than Fair Value and Postponement Bangladesh. The price list is compiled 23 The calculation for shrimp and all other of Final Determination: Hand Trucks and Certain based on a survey case study of the surrogate values listed below may be found in the Parts Thereof from the People’s Republic of China, SV Memo. 69 FR 29509 (May 24, 2004). procedural requirements for trading a 24 This can be accessed online at: http:// 26 See http://www.trade.gov/ia/, see also SV standard shipment of goods by ocean www.unstats.un.org/unsd/comtrade/. Memo. transport in India that is published in

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Doing Business 2011: Bangladesh, within 20 days after the date of Assessment Rates published by the World Bank. publication of these preliminary results. We valued the by-product using shell Interested parties must provide the Upon issuance of the final results, the scrap values using a surrogate value for Department with supporting Department will determine, and CBP shrimp by-products based on a purchase documentation for the publicly shall assess, antidumping duties on all price quote for wet shrimp shells from available information to value each appropriate entries covered by this NSR. an Indonesian buyer of crustacean FOP. Additionally, in accordance with The Department intends to issue shells. Although we recognize that Quoc section 351.301(c)(1) of the assessment instructions to CBP 15 days Viet reported by-products other than Department’s regulations, for the final after the publication date of the final shells and that this surrogate value is results of this NSR, interested parties results of this NSR. If these preliminary not from Bangladesh, the primary may submit factual information to rebut, results are adopted in our final results surrogate country, this information clarify, or correct factual information of review, the Department shall represents the best information on the submitted by an interested party within determine, and CBP shall assess, record and has been used in past case ten days of the applicable deadline for antidumping duties on all appropriate segments.27 Moreover, we also note that submission of such factual information. entries. Pursuant to section this is the only surrogate value on the However, the Department notes that 351.212(b)(1) of the Department’s record for by-products, and as a section 351.301(c)(1) of the regulations, we will calculate importer- consequence, is being used for these Department’s regulations permits new specific (or customer) ad valorem duty preliminary results. We inflated the information only insofar as it rebuts, assessment rates. We will instruct CBP value using the POR average WPI rate.28 clarifies, or corrects information to assess antidumping duties on all To value factory overhead, selling, recently placed on the record.30 appropriate entries covered by this general and administrative expenses, In accordance with section review if any importer-specific and profit, we used the simple average 351.309(c)(ii) of the Department’s assessment rate calculated in the final of the 2009–2010 financial statement of regulations, interested parties may results of this review is above de Apex Foods Limited and the 2008–2009 submit case briefs and/or written minimis. financial statement of Gemini Seafood comments no later than 30 days after the Cash-Deposit Requirements Limited, both of which are Bangladeshi date of publication of the preliminary shrimp processors.29 results of this NSR. In accordance with The following cash deposit section 351.309(d) of the Department’s requirement will be effective upon Preliminary Results of Review regulations, rebuttal briefs and rebuttals publication of the final results of this The Department has preliminarily to written comments, limited to issues NSR for all shipments of subject determined that the following dumping raised in such briefs or comments, may merchandise produced and exported margin exists for the period February 1, be filed no later than five days after the from Quoc Viet entered, or withdrawn 2010, through July 31, 2010: deadline for submitting the case briefs. from warehouse, for consumption on or The Department requests that interested after the publication date, as provided CERTAIN FROZEN WARMWATER parties provide an executive summary for by section 751(a)(2)(C) of the Act: (1) SHRIMP FROM VIETNAM of each argument contained within the for subject merchandise produced and case briefs and rebuttal briefs. exported by Quoc Viet, the cash deposit Manufacturer/exporter Margin Any interested party may request a rate will be the rate established in the hearing within 30 days of publication of Quoc Viet ...... de minimis final results of this NSR. If the cash these preliminary results.31 Requests deposit rate calculated in the final should contain the following results is zero or de minimis, no cash Disclosure information: (1) The party’s name, deposit will be required for the specific The Department will disclose to address, and telephone number; (2) the producer-exporter combination listed parties of this proceeding the number of participants; and (3) a list of above. The cash deposit requirement, calculation performed in reaching the the issues to be discussed. Oral when imposed, shall remain in effect preliminary results within five days of presentations will be limited to issues until further notice. the date of publication of this notice in raised in the briefs. If we receive a accordance with section 351.224(b) of request for a hearing, we plan to hold Notification to Importers the Department’s regulations. the hearing seven days after the This notice serves as a preliminary deadline for submission of the rebuttal Comments reminder to importers of its briefs at the U.S. Department of responsibility under section In accordance with section Commerce, 14th Street and Constitution 351.402(f)(2) of the Department’s 351.301(c)(3)(ii) of the Department’s Avenue, NW., Washington, DC 20230. regulations to file a certificate regarding regulations, for the final results, The Department intends to issue the the reimbursement of antidumping interested parties may submit publicly final results of this NSR, which will duties prior to liquidation of the available information to value FOPs include the results of its analysis raised relevant entries during this POR. Failure in any such comments, within 90 days to comply with this requirement could 27 See SV Memo which contains the following of publication of these preliminary result in the Secretary’s presumption memorandum: Memorandum to Barbara E. Tillman, results, pursuant to section 351.214(i) of Director, Office of AD/CVD Enforcement VII, that reimbursement of antidumping through Maureen Flannery, Program Manager, the Department’s regulations. duties occurred and the subsequent Office of AD/CVD Enforcement VII, from Christian assessment of double antidumping Hughes and Adina Teodorescu, Case Analysts, 30 See Glycine from the People’s Republic of ‘‘Surrogate Valuation of Shell Scrap: Freshwater China: Final Results of Antidumping Duty duties. Crawfish Tail Meat from the People’s Republic of Administrative Review and Final Rescission, in We are issuing and publishing this China (PRC), Administrative Review 9/1/00–8/31/ Part, 72 FR 58809 (October 17, 2007) and notice in accordance with sections 00 and New Shipper Reviews 9/1/00–8/31/01 and accompanying Issues and Decision Memorandum at 9/1/00–10/15/01.’’ Comment 2. 751(a)(2)(B) and 777(i) of the Act, and 28 Id. 31 See section 351.310(c) of the Department’s section 351.214(h) and 351.221(b)(4) of 29 See SV Memo at Exhibit 8. regulations. the Department’s regulations.

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Dated: April 6, 2011. Standards and Technology, 100 Bureau 120(h)(3)(C) of the Comprehensive Ronald K. Lorentzen, Drive, Stop 8514, Gaithersburg, MD Environmental Response, Compensation Deputy Assistant Secretary for Import 20899–8514, USA; Telephone: (301) and Liability Act (CERCLA) of 1980, Administration. 975–4624; Fax (301) 975–3928; E-mail: would defer the CERCLA covenant [FR Doc. 2011–8892 Filed 4–12–11; 8:45 am] [email protected]. requirement to complete all necessary BILLING CODE 3510–DS–P SUPPLEMENTARY INFORMATION: All environmental cleanup prior to the visitors to the National Institute of transfer of the remediated property. In Standards and Technology site will this way, parcels could become DEPARTMENT OF COMMERCE have to pre-register to be admitted. available for redevelopment and reuse Anyone wishing to attend this meeting sooner under this disposal alternative National Institute of Standards and must pre-register by C.O.B May 27, 2011 Technology than under any other. The Governor of in order to attend. Please submit your Georgia must concur with the deferral name, e-mail address, and phone Announcement of Meeting to Explore request for the surplus federal property number to Teresa Vicente, and you will Feasibility of Establishing a NIST/ at Fort McPherson. be provided instructions for admittance. Industry Consortium on Neutron Non-U.S. citizens must also submit their ADDRESSES: To obtain a copy of the ROD Measurements for Soft Materials country of citizenship, title, employer/ contact Mr. Owen Nuttall, Fort Manufacturing sponsor, and address. Teresa Vicente’s McPherson BRAC Environmental Office, AGENCY: National Institute of Standards e-mail address [email protected] Building 714, 1508 Hood Avenue, Fort and Technology, Commerce. and their phone number is (301) 975– Gillem, GA 30297–5161; (404) 469–5245 ACTION: Notice of public meeting. 3883. or [email protected]. An Dated: April 6, 2011. electronic version of the ROD can be SUMMARY: The National Institute of Charles H. Romine, viewed or downloaded at: http:// Standards and Technology (NIST) Acting Associate Director for Laboratory www.hqda.army.mil/acsim/brac/ invites interested parties to attend a pre- Programs. nepa_eis_docs.htm. consortium meeting on June 2–3, 2011 [FR Doc. 2011–9009 Filed 4–12–11; 8:45 am] to be held on the NIST campus. The FOR FURTHER INFORMATION CONTACT: Mr. goal of the one-day meeting is to BILLING CODE 3510–13–P Owen Nuttall at (404) 469–5245. evaluate industry interest in creating a NIST/industry consortium focused on SUPPLEMENTARY INFORMATION: The advanced neutron-based probes for soft DEPARTMENT OF DEFENSE McPherson Planning Local Redevelopment Authority (MPLRA) materials. The goals of such a Department of the Army consortium would include the reuse plan (Reuse Plan) provides the basis for the development of reasonable development of neutron-based Record of Decision (ROD) for the Base and foreseeable reuse scenarios measurements that would address Closure and Realignment (BRAC) 2005 evaluated in the FEIS. The McPherson critical needs for manufacturers of soft Actions at Fort McPherson, GA materials such as polymers, complex Implementing Local Redevelopment fluids, and protein-based materials. AGENCY: Department of the Army, DoD. Authority (MILRA) is the Advances in neutron-based ACTION: Record of decision. implementation authority for the measurement science are anticipated redevelopment of Fort McPherson and SUMMARY: The Department of the Army through the development of sample will implement the Reuse Plan. The announces the availability of the ROD, environments that closely mimic range of reuse alternatives evaluated in which summarizes the decision on how manufacturing processes, measurement the EIS encompasses reasonably to implement property disposal in foreseeable variations of the Reuse Plan methods to probe and analyze complex accordance with the Defense Base and the results of this analysis were mixtures, and data analysis models that Closure and Realignment Act of 1990 used by the Army in its decision support routine measurements with (the Base Closure Act), Public Law 101– regarding disposition of the property. high information content. The 510, as amended, following the closure consortium would be administered by of Fort McPherson, Georgia. A Memorandum of Agreement (MOA) NIST. Consortium research and The Army has decided to implement for the Closure and Disposal of Fort development would be conducted by its preferred alternative of early transfer McPherson has been legally executed by NIST staff members along with at least of surplus federal property to other the signing of authorized representatives one technical representative from each entities for reuse. Pursuant to the of the Army, the Georgia State Historic participating member company. CRADA National Environmental Policy Act of Preservation Officer, and the Advisory contributions for participation in the 1969 (NEPA) and its implementing Council on Historic Preservation. Army consortium would be on the order of regulations, the Army prepared a Final obligations fully described in the MOA Twenty Thousand ($20,000) per year. Environmental Impact Statement (FEIS) are considered mitigations required The initial term of the consortium is that includes the evaluation of the under the National Historic Preservation intended to be three years. environmental and socioeconomic Act. Specific mitigation measures the DATES: The meeting will take place on impacts of disposing of surplus federal Army commits to perform are outlined June 2–3, 2011 from 8 a.m. to 5 p.m. property and the implementation by in the MOA. ADDRESSES: The meeting will be held on others of reasonable, foreseeable reuse Dated: April 7, 2011. the NIST Gaithersburg campus, 100 alternatives for the entire property. Bureau Drive, Gaithersburg, MD 20899. Under the early transfer alternative, the Hershell E. Wolfe, Please note admittance instructions Army can transfer and dispose of Acting Deputy Assistant Secretary of the under the SUPPLEMENTARY INFORMATION surplus property for redevelopment Army (Environment, Safety and Occupational section of this notice. before environmental remedial actions Health). FOR FURTHER INFORMATION CONTACT: have been completed. This method of [FR Doc. 2011–8814 Filed 4–12–11; 8:45 am] Ronald L. Jones, National Institute of early disposal, allowable under Section BILLING CODE 3710–08–P

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DEPARTMENT OF DEFENSE environment on September 22, 2009 (74 accuracy of the agency’s estimate of the FR 48236). The Corps also made a Draft burden of the proposed collection of Department of the Army, Corps of SEIS available for comment on April 9, information, including the validity of Engineers 2010 (75 FR 18166). A Public Hearing the methodology and assumptions used; was held on June 8, 2010 in Winchester, (3) Enhance the quality, utility, and Withdrawal of Notice of Intent To KY. At the time of EKPC’s withdrawal, clarity of the information to be Prepare a Supplemental Environmental the Corps was evaluating comments collected; and (4) Minimize the burden Impact Statement for a Proposed 278 received at the Public Hearing and in of the collection of information on those Megawatt Circulating Fluidized Bed response to the NOI in preparation of a who are to respond, including through Electric Generating Unit by East Final SEIS. Due to a variety of factors, the use of appropriate automated, Kentucky Power Cooperative, Inc., in EKPC withdrew its application for a electronic, mechanical, or other Clark County, KY Department of the Army permit to technological collection techniques or AGENCY: U.S. Army Corps of Engineers, construct the facility on December 3, other forms of information technology. DoD. 2010. Dated: April 8, 2011. ACTION: Withdrawal of notice. Dated: April 4, 2011. Darrin A. King, Keith A. Landry, SUMMARY: The Louisville District of the Director, Information Collection Clearance U.S. Army Corps of Engineers (Corps) Colonel, Corps of Engineers, District Division, Information Management and Privacy Services, Office of Management. today withdraws its Notice of Intent (74 Commander. FR 48236, September 22, 2009) to [FR Doc. 2011–9000 Filed 4–12–11; 8:45 am] Institute of Education Sciences BILLING CODE 3720–58–P prepare a Supplemental Environmental Type of Review: Reinstatement. Impact Statement (SEIS) for a proposed Title of Collection: Baccalaureate and 278 megawatt circulating fluidized bed DEPARTMENT OF EDUCATION Beyond Longitudinal Study 2008/12 electric generating unit by East (B&B:08/12) Field Test 2011. Kentucky Power Cooperative, Inc. Notice of Submission for OMB Review OMB Control Number: 1850–0729. (EKPC), in Clark County, Kentucky. Agency Form Number(s): N/A. EKPC withdrew its application for a AGENCY: Department of Education. Frequency of Responses: Annually. Section 404 of the Clean Water Act and ACTION: Comment request. Affected Public: Individuals or Section 10 of the Rivers and Harbors Act households. permit to construct the facility permit SUMMARY: The Director, Information Total Estimated Number of Annual on December 3, 2010. Collection Clearance Division, Responses: 3,782. FOR FURTHER INFORMATION CONTACT: Mr. Information Management and Privacy Total Estimated Annual Burden Michael Hasty, Senior Project Manager, Services, Office of Management, invites Hours: 805. South Section, Regulatory Branch, comments on the submission for OMB Abstract: This request for OMB Louisville District, P.O. Box 59, review as required by the Paperwork approval is to conduct a second follow- Louisville, KY 40201–0059. Phone: Reduction Act of 1995 (Pub. L. 104–13). up field test for the Baccalaureate and (502) 315–6676, e-mail: DATES: Interested persons are invited to Beyond Longitudinal Study of 2008/ [email protected]. submit comments on or before May 13, 2012 (B&B:08/12), from June through SUPPLEMENTARY INFORMATION: EKPC 2011. October 2011. The primary purpose of applied for a Department of the Army ADDRESSES: Written comments should the B&B series of studies is to describe (DA) permit from the Corps on October be addressed to the Office of the various paths of recent college 8, 2008. The application requested Information and Regulatory Affairs, graduates into employment and authorization for unavoidable impacts Attention: Education Desk Officer, additional education. Baseline data for to jurisdictional waters of the U.S. Office of Management and Budget, 725 the B&B:08 cohort were collected as part pursuant to Section 404 of the Clean 17th Street, NW., Room 10222, New of the National Postsecondary Student Water Act and Section 10 of the Rivers Executive Office Building, Washington, Aid Study (NPSAS:08). The first follow- and Harbors Act. The Proposed Action DC 20503, be faxed to (202) 395–5806 or up interview (B&B:08/09) collected involved the construction and operation e-mailed to information from respondents one year of a 278 megawatt circulating fluidized [email protected] with a after they received their bachelor’s bed electric generating unit and cc: to [email protected]. Please note degree; the second follow-up (B&B:08/ associated infrastructure at the existing that written comments received in 12) will collect data four years after J.K. Smith Power Station in southern response to this notice will be bachelor’s degree receipt. Interview data Clark County, Kentucky. Other considered public records. will be supplemented with a variety of appurtenant features of the Proposed SUPPLEMENTARY INFORMATION: Section administrative data sources, including Action included: An approximately one- 3506 of the Paperwork Reduction Act of the Central Processing System, the mile, 345 kV electric transmission line; 1995 (44 U.S.C. Chapter 35) requires National Student Loan Data System, and two (2) beneficial reuse structural fills that the Office of Management and the National Student Clearinghouse. using coal combustion by-products Budget (OMB) provide interested This request also requests a waiver of (CCB); two (2) landfills for the on-site Federal agencies and the public an early the 60-day Federal Register notice for disposal of CCB; an emergency drought opportunity to comment on information the full-scale data collection package. water storage reservoir; several soil collection requests. The OMB is Full-scale data collection will take place borrow areas for landfill cover and other particularly interested in comments from July 2012 through March 2013. site development uses; and a new water which: (1) Evaluate whether the Copies of the information collection intake/outfall structure in the Kentucky proposed collection of information is submission for OMB review may be River. necessary for the proper performance of accessed from the RegInfo.gov Web site The Corps announced the NOI to the functions of the agency, including at http://www.reginfo.gov/public/do/ prepare a SEIS to evaluate the potential whether the information will have PRAMain or from the Department’s Web effects of the Proposed Action on the practical utility; (2) Evaluate the site at http://edicsweb.ed.gov, by

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selecting the ‘‘Browse Pending SUPPLEMENTARY INFORMATION: Section along with the typical costs for books Collections’’ link and by clicking on link 3506 of the Paperwork Reduction Act of and supplies, and the cost of room and number 4416. When you access the 1995 (44 U.S.C. chapter 35) requires that board, if applicable, including providing information collection, click on Federal agencies provide interested a Web link or access to the program cost ‘‘Download Attachments’’ to view. parties an early opportunity to comment information the institution makes Written requests for information should on information collection requests. The available to all enrolled and prospective be addressed to U.S. Department of Director, Information Collection students under section 668.43(a). Education, 400 Maryland Avenue, SW., Clearance Division, Information Beginning July 1, 2011, the placement LBJ, Washington, DC 20202–4537. Management and Privacy Services, rate as determined under the Requests may also be electronically Office of Management, publishes this institution’s accrediting agency or State mailed to the Internet address notice containing proposed information requirements, or the placement rate that [email protected] or faxed to 202– collection requests at the beginning of will be determined in the future by the 401–0920. Please specify the complete the Departmental review of the National Center for Education Statistics, title of the information collection and information collection. The Department must be reported by the institution. In OMB Control Number when making of Education is especially interested in addition, the institution must disclose your request. public comment addressing the the median loan debt incurred by Individuals who use a following issues: (1) Is this collection students who completed the program as telecommunications device for the deaf necessary to the proper functions of the provided by the Secretary, as well as (TDD) may call the Federal Information Department; (2) will this information be any other information about the Relay Service (FIRS) at 1–800–877– processed and used in a timely manner; program provided by the Secretary. The 8339. (3) is the estimate of burden accurate; institution must identify separately the [FR Doc. 2011–8876 Filed 4–12–11; 8:45 am] (4) how might the Department enhance median title IV, Higher Education Act BILLING CODE 4000–01–P the quality, utility, and clarity of the loan debt and the median loan debt information to be collected; and (5) how from the private education loan debt might the Department minimize the and institutional financing plans. DEPARTMENT OF EDUCATION burden of this collection on the Copies of the proposed information respondents, including through the use collection request may be accessed from Notice of Proposed Information of information technology. http://edicsweb.ed.gov, by selecting the Collection Requests Dated: April 7, 2011. ‘‘Browse Pending Collections’’ link and by clicking on link number 4561. When AGENCY: Department of Education. Darrin A. King, Director, Information Collection Clearance you access the information collection, ACTION: Comment request. Division, Information Management and click on ‘‘Download Attachments’’ to Privacy Services, Office of Management. view. Written requests for information SUMMARY: The Department of Education should be addressed to U.S. Department (the Department), in accordance with Federal Student Aid of Education, 400 Maryland Avenue, the Paperwork Reduction Act of 1995 Type of Review: Revision. SW., LBJ, Washington, DC 20202–4537. (PRA) (44 U.S.C. 3506(c)(2)(A)), Title of Collection: Student Assistance Requests may also be electronically provides the general public and Federal General Provisions—Subpart A— mailed to [email protected] or faxed agencies with an opportunity to General. to 202–401–0920. Please specify the comment on proposed and continuing OMB Control Number: 1845–0107. complete title of the information collections of information. This helps Agency Form Number(s): N/A. collection and OMB Control Number the Department assess the impact of its Frequency of Responses: Annually. when making your request. information collection requirements and Affected Public: Not-for-profit Individuals who use a minimize the reporting burden on the institutions; State, Local, or Tribal telecommunications device for the deaf public and helps the public understand Government, State Educational (TDD) may call the Federal Information the Department’s information collection Agencies or Local Educational Agencies. Relay Service (FIRS) at 1–800–877– requirements and provide the requested Total Estimated Number of Annual 8339. data in the desired format. The Director, Responses: 3,551,702. Information Collection Clearance [FR Doc. 2011–8881 Filed 4–12–11; 8:45 am] Total Estimated Number of Annual Division, Information Management and BILLING CODE 4000–01–P Burden Hours: 1,270,478. Privacy Services, Office of Management, Abstract: The final regulations invites comments on the proposed (668.6(b)) require the following information collection requests as DEPARTMENT OF EDUCATION disclosures to prospective students in a required by the Paperwork Reduction gainful employment program: The name Notice of Submission for OMB Review Act of 1995. and Standard Occupational DATES: Interested persons are invited to Classification (SOC) code for each AGENCY: Department of Education. submit comments on or before June 13, occupational training program and links ACTION: Comment request. 2011. to the Department of Labor’s O-Net site ADDRESSES: Comments regarding burden to obtain occupation profile data using SUMMARY: The Director, Information and/or the collection activity a SOC code, or a representative sample Collection Clearance Division, requirements should be electronically of SOC codes for graduates of its Information Management and Privacy mailed to [email protected] or program; information about on-time Services, Office of Management, invites mailed to U.S. Department of Education, graduation rates for students completing comments on the submission for OMB 400 Maryland Avenue, SW., LBJ, the program; the total amount of tuition review as required by the Paperwork Washington, DC 20202–4537. Please and fees charged for completing the Reduction Act of 1995 (Pub. L. 104–13). note that written comments received in program within the normal time it takes DATES: Interested persons are invited to response to this notice will be to complete the course requirements as submit comments on or before May 13, considered public records. published in the institution’s catalog, 2011.

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ADDRESSES: Written comments should high quality teacher in every classroom. title of the information collection and be addressed to the Office of The American Recovery and OMB Control Number when making Information and Regulatory Affairs, Reinvestment Act (ARRA) supports your request. Attention: Education Desk Officer, reform in four key areas including Individuals who use a Office of Management and Budget, 725 increasing teacher effectiveness and telecommunications device for the deaf 17th Street, NW., Room 10222, New promoting the equitable distribution of (TDD) may call the Federal Information Executive Office Building, Washington, effective teachers. Therefore, this study Relay Service (FIRS) at 1–800–877– DC 20503, be faxed to (202) 395–5806 or describes the distribution of teacher 8339. e-mailed to quality within districts over time and [FR Doc. 2011–8878 Filed 4–12–11; 8:45 am] [email protected] with a any changes in that distribution BILLING CODE 4000–01–P cc: to [email protected]. Please note associated with district strategies to that written comments received in promote an equitable distribution of response to this notice will be high quality teachers. DEPARTMENT OF EDUCATION considered public records. This study will provide information Notice of Submission for OMB Review SUPPLEMENTARY INFORMATION: Section over time about the distribution of teacher quality and will document 3506 of the Paperwork Reduction Act of AGENCY: Department of Education. district efforts to promote teacher equity 1995 (44 U.S.C. chapter 35) requires that ACTION: Comment request. the Office of Management and Budget within a select number of districts. The (OMB) provide interested Federal research questions are: SUMMARY: The Director, Information • What is the distribution of teacher agencies and the public an early Collection Clearance Division, quality across schools within districts? Information Management and Privacy opportunity to comment on information • What strategies and policies are collection requests. The OMB is Services, Office of Management, invites districts promoting to address comments on the submission for OMB particularly interested in comments inequitable distribution of teacher which: (1) Evaluate whether the review as required by the Paperwork quality? How these strategies/policies Reduction Act of 1995 (Pub. L. 104–13). proposed collection of information is are enacted (e.g. strategy determination, DATES: Interested persons are invited to necessary for the proper performance of goals and objectives, theory of action, submit comments on or before May 13, the functions of the agency, including features, administration, necessary 2011. whether the information will have resources, and challenges to practical utility; (2) Evaluate the administration, intended duration)? ADDRESSES: Written comments should accuracy of the agency’s estimate of the • What is the relationship between be addressed to the Office of burden of the proposed collection of the district policies/strategies and the Information and Regulatory Affairs, information, including the validity of distribution of teacher quality? Attention: Education Desk Officer, the methodology and assumptions used; The study will be conducted in up to Office of Management and Budget, 725 (3) Enhance the quality, utility, and 30 geographically-dispersed school 17th Street, NW., Room 10222, New clarity of the information to be districts. The study will document the Executive Office Building, Washington, collected; and (4) Minimize the burden distribution of teacher quality, within DC 20503, be faxed to (202) 395–5806 or of the collection of information on those participating districts, using teacher e-mailed to who are to respond, including through value-added analyses. The study will [email protected] with a the use of appropriate automated, also describe changes in the distribution cc: to [email protected]. Please note electronic, mechanical, or other of teacher quality across the outcomes that written comments received in technological collection techniques or years 2010–2011 through 2012–2013. response to this notice will be other forms of information technology. Data collection will include student considered public records. Dated: April 7, 2011. achievement obtained from SUPPLEMENTARY INFORMATION: Section Darrin A. King, administrative records, annual semi- 3506 of the Paperwork Reduction Act of 1995 (44 U.S.C. chapter 35) requires that Director, Information Collection Clearance structured district leadership interviews Division, Information Management and about district strategies and policies to the Office of Management and Budget Privacy Services, Office of Management. address inequitable distribution of (OMB) provide interested Federal teacher quality, and district agencies and the public an early Institute of Education Sciences administrative records/personnel data. opportunity to comment on information Type of Review: NEW. Copies of the information collection collection requests. The OMB is Title of Collection: Study of the submission for OMB review may be particularly interested in comments Distribution of Teacher Effectiveness. accessed from the RegInfo.gov Web site which: (1) Evaluate whether the OMB Control Number: Pending. at http://www.reginfo.gov/public/do/ proposed collection of information is Agency Form Number(s): N/A. PRAMain or from the Department’s Web necessary for the proper performance of Frequency of Responses: Once; On site at http://edicsweb.ed.gov, by the functions of the agency, including Occasion. selecting the ‘‘Browse Pending whether the information will have Affected Public: State, Local, or Tribal Collections’’ link and by clicking on link practical utility; (2) Evaluate the Government, State Educational number 4484. When you access the accuracy of the agency’s estimate of the Agencies or Local Educational Agencies. information collection, click on burden of the proposed collection of Total Estimated Number of Annual ‘‘Download Attachments ’’ to view. information, including the validity of Responses: 213. Written requests for information should the methodology and assumptions used; Total Estimated Annual Burden be addressed to U.S. Department of (3) Enhance the quality, utility, and Hours: 1,217. Education, 400 Maryland Avenue, SW., clarity of the information to be Abstract: Title II, Part A, the LBJ, Washington, DC 20202–4537. collected; and (4) Minimize the burden Improving Teacher State Formula Requests may also be electronically of the collection of information on those Grants program is the primary federal mailed to the Internet address who are to respond, including through funding under the Elementary and [email protected] or faxed to 202– the use of appropriate automated, Secondary Education Act to support a 401–0920. Please specify the complete electronic, mechanical, or other

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technological collection techniques or mailed to the Internet address corresponds to a separate competition as other forms of information technology. [email protected] or faxed to 202– follows: Dated: April 8, 2011. 401–0920. Please specify the complete Competition Darrin A. King, title of the information collection and Absolute priority OMB Control Number when making CFDA No. Director, Information Collection Clearance Division, Information Management and your request. Preparation of Special Edu- 84.325D Privacy Services, Office of Management. Individuals who use a cation, Early Intervention, telecommunications device for the deaf and Related Services Lead- Office of Postsecondary Education (TDD) may call the Federal Information ership Personnel. Type of Review: Extension. Relay Service (FIRS) at 1–800–877– Personnel Preparation in Spe- 84.325K Title of Collection: Application for 8339. cial Education, Early Inter- vention, and Related Serv- [FR Doc. 2011–8877 Filed 4–12–11; 8:45 am] Grants under the Predominantly Black ices. Institutions Program. BILLING CODE 4000–01–P Special Education Preservice 84.325T OMB Control Number: 1840–0797. Program Improvement Grants. Agency Form Number(s): N/A. Frequency of Responses: Annually. DEPARTMENT OF EDUCATION Absolute Priorities: For FY 2011 and Affected Public: Not-for-profit any subsequent year in which we make Applications for New Awards; institutions. awards based on the list of unfunded Personnel Development To Improve Total Estimated Number of Annual applications from these competitions, Services and Results for Children With Responses: 40. these priorities are absolute priorities. Disabilities Total Estimated Annual Burden Under 34 CFR 75.105(c)(3), for each Hours: 1,400. AGENCY: Office of Special Education and competition, we consider only Abstract: The Predominantly Black Rehabilitative Services, Department of applications that meet the absolute Institutions (PBI) Program is authorized Education. priority for that competition. under Title III, Part F of the Higher ACTION: Notice. The priorities are: Education Act of 1965, as amended Absolute Priority 1—Preparation of (HEA). The PBI Program makes grant Overview Information: Notice inviting Special Education, Early Intervention, awards to eligible colleges and applications for new awards for fiscal and Related Services Leadership universities to support the strengthening year (FY) 2011. Personnel (84.325D). Background: of PBIs to carry out programs in the Catalog of Federal Domestic There continues to be a persistent following areas: Science, technology, Assistance (CFDA) Numbers: 84.325D, need for special education, early engineering, or mathematics; health 84.325K, and 84.325T. intervention, and related services education; internationalization or Note: This notice invites applications for personnel who are prepared at the globalization; teacher preparation; or three separate competitions. For key dates, doctoral and postdoctoral levels to fill improving the educational outcomes of contact person information, and funding faculty and research positions (Smith, African American males. Grants support information regarding each competition, see Pion, & Tyler, 2004; Smith, Robb, West the establishment or strengthening of the chart in the Award Information section of and Tyler, 2010; Woods & Snyder, such programs that are designed to this notice. 2009). Further, according to Lashley & increase the institutions capacity to DATES: Boscardin (2003), there is a need for prepare students for instruction in the Applications Available: See chart. personnel who are prepared at the above noted fields. Grants are awarded Deadline for Transmittal of graduate level (i.e., masters, education competitively. This information Applications: See chart. specialist, and doctoral degrees, collection is necessary to comply with Deadline for Intergovernmental depending on State certification Title III, Part F of the HEA. Review: See chart. requirements) to fill special education and early intervention administrator This information collection is being Full Text of Announcement submitted under the Streamlined positions. Clearance Process for Discretionary I. Funding Opportunity Description Federal support is needed to increase Grant Information Collections (1894– Purpose of Program: The purposes of the supply of these personnel and 0001). Therefore, the 30-day public this program are to (1) help address ensure that they have the necessary comment period notice will be the only State-identified needs for highly knowledge and skills to assume special public comment notice published for qualified personnel—in special education, early intervention, and this information collection. education, related services, early related services leadership positions in Copies of the information collection intervention, and regular education—to universities, State educational agencies submission for OMB review may be work with children, including infants (SEAs), State lead agencies (State LAs), accessed from the RegInfo.gov Web site and toddlers, with disabilities; and (2) local educational agencies (LEAs), local at http://www.reginfo.gov/public/do/ ensure that those personnel have the lead agencies (local LAs), schools, or PRAMain or from the Department’s Web necessary skills and knowledge, derived programs. Critical competencies for site at http://edicsweb.ed.gov, by from practices that have been special education, early intervention, selecting the ‘‘Browse Pending determined through scientifically-based and related services leadership Collections’’ link and by clicking on link research and experience, to be personnel vary depending on the type of number 4481. When you access the successful in serving those children. personnel preparation program; information collection, click on Priorities: In accordance with 34 CFR however, these competencies often ‘‘Download Attachments ’’ to view. 75.105(b)(2)(iv), these priorities are from include teaching skills, administrative 1 Written requests for information should allowable activities specified in the skills, and research skills as well as be addressed to U.S. Department of statute (see sections 662 and 681 of the 1 For an example of standards for administrative Education, 400 Maryland Avenue, SW., Individuals with Disabilities Education skills, see the performance-based standards for a LBJ, Washington, DC 20202–4537. Act (IDEA)). Each of the absolute special education administrator developed by the Requests may also be electronically priorities announced in this notice Continued

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current knowledge of effective program prepares personnel for one or high-poverty schools,3 and low- interventions that improve academic more administrative position(s). Type B performing schools, including and functional outcomes for children programs prepare personnel for persistently lowest-achieving schools.4 with disabilities, including high-need positions such as SEA special education (2) All relevant coursework for the children with disabilities. For the administrators, LEA special education proposed program reflects current purpose of this priority, ‘‘high-need directors or regional directors, school- research and pedagogy, as appropriate, children with disabilities’’ refers to based special education directors, on— children (ages birth through twenty-one, preschool coordinators, and early (i) Participation and achievement in depending on the State) who are eligible intervention coordinators. Type B the general education curriculum and for services under IDEA, and who may programs culminate in a master’s, improved outcomes for all children with be further disadvantaged and at risk of education specialist, or doctoral degree. disabilities, including high-need educational failure because they: (1) Are The Office of Special Education children with disabilities; living in poverty, (2) are far below grade Programs (OSEP) intends to fund in FY (ii) The provision of early level, (3) are at risk of not graduating 2011 at least three high-quality intervention services in natural with a regular high school diploma on applications proposing Type B programs environments to improve outcomes for time, (4) are homeless, (5) are in foster and may fund these applications out of infants and toddlers with disabilities, care, (6) have been incarcerated, (7) are rank order. including high-need children with English learners, (8) are pregnant or disabilities and their families; and Note: The preparation of school principals (iii) The competencies needed to work parenting teenagers, (9) are new is not included as part of this priority. immigrants, (10) are migrant, or (11) are in high-need LEAs, high-poverty not on track to being college- or career- Note: Applicants must identify the specific program type, A or B, for which they are 3 For the purposes of this priority, the term high- ready by graduation. poverty school means a school in which at least 50 Priority: applying for funding as part of the competition title on the application cover percent of students are eligible for free or reduced- The purpose of the Preparation of price lunches under the Richard B. Russell National Special Education, Early Intervention, sheet (SF form 424, item 15). Applicants may School Lunch Act or in which at least 50 percent and Related Services Leadership not submit the same proposal for more than of students are from low-income families as one program type. determined using one of the criteria specified under Personnel priority is to increase the section 1113(a)(5) of the Elementary and Secondary quantity of special education, early To be considered for funding under Education Act of 1965, as amended. For middle and intervention, and related services the Preparation of Special Education, high schools, eligibility may be calculated on the personnel who have been prepared at Early Intervention, and Related Services basis of comparable data from feeder schools. Leadership Personnel absolute priority, Eligibility as a high-poverty school under this the graduate and advanced graduate definition is determined on the basis of the most levels, and who are well-qualified for, both Type A and Type B program currently available data (http://www2.ed.gov/ and can effectively carry out, leadership applicants must meet the application legislation/FedRegister/other/2010-4/ positions in universities, SEAs, State requirements contained in the priority. 121510b.html). LAs, LEAs, local LAs, schools, or All projects funded under the absolute 4 For purposes of this priority, the term persistently lowest-achieving schools is defined programs. This priority supports two priority also must meet the according to the final requirements for School types of programs that prepare programmatic and administrative Improvement Grants authorized under section leadership personnel: requirements specified in the priority. 1003(g) of Title I of the Elementary and Secondary Type A programs are designed to These requirements are as follows: Education Act of 1965, as amended (ESEA), which were published in the Federal Register on October prepare, at the advanced graduate level, (a) Demonstrate, in the narrative 28, 2010 (75 FR 66363). According to Section I.A.3 higher education faculty and researchers section of the application, under of these requirements, the term ‘‘persistently lowest- in early intervention, special education, ‘‘Quality of Project Services,’’ how— achieving schools’’ means, as determined by the or related services. Type A programs (1) The program prepares leadership State— (a)(1) Any Title I school in improvement, culminate in a doctoral degree or personnel to address the specialized corrective action, or restructuring that— provide postdoctoral learning needs of high-need children with (i) Is among the lowest-achieving five percent of opportunities. disabilities (as defined in the Title I schools in improvement, corrective action, or Note: Preparation that leads to clinical background statement for this absolute restructuring or the lowest-achieving five Title I schools in improvement, corrective action, or doctoral degrees in related services (e.g., a priority). To address the needs of this restructuring in the State, whichever number of Doctor of Audiology (AuD) degree or Doctor population, the proposed program schools is greater; or of Physical Therapy (DPT) degree) are not must— (ii) Is a high school that has had a graduation rate included as part of this priority. Preparation (i) Identify the competencies needed as defined in 34 CFR 200.19(b) that is less than 60 programs that lead to a clinical doctoral by leadership personnel to either percent over a number of years; and degree are eligible to apply for funding under (2) Any secondary school that is eligible for, but the Personnel Preparation in Special effectively teach others how to does not receive, Title I funds that— Education, Early Intervention, and Related implement, or directly administer or (i) Is among the lowest-achieving five percent of Services priority (CFDA 84.325K) announced conduct further research on, programs secondary schools or the lowest-achieving five elsewhere in this notice. or interventions that improve the secondary schools in the State that are eligible for, academic or functional outcomes of but do not receive, Title I funds, whichever number Type B programs are designed to of schools is greater; or prepare, at the graduate or advanced high-need children with disabilities; (ii) Is a high school that has had a graduation rate graduate levels, special education or and as defined in 34 CFR 200.19(b) that is less than 60 (ii) Prepare leadership personnel to percent over a number of years. early intervention administrators to (b) To identify the lowest-achieving schools, a work in SEAs, State LAs, LEAs, local apply these competencies in a variety of 2 State must take into account both— LAs, schools, or programs. The settings, including in high-need LEAs, (i) The academic achievement of the ’’all applicant, based on State certification students’’ group in a school in terms of proficiency requirements for some positions, can 2 For purposes of this priority, the term high-need on the State’s assessments under section 1111(b)(3) LEA means an LEA (a) that serves not fewer than of the ESEA in reading/language arts and determine whether the proposed Type B 10,000 children from families with incomes below mathematics combined; and the poverty line; or (b) for which not less than 20 (ii) The school’s lack of progress on those Council for Exceptional Children (CEC) at: http:// percent of the children served by the LEA are from assessments over a number of years in the ‘‘all www2.astate.edu/dotAsset/118756.pdf. families with incomes below the poverty line. students’’ group.

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schools, low-performing schools, (iii) The strategies that foster www.researchutilization.org/matrix/ including persistently lowest-achieving collaboration among personnel serving logicmodel_resource3c.html and _ _ schools, and publically funded children with disabilities; and www.tadnet.org/model and performance. preschool programs, including Head (iv) The collection, analysis, and use (d) Include, in an application Start programs and early intervention of data on early learning outcomes,7 appendix, course syllabi that clearly programs serving children eligible for student achievement,8 or student incorporate research-based curriculum services under Part C, located within the growth 9 to improve teaching and and pedagogy as required under geographic boundaries of a high-need learning. paragraph (a) of this priority, along with LEA. (b) Include, in the narrative section of the syllabi for all research methods, (3) The program is designed to the application under ‘‘Quality of Project evaluation methods, or data analysis integrate coursework with practicum Evaluation,’’ a clear, effective plan for courses required by the degree program opportunities (e.g., interning in a evaluating the outcomes of the proposed and elective research methods, program or school serving high-need leadership project. The plan must evaluation methods, or data analysis children with disabilities) that will include a description of how the project courses that have been completed by enhance the competencies of leadership will— more than one student enrolled in the personnel to effectively— (1) Incorporate the use of evaluation program in the last four years. (i) Serve in a variety of positions, methodologies that demonstrate the (e) Provide, in the application including positions that involve effectiveness of the proposed program, narrative, a detailed description of the research, personnel preparation, or including its effect on the acquisition of program that includes the sequence of leadership at the university, SEA, State scholar competencies described in the courses offered in the program and a LA, LEA, local LA, school, or program application; and comprehensive curriculum designed to level; (2) Objectively collect, analyze, and meet program goals and obtain mastery (ii) Work in a variety of leadership use these and other formative evaluation in the following professional domains, settings, particularly those in high-need data to improve the program on an as appropriate— LEAs with programs and schools ongoing basis. In the application, the (1) Research methodology; serving high-need children with applicant must clearly describe how the (2) Personnel preparation; disabilities; project will report these evaluation (3) Policy or professional practice; or (iii) Collaborate and work with regular results to OSEP in the grantee’s annual (4) Administration practices or education personnel; and final performance reports. techniques. (iv) Incorporate universal design for (c) Include, in the application (f) Demonstrate in the application learning principles 5 into curricula and appendix, all course syllabi, in their narrative the existence of national, instructional practice; and entirety, for the proposed preparation State, or regional needs using (v) Integrate instructional and program and a logic model that depicts, appropriate and applicable data. The assistive technologies into the delivery at a minimum, the goals, activities, applicant must provide evidence of the of services. outputs, and outcomes of the proposed need for the leadership personnel they (4) The proposed leadership program project. A logic model communicates are proposing to prepare. (g) Certify in the application that the ensures that scholars 6 are how a project will achieve its outcomes applicant intends that all scholars knowledgeable about— and provides a framework for both the recruited into the program will graduate (i) Applicable laws that affect formative and summative evaluations of from the program by the end of the children with disabilities, including the project. grant’s project period. IDEA, the Elementary and Secondary Note: The following Web sites provide (h) Meet the statutory requirements in Education Act of 1965, as amended more information on logic models: http:// section 662(e) through 662(h) of IDEA. (ESEA), and the Head Start Act, as (i) Ensure that at least 65 percent of appropriate; 7 For purposes of this priority, early learning outcomes are defined to include information on the total requested budget per year will (ii) The requirements for highly be used for scholar support or provide qualified teachers under IDEA and the child development in the areas of physical well- being and motor development, social-emotional justification in the application narrative ESEA; development, language and literacy development, for any designation less than 65 percent. and cognition and general knowledge, including Examples of sufficient justification for 5 For purposes of this priority, the term universal early numeracy and early scientific development. design for learning has the meaning provided for 8 For the purpose of this priority student proposing less than 65 percent of the the term under the Higher Education Act of 1965, achievement means—(a) For tested grades and budget for scholar support include: as amended: ‘‘a scientifically valid framework for subjects: (1) A student’s score on the State’s (1) A project servicing rural areas that guiding educational practice that—‘‘(A) provides assessments under the ESEA; and, as appropriate, provides long-distance personnel flexibility in the ways information is presented, in (2) other measures of student learning, such as the ways students respond or demonstrate those described in paragraph (b) of this definition, preparation, and requires Web Masters, knowledge and skills, and in the ways students are provided they are rigorous and comparable across adjunct professors, or mentors to engaged; and (B) reduces barriers in instruction, schools. (b) For non-tested grades and subjects: operate effectively. provides appropriate accommodations, supports, Alternative measures of student learning and (2) A project that is expanding or and challenges, and maintains high achievement performance, such as student scores on pre-tests expectations for all students, including students and end-of-course tests; student performance on adding a new area of emphasis to the with disabilities and students who are limited English language proficiency assessments; and program and, as a result of this English proficient’’ (20 U.S.C. 1003(24)). For other measures of student achievement that are expansion, needs additional faculty or consistency across U.S. Department of Education rigorous and comparable across schools (http:// other resources, such as expert programs, we use this definition for priorities that www2.ed.gov/legislation/FedRegister/other/2010–4/ intend to prepare personnel to teach and work in 121510b.html). consultants, additional teaching schools and other settings. 9 For the purposes of this priority student growth supplies, or equipment that would 6 For the purposes of this priority, the term means the change in student achievement (as enhance the program. scholar means an individual who is pursuing a defined in this notice) for an individual student Note: Applicants proposing projects that degree, license, endorsement, or certification between two or more points in time. A State may related to special education, related services, or also include other measures that are rigorous and expand or add a new area of emphasis to early intervention services and who receives comparable across classrooms (http://www2.ed.gov/ special education, early intervention, or scholarship assistance under section 662 of IDEA legislation/FedRegister/other/2010–4/ related services programs must provide, in (see 34 CFR 304.3(g)). 121510b.html). their applications, data on the need for the

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expansion and information on how these a publically-funded preschool or early Special Education: Access, Diversity, and new areas will be sustained once Federal intervention program. Accountability (pp. 258–276). New York: funding ends. Competitive Preference Priority 2: Pearson, Allyn & Bacon. (j) Certify in the application that the Under 34 CFR 75.105(c)(2)(i) we award Smith, D. D., Robb, S. M., West, J., & Tyler, institution will not require scholars an additional 5 points to an application N. C. (2010). The changing education landscape: How special education recruited into the program to work as a that meets this priority. leadership preparation can make a condition of receiving a scholarship This priority is: difference for teachers and their students (e.g., as graduate assistants), unless the Applicants for Type B programs that with disabilities. Teacher Education and work is required to complete their provide a syllabus or syllabi for a new Special Education, 33(1), 25–43. personnel preparation program. Please or existing course, or series of courses, Wasburn-Moses, L., & Therrien, W.J. (2008). note that this prohibition on work as a that show(s) that the course or courses The impact of Leadership Personnel Grants condition of receiving a scholarship include or will include: (1) A discussion on the doctoral student population in does not apply to the service obligation of applicable research and evaluation special education. Teacher Education and requirements in section 662(h) of IDEA. findings on the use of data on early Special Education, 31(2), 1–12. (k) Budget for attendance at a three- learning outcomes, student Woods, J., & Snyder, P. (2009). Interdisciplinary doctoral leadership day Project Directors’ meeting in achievement, or student growth in training in early intervention. Infants & Washington, DC, during each year of the evaluating the effectiveness of early Young Children, (22)1, 32–4. project. intervention providers, related services (l) If the project maintains a Web site, providers, teachers, and principals; (2) Absolute Priority 2—Personnel include relevant information and methodological and statistical Preparation in Special Education, Early documents in a format that meets considerations in conducting an Intervention, and Related Services government or industry-recognized evaluation of the effectiveness of these (84.325K). Background: State demand for fully standards for accessibility. personnel based on early learning credentialed early intervention, special (m) Submit annual data on each outcomes, student achievement, or education, and related services scholar who receives grant support. student growth data; and (3) an personnel to serve infants, toddlers, and Applicants are encouraged to visit the opportunity for scholars to review and children with disabilities exceeds the Personnel Development Scholar Data critique one or more real-world available supply (Bruder, 2004a; Bruder Report Web site at: http:// applications of evaluating the 2004b; McLeskey & Billingsley, 2008; oseppdp.ed.gov for further information effectiveness of early intervention and McLeskey, Tyler & Flippin, 2004). about this data collection requirement. providers, related services providers, For example, the existing 65 deaf or Typically, data collection begins on or teachers, and principals. around November 1st of each year, and Competitive Preference Priority 3: hard of hearing teacher preparation grantees are notified by e-mail about the Under 34 CFR 75.105(c)(2)(i) we award programs, generating teachers at their data collection period for their grant. an additional 5 points to an application current rate, will not be able to This data collection must be submitted that meets this priority. adequately address the increasing electronically by the grantee and does This priority is: number of students qualifying for such not supplant the annual grant Applicants for Type A or Type B services. Personnel shortages can performance report required of each programs that prepare leadership negatively impact the quality of services grantee for continuation funding (see 34 personnel who will prepare others to provided to infants, toddlers, and CFR 75.590). work with children, including infants children with disabilities and their Competitive Preference Priorities: and toddlers, who are deaf or hard of families when positions are not filled by Within this absolute priority, we give hearing to teach them listening and fully credentialed personnel (McLeskey competitive preference to applications spoken language skills. et.al, 2004). that meet one or more of the following Personnel preparation programs that Note: Five is the maximum amount of priorities. For FY 2011 and any prepare personnel to enter the fields of competitive preference points an applicant early intervention, special education, subsequent year in which we make can receive. Applicants must include in the awards from the list of unfunded one-page abstract submitted with the and related services with the necessary applicants from this competition, these application a statement indicating which skills and knowledge to implement priorities are competitive preference competitive preference priorities they have evidence-based practices are critical to priorities. addressed. meet the personnel shortages in the Competitive Preference Priority 1: References: field. Federal support of personnel Under 34 CFR 75.105(c)(2)(i) we award preparation programs is needed to an additional 5 points to an application Lashley, C., & Boscardin, M.L. (2003). Special increase the supply of personnel with that meets this priority. education administration at the crossroads: the necessary skills and knowledge to Availability, licensure, and preparation of successfully serve infants, toddlers, and This priority is: special education administrators. Applicants for Type A or Type B Gainesville, FL: Center on Personnel children with disabilities and their programs that demonstrate an Studies in Special Education, University of families. established relationship with one or Florida. Retrieved February 24, 2010, from Priority: The purpose of the Personnel more high-need LEAs or publically- http://www.coe.ufl.edu/copsse/docs/IB–8/ Preparation in Special Education, Early funded preschool programs, including 1/IB–8.pdf. Intervention, and Related Services Head Start programs or early National Council for Accreditation of priority is to improve the quality and intervention programs serving children Teacher Education (2009). What is a increase the number of personnel who eligible for services under Part C of the professional development school? are fully credentialed to serve children, IDEA, located within the geographic Retrieved June 29, 2009, from http:// including infants and toddlers, with www.ncate.org/public/. boundaries of a high-need LEA that will Smith, D. D., Pion, G. M., & Tyler, N. C. disabilities—especially in areas of provide scholars with a high-quality (2004). Leadership personnel in special chronic personnel shortage—by practicum experience in a high-poverty education: Can persistent shortages be supporting projects that prepare early school, which may include a resolved? In A.M. Sorells, H.J., Rieth and intervention, special education, and professional development school, or in P. T. Sindelar (Eds.), Critical Issues in related services personnel at the

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associate, baccalaureate, master’s, and (iv) Integrate instructional and (ii) Preparing personnel to apply these specialist levels. In order to be eligible assistive technologies into the delivery competencies in a variety of settings, under this priority, programs must of services; including in high-need LEAs,15 high- prepare and support scholars 10 to (v) Collect, analyze, and use data on poverty schools,16 low-performing complete, within the project period of early learning outcomes,12 student schools, including the persistently the grant, a degree, State certification, achievement,13 or student growth 14 in lowest-achieving schools,17 and professional license, or State order to improve instructional practices publically-funded preschool programs, endorsement in early intervention, and interventions; and including Head Start programs and early special education, or a related services (vi) Support and work with parents intervention programs serving children field. Programs preparing scholars to be and families of children with eligible for services under Part C, special education paraprofessionals, disabilities; located within the geographic assistants in related services professions (3) The program prepares personnel to boundaries of a high-need LEA, as (e.g., physical therapist assistants, address the specialized needs of high- appropriate. occupational therapist assistants), or need children with disabilities. 15 educational interpreters are also eligible Note: For the purpose of this priority, For purposes of this priority, the term high- under this priority. ‘‘high-need children with disabilities’’ refers need LEA means an LEA (a) that serves not fewer Programs that provide an alternate than 10,000 children from families with incomes to children (ages birth through twenty-one, below the poverty line; or (b) for which not less route to certification or that support depending on the State) who are eligible for than 20 percent of the children served by the LEA dual certification (special education and services under IDEA, and who may be further are from families with incomes below the poverty regular education) for teachers are disadvantaged and at risk of educational line. eligible as well. failure because they: (1) Are living in 16 For the purposes of this priority, the term high- poverty, (2) are far below grade level, (3) are poverty school means a school in which at least 50 To be considered for funding under percent of students are eligible for free or reduced- the Personnel Preparation in Special at risk of not graduating with a regular high school diploma on time, (4) are homeless, (5) price lunches under the Richard B. Russell National Education, Early Intervention, and are in foster care, (6) have been incarcerated, School Lunch Act or in which at least 50 percent Related Services absolute priority, of students are from low-income families as (7) are English learners, (8) are pregnant or determined using one of the criteria specified under applicants must meet the application parenting teenagers, (9) are new immigrants, section 1113(a)(5) of the Elementary and Secondary requirements contained in the priority. (10) are migrant, or (11) are not on track to Education Act of 1965, as amended. For middle and All projects funded under this absolute being college- or career-ready by graduation. high schools, eligibility may be calculated on the basis of comparable data from feeder schools. priority also must meet the The program prepares personnel to programmatic and administrative Eligibility as a high-poverty school under this work with this particular population definition is determined on the basis of the most requirements specified in the priority. by— currently available data (http://www2.ed.gov/ These requirements are as follows: (i) Identifying the competencies legislation/FedRegister/other/2010–4/ (a) Demonstrate, in the narrative 121510b.html). needed by early intervention, special 17 section of the application under For purposes of this priority, the term education, and related services ‘‘Quality of Project Services,’’ how— persistently lowest-achieving schools is defined personnel to work with high-need according to the final requirements for School (1) Personnel preparation children with disabilities; Improvement Grants authorized under section requirements and required coursework 1003(g) of Title I of the Elementary and Secondary for the proposed program incorporate Education Act of 1965, as amended (ESEA), which expectations for all students, including students were published in the Federal Register on October research-based practices that improve with disabilities and students who are limited 28, 2010 (75 FR 66363). According to Section I.A.3 outcomes for children with disabilities English proficient.’’ (20 U.S.C. 1003(24)) For of these requirements, the term ‘‘persistently lowest- (including relevant research citations); consistency across U.S. Department of Education achieving schools’’ means, as determined by the (2) The program is designed to programs, we use this definition for priorities that State— integrate coursework with practicum intend to prepare personnel to teach and work in (a)(1) Any Title I school in improvement, schools and other settings. corrective action, or restructuring that— opportunities that will enhance the 12 For purposes of this priority, early learning (i) Is among the lowest-achieving five percent of competencies of special education outcomes are defined to include information on Title I schools personnel to effectively— child development in the areas of physical well- in improvement, corrective action, or (i) Serve and instruct children with being and motor development, social-emotional restructuring or the lowest-achieving five Title I development, language and literacy development, schools in improvement, corrective action, or disabilities; and cognition and general knowledge, including (ii) Collaborate and work with regular restructuring in the State, whichever number of early numeracy and early scientific development. schools is greater; or 13 education personnel; For the purpose of this priority student (ii) Is a high school that has had a graduation rate (iii) Incorporate universal design for achievement means—(a) For tested grades and as defined in 34 CFR 200.19(b) that is less than 60 learning principles 11 into curricula and subjects: (1) A student’s score on the State’s percent over a number of years; and assessments under the ESEA; and, as appropriate, (2) Any secondary school that is eligible for, but instructional practice; (2) other measures of student learning, such as does not receive, Title I funds that— those described in paragraph (b) of this definition, 10 For the purposes of this priority the term provided they are rigorous and comparable across (i) Is among the lowest-achieving five percent of scholar means an individual who is pursuing a schools. (b) For non-tested grades and subjects: secondary schools or the lowest-achieving five degree, license, endorsement, or certification Alternative measures of student learning and secondary schools in the State that are eligible for, related to special education, related services, or performance, such as student scores on pre-tests but do not receive, Title I funds, whichever number early intervention services and who receives and end-of-course tests; student performance on of schools is greater; or scholarship assistance under section 662 of IDEA English language proficiency assessments; and (ii) Is a high school that has had a graduation rate (see 34 CFR 304.3(g)). other measures of student achievement that are as defined in 34 CFR 200.19(b) that is less than 60 11 For purposes of this priority, the term universal rigorous and comparable across schools (http:// percent over a number of years. design for learning has the meaning provided for www2.ed.gov/legislation/FedRegister/other/2010–4/ (b) To identify the lowest-achieving schools, a the term under the Higher Education Act of 1965, 121510b.html). State must take into account both— as amended: ‘‘a scientifically valid framework for 14 For the purposes of this priority student growth (i) The academic achievement of the ’’all guiding educational practice that—‘‘(A) provides means the change in student achievement (as students’’ group in a school in terms of proficiency flexibility in the ways information is presented, in defined in this notice) for an individual student on the State’s assessments under section 1111(b)(3) the ways students respond or demonstrate between two or more points in time. A State may of the ESEA in reading/language arts and knowledge and skills, and in the ways students are also include other measures that are rigorous and mathematics combined; and engaged; and (B) reduces barriers in instruction, comparable across classrooms (http://www2.ed.gov/ (ii) The school’s lack of progress on those provides appropriate accommodations, supports, legislation/FedRegister/other/2010–4/ assessments over a number of years in the ‘‘all and challenges, and maintains high achievement 121510b.html). students’’ group.

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(4) The program is designed to formative and summative evaluations of Incidence Disabilities; (C) Preparing provide extended clinical learning the project. Personnel to Provide Related Services to 18 opportunities, field experiences, or Note: The following Web sites provide Children, Including Infants and supervised practica (such as an more information on logic models: http:// Toddlers, with Disabilities; (D) additional year), and ongoing high- www.researchutilization.org/matrix/ Preparing Personnel in Minority quality mentoring and induction logicmodel_resource3c.html and http:// Institutions to Serve Children, Including opportunities for scholars (as defined in www.tadnet.org/model_and_performance. Infants and Toddlers, with Disabilities; 34 CFR 304.3(g)); (d) Ensure that course syllabi for the and (E) Preparing Personnel to Provide (5) The preparation program will— preparation program incorporate Secondary Transition Services to (i) Enable scholars to be highly research-based curriculum and School-Age Children with Disabilities. qualified, in accordance with section pedagogy as required under paragraph Note: Applicants must identify the specific 602(10) of the Individuals with (a) of this priority. focus area (i.e., A, B, C, D, or E) under which Disabilities Education Act (IDEA) and (e) Certify in the application that the they are applying as part of the competition 34 CFR 300.18, in the State(s) to be applicant intends that all scholars title on the application cover sheet (SF form served by the applicant; and 424, line 4). Applicants may not submit the (ii) Ensure that scholars are equipped recruited into the program will graduate from the program by the end of the same proposal under more than one focus with the knowledge and skills necessary area. to assist children in meeting State grant’s project period. Focus Area A: Preparing Personnel to academic achievement standards; and (f) Certify in the application that the (6) The preparation program provides institution will not require scholars Serve Infants, Toddlers, and Preschool- support to scholars through innovative recruited into the program to work as a Age Children with Disabilities. OSEP strategies that are designed to enhance condition of receiving a scholarship intends to fund 9 awards under this scholar retention and success in the (e.g., as graduate assistants), unless the focus area. For the purpose of Focus program, such as using tutors or work is required to complete their Area A, early intervention personnel are mentors or providing extended clinical preparation program. Please note that those who are prepared to provide learning opportunities or other field this prohibition on work as a condition services to infants and toddlers with experiences. of receiving a scholarship does not disabilities ages birth to three, and early (b) Include, in the narrative section of apply to the service obligation childhood personnel are those who are the application under ‘‘Quality of Project requirements in section 662(h) of IDEA. prepared to provide services to children Evaluation,’’ a clear, effective plan for (g) Meet the statutory requirements with disabilities ages three through five evaluating project outcomes. This plan contained in section 662(e) through (in States where the age range is other must include a description of how the 662(h) of IDEA. than ages three through five, we will project will— (h) Ensure that at least 65 percent of defer to the State’s certification for early (1) Collect and analyze data on the total requested budget per year be childhood). In States where certification scholars’ competencies; used for scholar support. in early intervention is combined with (2) Collect and analyze data on the (i) Budget for attendance at a three- certification in early childhood, quality of services provided by program day Project Directors’ meeting in applicants may propose a combined graduates, including data on their Washington, DC, during each year of the early intervention and early childhood students’ outcomes (e.g., academic, project. personnel preparation project under this social, emotional, behavioral) and (j) If the project maintains a Web site, focus area. We encourage growth; and include relevant information and interdisciplinary projects under this (3) Use the results and findings from documents in a form that meets focus area. For purposes of this focus this evaluation as a basis for improving government or industry-recognized area, interdisciplinary projects are the program for future scholars. standards for accessibility. projects that implement common core Applicants also must clearly describe (k) Submit annual data on each content and practicum experiences how the project will report these scholar who receives grant support. across disciplines for early intervention evaluation results to OSEP in the Applicants are encouraged to visit the providers or early childhood special grantee’s annual and final performance Personnel Development Scholar Data educators, and related services reports. Report Web site at http:// personnel to serve infants, toddlers, and Note: Under this evaluation requirement, oseppdp.ed.gov for further information preschool-age children with disabilities. grantees are encouraged—but not required— about this data collection requirement. Projects preparing only related services to engage in data collection activities after Typically, data collection begins on or personnel to serve infants, toddlers, and the completion of the grant. around November 1st of each year, and preschool-age children with disabilities (c) Include, in the application grantees are notified by e-mail about the are not eligible under this focus area appendix, all course syllabi, in their data collection period for their grant. (see Focus Area C). entirety, for the proposed preparation This data collection must be submitted Focus Area B: Preparing Personnel to program and a logic model that depicts, electronically by the grantee and does Serve School-Age Children with Low- at a minimum, the goals, activities, not supplant the annual grant Incidence Disabilities. OSEP intends to outputs, and outcomes of the proposed performance report required of each fund 11 awards in this focus area. For project. A logic model communicates grantee for continuation funding (see 34 the purpose of Focus Area B, personnel how a project will achieve its outcomes CFR 75.590). who serve children with low-incidence and provides a framework for both the Focus Areas: Within this absolute disabilities are special education priority, the Secretary intends to personnel, including paraprofessionals, 18 For the purposes of this priority, the term support projects under the following prepared to serve school-age children clinical learning opportunities are a method of five focus areas: (A) Preparing Personnel with low-incidence disabilities instruction for students to apply knowledge and to Serve Infants, Toddlers, and including visual impairments, hearing skills in highly controlled or simulated situations to ensure that they possess needed skills and Preschool-Age Children with impairments, simultaneous vision and competencies prior to entering actual or typical Disabilities; (B) Preparing Personnel to hearing impairments, significant environments with children with disabilities. Serve School-Age Children with Low- intellectual disabilities, orthopedic

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impairments, autism, and traumatic Black Colleges and Universities, Tribal education programs, if those programs brain injury. Programs preparing special Colleges, and Predominantly Hispanic are offered at the institution. Funds may education personnel to provide services Serving Colleges and Universities. be used to support faculty from those to visually impaired or blind children Programs in minority institutions programs for their involvement in the that can be appropriately provided in preparing personnel in Focus Areas A, activities outlined in this priority. braille must prepare those individuals B, C, and E are eligible within Focus Applicants must also provide to provide those services in braille. Area D. Programs that are preparing documentation of the partnership in the Projects preparing educational high-incidence special education form of a letter from the Dean or interpreters are eligible under this focus personnel are not eligible under this Department Chair. This letter must area. Projects preparing other related priority (for the purpose of this priority describe how the faculty from those services, speech and language, or ‘‘high-incidence disabilities’’ refers to programs will be involved in the adapted physical education personnel learning disabilities, emotional partnership (e.g., involvement in the are not eligible under this focus area disturbance, or intellectual disabilities). design and delivery of courses and the (see Focus Area C). Projects preparing However, programs that are preparing supervision of scholar practicum special education, early intervention, or high-incidence special education experiences). preschool personnel are not eligible personnel are eligible under Absolute Competitive Preference Priorities: under this focus area (see Focus Area Priority 3 described elsewhere in this Within this absolute priority, we give A). notice. competitive preference to applications Focus Area C: Preparing Personnel to Note: A project funded under Focus Area that meet one or more of the following Provide Related Services to Children, priorities. For FY 2011 and any Including Infants and Toddlers, with D may budget for less than 65 percent, the required percentage, for scholar support if subsequent year in which we make Disabilities. OSEP intends to fund 9 the applicant can provide sufficient awards from the list of unfunded awards in this focus area. Programs justification for any designation less than this applicants from this competition, these preparing related services personnel to required percentage. Sufficient justification priorities are competitive preference serve children, including infants and for proposing less than 65 percent of the priorities. budget for scholar support would include toddlers, with disabilities are eligible Competitive Preference Priority 1: within Focus Area C. For the purpose of support for activities such as program development, program expansion, or the Under 34 CFR 75.105(c)(2)(i) we award this focus area, related services include, an additional 5 points to an application but are not limited to, psychological addition of a new area of emphasis. Some examples of projects that may be eligible to that meets this priority. services, physical therapy (including designate less than 65 percent of their budget Applicants that demonstrate an therapy provided by personnel prepared for scholar support include the following: established relationship with one or at the Doctor of Physical Therapy (DPT) (1) A project that is proposing to start a more high-need LEAs (as defined in this level), adapted physical education, new program may request up to a year for absolute priority) or publically funded occupational therapy, therapeutic program development and capacity building. preschool programs, including Head recreation, social work services, In the initial project year, no scholar support Start programs or early intervention counseling services, audiology services would be required. Instead, a project could programs serving children who are (including services provided by hire a new faculty member or a consultant to assist in program development. eligible for services under Part C of the personnel prepared at the Doctor of (2) A project that is proposing to build IDEA, located within the geographic Audiology (DAud) level), and speech capacity may hire a field supervisor so that boundaries of a high-need LEA that will and language services. Preparation additional scholars can be prepared. provide scholars with a high-quality programs in States where personnel (3) A project that is proposing to expand prepared to serve children with speech or add a new area of emphasis to the program practicum experience in a high-poverty and language impairments are may hire additional faculty or obtain other school (as defined in this absolute considered to be special educators are resources such as expert consultants, priority), which may include a eligible under this focus area. Projects additional teaching supplies, or equipment professional development school, or a that would enhance the program. preparing educational interpreters are publically funded preschool program or early intervention program and provide not eligible under this focus area (see Note: Applicants proposing projects to Focus Area B). develop, expand, or add a new area of opportunities for research-based Focus Area D: Preparing Personnel in emphasis to special education or related professional development on strategies Minority Institutions to Serve Children, services programs must provide, in their to better serve high-need children with Including Infants and Toddlers, with applications, information on how these new disabilities. Disabilities. OSEP intends to fund 10 areas will be sustained once Federal funding Competitive Preference Priority 2: awards in this focus area. Programs in ends. Under 34 CFR 75.105(c)(2)(i) we award minority institutions are eligible under Focus Area E: Preparing Personnel to an additional 5 points to an application Focus Area D if they prepare: (a) Provide Secondary Transition Services that meets this priority. Personnel to serve one or more of the to School-Age Children with Disabilities. This priority is: following: infants, toddlers, and OSEP intends to fund 9 awards in this In Focus Area D, applicants that preschool-age children with disabilities; focus area. Programs that offer a document that they are institutions with (b) personnel to serve school-age sequence of career, vocational, or minority enrollment of 50 percent or children with low-incidence secondary transition courses or that more. disabilities; (c) personnel to provide enable personnel to meet State Competitive Preference Priority 3: related services to children, including requirements for a credential or Under 34 CFR 75.105(c)(2)(i) we award infants and toddlers, with disabilities; endorsement in secondary transition an additional 5 points to an application or (d) personnel to provide secondary services for children with disabilities that meets this priority. transition services to school-age are eligible under Focus Area E. Eligible This priority is: children with disabilities. Minority applicants must establish partnerships In Focus Areas A, B, C, and D, institutions include institutions with a with the appropriate personnel in the applicants that prepare personnel who minority enrollment of 25 percent or institution’s vocational rehabilitation work with children, including infants more, which may include Historically counseling and career and technical and toddlers, who are deaf or hard of

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hearing to teach them listening and ‘‘[r]esearch shows that top-performing priority also must meet the spoken language skills. teachers can make a dramatic difference programmatic and administrative Note: Five is the maximum amount of in the achievement of their students, requirements specified in the priority. competitive preference points an applicant and suggests that the impact of being These requirements are as follows: can receive. Applicants must include in the assigned to top-performing teachers year (a) Demonstrate, in the narrative one-page abstract submitted with the after year is enough to significantly section of the application under application, a statement indicating which narrow achievement gaps.’’ Reflecting ‘‘Quality of Project Services,’’ how— competitive preference priorities they have this research, in both the Department’s (1) The first year of the project period addressed. Notice of Final Supplemental will be used for planning an improved References: Priorities 20 and the Blueprint, the or restructured K–12 teacher Bruder, M.B. (December, 2004a). The Department has called for evaluating preparation program that includes National Landscape of Early Intervention teacher effectiveness using multiple induction and mentoring for program in Personnel Preparation Standards under measures, including, in significant part, participants in LEAs. The planning Part C of the Individuals with Disabilities the academic growth of a teacher’s activities during the first year must Education Act (IDEA). A.J. Pappanikou students. High-quality information on include revising the curriculum, Center for Excellence in Developmental teacher effectiveness that is based on integrating evidence-based interventions Disabilities, Farmington, CT. Available at: multiple measures can be used to http://www.uconnucedd.org/projects/ that improve outcomes for children with per_prep/per_prep_resources.html. provide feedback to teachers for on- high-incidence disabilities into the Bruder, M.B. (December, 2004b). The going improvement and support improved or restructured program National Landscape of Early Intervention teachers’ access to effective preparation, (including providing research citations and Early Childhood Special Education: on-going support, recognition, and the for those evidence-based interventions), 619 Data Report. A.J. Pappanikou Center collaboration opportunities teachers and utilizing existing high-quality for Excellence in Developmental need to succeed. training resources on evidence-based Disabilities, Farmington, CT. Available at: Priority: The purpose of this priority interventions, such as those developed http://www.uconnucedd.org/projects/ _ _ _ is to support the improvement and by OSEP-funded Centers (e.g., IDEA ’04 per prep/per prep resources.html. restructuring (through expansion or McLeskey, J. Billingsley, B. (2008). How does and Research For Inclusive Settings the quality and stability of the teaching redesign) of K–12 special education Center for Training Enhancements (see force influence the research-to-practice teacher preparation programs to ensure http://www.iris.peabody. gap? Remedial and Special Education, 29 that program graduates meet the HQT vanderbilt.edu); National Center on (5), 293–305. requirements in IDEA and effectively Response to Intervention (see http:// McLeskey, J., Tyler, N., & Flippin, S.S. serve children with high-incidence www.rti4success.org)). Applicants must (2004). The supply and demand for special disabilities. For the purposes of this education teachers: A review of research describe first-year activities, document priority, the term high-incidence the specific evidence-based regarding the chronic shortage of special disabilities refers to learning disabilities, education teachers. Journal of Special interventions to be included in the Education, 38 (1), 5–21. emotional disturbance, or intellectual improved or restructured program, and disabilities. In order to be eligible under include a five-year timeline and Absolute Priority 3—Special this priority, applicants must currently Education Preservice Program implementation plan in their prepare special education personnel (at applications. This plan must describe Improvement Grants (84.325T). the baccalaureate or master’s level) to Background: State educational the proposed project activities serve school-age children with high- associated with implementation of the agencies (SEAs), institutions of higher incidence disabilities. education (IHEs), and local educational improved or restructured program. agencies (LEAs) consistently report that Note 1: This priority only supports the Implementation of the plan may not personnel preparation programs for improvement or restructuring of existing begin without approval from OSEP; programs for high-incidence personnel (for kindergarten through grade 12 (K–12) (2) The improved or restructured example, the expansion of a program for program is designed to integrate special education teachers should be elementary school teachers to include a restructured or redesigned so that program for secondary school teachers coursework with practicum graduates of these programs meet the serving children with high-incidence opportunities that will enhance the highly qualified teacher (HQT) disabilities). This priority does not support competencies of beginning special requirements in the Individuals with the development of new programs for high- education teachers to— Disabilities Education Act (IDEA). To incidence personnel. In addition, this (i) Collaborate and work with regular priority does not support the improvement of accomplish this goal, personnel education teachers and other personnel programs in IHEs that are preparing to: preparation programs must ensure that preschool teachers. their graduates who expect to be (A) Provide effective services and providing instruction in a core academic Note 2: No more than one cooperative instruction in academic subjects to subject are able to meet State special agreement will be awarded under this children with high-incidence education certification or licensure priority per IHE during the five-year project disabilities in K–12 regular education requirements, as well as have the period. classrooms. necessary content knowledge, consistent To be considered for funding under (B) Address the challenges of serving with the HQT requirements in IDEA. the Special Education Preservice high-need children with disabilities; In A Blueprint for Reform: The Program Improvement Grants priority, Note: For the purpose of this priority, Reauthorization of the Elementary and applicants must meet the application ‘‘high-need children with disabilities’’ refers Secondary Education Act (ESEA) requirements contained in the priority. to children (ages birth through twenty-one, (Blueprint),19 the Department notes that All projects funded under the absolute depending on the State) who are eligible for services under IDEA, and who may be further disadvantaged and at risk of educational 19 The following Web site provides more 20 The following link provides more information information on A Blueprint for Reform: The on the Supplemental Priorities for Discretionary failure because they: (1) Are living in Reauthorization of the Elementary and Secondary Grants, published in the Federal Register on poverty, (2) are far below grade level, (3) are Education Act (ESEA): http://www2.ed.gov/policy/ December 15, 2010 (75 FR 78486): http:// at risk of not graduating with a regular high elsec/leg/blueprint/blueprint.pdf. edocket.access.gpo.gov/2010/pdf/2010–31189.pdf. school diploma on time, (4) are homeless, (5)

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are in foster care, (6) have been incarcerated, supervised practica and ongoing high- (6) The improved or restructured (7) are English learners, (8) are pregnant or quality mentoring and induction program will— parenting teenagers, (9) are new immigrants, opportunities in local schools. (i) Enable scholars 28 to be highly (10) are migrant, or (11) are not on track to qualified, in accordance with section being college- or career-ready by graduation. Applicants also must demonstrate how they will utilize high-quality resources 602(10) of IDEA and 34 CFR 300.18, in (ii) Incorporate universal design for when designing the program to provide the State(s) to be served by the 21 learning principles into curricula and extended clinical learning applicant; and instructional practice; opportunities, field experiences, or (ii) Ensure that scholars are equipped (iii) Integrate instructional and supervised practica (resources on these with the knowledge and skills necessary assistive technologies into the delivery topics are available from the National to assist children in meeting State of services; academic achievement standards; (iv) Collect, analyze, and use data, Center to Inform Policy and Practice in Special Education Professional (7) The improved or restructured including data on student program is designed to provide support 22 23 Development at http://www.ncipp.org); achievement and student growth, to systems (including tutors, mentors, and improve instructional practices and (5) The improved or restructured other innovative practices) to enhance interventions; and program is designed to include field- retention in and successful completion (v) Support and work with parents based training opportunities in diverse of the program; and 25 and families of children with settings including high-need LEAs, (8) The improved or restructured 26 disabilities; high-poverty schools, and low- program will be maintained once (3) The improved or restructured performing schools, including the Federal funding ends. program is designed to prepare special 27 persistently lowest-achieving schools; (b) For programs that will be education teachers to address the restructured to produce graduates who specialized needs of high-need children for students to apply knowledge and skills in highly meet the HQT requirements for teachers with disabilities (as defined in this controlled or simulated situations to ensure that who teach core academic subjects, absolute priority) with high-incidence they possess needed skills and competencies prior to entering actual or typical environments with applicants must establish partnerships disabilities by identifying the children with disabilities. with the appropriate academic competencies that special education 25 For purposes of this priority, the term high- departments. Funds may be used to teachers need to work effectively with need LEA means an LEA (a) that serves not fewer support faculty from the academic this population; than 10,000 children from families with incomes (4) The improved or restructured below the poverty line; or (b) for which not less departments for their involvement in than 20 percent of the children served by the LEA program is designed to provide the activities outlined in paragraph are from families with incomes below the poverty (a)(4) of this priority. To address this extended clinical learning line. requirement, applications must— opportunities,24 field experiences, or 26 For purposes of this priority, the term high- poverty school means a school in which at least 50 (1) Describe how representatives of 21 For purposes of this priority, the term universal percent of students are eligible for free or reduced- relevant academic departments with design for learning under the Higher Education Act price lunches under the Richard B. Russell National expertise in the core academic subjects of 1965, as amended: ‘‘a scientifically valid School Lunch Act or in which at least 50 percent of students are from low-income families as being addressed in the application will framework for guiding educational practice that— be involved in the partnership; ‘‘(A) provides flexibility in the ways information is determined using one of the criteria specified under presented, in the ways students respond or section 1113(a)(5) of the Elementary and Secondary (2) Provide evidence that such demonstrate knowledge and skills, and in the ways Education Act of 1965, as amended. For middle and partnerships will include a permanent students are engaged; and (B) reduces barriers in high schools, eligibility may be calculated on the basis of comparable data from feeder schools. faculty member from the appropriate instruction, provides appropriate accommodations, academic departments, who will be supports, and challenges, and maintains high Eligibility as a high-poverty school under this achievement expectations for all students, definition is determined on the basis of the most involved in developing the overall including students with disabilities and students currently available data (http://www2.ed.gov/ project and designing the curriculum who are limited English proficient’’ (20 U.S.C. legislation/FedRegister/other/2010-4/ 121510b.html). used to prepare scholars in the 1003(24)). For consistency across U.S. Department particular core academic subject; and of Education programs, we use this definition for 27 For purposes of this priority, the term priorities that intend to prepare personnel to teach persistently lowest-achieving schools is defined (3) Provide evidence that permanent and work in schools and other settings. according to the final requirements for School faculty members from the appropriate 22 For the purpose of this priority student Improvement Grants authorized under section academic departments participated in 1003(g) of Title I of the Elementary and Secondary achievement means—(a) For tested grades and the design of the program. subjects: (1) A student’s score on the State’s Education Act of 1965, as amended (ESEA), which assessments under the ESEA; and, as appropriate, were published in the Federal Register on October (c) Develop and implement a plan to (2) other measures of student learning, such as 28, 2010 (75 FR 66363). According to Section I.A.3 ensure that program faculty have the those described in paragraph (b) of this definition, of these requirements, the term ‘‘persistently lowest- necessary supports, knowledge, and achieving schools’’ means, as determined by the provided they are rigorous and comparable across skills to implement the new schools. (b) For non-tested grades and subjects: State— Alternative measures of student learning and (a)(1) Any Title I school in improvement, performance, such as student scores on pre-tests corrective action, or restructuring that— (ii) Is a high school that has had a graduation rate and end-of-course tests; student performance on (i) Is among the lowest-achieving five percent of as defined in 34 CFR 200.19(b) that is less than 60 English language proficiency assessments; and Title I schools in improvement, corrective action, or percent over a number of years. other measures of student achievement that are restructuring or the lowest-achieving five Title I (b) To identify the lowest-achieving schools, a rigorous and comparable across schools (http:// schools in improvement, corrective action, or State must take into account both— www2.ed.gov/legislation/FedRegister/other/2010-4/ restructuring in the State, whichever number of (i) The academic achievement of the ‘‘all 121510b.html). schools is greater; or students’’ group in a school in terms of proficiency 23 For the purposes of this priority student growth (ii) Is a high school that has had a graduation rate on the State’s assessments under section 1111(b)(3) means the change in student achievement (as as defined in 34 CFR 200.19(b) that is less than 60 of the ESEA in reading/language arts and defined in this notice) for an individual student percent over a number of years; and mathematics combined; and between two or more points in time. A State may (2) Any secondary school that is eligible for, but (ii) The school’s lack of progress on those also include other measures that are rigorous and does not receive, Title I funds that— assessments over a number of years in the ‘‘all comparable across classrooms (http://www2.ed.gov/ (i) Is among the lowest-achieving five percent of students’’ group. legislation/FedRegister/other/2010-4/ secondary schools or the lowest-achieving five 28 For the purposes of this priority, the term 121510b.html). secondary schools in the State that are eligible for, scholar means an individual who is pursuing a 24 For the purposes of this priority, clinical but do not receive, Title I funds, whichever number baccalaureate or master’s level degree related to learning opportunities are a method of instruction of schools is greater; or special education.

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interventions and curriculum in the documents in a form that meets verifying their intent to collaborate to improved or restructured program. government or industry-recognized ensure that the improved or restructured (d) Include, in the narrative section of standards for accessibility. program will prepare graduates to be the application under ‘‘Quality of Project Competitive Preference Priorities: dually certified in high-incidence Evaluation,’’ a clear plan for evaluating Within this absolute priority, we give disabilities and regular education. The project outcomes. This plan must competitive preference to applications letter must include a description of how include a description of how the project that address the following priority. For the collaboration between colleges or will— FY 2011 and any subsequent year in departments will result in program (1) Measure the extent to which which we make awards from the list of graduates who are dually certified in evidence-based interventions are unfunded applicants from this both high-incidence disabilities and integrated within the program; competition, these priorities are regular education (e.g., collaborate to (2) Collect and analyze data on faculty competitive preference priorities. provide clinical learning opportunities, members’ implementation of the Competitive Preference Priority 1: field experiences, or supervised practica improved or restructured program; Under 34 CFR 75.105(c)(2)(i) we award that focus on children both with and (3) Collect and analyze data on an additional 5 points to an application without high-incidence disabilities; scholars’ competencies; that meets this priority. collaborate to ensure the SEA or State (4) Collect and analyze data on the This priority is: teacher licensing agency will certify quality of services provided by program Collaborative Activities with an SEA program graduates in both high- graduates, including data on their or State Licensing Agency. incidence disabilities and regular students’ outcomes (e.g., academic, Applicants that document how the education). social, emotional, behavioral) and proposed project will collaborate with student growth; and the SEA or State teacher licensing Note: Five is the maximum amount of (5) Use the results and findings from agency on issues of program competitive preference points an applicant this evaluation as a basis for informing improvement that affect teacher quality can receive. Applicants must include in the project abstract a statement indicating which and validating any proposed changes to and effectiveness. For purposes of this the improved or restructured program. competitive preference priorities they have competitive preference priority, addressed. Applicants also must clearly describe documentation must include at least a how the project will report these letter from both the Dean and Waiver of Proposed Rulemaking: evaluation results to OSEP in the Department Chair of the appropriate Under the Administrative Procedure Act grantee’s annual and final performance college or department that supports (APA) (5 U.S.C. 553) the Department reports. high-incidence special education generally offers interested parties the Note: Under this evaluation requirement, teacher preparation and from the opportunity to comment on proposed grantees are encouraged—but not required— relevant SEA or State teacher licensing priorities and requirements. Section to engage in data collection activities after agency verifying their intent to 681(d) of IDEA, however, makes the the completion of the grant. collaborate to improve teacher quality public comment requirements of the (e) Include, in the application and effectiveness. The letter must APA inapplicable to the priorities in appendix, all course syllabi, in their include examples of the methods to be this notice. entirety, for the existing teacher used for collaboration (e.g., establishing Program Authority: 20 U.S.C. 1462 preparation program and a logic model a statewide consortium of teacher and 1481. that depicts, at a minimum, the goals, preparation programs for program Applicable Regulations: (a) The activities, outputs, and outcomes of the improvement, program evaluation Education Department General proposed project. A logic model support, increasing the productivity of Administrative Regulations (EDGAR) in communicates how a project will preparation programs, or other activities 34 CFR parts 74, 75, 77, 79, 80, 81, 82, achieve its outcomes and provides a that would directly support program 84, 85, 86, 97, 98, and 99. (b) The framework for both the formative and improvement of the project(s) within regulations for this program in 34 CFR summative evaluations of the project. that State). part 304. Note: The following Web sites provide Competitive Preference Priority 2: II. Award Information more information on logic models: http:// Under 34 CFR 75.105(c)(2)(i) we award www.researchutilization.org/matrix/ an additional 5 points to an application Type of Awards: Discretionary grants logicmodel_resource3c.html and http:// that meets this priority. for competitions CFDA 84.325D and www.tadnet.org/model_and_performance. This priority is: 84.325K, and cooperative agreements for (f) Submit to the Department, at the Competitive Preference Points Based competition CFDA 84.325T. end of the first year of the project on Dual Certification (i.e., high- Estimated Available Funds: The period, revised syllabi for the improved incidence disabilities and regular Administration has requested teacher preparation program. education). $90,653,000 for the Personnel (g) Meet the statutory requirements in Applicants with documentation that Development to Improve Services and section 662(e) through 662(f) of IDEA. the improved or restructured program Results for Children with Disabilities (h) Budget for planning and will prepare graduates to be dually program for FY 2011, of which we improvement activities, including any certified in high-incidence disabilities intend to use an estimated $19,500,000 activities to be performed by and regular education. Documentation for the competitions announced in this consultants. This priority does not for purposes of this competitive notice. The actual level of funding, if provide financial support for scholars preference priority must include a letter any, depends on final congressional during any year of the project. from both the Dean or Department Chair action. However, we are inviting (i) Budget for attendance at a three- of the appropriate college or department applications to allow enough time to day Project Directors’ meeting in that supports high-incidence special complete the grant process if Congress Washington, DC, during each year of the education teacher preparation and from appropriates funds for this program. project. the Dean or Department Chair of the Contingent upon the availability of (j) If the project maintains a Web site, appropriate college or department that funds and the quality of applications, include relevant information and prepares regular education teachers we may make additional awards in FY

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2012 from the list of unfunded Estimated Average Size of Awards: Estimated Number of Awards: See applicants from the competition. See chart. chart. Estimated Range of Awards: See Maximum Award: See chart. Project Period: See chart. chart. PERSONNEL DEVELOPMENT TO IMPROVE SERVICES AND RESULTS FOR CHILDREN WITH DISABILITIES [Application notice for fiscal year 2011]

Maximum Deadline for Deadline for Estimated Estimated award Estimated CFDA number and name Applications transmittal of intergovern- range of average (budget number of Project Contact person available applications mental review awards size of period of awards period awards 12 months)

84.325D Preparation of Spe- April 13, 2011 May 31, 2011 August 11, $225,000– $237,500 $250,000 18 Up to 60 Patricia Gon- cial Education, Early Inter- 2011. 250,000 mos. zalez (202) vention, and Related Serv- 245–7355 ices Leadership Personnel. Rm 4082. 84.325K Personnel Prepara- April 13, 2011 May 31, 2011 August 11, ...... Maryann tion in Special Education, 2011. McDermott Early Intervention, and Re- (202) 245– lated Services. 7439 Rm 4062. Focus Area A: Preparing ...... 225,000– 237,500 *250,000 9 Up to 60 Personnel to Serve In- 250,000 mos. fants, Toddlers, and Pre- school Age Children with Disabilities. Focus Area B: Preparing ...... 225,000– 237,500 *250,000 11 Up to 60 Personnel to Serve 250,000 mos. School-Age Children with Low-Incidence Disabilities. Focus Area C: Preparing ...... 225,000– 237,500 *250,000 9 Up to 60 Personnel to Provide Re- 250,000 mos. lated Services, Speech and Language Services, and Adapted Physical Education Children, Includ- ing Infants and Toddlers, with Disabilities. Focus Area D: Preparing ...... 225,000– 237,500 *250,000 10 Up to 60 Personnel in Minority Insti- 250,000 mos. tutions to Serve Children, Including Infants and Tod- dlers, with Disabilities. Focus Area E: Preparing April 13, 2011 May 31, 2011 August 11, 225,000– 237,500 *250,000 9 Up to 60 Personnel to Provide Sec- 2011. 250,000 mos. ondary Transition Services to School-Age Children with Disabilities. 84.325T Special Education ...... 275,000– 288,500 *300,000 10 Up to 60 Tina Diamond Preservice Program Im- 300,000 mos. (202) 245– provement Grants. 6674 Rm 4094. * We will reject any application that proposes a budget exceeding the maximum award for a single budget period of 12 months. The Assistant Secretary for Special Education and Rehabilitative Services may change the maximum amount through a notice published in the FEDERAL REGISTER. ** For the Special Education Preservice Program Improvement Grants, 84.325T competition.

Note 1: We will reject any application that III. Eligibility Information individuals with disabilities or parents proposes a budget exceeding the maximum of individuals with disabilities ages 1. Eligible Applicants: Institutions of award for a single budget period of 12 birth through 26 in planning, higher education (IHEs). months. implementing, and evaluating the Note: For Absolute Priority 3—Special Note 2: No more than one cooperative project (see section 682(a)(1)(A) of Education Preservice Program Improvement IDEA). agreement will be awarded under this Grants (84.325T), programs in IHEs that priority per IHE during the five-year project propose to prepare preschool teachers are not IV. Application and Submission period. Programs in minority institutions that eligible to apply under that competition. Information are preparing special education teachers of children with high-incidence disabilities are 2. Cost Sharing or Matching: This 1. Address to Request Application eligible to apply under this priority. For program does not require cost sharing or Package: You can obtain an application purposes of this competition, the term matching. package via the Internet, from the ‘‘minority institutions’’ include IHEs with a 3. Other: General Requirements—(a) Education Publications Center (ED minority enrollment of 25 percent or more, The projects funded under this program Pubs), or from the program office. which may include Historically Black must make positive efforts to employ To obtain a copy via the Internet, use Colleges and Universities, Tribal Colleges, and advance in employment qualified the following address: http://www.ed. and Predominantly Hispanic Serving individuals with disabilities (see section Colleges and Universities. gov/fund/grant/apply/grantapps/ 606 of IDEA). index.html. Note: The Department is not bound by any (b) Each applicant and grant recipient To obtain a copy from ED Pubs, write, estimates in this notice. funded under this program must involve fax, or call the following: ED Pubs, U.S.

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Department of Education, P.O. Box Deadline for Transmittal of Service. If you are an individual, you 22207, Alexandria, VA 22304. Applications: See chart. can obtain a TIN from the Internal Telephone, toll free: 1–877–433–7827. Applications for grants under this Revenue Service or the Social Security FAX: (703) 605–6794. If you use a program may be submitted Administration. If you need a new TIN, telecommunications device for the deaf electronically using the Grants.gov please allow 2–5 weeks for your TIN to (TDD), call, toll free: 1–877–576–7734. Apply site (Grants.gov), or in paper become active. You can contact ED Pubs at its Web format by mail or hand delivery. For The CCR registration process may take site, also: http://www.EDPubs.gov or at information (including dates and times) five or more business days to complete. its e-mail address: [email protected]. about how to submit your application If you are currently registered with the If you request an application from ED electronically, or in paper format by CCR, you may not need to make any Pubs, be sure to identify the competition mail or hand delivery, please refer to changes. However, please make certain as follows: CFDA number 84.325D, section IV. 7. Other Submission that the TIN associated with your DUNS 84.325K, or 84.325T. Requirements of this notice. number is correct. Also note that you To obtain a copy from the program We do not consider an application will need to update your CCR office, contact the person listed under that does not comply with the deadline registration on an annual basis. This FOR FURTHER INFORMATION CONTACT in requirements. may take three or more business days to section VII of this notice. Individuals with disabilities who complete. Individuals with disabilities can need an accommodation or auxiliary aid In addition, if you are submitting your obtain a copy of the application package in connection with the application application via Grants.gov, you must (1) in an accessible format (e.g., braille, process should contact the person listed be designated by your organization as an large print, audiotape, or computer under FOR FURTHER INFORMATION Authorized Organization Representative diskette) by contacting the person or CONTACT in section VII of this notice. If (AOR); and (2) register yourself with team listed under Accessible Format in the Department provides an Grants.gov as an AOR. Details on these section VIII of this notice. accommodation or auxiliary aid to an steps are outlined in the Grants.gov 3- 2. Content and Form of Application individual with a disability in Step Registration Guide (see http:// Submission: Requirements concerning connection with the application www.grants.gov/section910/Grants.gov the content of an application, together process, the individual’s application RegistrationBrochure.pdf). with the forms you must submit, are in remains subject to all other 7. Other Submission Requirements: the application package for this requirements and limitations in this Applications for grants under the competition. notice. competitions announced in this notice Page Limit: The application narrative Deadline for Intergovernmental may be submitted electronically or in (Part III of the application) is where you, Review: See chart. paper format by mail or hand delivery. the applicant, address the selection 4. Intergovernmental Review: This a. Electronic Submission of criteria that reviewers use to evaluate program is subject to Executive Order Applications. your application. You must limit Part III 12372 and the regulations in 34 CFR We are participating as a partner in to the equivalent of no more than 50 part 79. Information about the Governmentwide Grants.gov Apply pages using the following standards: Intergovernmental Review of Federal site. The Personnel Development to • A ‘‘page’’ is 8.5″ × 11″, on one side Programs under Executive Order 12372 Improve Services and Results for only, with 1″ margins at the top, bottom, is in the application package for the Children with Disabilities competitions, and both sides. competitions announced in this notice. CFDA numbers 84.325D, 84.325K, and • Double space (no more than three 5. Funding Restrictions: We reference 84.325T, announced in this notice are lines per vertical inch) all text in the regulations outlining funding included in this project. We request application narrative, including titles, restrictions in the Applicable your participation in Grants.gov. headings, footnotes, quotations, Regulations section of this notice. references, and captions. 6. Data Universal Numbering System If you choose to submit your • Use a font that is either 12 point or Number, Taxpayer Identification application electronically, you must use larger or no smaller than 10 pitch Number, and Central Contractor the Governmentwide Grants.gov Apply (characters per inch). Registry: To do business with the site at http://www.Grants.gov. Through • Use one of the following fonts: Department of Education, you must— this site, you will be able to download Times New Roman, Courier, Courier a. Have a Data Universal Numbering a copy of the application package, New, or Arial. An application submitted System (DUNS) number and a Taxpayer complete it offline, and then upload and in any other font (including Times Identification Number (TIN); submit your application. You may not e- Roman or Arial Narrow) will not be b. Register both your DUNS number mail an electronic copy of a grant accepted. and TIN with the Central Contractor application to us. The page limit does not apply to Part Registry (CCR), the Government’s You may access the electronic grant I, the cover sheet; Part II, the budget primary registrant database; application for the Personnel section, including the narrative budget c. Provide your DUNS number and Development to Improve Services and justification; Part IV, the assurances and TIN on your application; and Results for Children with Disabilities certifications; or the one-page abstract, d. Maintain an active CCR registration program competitions—CFDA numbers the re´sume´s, the bibliography, the with current information while your 84.325D, 84.325K, and 84.325T at references, or the letters of support. application is under review by the www.Grants.gov. You must search for However, you must include all of the Department and, if you are awarded a the downloadable application package application narrative in Part III. grant, during the project period. for this program by the CFDA number. We will reject your application if you You can obtain a DUNS number from Do not include the CFDA number’s exceed the page limit; or if you apply Dun and Bradstreet. A DUNS number alpha suffix in your search (e.g., search other standards and exceed the can be created within one business day. for 84.325, not 84.325D). equivalent of the page limit. If you are a corporate entity, agency, Please note the following: 3. Submission Dates and Times: institution, or organization, you can • Your participation in Grants.gov is Applications Available: See chart. obtain a TIN from the Internal Revenue voluntary.

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• When you enter the Grants.gov site, other than a .PDF or submit a password- of, or technical problems with, the Grants.gov you will find information about protected file, we will not review that system. We will not grant you an extension submitting an application electronically material. if you failed to fully register to submit your through the site, as well as the hours of • Your electronic application must application to Grants.gov before the operation. comply with any page-limit application deadline date and time or if the • technical problem you experienced is Applications received by Grants.gov requirements described in this notice. unrelated to the Grants.gov system. are date and time stamped. Your • After you electronically submit application must be fully uploaded and your application, you will receive from b. Submission of Paper Applications submitted and must be date and time Grants.gov an automatic notification of by Mail. stamped by the Grants.gov system no receipt that contains a Grants.gov If you submit your application in later than 4:30:00 p.m., Washington, DC tracking number. (This notification paper format by mail (through the U.S. time, on the application deadline date. indicates receipt by Grants.gov only, not Postal Service or a commercial carrier), Except as otherwise noted in this receipt by the Department.) The you must mail the original and two section, we will not accept your Department then will retrieve your copies of your application, on or before application if it is received—that is, date application from Grants.gov and send a the application deadline date, to the and time stamped by the Grants.gov second notification to you by e-mail. Department at the following address: system—after 4:30:00 p.m., Washington, This second notification indicates that U.S. Department of Education, DC time, on the application deadline the Department has received your Application Control Center, date. We do not consider an application application and has assigned your Attention: (CFDA number 84.325D, that does not comply with the deadline application a PR/Award number (an ED- 84.325K, or 84.325T), LBJ Basement requirements. When we retrieve your specified identifying number unique to Level 1, 400 Maryland Avenue, SW., application from Grants.gov, we will your application). Washington, DC 20202–4260. • notify you if we are rejecting your We may request that you provide us You must show proof of mailing application because it was date and time original signatures on forms at a later consisting of one of the following: stamped by the Grants.gov system after date. (1) A legibly dated U.S. Postal Service 4:30:00 p.m., Washington, DC time, on Application Deadline Date Extension postmark. the application deadline date. in Case of Technical Issues with the (2) A legible mail receipt with the • The amount of time it can take to Grants.gov System: If you are date of mailing stamped by the U.S. upload an application will vary experiencing problems submitting your Postal Service. depending on a variety of factors, application through Grants.gov, please (3) A dated shipping label, invoice, or including the size of the application and contact the Grants.gov Support Desk, receipt from a commercial carrier. the speed of your Internet connection. toll free, at 1–800–518–4726. You must (4) Any other proof of mailing Therefore, we strongly recommend that obtain a Grants.gov Support Desk Case acceptable to the Secretary of the U.S. you do not wait until the application Number and must keep a record of it. Department of Education. deadline date to begin the submission If you are prevented from If you mail your application through process through Grants.gov. electronically submitting your the U.S. Postal Service, we do not • You should review and follow the application on the application deadline accept either of the following as proof Education Submission Procedures for date because of technical problems with of mailing: submitting an application through the Grants.gov system, we will grant you (1) A private metered postmark. Grants.gov that are included in the an extension until 4:30:00 p.m., (2) A mail receipt that is not dated by application package for this program to Washington, DC time, the following the U.S. Postal Service. ensure that you submit your application business day to enable you to transmit If your application is postmarked after in a timely manner to the Grants.gov your application electronically or by the application deadline date, we will system. You can also find the Education hand delivery. You also may mail your not consider your application. Submission Procedures pertaining to application by following the mailing instructions described elsewhere in this Note: The U.S. Postal Service does not Grants.gov under News and Events on uniformly provide a dated postmark. Before the Department’s G5 system home page notice. If you submit an application after relying on this method, you should check at http://www.G5.gov. with your local post office. • You will not receive additional 4:30:00 p.m., Washington, DC time, on point value because you submit your the application deadline date, please c. Submission of Paper Applications application in electronic format, nor contact the person listed under FOR by Hand Delivery. If you submit your application in will we penalize you if you submit your FURTHER INFORMATION CONTACT in paper format by hand delivery, you (or application in paper format. section VII of this notice and provide an • If you submit your application explanation of the technical problem a courier service) must deliver the electronically, you must submit all you experienced with Grants.gov, along original and two copies of your documents electronically, including all with the Grants.gov Support Desk Case application by hand, on or before the information you typically provide on Number. We will accept your application deadline date, to the the following forms: The Application for application if we can confirm that a Department at the following address: Federal Assistance (SF 424), the technical problem occurred with the U.S. Department of Education, Department of Education Supplemental Grants.gov system and that that problem Application Control Center, Information for SF 424, Budget affected your ability to submit your Attention: (CFDA number 84.325D, Information—Non-Construction application by 4:30:00 p.m., 84.325K, or 84.325T) 550 12th Street, Programs (ED 524), and all necessary Washington, DC time, on the SW., Room 7041, Potomac Center assurances and certifications. application deadline date. The Plaza, Washington, DC 20202–4260. • If you submit your application Department will contact you after a The Application Control Center electronically, you must attach any determination is made on whether your accepts hand deliveries daily between narrative sections of your application as application will be accepted. 8:00 a.m. and 4:30:00 p.m., Washington, files in a .PDF (Portable Document) Note: The extensions to which we refer in DC time, except Saturdays, Sundays, format only. If you upload a file type this section apply only to the unavailability and Federal holidays.

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Note for Mail or Hand Delivery of Paper members to review applications under www.ed.gov/fund/grant/apply/ Applications: If you mail or hand deliver discretionary grant competitions for appforms/appforms.html. your application to the Department— which they also have submitted 4. Performance Measures: Under the (1) You must indicate on the envelope applications. However, if the and—if not provided by the Department—in Government Performance and Results Item 11 of the SF 424 the CFDA number, Department decides to select an equal Act of 1993 (GPRA), the Department has including suffix letter, if any, of the number of applications in each group established a set of performance competition under which you are submitting for funding, this may result in different measures, including long-term your application; and cut-off points for fundable applications measures, that are designed to yield (2) The Application Control Center will in each group. information on various aspects of the mail to you a notification of receipt of your 3. Special Conditions: Under 34 CFR grant application. If you do not receive this effectiveness and quality of the 74.14 and 80.12, the Secretary may Personnel Development to Improve notification within 15 business days from the impose special conditions on a grant if application deadline date, you should call Services and Results for Children with the U.S. Department of Education the applicant or grantee is not Disabilities Program. These measures Application Control Center at (202) 245– financially stable; has a history of include: (1) The percentage of projects 6288. unsatisfactory performance; has a that incorporate scientifically based financial or other management system practices into the curriculum; (2) the V. Application Review Information that does not meet the standards in 34 percentage of scholars who exit 1. Selection Criteria: The selection CFR parts 74 or 80, as applicable; has preparation programs prior to criteria for this program are from 34 CFR not fulfilled the conditions of a prior completion due to poor academic 75.210 and are listed in the application grant; or is otherwise not responsible. performance; (3) the percentage of package. VI. Award Administration Information scholars completing the IDEA-funded 2. Review and Selection Process: (a) preparation programs who are 1. Award Notices: If your application We remind potential applicants that in knowledgeable and skilled in is successful, we notify your U.S. reviewing applications in any scientifically based practices for Representative and U.S. Senators and discretionary grant competition, the children, including infants and toddlers, send you a Grant Award Notification Secretary may consider, under 34 CFR with disabilities; (4) the percentage of 75.217(d)(3), the past performance of the (GAN). We may notify you informally, also. degree or certification recipients who applicant in carrying out a previous are working in the area(s) for which they If your application is not evaluated or award, such as the applicant’s use of were prepared upon program not selected for funding, we notify you. funds, achievement of project completion; (5) the percentage of degree 2. Administrative and National Policy objectives, and compliance with grant or certification recipients who are Requirements: We identify conditions. The Secretary may also working in the area(s) for which they administrative and national policy consider whether the applicant failed to were prepared upon program requirements in the application package submit a timely performance report or completion and are fully qualified and reference these and other submitted a report of unacceptable under IDEA; (6) the percentage of requirements in the Applicable quality. program graduates who maintain Regulations section of this notice. In addition, in making a competitive employment for three or more years in grant award, the Secretary also requires We reference the regulations outlining the area(s) for which they were prepared various assurances including those the terms and conditions of an award in and who are fully qualified under IDEA; applicable to Federal civil rights laws the Applicable Regulations section of and (7) the Federal cost per fully that prohibit discrimination in programs this notice and include these and other qualified degree/certification recipient. or activities receiving Federal financial specific conditions in the GAN. The assistance from the Department of GAN also incorporates your approved Grantees may be asked to participate Education (34 CFR 100.4, 104.5, 106.4, application as part of your binding in assessing and providing information 108.8, and 110.23). commitments under the grant. on these aspects of program quality. (b) In the past, the Department has 3. Reporting: (a) If you apply for a 5. Continuation Awards: In making a had difficulty finding peer reviewers for grant under this competition, you must continuation award, the Secretary may certain competitions, because so many ensure that you have in place the consider, under 34 CFR 75.253, the individuals who are eligible to serve as necessary processes and systems to extent to which a grantee has made peer reviewers have conflicts of interest. comply with the reporting requirements ‘‘substantial progress toward meeting the The Standing Panel requirements under in 2 CFR part 170 should you receive objectives in its approved application.’’ IDEA also have placed additional funding under the competition. This This consideration includes the review constraints on the availability of does not apply if you have an exception of a grantee’s progress in meeting the reviewers. Therefore, the Department under 2 CFR 170.110(b). targets and projected outcomes in its has determined that, for some (b) At the end of your project period, approved application, and whether the discretionary grant competitions, you must submit a final performance grantee has expended funds in a manner applications may be separated into two report, including financial information, that is consistent with its approved or more groups and ranked and selected as directed by the Secretary. If you application and budget. In making a for funding within specific groups. This receive a multi-year award, you must continuation grant, the Secretary also procedure will make it easier for the submit an annual performance report considers whether the grantee is Department to find peer reviewers, by that provides the most current operating in compliance with the ensuring that greater numbers of performance and financial expenditure assurances in its approved application, individuals who are eligible to serve as information as directed by the Secretary including those applicable to Federal reviewers for any particular group of under 34 CFR 75.118. The Secretary civil rights laws that prohibit applicants will not have conflicts of may also require more frequent discrimination in programs or activities interest. It also will increase the quality, performance reports under 34 CFR receiving Federal financial assistance independence, and fairness of the 75.720(c). For specific requirements on from the Department (34 CFR 100.4, review process, while permitting panel reporting, please go to http:// 104.5, 106.4, 108.8, and 110.23).

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VII. Agency Contact DATES: Comments, protests, or requests Manager, Cargill Power Markets, LLC, See chart in the Award Information to intervene must be submitted on or 9350 Excelsior Blvd., MS 150, Hopkins, section in this notice for the name, room before May 13, 2011. MN 55343. A final decision will be number and telephone number of the ADDRESSES: Comments, protests, or made on this application after the contact person for each competition. requests to intervene should be environmental impacts have been You can write to the contact person at addressed to: Christopher Lawrence, evaluated pursuant to DOE’s National the following address: U.S. Department Office of Electricity Delivery and Energy Environmental Policy Act Implementing of Education, 400 Maryland Avenue, Reliability, Mail Code: OE–20, U.S. Procedures (10 CFR part 1021) and a SW., Potomac Center Plaza (PCP), Department of Energy, 1000 determination is made by DOE that the Washington, DC 20202–2600. Independence Avenue, SW., proposed action will not have an If you use a TDD, call the Federal Washington, DC 20585–0350. Because adverse impact on the reliability of the Relay Service (FRS), toll free, at 1–800– of delays in handling conventional mail, U.S. electric power supply system. 877–8339. it is recommended that documents be transmitted by overnight mail, by Copies of this application will be VIII. Other Information electronic mail to made available, upon request, for public inspection and copying at the address Accessible Format: Individuals with [email protected], or by disabilities can obtain this document facsimile to 202–586–8008. provided above, by accessing the and a copy of the application package in FOR FURTHER INFORMATION CONTACT: program Web site at http:// an accessible format (e.g., braille, large Christopher Lawrence (Program Office) www.oe.energy.gov/ _ print, audiotape, or computer diskette) 202–586–5260. permits pending.htm, or by e-mailing by contacting the Grants and Contracts SUPPLEMENTARY INFORMATION: Exports of Odessa Hopkins at Services Team, U.S. Department of electricity from the United States to a [email protected]. Education, 400 Maryland Avenue, SW., foreign country are regulated by the Issued in Washington, DC, on April 7, room 5075, PCP, Washington, DC Department of Energy (DOE) pursuant to 2011. 20202–2550. Telephone: (202) 245– sections 301(b) and 402(f) of the Anthony J. Como, 7363. If you use a TDD, call the FRS, toll Department of Energy Organization Act Director, Permitting and Siting, Office of free, at 1–800–877–8339. (42 U.S.C. 7151(b), 7172(f)) and require Electricity Delivery and Energy Reliability. Electronic Access to This Document: authorization under section 202(e) of [FR Doc. 2011–8839 Filed 4–12–11; 8:45 am] You can view this document, as well as the FPA (16 U.S.C. 824a(e)). all other documents of this Department On March 22, 2011, DOE received an BILLING CODE 6450–01–P published in the Federal Register, in application from CPM for authority to text or Adobe Portable Document transmit electric energy from the United DEPARTMENT OF ENERGY Format (PDF) on the Internet at the States to Mexico for five years as a following site: http://www.ed.gov/news/ power marketer using existing Environmental Management Site- fedregister. To use PDF you must have international transmission facilities. Specific Advisory Board Chairs Adobe Acrobat Reader, which is CPM does not own any electric available free at this site. transmission facilities nor does it hold AGENCY: Department of Energy. Note: The official version of this document a franchised service area. is the document published in the Federal The electric energy that CPM ACTION: Notice of cancellation of open Register. Free Internet access to the official proposes to export to Mexico would be meeting. edition of the Federal Register and the Code surplus energy purchased from electric of Federal Regulations is available on GPO utilities, Federal power marketing SUMMARY: On March 28, 2011, in FR Access at: http://www.gpoaccess.gov/nara/ agencies and other entities within the Doc. 2011–7243, on page 17118, the index.html. United States. The existing international Department of Energy (DOE) published Dated: April 7, 2011. transmission facilities to be utilized by a notice of open meeting announcing a CPM have previously been authorized Alexa Posny, meeting on April 13–14, 2011 of the by Presidential permits issued pursuant Environmental Management Site- Assistant Secretary for Special Education and to Executive Order 10485, as amended, Rehabilitative Services. Specific Advisory Board Chairs (76 FR and are appropriate for open access 17118). This notice announces the [FR Doc. 2011–8745 Filed 4–12–11; 8:45 am] transmission by third parties. cancellation of this meeting. BILLING CODE 4000–01–P Procedural Matters: Any person desiring to become a party to these FOR FURTHER INFORMATION CONTACT: proceedings or to be heard by filing Catherine Alexander Brennan, DEPARTMENT OF ENERGY comments or protests to this application Designated Federal Officer, U.S. should file a petition to intervene, [OE Docket No. EA–378] Department of Energy, 1000 comment, or protest at the address Independence Avenue, SW., Application To Export Electric Energy; provided above in accordance with Washington, DC 20585; Phone: (202) Cargill Power Markets, LLC §§ 385.211 or 385.214 of the Federal 586–7711. Energy Regulatory Commission’s Rules AGENCY: Office of Electricity Delivery of Practice and Procedures (18 CFR Issued at Washington, DC, on April 8, and Energy Reliability, DOE. 385.211, 385.214). Fifteen copies of each 2011. ACTION: Notice of application. petition and protest should be filed with LaTanya R. Butler, DOE on or before the date listed above. Acting Deputy Committee Management SUMMARY: Cargill Power Markets, LLC Comments on the CPM application to Officer. (CPM) has applied for authority to export electric energy to Mexico should [FR Doc. 2011–8970 Filed 4–8–11; 4:15 pm] transmit electric energy from the United be clearly marked with Docket No. EA– BILLING CODE 6450–01–P States to Mexico pursuant to section 378. An additional copy is be filed 202(e) of the Federal Power Act. directly with Valerie L. Ege, Compliance

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DEPARTMENT OF ENERGY Bliss, Upper Salmon Falls, and Lower project number of the application to Salmon Falls Hydroelectric Projects, has which the filing responds; (3) furnish Federal Energy Regulatory filed a combined Land Management the name, address, and telephone Commission Plan (LMP) update for the projects. The number of the person protesting or [Project Nos. 1975–109, 2777–115, 2061– LMP is a comprehensive plan to manage intervening; and (4) otherwise comply 088] project lands including control of with the requirements of 18 CFR noxious weeds, protection and 385.2001 through 385.2005. All Idaho Power Company; Notice of enhancement of riparian habitats, and comments, motions to intervene, or Application of Land Management Plan protection and enhancement of protests must set forth their evidentiary Update for the Bliss, Upper Salmon shoreline habitats in a manner that is basis and otherwise comply with the Falls, and Lower Salmon Falls Projects consistent with license requirements requirements of 18 CFR 4.34(b). All and Soliciting Comments, Motions To and project purposes, and to address the comments, motions to intervene, or Intervene, and Protests needs and interests of stakeholders. protests should relate to project works While information regarding the Upper which are the subject of the amendment Take notice that the following and Lower Malad Hydroelectric Project application. Agencies may obtain copies hydroelectric application has been filed is also included in the LMP for of the application directly from the with the Commission and is available informational purposes, the LMP is not applicant. A copy of any protest or for public inspection: being updated for this project. motion to intervene must be served a. Application Type: Land l. Locations of the Application: A upon each representative of the Management Plan Update. copy of the application is available for applicant specified in the particular b. Project Nos.: 1975–109, 2777–115, inspection and reproduction at the application. If an intervener files and 2061–088. Commission’s Public Reference Room, comments or documents with the c. Date Filed: December 22, 2010. located at 888 First Street, NE., Room Commission relating to the merits of an d. Applicant: Idaho Power Company. 2A, Washington, DC 20426, or by calling issue that may affect the responsibilities e. Name of Projects: Bliss, Upper (202) 502–8371. This filing may also be Salmon Falls, and Lower Salmon Falls of a particular resource agency, they viewed on the Commission’s Web site at must also serve a copy of the document Hydroelectric Projects. http://www.ferc.gov using the ‘‘eLibrary’’ f. Location: The projects are located in on that resource agency. A copy of all link. Enter the docket number excluding other filings in reference to this south-central Idaho on the Snake River the last three digits in the docket from river mile 551 near Bliss to river application must be accompanied by number field to access the document. proof of service on all persons listed in mile 592 near Hagerman in Twin Falls, You may also register online at http:// Gooding, and Elmore counties. the service list prepared by the www.ferc.gov/docs-filing/ Commission in this proceeding, in g. Filed Pursuant to: Federal Power esubscription.asp to be notified via e- Act, 16 U.S.C. 791a–825r. accordance with 18 CFR 4.34(b) and mail of new filings and issuances 385.2010. h. Applicant Contact: L. Lewis related to this or other pending projects. Wardle, Licensing Program Coordinator, For assistance, call 1–866–208–3676 or Dated: April 6, 2011. Idaho Power, P.O. Box 70, 1221 W Idaho e-mail [email protected], Kimberly D. Bose, Street, Boise, ID 83702, (208) 388–2964, for TTY, call (202) 502–8659. A copy is Secretary. [email protected]. also available for inspection and [FR Doc. 2011–8770 Filed 4–12–11; 8:45 am] i. FERC Contact: Dr. Mark Ivy, (202) reproduction at the address in item (h) BILLING CODE 6717–01–P 502–6156, [email protected]. above. j. Deadline for filing comments, m. Individuals desiring to be included motions to intervene, and protests: May on the Commission’s mailing list should DEPARTMENT OF ENERGY 6, 2011. so indicate by writing to the Secretary All documents may be filed of the Commission. Federal Energy Regulatory electronically via the Internet. See, 18 n. Comments, Protests, or Motions to Commission CFR 385.2001(a)(1)(iii) and the Intervene: Anyone may submit [Project No. 12965–002] instructions on the Commission’s Web comments, a protest, or a motion to site at http://www.ferc.gov/docs-filing/ intervene in accordance with the Symbiotics, LLC; Notice of Application efiling.asp. If unable to be filed requirements of Rules of Practice and Tendered for Filing With the electronically, documents may be paper- Procedure, 18 CFR 385.210, .211, .214. Commission and Establishing filed. To paper-file, an original and In determining the appropriate action to Procedural Schedule for Licensing and seven copies should be mailed to: take, the Commission will consider all Deadline for Submission of Final Secretary, Federal Energy Regulatory protests or other comments filed, but Amendments; Take Notice That the Commission, 888 First Street, NE., only those who file a motion to Following Hydroelectric Application Washington, DC 20426. Commenters intervene in accordance with the Has Been Filed With the Commission can submit brief comments up to 6,000 Commission’s Rules may become a and Is Available for Public Inspection characters, without prior registration, party to the proceeding. Any comments, using the eComment system at http:// protests, or motions to intervene must a. Type of Application: Original Major www.ferc.gov/docs-filing/ be received on or before the specified License. ecomment.asp. You must include your comment date for the particular b. Project No.: 12965–002. name and contact information at the end application. c. Date Filed: March 25, 2011. of your comments. o. Filing and Service of Responsive d. Applicant: Symbiotics, LLC. Please include the project numbers Documents: Any filing must (1) bear in e. Name of Project: Wickiup Dam (P–1975–109, P–2777–115, and P–2061– all capital letters the title Hydroelectric Project. 088) on any comments, motions, or ‘‘COMMENTS’’, ‘‘PROTEST’’, or f. Location: The proposed project recommendations filed. ‘‘MOTION TO INTERVENE’’ as would be constructed at the existing k. Description of the Application: applicable; (2) set forth in the heading U.S. Bureau of Reclamation Idaho Power Company, licensee of the the name of the applicant and the (Reclamation) Wickiup dam located on

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the Deschutes River near the city of would be constructed within the 75- the Commission’s Web site at http:// LaPine in Deschutes County, Oregon. foot-long penstocks; (3) a 50-foot by 50- www.ferc.gov using the ‘‘eLibrary’’ link. The project would occupy 1.02 acres of foot concrete powerhouse would be Enter the docket number excluding the Federal lands jointly managed by the located on the northwest side of the last three digits in the docket number U.S. Forest Service and Reclamation. existing concrete stilling basin and field to access the document. For g. Filed Pursuant to: Federal Power would house one generating unit with a assistance, contact FERC Online Act, 16 U.S.C. 791 (a)–825(r). total installed capacity of 7.15 Support at h. Applicant Contact: Brent L. Smith, megawatts; (4) a fish killing rotor system [email protected] or toll- Chief Operating Officer, Symbiotics, would be constructed downstream of free at 1–866–208–3676, or for TTY, LLC, 371 Upper Terrace, Suite 2, Bend, the powerhouse draft tube to prevent (202) 502–8659. A copy is also available OR 97702; telephone (541) 330–8779. non-native fish species from surviving for inspection and reproduction at the i. FERC Contact: Matt Cutlip, (503) Kaplan turbine passage into the address in item (h) above. 552–2762 or [email protected]. Deschutes River downstream of the m. You may also register online at j. This application is not ready for project; (5) a tailrace picket barrier http://www.ferc.gov/docs-filing/ environmental analysis at this time. would be constructed downstream of esubscription.asp to be notified via e- k. Project Description: The proposed the fish killing rotor system to protect mail of new filings and issuances project would consist of the following upstream migrating fish; (6) a 135-foot- related to this or other pending projects. new facilities: (1) Two 8-foot-diameter long, 24.9-kilovolt transmission line For assistance, contact FERC Online by 75-foot-long steel penstocks would would be buried and would connect the Support. be connected to the existing twin outlet project to an existing power line; and (6) n. Procedural Schedule: conduits above the existing regulating appurtenant facilities. The application will be processed tube valves and combine into a 10-foot- l. Locations of the Application: A according to the following preliminary diameter by 68-foot-long penstock that copy of the application is available for Hydro Licensing Schedule. Revisions to would deliver flow to a powerhouse; (2) review at the Commission in the Public the schedule may be made as two 8-foot-diameter isolation valves Reference Room or may be viewed on appropriate.

Milestone Target date

Notice of Acceptance/Notice of Ready for Environmental Analysis ...... June 2011. Filing of recommendations, preliminary terms and conditions, and fishway prescriptions ...... August 2011. Commission issues Draft EA ...... February 2012. Comments on Draft EA ...... March 2012. Modified Terms and Conditions ...... May 2012. Commission Issues Final EA ...... August 2012.

o. Final amendments to the to install auxiliary facilities at an public inspection. The filing may also application must be filed with the existing compressor station, all located be viewed on the Web at http:// Commission no later than 30 days from in Orange County, Florida (known as www.ferc.gov using the ‘‘eLibrary’’ link. the issuance date of the notice of ready The Cape Canaveral Project). Enter the docket number excluding the for environmental analysis. Specifically, FGT proposes to construct last three digits in the docket number Dated: April 7, 2011 and operate a new Compressor Station field to access the document. For Kimberly D. Bose, No. 32 consisting of two (2) 15,000 assistance, contact FERC at horsepower electric units connecting to [email protected] or call Secretary. FGT’s existing 26-inch mainline; to toll-free, (866) 208–3676 or TTY, (202) [FR Doc. 2011–8891 Filed 4–12–11; 8:45 am] upgrade 800 feet of existing 26-inch 502–8659. BILLING CODE 6717–01–P mainline to allow for higher design Any questions regarding this pressure at the tie-ins of the suction and application should be directed to discharge piping; and to install auxiliary Stephen Veatch, Senior Director of DEPARTMENT OF ENERGY facilities at FGT’s existing Compressor Certificates & Tariffs, Florida Gas Federal Energy Regulatory Station No. 18. FGT also states that it Transmission Company, LLC, 5444 Commission has entered into an agreement with Westheimer Road, Houston, Texas Florida Power & Light Company (FPL) 77056, or call (713) 989–2024, or fax [Docket No. CP11–145–000] in which FPL agrees to reimburse FGT (713) 989–1158, or by e-mail for the costs of the proposed facilities, [email protected]. Florida Gas Transmission Company, including the ongoing operation and Pursuant to section 157.9 of the LLC; Notice of Application maintenance costs and electric power Commission’s rules, 18 CFR 157.9, Take notice that on March 24, 2011, cost. In conjunction, FGT plans to within 90 days of this Notice the Florida Gas Transmission Company, abandon and remove the existing Cape Commission staff will either: Complete LLC (FGT), 5444 Westheimer Road, Canaveral Measurement and Regulator its environmental assessment (EA) and Houston, Texas 77056, filed in Docket Station (M&R Station) and will contruct place it into the Commission’s public No. CP11–145–000, an application, a new M&R station and associated record (eLibrary) for this proceeding; or pursuant to section 7(c) of the Natural facilities pursuant to its Blanket issue a Notice of Schedule for Gas Act (NGA) and part 157 of the Certificate in Docket No. CP82–553–000. Environmental Review. If a Notice of Federal Energy Regulatory The total estimated cost for the Schedule for Environmental Review is Commission’s Regulations, to construct proposed Cape Canaveral Project is issued, it will indicate, among other and operate a new electric compressor $81.44 million, all as more fully set milestones, the anticipated date for the station with appurtenant facilities; to forth in the application which is on file Commission staff’s issuance of the final upgrade existing pipeline facilities; and with the Commission and open to environmental impact statement (FEIS)

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or EA for this proposal. The filing of the documents on all other parties. Township 23 North, Range 21 East, EA in the Commission’s public record However, the non-party commentors Mayes County, Oklahoma. for this proceeding or the issuance of a will not receive copies of all documents g. Filed Pursuant to: Federal Power Notice of Schedule for Environmental filed by other parties or issued by the Act, 16 U.S.C. 791a–825r. Review will serve to notify Federal and Commission (except for the mailing of h. Applicant Contact: Ms. Tamara E. State agencies of the timing for the environmental documents issued by the Jahnke, Assistant General Counsel, completion of all necessary reviews, and Commission) and will not have the right Grand River Dam Authority, P.O. Box the subsequent need to complete all to seek court review of the 409, Vinita, Oklahoma 74301, (918) Federal authorizations within 90 days of Commission’s final order. 256–5545. the date of issuance of the Commission The Commission strongly encourages i. FERC Contact: Peter Yarrington, staff’s FEIS or EA. electronic filings of comments, protests (202) 502–6129, There are two ways to become and interventions in lieu of paper using [email protected] or Kurt involved in the Commission’s review of the ‘‘eFiling’’ link at http://www.ferc.gov. Powers, (202) 502–8949, this project. First, any person wishing to Persons unable to file electronically [email protected]. obtain legal status by becoming a party should submit an original and 14 copies j. Deadline for filing comments, to the proceedings for this project of the protest or intervention to the motions to intervene, and protests, is 30 should, on or before the comment date Federal Energy Regulatory Commission, days from the issuance date of this stated below, file with the Federal 888 First Street, NE., Washington, DC notice. All documents may be filed electronically via the Internet. See, 18 Energy Regulatory Commission, 888 20426. CFR 385.2001(a)(1)(iii) and the First Street, NE., Washington, DC 20426, This filing is accessible on-line at instructions on the Commission’s Web a motion to intervene in accordance http://www.ferc.gov, using the site at http://www.ferc.gov/docs-filing/ with the requirements of the ‘‘eLibrary’’ link and is available for efiling.asp. If unable to be filed Commission’s Rules of Practice and review in the Commission’s Public electronically, documents may be paper- Procedure (18 CFR 385.214 or 385.211) Reference Room in Washington, DC. filed. To paper-file, an original and and the Regulations under the NGA (18 There is an ‘‘eSubscription’’ link on the seven copies should be mailed to: CFR 157.10). A person obtaining party Web site that enables subscribers to Secretary, Federal Energy Regulatory status will be placed on the service list receive e-mail notification when a Commission, 888 First Street, NE., maintained by the Secretary of the document is added to a subscribed Commission and will receive copies of Washington, DC 20426. Commenters docket(s). For assistance with any FERC can submit brief comments up to 6,000 all documents filed by the applicant and Online service, please e-mail by all other parties. A party must submit characters, without prior registration, [email protected], or call using the eComment system at http:// 7 copies of filings made with the (866) 208–3676 (toll free). For TTY, call Commission and must mail a copy to www.ferc.gov/docs-filing/ (202) 502–8659. ecomment.asp. You must include your the applicant and to every other party in Comment Date: April 26, 2011. the proceeding. Only parties to the name and contact information at the end proceeding can ask for court review of Dated: April 5, 2011. of your comments. Commission orders in the proceeding. Kimberly D. Bose, Please include the project number (P– However, a person does not have to Secretary. 1494–390) on any comments, motions, intervene in order to have comments [FR Doc. 2011–8765 Filed 4–12–11; 8:45 am] or protests filed. k. Description of Request: On considered. The second way to BILLING CODE 6717–01–P participate is by filing with the November 29, 2010, the Grand River Secretary of the Commission, as soon as Dam Authority (GRDA; licensee) filed possible, an original and two copies of DEPARTMENT OF ENERGY an application for non-project use of comments in support of or in opposition project lands and waters. On behalf of to this project. The Commission will Federal Energy Regulatory Ketchum Public Works Authority consider these comments in Commission (Ketchum), GRDA requests authorization from the Commission to determining the appropriate action to be [Project No. 1494–390] taken, but the filing of a comment alone grant Ketchum a new easement for the will not serve to make the filer a party Grand River Dam Authority; Notice of installation of two new raw water intake to the proceeding. The Commission’s Application Accepted for Filing and structures. The raw water would be sent rules require that persons filing Soliciting Comments, Motions To via a new raw water line to Ketchum’s comments in opposition to the project Intervene, and Protests new water treatment plant. The new provide copies of their protests only to intake structures would be located next the party or parties directly involved in Take notice that the following to the existing intake structures. Based the protest. hydroelectric application has been filed on calculated withdrawal rates provided Persons who wish to comment only with the Commission and is available by GRDA, the maximum possible on the environmental review of this for public inspection: withdrawal rate would approach 5.67 project should submit an original and a. Type of Application: Non-Project million gallons per day. The requested two copies of their comments to the Use of Project Lands and Waters: Water easement would be located on GRDA Secretary of the Commission. Withdrawal. property in Section 2, Township 23 Environmental commentors will be b. Project No.: 1494–390. North, Range 21 East, Mayes County, placed on the Commission’s c. Date Filed: November 29, 2010. Oklahoma. environmental mailing list, will receive d. Applicant: Grand River Dam l. Locations of the Application: A copies of the environmental documents, Authority. copy of the application is available for and will be notified of meetings e. Name of Project: Pensacola inspection and reproduction at the associated with the Commission’s Hydroelectric Project. Commission’s Public Reference Room, environmental review process. f. Location: The requested easement located at 888 First Street, NE., Room Environmental commentors will not be will be located on Grand River Dam 2A, Washington, DC 20426, or by calling required to serve copies of filed Authority property in Section 2, (202) 502–8371. This filing may also be

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viewed on the Commission’s Web site at must also serve a copy of the document ‘‘eLibrary’’ link and is available for http://www.ferc.gov/docs-filing/ on that resource agency. A copy of all review in the Commission’s Public efiling.asp. Enter the docket number other filings in reference to this Reference Room in Washington, DC. excluding the last three digits in the application must be accompanied by There is an ‘‘eSubscription’’ link on the docket number field to access the proof of service on all persons listed in Web site that enables subscribers to document. You may also register online the service list prepared by the receive e-mail notification when a at http://www.ferc.gov/docs-filing/ Commission in this proceeding, in document is added to a subscribed esubscription.asp to be notified via e- accordance with 18 CFR 4.34(b) and docket(s). For assistance with any FERC mail of new filings and issuances 385.2010. Online service, please e-mail related to this or other pending projects. Dated: April 7, 2011. [email protected], or call For assistance, call 1–866–208–3676 or Kimberly D. Bose, (866) 208–3676 (toll free). For TTY, call e-mail [email protected], (202) 502–8659. Secretary. for TTY, call (202) 502–8659. A copy is Comment Date: 5 p.m. Eastern Time also available for inspection and [FR Doc. 2011–8890 Filed 4–12–11; 8:45 am] on Monday, April 18, 2011. reproduction at the address in item (h) BILLING CODE 6717–01–P Dated: April 7, 2011. above. m. Individuals desiring to be included Kimberly D. Bose, on the Commission’s mailing list should DEPARTMENT OF ENERGY Secretary. so indicate by writing to the Secretary [FR Doc. 2011–8887 Filed 4–12–11; 8:45 am] Federal Energy Regulatory of the Commission. BILLING CODE 6717–01–P n. Comments, Protests, or Motions to Commission Intervene: Anyone may submit [Docket No. PR10–74–001] comments, a protest, or a motion to DEPARTMENT OF ENERGY intervene in accordance with the Kinder Morgan Texas Pipeline LLC; requirements of Rules of Practice and Notice of Baseline Filings Federal Energy Regulatory Procedure, 18 CFR 385.210, .211, .214. Commission Take notice that on April 6, 2011, In determining the appropriate action to [Docket No. EL11–32–000] take, the Commission will consider all Kinder Morgan Texas Pipeline LLC protests or other comments filed, but submitted a revised baseline filing of its American Electric Power Service only those who file a motion to Statement of Operating Conditions for Corporation v. PJM Interconnection, intervene in accordance with the services provided under section 311 of L.L.C.; Notice of Complaint Commission’s Rules may become a the Natural Gas Policy Act of 1978 party to the proceeding. Any comments, (‘‘NGPA’’). Take notice that on April 4, 2011, protests, or motions to intervene must Any person desiring to participate in pursuant to Rule 206 of the Rules of be received on or before the specified this rate proceeding must file a motion Practice and Procedure of the Federal comment date for the particular to intervene or to protest this filing must Energy Regulatory Commission application. file in accordance with Rules 211 and (Commission), 18 CFR 385.206 (2010) o. Filing and Service of Responsive 214 of the Commission’s Rules of and section 206 of the Federal Power Documents: All filings must (1) bear in Practice and Procedure (18 CFR 385.211 Act (FPA), 16 U.S.C. 824e (2006), all capital letters the title and 385.214). Protests will be American Electric Power Service ‘‘COMMENTS’’, ‘‘PROTEST’’, or considered by the Commission in Corporation (Complainant) filed a ‘‘MOTION TO INTERVENE’’ as determining the appropriate action to be formal complaint against PJM applicable; (2) set forth in the heading taken, but will not serve to make Interconnection, L.L.C. (Respondent), the name of the applicant and the protestants parties to the proceeding. alleging that Schedule 8.1, section D.8 project number of the application to Any person wishing to become a party to the PJM Interconnection, L.L.C. which the filing responds; (3) furnish must file a notice of intervention or Reliability Assurance Agreement is the name, address, and telephone motion to intervene, as appropriate. unjust, unreasonable, and unduly number of the person protesting or Such notices, motions, or protests must discriminatory. intervening; and (4) otherwise comply be filed on or before the date as Complainant certifies that copies of with the requirements of 18 CFR indicated below. Anyone filing an the complaint were served on 385.2001 through 385.2005. All intervention or protest must serve a representatives of the Respondent. comments, motions to intervene, or copy of that document on the Applicant. Any person desiring to intervene or to protests must set forth their evidentiary Anyone filing an intervention or protest protest this filing must file in basis and otherwise comply with the on or before the intervention or protest accordance with Rules 211 and 214 of requirements of 18 CFR 4.34(b). All date need not serve motions to intervene the Commission’s Rules of Practice and comments, motions to intervene, or or protests on persons other than the Procedure (18 CFR 385.211, 385.214). protests should relate to project works Applicant. Protests will be considered by the which are the subject of the water The Commission encourages Commission in determining the withdrawal application. Agencies may electronic submission of protests and appropriate action to be taken, but will obtain copies of the application directly interventions in lieu of paper using the not serve to make protestants parties to from the applicant. A copy of any ‘‘eFiling’’ link at http://www.ferc.gov. the proceeding. Any person wishing to protest or motion to intervene must be Persons unable to file electronically become a party must file a notice of served upon each representative of the should submit an original and 7 copies intervention or motion to intervene, as applicant specified in the particular of the protest or intervention to the appropriate. The Respondent’s answer application. If an intervener files Federal Energy Regulatory Commission, and all interventions, or protests must comments or documents with the 888 First Street, NE., Washington, DC be filed on or before the comment date. Commission relating to the merits of an 20426. The Respondent’s answer, motions to issue that may affect the responsibilities This filing is accessible on-line at intervene, and protests must be served of a particular resource agency, they http://www.ferc.gov, using the on the Complainants.

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The Commission encourages The U.S. Army Corps of Engineers is an easy method for interested persons electronic submission of protests and participated as a cooperating agency in to submit brief, text-only comments on interventions in lieu of paper using the the preparation of this EA. Cooperating a project; ‘‘eFiling’’ link at http://www.ferc.gov. agencies have jurisdiction by law or (2) You may file your comments Persons unable to file electronically special expertise with respect to electronically by using the eFiling should submit an original and 14 copies resources potentially affected by the feature, which is located on the of the protest or intervention to the proposal and participate in the NEPA Commission’s Web site at http:// Federal Energy Regulatory Commission, analysis. www.ferc.gov under the link to 888 First Street, NE., Washington, DC The proposed Gallagher Station Documents and Filings. With eFiling, 20426. Pipeline Project would involve you can provide comments in a variety This filing is accessible on-line at construction of 19.42 miles of new 20- of formats by attaching them as a file http://www.ferc.gov, using the inch-diameter pipeline, one metering with your submission. New eFiling ‘‘eLibrary’’ link and is available for and regulating station located at the users must first create an account by review in the Commission’s Public Gallagher Electric Generating Station in clicking on ‘‘eRegister.’’ You will be Reference Room in Washington, DC. Floyd County, Indiana, one metering asked to select the type of filing you are There is an ‘‘eSubscription’’ link on the station at the interconnection with the making. A comment on a particular Web site that enables subscribers to Texas Gas Pipeline located in Jefferson project is considered a ‘‘Comment on a receive e-mail notification when a County, Kentucky, and two mainline Filing’’; or document is added to a subscribed block valves to be located along the (3) You may file a paper copy of your pipeline. docket(s). For assistance with any FERC comments at the following address: The EA has been placed in the public Online service, please e-mail Kimberly D. Bose, Secretary, Federal [email protected], or call files of the FERC and is available for public viewing on the FERC’s Web site Energy Regulatory Commission, 888 (866) 208–3676 (toll free). For TTY, call First Street, NE., Room 1A, Washington, (202) 502–8659. at http://www.ferc.gov using the eLibrary link. A limited number of DC 20426. Comment Date: 5 p.m. Eastern Time Although your comments will be on April 25, 2011. copies of the EA are available for distribution and public inspection at: considered by the Commission, simply Dated: April 5, 2011. Federal Energy Regulatory Commission, filing comments will not serve to make Kimberly D. Bose, Public Reference Room, 888 First Street, the commenter a party to the Secretary. NE., Room 2A, Washington, DC 20426, proceeding. Any person seeking to [FR Doc. 2011–8766 Filed 4–12–11; 8:45 am] (202) 502–8371. become a party to the proceeding must file a motion to intervene pursuant to BILLING CODE 6717–01–P Copies of the EA have been mailed to Federal, State, and local government Rule 214 of the Commission’s Rules of representatives and agencies; elected Practice and Procedures (18 CFR DEPARTMENT OF ENERGY officials; Native American tribes; 385.214).1 Only intervenors have the potentially affected landowners and right to seek rehearing of the Federal Energy Regulatory other interested individuals and groups; Commission’s decision. Commission and newspapers in the project area; and Affected landowners and parties with [Docket No. CP11–27–000] parties to this proceeding. environmental concerns may be granted Any person wishing to comment on intervenor status upon showing good Duke Energy Indiana, Inc.; Notice of the EA may do so. Your comments cause by stating that they have a clear Availability of the Environmental should focus on the potential and direct interest in this proceeding Assessment for the Proposed environmental effects, reasonable which would not be adequately Gallagher Station Pipeline Project alternatives, and measures to avoid or represented by any other parties. You do lessen environmental impacts. The more not need intervenor status to have your The staff of the Federal Energy specific your comments, the more useful comments considered. Regulatory Commission (FERC or they will be. To ensure that your Additional information about the Commission) has prepared an comments are properly recorded and project is available from the environmental assessment (EA) for the considered prior to a Commission Commission’s Office of External Affairs, Gallagher Station Pipeline Project decision on the proposal, it is important at (866) 208–FERC or on the FERC Web proposed by Duke Energy Indiana, Inc. that the FERC receives your comments site (http://www.ferc.gov) using the (DEI) in the above-referenced docket. in Washington, DC on or before May 6, eLibrary link. Click on the eLibrary link, DEI requests authorization to construct, 2011. click on ‘‘General Search’’ and enter the operate, and maintain a new natural gas For your convenience, there are three docket number excluding the last three pipeline in Floyd and Harrison methods you can use to submit your digits in the Docket Number field (i.e., Counties, Indiana and Jefferson County, comments to the Commission. In all CP11–27). Be sure you have selected an Kentucky. instances, please reference the project appropriate date range. For assistance, The EA assesses the potential docket number (CP11–27–000) with please contact FERC Online Support at environmental effects of the your submission. The Commission [email protected] or toll free construction and operation of the encourages electronic filing of at (866) 208–3676, or for TTY, contact Gallagher Station Pipeline Project in comments and has dedicated eFiling (202) 502–8659. The eLibrary link also accordance with the requirements of the expert staff available to assist you at provides access to the texts of formal National Environmental Policy Act of (202) 502–8258 or [email protected]. documents issued by the Commission, 1969 (NEPA). The FERC staff concludes (1) You may file your comments such as orders, notices, and that approval of the proposed project, electronically by using the eComment rulemakings. with appropriate mitigating measures, feature, which is located on the would not constitute a major Federal Commission’s Web site at http:// 1 Interventions may also be filed electronically via action significantly affecting the quality www.ferc.gov under the link to the Internet in lieu of paper. See the previous of the human environment. Documents and Filings. An eComment discussion on filing comments electronically.

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In addition, the Commission offers a You may also register online at EventsList.aspx along with other related free service called eSubscription which http://www.ferc.gov/docs-filing/ information. allows you to keep track of all formal esubscription.asp to be notified via e- For further information, please issuances and submittals in specific mail of new filings and issuances contact Kim A. Nguyen at (202) 502– dockets. This can reduce the amount of related to this or other pending projects. 6105 or at [email protected]. time you spend researching proceedings For assistance, contact FERC Online Dated: April 6, 2011. by automatically providing you with Support. Kimberly D. Bose, notification of these filings, document All comments must be filed by Secretary. summaries, and direct links to the Tuesday, May 31, 2011, and should documents. Go to http://www.ferc.gov/ reference Project No. 2149–152. [FR Doc. 2011–8767 Filed 4–12–11; 8:45 am] esubscribenow.htm. Comments may be filed electronically BILLING CODE 6717–01–P Dated: April 6, 2011. via the Internet. See 18 CFR 385.2001(a)(1)(iii) and the instructions Kimberly D. Bose, DEPARTMENT OF ENERGY on the Commission’s Web site (http:// Secretary. www.ferc.gov/docs-filing/ferconline.asp) [FR Doc. 2011–8769 Filed 4–12–11; 8:45 am] Federal Energy Regulatory under the ‘‘eFiling’’ link. For a simpler Commission BILLING CODE 6717–01–P method of submitting text only comments, click on ‘‘Quick Comment.’’ [Docket No. PR10–102–001] For assistance, please contact FERC DEPARTMENT OF ENERGY Online Support. Although the Hattiesburg Industrial Gas Sales, L.L.C.; Notice of Filing Federal Energy Regulatory Commission strongly encourages Commission electronic filing, documents may also be Take notice that on April 1, 2011, paper-filed. To paper-file, mail an Hattiesburg Industrial Gas Sales, L.L.C. [Project No. 2149–152] original and seven copies to: Kimberly (Hattiesburg) filed a revised Statement D. Bose, Secretary, Federal Energy Wells Hydroelectric Project; Notice of of Operating Conditions to comply with Regulatory Commission, 888 First a Commission order issued on March Availability of the Draft Environmental Street, NE., Washington, DC 20426. Impact Statement for the Wells 28, 2011, (134 FERC ¶ 61,236) as more Anyone may intervene in this fully described in the filing. Hydrolectric Project and Intention To proceeding based on this draft EIS (18 Hold Public Meetings Any person desiring to participate in CFR 380.10). You must file your request this rate filing must file in accordance In accordance with the National to intervene as specified above.1 You do with Rules 211 and 214 of the Environmental Policy Act of 1969 and not need intervenor status to have your Commission’s Rules of Practice and the Federal Energy Regulatory comments considered. Procedure (18 CFR 385.211 and Commission (Commission or FERC) In addition to or in lieu of sending 385.214). Protests will be considered by regulations contained in the Code of written comments, you are invited to the Commission in determining the Federal Regulations (CFR) (18 CFR part attend a public meeting that will be held appropriate action to be taken, but will 380 [FERC Order No. 486, 52 FR to receive comments on the draft EIS. not serve to make protestants parties to 47897]), the Office of Energy Projects The time and location of the meeting is the proceeding. Any person wishing to has reviewed the application for license as follows: become a party must file a notice of for the Wells Hydroelectric Project Evening Meeting intervention or motion to intervene, as (FERC No. 2149), located on the appropriate. Such notices, motions, or Columbia River in Douglas, Okanogan, Date: May 12, 2011. protests must be filed on or before the and Chelan counties, Washington, and Time: 6:30 p.m.–8:30 p.m. date as indicated below. Anyone filing has prepared a draft environmental Place: Douglas PUD Auditorium, an intervention or protest must serve a impact statement (EIS) for the project. Address: 1151 Valley Mall Parkway, copy of that document on the Applicant. The project occupies 8.60 acres of U.S. East Wenatchee, WA. Anyone filing an intervention or protest Bureau of Land Management land and Morning Meeting on or before the intervention or protest 6.55 acres of U.S. Army Corps of date need not serve motions to intervene Date: May 13, 2011. Engineers land. or protests on persons other than the Time: 10 a.m.–12 p.m. The draft EIS contains staff’s analysis Applicant. Place: Douglas PUD Auditorium, of the applicant’s proposal and the The Commission encourages Address: 1151 Valley Mall Parkway, alternatives for relicensing the Wells electronic submission of protests and East Wenatchee, WA. Project. The draft EIS documents the interventions in lieu of paper using the At these meetings, resource agency views of governmental agencies, non- ‘‘eFiling’’ link at http://www.ferc.gov. personnel and other interested persons governmental organizations, affected Persons unable to file electronically will have the opportunity to provide Indian tribes, the public, the license should submit an original and 7 copies oral and written comments and applicant, and Commission staff. of the protest or intervention to the recommendations regarding the draft A copy of the draft EIS is available for Federal Energy Regulatory Commission, EIS. The meetings will be recorded by review at the Commission or may be 888 First Street, NE., Washington, DC a court reporter, and all statements viewed on the Commission’s Web site at 20426. (verbal and written) will become part of http://www.ferc.gov, using the ‘‘e- This filing is accessible on-line at the Commission’s public record for the Library’’ link. Enter the docket number, http://www.ferc.gov, using the project. This meeting is posted on the excluding the last three digits, to access ‘‘eLibrary’’ link and is available for Commission’s calendar located at the document. For assistance, contact review in the Commission’s Public http://www.ferc.gov/EventCalendar/ FERC Online Support at Reference Room in Washington, DC. ‘‘ ’’ [email protected] or toll- 1 Interventions may also be filed electronically via There is an eSubscription link on the free at (866) 208–3676, or for TTY, the Internet in lieu of paper. See the previous Web site that enables subscribers to contact (202) 502–8659. discussion on filing comments electronically. receive e-mail notification when a

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document is added to a subscribed There is an ‘‘eSubscription’’ link on the following: (1) A new 20-foot-wide docket(s). For assistance with any FERC Web site that enables subscribers to concrete intake structure with trash Online service, please e-mail receive e-mail notification when a racks and intake gates; (2) a new 325- [email protected], or call document is added to a subscribed foot-long, 72-inch-diameter steel (866) 208–3676 (toll free). For TTY, call docket(s). For assistance with any FERC penstock from the intake structure to the (202) 502–8659. Online service, please e-mail powerhouse; (3) a new 50-foot by 40- Comment Date: 5 p.m. Eastern Time [email protected], or call foot reinforced concrete powerhouse on Tuesday, April 12, 2011. (866) 208–3676 (toll free). For TTY, call containing one Kaplan turbine with a Dated: April 5, 2011. (202) 502–8659. capacity of 1.2 megawatts; (4) a new substation; (5) a new approximately Kimberly D. Bose, Comment Date: 5 p.m. Eastern time on Tuesday April 12, 2011. 1,400-foot-long, 34.5–69 kilovolt Secretary. Dated: April 5, 2011. transmission line which will tie into an [FR Doc. 2011–8768 Filed 4–12–11; 8:45 am] undetermined interconnection; and Kimberly D. Bose, BILLING CODE 6717–01–P (6) appurtenant facilities. The estimated Secretary. annual generation of the Easton Dam [FR Doc. 2011–8764 Filed 4–12–11; 8:45 am] project would be 5.0 gigawatt-hours. DEPARTMENT OF ENERGY BILLING CODE 6717–01–P Applicant Contact: Ramya Swaminthan, Qualified Hydro 25, LLC, Federal Energy Regulatory 33 Commercial St., Gloucester, MA Commission DEPARTMENT OF ENERGY 01930; phone: (978) 283–2822. [Docket No. PR11–100–000] FERC Contact: Ryan Hansen (202) Federal Energy Regulatory 502–8074 or by e-mail at Consumers Energy Company; Notice Commission [email protected]. of Filing [Project No. 13850–000] Deadline for filing comments, motions to intervene, competing applications Take notice that on March 30, 2011, Qualified Hydro 25, LLC; Notice of (without notices of intent), or notices of Consumers Energy Company filed to Preliminary Permit Application intent to file competing applications: 30 provide notice of its cancellation of its Accepted for Filing and Soliciting Days from the issuance of this notice. Terms and Conditions for Interstate Gas Comments, Motions To Intervene, and Competing applications and notices of Transportation proposed to be effective Competing Applications intent must meet the requirements of 18 March 31, 2011, as more fully described CFR 4.36. Comments, motions to in the filing. On September 30, 2010, Qualified intervene, notices of intent, and Any person desiring to participate in Hydro 25, LLC filed an application for competing applications may be filed this rate filing must file in accordance a preliminary permit, pursuant to electronically via the Internet. See 18 with Rules 211 and 214 of the section 4(f) of the Federal Power Act CFR 385.2001(a)(1)(iii) and the Commission’s Rules of Practice and (FPA), proposing to study the feasibility instructions on the Commission’s Web Procedure (18 CFR 385.211 and of the Easton Diversion Dam site http://www.ferc.gov/docs-filing/ 385.214). Protests will be considered by Hydroelectric Project (Easton Dam efiling.asp. Commenters can submit the Commission in determining the project) to be located on the Yakima brief comments up to 6,000 characters, appropriate action to be taken, but will River near Easton in Kittitas County, without prior registration, using the not serve to make protestants parties to Washington. The sole purpose of a eComment system at http:// the proceeding. Any person wishing to preliminary permit, if issued, is to grant www.ferc.gov/docs-filing/ become a party must file a notice of the permit holder priority to file a ecomment.asp. You must include your intervention or motion to intervene, as license application during the permit name and contact information at the end appropriate. Such notices, motions, or term. A preliminary permit does not of your comments. For assistance, protests must be filed on or before the authorize the permit holder to perform please contact FERC Online Support. date as indicated below. Anyone filing any land-disturbing activities or Although the Commission strongly an intervention or protest must serve a otherwise enter upon lands or waters encourages electronic filing, documents copy of that document on the Applicant. owned by others without the owners’ may also be paper-filed. To paper-file, Anyone filing an intervention or protest express permission. mail an original and seven copies to: on or before the intervention or protest The Commission issued a notice on Kimberly D. Bose, Secretary, Federal date need not serve motions to intervene February 16, 2011, accepting the Energy Regulatory Commission, 888 or protests on persons other than the application and soliciting comments, First Street, NE., Washington, DC 20426. Applicant. motions to intervene, and competing More information about this project, The Commission encourages applications within a 60-day period. On including a copy of the application, can electronic submission of protests and March 31, 2011, the Kittitas be viewed or printed on the ‘‘eLibrary’’ interventions in lieu of paper using the Reclamation District filed a letter with link of Commission’s Web site at ‘‘eFiling’’ link at http://www.ferc.gov. the Commission stating they were not http://www.ferc.gov/docs-filing/ Persons unable to file electronically notified of the preliminary permit elibrary.asp. Enter the docket number should submit an original and 7 copies application. This notice is extending the (P–13850–000) in the docket number of the protest or intervention to the period for soliciting comments, motions field to access the document. For Federal Energy Regulatory Commission, to intervene, and competing assistance, contact FERC Online 888 First Street, NE., Washington, DC applications for an additional 30 days. Support. 20426. The proposed project would utilize This filing is accessible on-line at the existing 66-foot-high, 248-foot-long Dated: April 7, 2011. http://www.ferc.gov, using the concrete gravity dam and gated outlet Kimberly D. Bose, ‘‘eLibrary’’ link and is available for on the Yakima River, owned and Secretary. review in the Commission’s Public operated by the U.S. Bureau of [FR Doc. 2011–8888 Filed 4–12–11; 8:45 am] Reference Room in Washington, DC. Reclamation, and will consist of the BILLING CODE 6717–01–P

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DEPARTMENT OF ENERGY at (866) 206–3676, or, for TTY, contact ADDRESSES: Submit your comments, (202) 502–8659. Comments, protests and identified by docket identification (ID) Federal Energy Regulatory interventions may be filed electronically number EPA–HQ–OPPT–2010–0911, by Commission via the Internet in lieu of paper. See, 18 one of the following methods: • [Docket No. CP11–168–000] CFR 385.2001(a)(1)(iii) and the Federal eRulemaking Portal: http:// instructions on the Commission’s Web www.regulations.gov. Follow the on-line Eastern Shore Natural Gas Company; site under the ‘‘e-Filing’’ link. The instructions for submitting comments. • Notice of Request Under Blanket Commission strongly encourages Mail: Document Control Office Authorization intervenors to file electronically. (7407M), Office of Pollution Prevention Any person or the Commission’s staff and Toxics (OPPT), Environmental Take notice that on April 1, 2011, may, within 60 days after issuance of Protection Agency, 1200 Pennsylvania Eastern Shore Natural Gas Company the instant notice by the Commission, Ave., NW., Washington, DC 20460– (Eastern Shore), 1110 Forrest Avenue, file pursuant to Rule 214 of the 0001. • Dover, Delaware, 19904, pursuant to its Commission’s Procedural Rules (18 CFR Hand Delivery: OPPT Document blanket certificate issued in Docket No. 385.214) a motion to intervene or notice Control Office (DCO), EPA East, Rm. 1 CP96–128–000, filed an application in of intervention and pursuant to section 6428, 1201 Constitution Ave., NW., accordance to sections 157.205(b), 157.205 of the regulations under the Washington, DC. Attention: Docket ID 157.208(c), and 157.210 of the NGA (18 CFR 157.205), a protest to the Number EPA–HQ–OPPT–2010–0911. Commission’s Regulations under the request. If no protest is filed within the The DCO is open from 8 a.m. to 4 p.m., Natural Gas Act (NGA) as amended, for time allowed therefore, the proposed Monday through Friday, excluding legal the construction, ownership, and activity shall be deemed to be holidays. The telephone number for the operation of new mainline facilities in authorized effective the day after the DCO is (202) 564–8930. Such deliveries New Castle County, Delaware, all as time allowed for filing a protest. If a are only accepted during the DCO’s more fully set forth in the application, protest is filed and not withdrawn normal hours of operation, and special which is on file with the Commission within 30 days after the allowed time arrangements should be made for and open to public inspection. for filing a protest, the instant request deliveries of boxed information. In order to provide additional firm shall be treated as an application for Instructions: Direct your comments to natural gas transportation service to authorization pursuant to section 7 of docket ID number EPA–HQ–OPPT– Delaware City Refining Company LLC 2010–0911. EPA’s policy is that all the NGA. (DCRC), Eastern Shore proposes to comments received will be included in construct, own, operate, and maintain Dated: April 7, 2011. the docket without change and may be about 0.7 miles of new sixteen-inch Kimberly D. Bose, made available online at http:// steel pipeline looping along the existing Secretary. www.regulations.gov, including any corridor of Porter Road, and about 0.26 [FR Doc. 2011–8889 Filed 4–12–11; 8:45 am] personal information provided, unless miles of new ten-inch steel pipeline BILLING CODE 6717–01–P the comment includes information looping along the existing corridor of claimed to be Confidential Business School House Road in New Castle Information (CBI) or other information County, Delaware. Eastern Shore has ENVIRONMENTAL PROTECTION whose disclosure is restricted by statute. entered into a binding Precedent AGENCY Do not submit information that you Agreement with DCRC in which DCRC consider to be CBI or otherwise has agreed to execute a nine-and-a half- [EPA–HQ–OPPT–2010–0911; FRL–8869–2] protected through regulations.gov or e- mail. The regulations.gov Web site is an year FT Service Agreement with Eastern Agency Information Collection ‘‘anonymous access’’ system, which Shore to provide additional natural gas Activities; Proposed Collection; means EPA will not know your identity transportation service of 3,405 dts/day Comment Request under Eastern Shore’s maximum FT or contact information unless you Zone One Tariff Rate on file with the AGENCY: Environmental Protection provide it in the body of your comment. Commission. The total estimate cost of Agency (EPA). If you send an e-mail comment directly the proposed facilities is $1,733,975. ACTION: Notice. to EPA without going through Eastern Shore proposes the facilities to regulations.gov, your e-mail address be completed and placed into service by SUMMARY: In compliance with the will be automatically captured and November 1, 2011. Paperwork Reduction Act (PRA) (44 included as part of the comment that is Any questions concerning this U.S.C. 3501 et seq.), this document placed in the docket and made available application may be directed to Glen announces that EPA is planning to on the Internet. If you submit an DiEleuterio, Project Manager, at (302) submit a request to renew an existing electronic comment, EPA recommends 734–6710, ext. 6723 or via fax (302) approved Information Collection that you include your name and other 734–6745, or e-mail at Request (ICR) to the Office of contact information in the body of your [email protected]. Management and Budget (OMB). This comment and with any disk or CD–ROM This filing is available for review at ICR, entitled: ‘‘Lead-Based Paint Pre- you submit. If EPA cannot read your the Commission or may be viewed on Renovation Information comment due to technical difficulties the Commission’s Web site at http:// Dissemination—TSCA Section 406(b)’’ and cannot contact you for clarification, www.ferc.gov, using the ‘‘eLibrary’’ link. and identified by EPA ICR No. 1669.06 EPA may not be able to consider your Enter the docket number excluding the and OMB Control No. 2070–0158, is comment. Electronic files should avoid last three digits in the docket number scheduled to expire on August 31, 2011. the use of special characters, any form filed to access the document. For Before submitting the ICR to OMB for of encryption, and be free of any defects assistance, please contact FERC Online review and approval, EPA is soliciting or viruses. Support at FERC comments on specific aspects of the Docket: All documents in the docket [email protected] or call toll-free proposed information collection. are listed in the docket index available DATES: Comments must be received on at http://www.regulations.gov. Although 1 81 FERC ¶ 61,013 (1997). or before June 13, 2011. listed in the index, some information is

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not publicly available, e.g., CBI or other 4. Minimize the burden of the appropriate means, such as on the information whose disclosure is collection of information on those who related collection instrument or form, if restricted by statute. Certain other are to respond, including through the applicable. The display of OMB control material, such as copyrighted material, use of appropriate automated electronic, numbers for certain EPA regulations is will be publicly available only in hard mechanical, or other technological consolidated in 40 CFR part 9. copy. Publicly available docket collection techniques or other forms of Abstract: This information collection materials are available electronically at information technology, e.g., permitting involves third-party notification to http://www.regulations.gov, or, if only electronic submission of responses. In owners and occupants of housing that available in hard copy, at the OPPT particular, EPA is requesting comments will inform such individuals about the Docket. The OPPT Docket is located in from very small businesses (those that dangers of lead-contaminated dust and the EPA Docket Center (EPA/DC) at Rm. employ less than 25) on examples of lead-based paint debris that are 3334, EPA West Bldg., 1301 specific additional efforts that EPA sometimes generated during renovations Constitution Ave., NW., Washington, could make to reduce the paperwork of housing where lead-based paint is DC. The EPA/DC Public Reading Room burden for very small businesses present, thereby aiding them in avoiding hours of operation are 8:30 a.m. to 4:30 affected by this collection. potentially hazardous exposures and p.m., Monday through Friday, excluding protecting public health. Since young II. What should I consider when I legal holidays. The telephone number of children are especially susceptible to prepare my comments for EPA? the EPA/DC Public Reading Room is the hazards of lead, owners and (202) 566–1744, and the telephone You may find the following occupants with children can take action number for the OPPT Docket is (202) suggestions helpful for preparing your to protect their children from lead 566–0280. Docket visitors are required comments: poisonings. Section 406(b) of the Toxic to show photographic identification, 1. Explain your views as clearly as Substances Control Act (TSCA) requires pass through a metal detector, and sign possible and provide specific examples. EPA to promulgate regulations requiring the EPA visitor log. All visitor bags are 2. Describe any assumptions that you certain persons who perform processed through an X-ray machine used. renovations for compensation on target and subject to search. Visitors will be 3. Provide copies of any technical housing to provide a lead hazard provided an EPA/DC badge that must be information and/or data you used that information pamphlet (developed under visible at all times in the building and support your views. TSCA section 406(a)) to the owner and returned upon departure. 4. If you estimate potential burden or occupants of such housing prior to costs, explain how you arrived at the beginning the renovation. Further, the FOR FURTHER INFORMATION CONTACT: For estimate that you provide. firm performing the renovation must technical information contact: Michelle 5. Provide specific examples to keep records acknowledging receipt of Price, National Program Chemicals illustrate your concerns. the pamphlet on file for three years after Division (7407T), Office of Pollution 6. Offer alternative ways to improve completion of work. Those who fail to Prevention and Toxics, Environmental the collection activity. provide the pamphlet or keep records as Protection Agency, 1200 Pennsylvania 7. Make sure to submit your required may be subject to both civil Ave., NW., Washington, DC 20460– comments by the deadline identified and criminal sanctions. 0001; telephone number: (202) 566– under DATES. Responses to the collection of 0744; fax number: (202) 566–0741; e- 8. To ensure proper receipt by EPA, information are mandatory (see 40 CFR mail address: [email protected]. be sure to identify the docket ID number part 745, subpart E). Respondents may For general information contact: The assigned to this action in the subject claim all or part of a document TSCA–Hotline, ABVI–Goodwill, 422 line on the first page of your response. confidential. EPA will disclose South Clinton Ave., Rochester, NY You may also provide the name, date, information that is covered by a claim 14620; telephone number: (202) 554– and Federal Register citation. of confidentiality only to the extent 1404; e-mail address: TSCA– permitted by, and in accordance with, [email protected]. III. What information collection activity the procedures in TSCA section 14 and or ICR does this action apply to? 40 CFR part 2. SUPPLEMENTARY INFORMATION: Affected entities: Entities potentially Burden statement: The annual public I. What information is EPA particularly affected by this ICR are persons who reporting and recordkeeping burden for interested in? perform renovations for compensation this collection of information is on housing constructed prior to 1978. estimated to average 0.23 hours per Pursuant to section 3506(c)(2)(A) of Title: Lead-Based Paint Pre- response. Burden means the total time, PRA, EPA specifically solicits Renovation Information effort, or financial resources expended comments and information to enable it Dissemination—TSCA Section 406(b). by persons to generate, maintain, retain, to: ICR numbers: EPA ICR No. 1669.06, or disclose or provide information to or 1. Evaluate whether the proposed OMB Control No. 2070–0158. for a Federal agency. This includes the collection of information is necessary ICR status: This ICR is currently time needed to review instructions; for the proper performance of the scheduled to expire on August 31, 2011. develop, acquire, install, and utilize functions of the Agency, including An Agency may not conduct or sponsor, technology and systems for the purposes whether the information will have and a person is not required to respond of collecting, validating, and verifying practical utility. to, a collection of information, unless it information, processing and 2. Evaluate the accuracy of the displays a currently valid OMB control maintaining information, and disclosing Agency’s estimates of the burden of the number. The OMB control numbers for and providing information; adjust the proposed collection of information, EPA’s regulations in title 40 of the Code existing ways to comply with any including the validity of the of Federal Regulations (CFR), after previously applicable instructions and methodology and assumptions used. appearing in the Federal Register when requirements which have subsequently 3. Enhance the quality, utility, and approved, are listed in 40 CFR part 9, changed; train personnel to be able to clarity of the information to be are displayed either by publication in respond to a collection of information; collected. the Federal Register or by other search data sources; complete and

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review the collection of information; ENVIRONMENTAL PROTECTION Information Docket in the EPA Docket and transmit or otherwise disclose the AGENCY Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., NW., information. [EPA–HQ–OARM–2010–0989; FRL–9294–3] The ICR provides a detailed Washington, DC. The EPA/DC Public Reading Room is open from 8 a.m. to explanation of this estimate, which is Agency Information Collection 4:30 p.m., Monday through Friday, only briefly summarized here: Activities; Proposed Collection; Comment Request; Contractor excluding legal holidays. The telephone Estimated total number of potential Conflicts of Interest number for the Reading Room is 202– respondents: 320,504. 566–1744, and the telephone number for Frequency of response: On occasion. AGENCY: Environmental Protection the Office of Environmental Information Agency (EPA). Docket is 202–566–1752. Estimated total average number of ACTION: Notice. Use EPA’s electronic docket and responses for each respondent: 35.4. comment system at http:// Estimated total annual burden hours: SUMMARY: In compliance with the www.regulations.gov, to submit or view 2,577,280 hours. Paperwork Reduction Act (PRA) (44 public comments, access the index U.S.C. 3501 et seq.), this document Estimated total annual costs: listing of the contents of the docket, and announces that an Information to access those documents in the docket $140,498,539. This includes an Collection Request (ICR) has been that are available electronically. Once in estimated burden cost of $140,498,539 forwarded to the Office of Management the system, select ‘‘docket search,’’ then and an estimated cost of $0 for capital and Budget (OMB) for review and key in the docket ID number identified investment or maintenance and approval. This is a request to renew an above. Please note that EPA’s policy is operational costs. existing approved collection. The ICR, that public comments, whether IV. Are there changes in the estimates which is abstracted below, describes the submitted electronically or in paper, from the last approval? nature of the information collection and will be made available for public its estimated burden and cost. viewing at http://www.regulations.gov There is a decrease of 545,206 hours DATES: Comments must be submitted on as EPA receives them and without in the total estimated respondent or before May 13, 2011. change, unless the comment contains copyrighted material, confidential burden compared with that identified in ADDRESSES: Submit your comments, the ICR currently approved by OMB. referencing Docket ID No. EPA–HQ– business information (CBI), or other information whose public disclosure is This decrease reflects EPA’s change in OARM–2010–0989 to, (1) EPA online restricted by statute. For further methodology for calculating the number using http://www.regulations.gov (our information about the electronic docket, of target housing renovation events to preferred method), by e-mail to that used in the 2008 Renovation, go to http://www.regulations.gov. [email protected], or by mail to: EPA Title: Contractor Conflicts of Interest. Repair, and Painting rule analysis. The Docket Center, Environmental ICR numbers: EPA ICR No. 1550.09, supporting statement provides Protection Agency, Office of OMB Control No. 2030–0023. additional information. This change is Environmental Information (OEI) ICR Status: This ICR is scheduled to an adjustment. Docket, Mailcode 2822T, 1200 expire on May 31, 2011. Under OMB Pennsylvania Ave., NW., Washington, V. What is the next step in the process regulations, the Agency may continue to DC 20460, and (2) OMB by mail to: conduct or sponsor the collection of for this ICR? Office of Information and Regulatory information while this submission is EPA will consider the comments Affairs, Office of Management and pending at OMB. An Agency may not Budget (OMB), Attention: Desk Officer received and amend the ICR as conduct or sponsor, and a person is not for EPA, 725 17th Street, NW., appropriate. The final ICR package will required to respond to, a collection of Washington, DC 20503. then be submitted to OMB for review information, unless it displays a FOR FURTHER INFORMATION CONTACT: and approval pursuant to 5 CFR currently valid OMB control number. Daniel Humphries, Office of Acquisition The OMB control numbers for EPA’s 1320.12. EPA will issue another Federal Management, 3802R, Environmental regulations in title 40 of the CFR, after Register notice pursuant to 5 CFR Protection Agency, 1200 Pennsylvania appearing in the Federal Register when 1320.5(a)(1)(iv) to announce the Avenue, NW., Washington, DC 20460; approved, are listed in 40 CFR part 9, submission of the ICR to OMB and the telephone number: (202) 564–4377; e- are displayed either by publication in opportunity to submit additional mail address: the Federal Register or by other comments to OMB. If you have any [email protected]. appropriate means, such as on the questions about this ICR or the approval EPA has submitted the following ICR related collection instrument or form, if process, please contact the technical to OMB for review and approval applicable. The display of OMB control person listed under FOR FURTHER according to the procedures prescribed numbers in certain EPA regulations is INFORMATION CONTACT. in 5 CFR 1320.12. On January 25, 2011, consolidated in 40 CFR part 9. Abstract: EPA contractors will be List of Subjects 76 FR 4343, EPA sought comments on this ICR pursuant to 5 CFR 1320.8(d). required to disclose business Environmental protection, Reporting EPA received no comments. Any relationships and corporate affiliations and recordkeeping requirements. additional comments on this ICR should to determine whether EPA’s interests be submitted to EPA and OMB within are jeopardized by such relationships. Dated: April 6, 2011. 30 days of this notice. Because EPA has the dual responsibility Stephen A. Owens, EPA has established a public docket of cleanup and enforcement and Assistant Administrator, Office of Chemical for this ICR under Docket ID No. EPA– because its contractors are often Safety and Pollution Prevention. HQ–OARM–2010–0989, which is involved in both activities, it is [FR Doc. 2011–8883 Filed 4–12–11; 8:45 am] available for online viewing at http:// imperative that contractors are free from BILLING CODE 6560–50–P www.regulations.gov, or in person conflicts of interest so as not to viewing at the Office of Environmental prejudice response and enforcement

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actions. Contractors will be required to U.S.C. 3501 et seq.), this document will be made available for public maintain a database of business announces that an Information viewing at http://www.regulations.gov relationships and report information to Collection Request (ICR) has been as EPA receives them and without EPA on either an annual basis or when forwarded to the Office of Management change, unless the comment contains each work order is issued. and Budget (OMB) for review and copyrighted material, confidential Burden Statement: The annual public approval. This is a request to renew an business information (CBI), or other reporting and recordkeeping burden for existing approved collection. The ICR, information whose public disclosure is this collection of information is which is abstracted below, describes the restricted by statute. For further estimated to average 1,138 hours per nature of the information collection and information about the electronic docket, response. Burden means the total time, its estimated burden and cost. go to http://www.regulations.gov. effort, or financial resources expended DATES: Additional comments may be Title: Federal Implementation Plans by persons to generate, maintain, retain, submitted on or before May 13, 2011. under the Clean Air Act for Indian or disclose or provide information to or ADDRESSES: Submit your comments, Reservations in Idaho, Oregon, and for a Federal agency. This includes the identified by Docket ID No. EPA–R10– Washington (Renewal). time needed to review instructions; OAR–2010–0858, to (1) EPA online ICR number: EPA ICR No. 2020.05, develop, acquire, install, and utilize using http://www.regulations.gov (our OMB Control No. 2060–0558. ICR status: This ICR is scheduled to technology and systems for the purposes preferred method), by email to expire on May 31, 2011. Under OMB of collecting, validating, and verifying [email protected], or by mail to: regulations, the Agency may continue to information, processing and Justin A Spenillo, Environmental conduct or sponsor the collection of maintaining information, and disclosing Protection Agency Region 10, Office of information while this submission is and providing information; adjust the Air, Waste and Toxics (AWT–107), 1200 pending at OMB. An Agency may not existing ways to comply with any Sixth Avenue, Suite 900, Seattle, WA conduct or sponsor, and a person is not previously applicable instructions and 98101; and (2) OMB by mail to: Office required to respond to, a collection of requirements which have subsequently of Information and Regulatory Affairs, information, unless it displays a changed; train personnel to be able to Office of Management and Budget currently valid OMB control number. respond to a collection of information; (OMB), Attention: Desk Officer for EPA, The OMB control numbers for EPA’s search data sources; complete and 725 17th Street, NW., Washington, DC regulations in title 40 of the CFR, after review the collection of information; 20503. and transmit or otherwise disclose the appearing in the Federal Register when FOR FURTHER INFORMATION CONTACT: information. approved, are listed in 40 CFR part 9, Respondents/Affected Entities: 135. Justin A Spenillo, Office of Air, Waste and are displayed either by publication Estimated Number of Respondents: and Toxics (AWT–107), Environmental in the Federal Register or by other 135. Protection Agency Region 10, 1200 appropriate means, such as on the Frequency of Response: annual. Sixth Avenue, Seattle, WA 98101; related collection instrument or form, if Estimated Total Annual Hour Burden: telephone number: (206) 553–6125; fax applicable. The display of OMB control 153,626. number: (206) 553–0110; e-mail address: numbers in certain EPA regulations is Estimated Total Annual Cost: [email protected]. consolidated in 40 CFR part 9. $9,858,202.20 includes $0 annualized SUPPLEMENTARY INFORMATION: EPA has Abstract: EPA promulgated Federal capital or O&M costs. submitted the following ICR to OMB for Implementation Plans (FIPs) under the Changes in the Estimates: There is no review and approval according to the Clean Air Act for Indian reservations change in the hours in the total procedures prescribed in 5 CFR 1320.12. located in Idaho, Oregon, and estimated burden currently identified in On October 29, 2010 (75 FR 66754), EPA Washington in 40 CFR part 49 (70 FR the OMB Inventory of Approved ICR sought comments on this ICR pursuant 18074, April 8, 2005). The FIPs in the Burdens. to 5 CFR 1320.8(d). EPA received no final rule, also referred to as the Federal Dated: April 7, 2011. comments. Any additional comments on Air Rules for Indian Reservations in John Moses, this ICR should be submitted to EPA Idaho, Oregon, and Washington (FARR), include information collection Director, Collection Strategies Division. and OMB within 30 days of this notice. EPA has established a public docket requirements associated with the [FR Doc. 2011–8866 Filed 4–12–11; 8:45 am] for this ICR under Docket ID No. EPA– fugitive particulate matter rule in BILLING CODE 6560–50–P R10–OAR–2010–0858, which is § 49.126, the woodwaste burner rule in available for online viewing at http:// § 49.127; the rule for limiting sulfur in fuels in § 49.130; the rule for open ENVIRONMENTAL PROTECTION www.regulations.gov, or in person burning in § 49.131; the rules for general AGENCY viewing during normal business hours at Environmental Protection Agency open burning permits, agricultural [EPA–R10–OAR–2010–0858; FRL–9294–1] Region 10, Office of Air, Waste and burning permits, and forestry and Toxics (AWT–107), 1200 Sixth Avenue, silvicultural burning permits in Agency Information Collection Seattle, WA. §§ 49.132, 49.133, and 49.134; the Activities; Submission to OMB for Use EPA’s electronic docket and registration rule in § 49.138; and the Review and Approval; Comment comment system at http:// rule for non-Title V operating permits in Request; Federal Implementation www.regulations.gov, to submit or view § 49.139. EPA uses this information to Plans Under the Clean Air Act for public comments, access the index manage the activities and sources of air Indian Reservations in Idaho, Oregon, listing of the contents of the docket, and pollution on the Indian reservations in and Washington to access those documents in the docket Idaho, Oregon, and Washington. EPA AGENCY: Environmental Protection that are available electronically. Once in believes these information collection Agency (EPA). the system, select ‘‘docket search,’’ then requirements are appropriate because ACTION: Notice. key in the docket ID number identified they will enable EPA to develop and above. Please note that EPA’s policy is maintain accurate records of air SUMMARY: In compliance with the that public comments, whether pollution sources and their emissions, Paperwork Reduction Act (PRA) (44 submitted electronically or in paper, track emissions trends and changes,

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identify potential air quality problems, the source consultations. For some Protection Agency, Office of Air and allow EPA to issue permits or approvals, provisions the estimates of the number Radiation, Office of Air Quality and ensure appropriate records are of respondents increased. Some Planning and Standards, Outreach and available to verify compliance with estimates changed based on additional Information Division, (C304–01), these FIPs. The information collection information EPA has gained through Research Triangle Park, North Carolina requirements listed above are all implementing the rules. 27711; telephone number: 919–541– mandatory. Regulated entities can assert Dated: April 6, 2011. 2808; fax number 919–541–0072; e-mail claims of business confidentiality and John Moses, address: [email protected]. EPA will address these claims in SUPPLEMENTARY INFORMATION: EPA has accordance with the provisions of 40 Director, Collection Strategies Division. [FR Doc. 2011–8868 Filed 4–12–11; 8:45 am] submitted the following ICR to OMB for CFR part 2, subpart B. review and approval according to the BILLING CODE 6560–50–P Burden Statement: The annual public procedures prescribed in 5 CFR 1320.12. reporting and recordkeeping burden for On November 29, 2010 (75 FR 73076), this collection of information is EPA sought comments on this ICR estimated to average 3 hours per ENVIRONMENTAL PROTECTION AGENCY pursuant to 5 CFR 1320.8(d). EPA response. Burden means the total time, received no comments. Any additional effort, or financial resources expended [EPA–HQ–OAR–2004–0093; FRL–9294–2] comments on this ICR should be by persons to generate, maintain, retain, submitted to EPA and OMB within 30 or disclose or provide information to or Agency Information Collection days of this notice. for a Federal agency. This includes the Activities; Submission to OMB for EPA has established a public docket time needed to review instructions; Review and Approval; Comment for this ICR under Docket ID No. EPA– develop, acquire, install, and utilize Request; Clean Air Act Tribal Authority HQ–OAR–2004–0093, which is technology and systems for the purposes (Renewal) available for public viewing on-line at of collecting, validating, and verifying http://www.regulations.gov, or in person information, processing and AGENCY: Environmental Protection viewing at the Air Docket in the EPA maintaining information, and disclosing Agency (EPA). Docket Center (EPA/DC), EPA West, and providing information; adjust the ACTION: Notice. Room 3334, 1301 Constitution Ave., existing ways to comply with any NW., Washington, DC. The EPA/DC previously applicable instructions and SUMMARY: In compliance with the Docket Center Public Reading Room is requirements which have subsequently Paperwork Reduction Act (PRA) (44 open from 8:30 a.m. to 4:30 p.m., changed; train personnel to be able to U.S.C. 3501 et seq.), this document Monday through Friday, excluding legal respond to a collection of information; announces that an Information holidays. The telephone number for the search data sources; complete and Collection Request (ICR) has been Reading Room is 202–566–1744, and the review the collection of information; forwarded to the Office of Management telephone number for the Air Docket is and transmit or otherwise disclose the and Budget (OMB) for review and 202–566–1742. information. approval. This is a request to renew an Respondents/Affected Entities: existing approved collection. The ICR, Use EPA’s electronic docket and Entities potentially affected by this which is abstracted below, describes the comment system at http:// action include owners and operators of nature of the collection and the www.regulations.gov, to submit or view emission sources in all industry groups estimated burden and cost. public comments, access the index and tribal, Federal, and local DATES: Additional comments may be listing of the contents of the docket, and governments, located on the identified submitted on or before May 13, 2011. to access those documents in the docket that are available electronically. Once in Indian reservations. ADDRESSES: Submit your comments, Estimated Number of Respondents: the system, select ‘‘docket search,’’ then referencing Docket ID Number EPA– key in the docket ID number identified 1,694. HQ–OAR–2004–0093, to (1) EPA online Frequency of Response: Annually and above. Please note that EPA’s policy is using www.regulations.gov (our that public comments, whether on occasion. preferred method), by e-mail a-and-r- Estimated Total Annual Hour Burden: submitted electronically or in paper, [email protected], or by mail to: EPA will be made available for public 6,245. Docket Center, Environmental Estimated Total Annual Cost: viewing at http://www.regulations.gov Protection Agency, Air and Radiation $396,245. This includes an estimated as EPA receives them and without Docket Information Center, Mail Code: labor cost of $396,245. Capital change, unless the comment contains 28221T, 1200 Pennsylvania Avenue, investment and operation and copyrighted material, Confidential NW., Washington, DC 20460, and (2) maintenance costs are assumed to be Business Information (CBI), or other OMB by mail to: Office of Information zero. information whose public disclosure is Changes in the estimates: There is an and Regulatory Affairs, Office of restricted by statute. For further increase of 1,956 hours in the total Management and Budget (OMB), information about the electronic docket, estimated burden currently identified in Attention: Desk Officer for EPA, 725 go to http://www.regulations.gov. the OMB Inventory of Approved ICR 17th Street, NW., Washington, DC Title: Clean Air Act Tribal Authority Burdens. This increase is the result of a 20503. (Renewal). number of changes. It reflects FOR FURTHER INFORMATION CONTACT: ICR numbers: EPA ICR No. 1676.06, adjustments to the burden estimates for Darrel Harmon, Office of Air and OMB Control No. 2060–0306. this collection using consultation input, Radiation, Immediate Office, (6101A), ICR Status: This ICR is scheduled to historical data, and experience with Environmental Protection Agency, 1200 expire on 05/31/2011. Under OMB implementing the FARR. Some Pennsylvania Ave., NW., Washington, regulations, the Agency may continue to components of the burden estimates DC 20460; telephone number: 202–564– conduct or sponsor the collection of increased and some components 7416; fax number: 202–564–0394; e-mail information while this submission is decreased. In most cases, the burden address: [email protected] or pending at OMB. An Agency may not estimates increased based on input from Danielle Dixon, Environmental conduct or sponsor, and a person is not

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required to respond to, a collection of FR 42251, September 20, 1978; 44 FR SUMMARY: This notice announces the information, unless it displays a 17674, March 23, 1979). There is no availability of EPA’s action identifying currently valid OMB control number. sensitive information required. water quality limited segments and The OMB control numbers for EPA’s Burden Statement: The annual public associated pollutants in Louisiana to be regulations in title 40 of the CFR, after reporting and recordkeeping burden for listed pursuant to Clean Water Act appearing in the Federal Register when this collection of information is Section 303(d), and request for public approved, are listed in 40 CFR part 9, estimated to average 40 hours per comment. Section 303(d) requires that and are displayed either by publication response. Burden means the total time, States submit and EPA approve or in the Federal Register or by other effort or financial resources expended disapprove lists of waters for which appropriate means, such as on the by persons to generate, maintain, retain, existing technology-based pollution related collection instrument or form, if or disclose or provide information to or controls are not stringent enough to applicable. The display of OMB control for a Federal agency. This includes the attain or maintain State water quality numbers in certain EPA regulations is time needed to review instructions; standards and for which total maximum consolidated in 40 CFR part 9. develop, acquire, install, and utilize daily loads (TMDLs) must be prepared. Abstract: This Information Collection technology and systems for the purposes On April 5, 2011, EPA partially Request (ICR) seeks authorization for of collecting, validating, and verifying approved and proposed to partially Tribes to demonstrate their eligibility to information, processing and disapprove Louisiana’s 2008 Section be treated in the same manner as states maintaining information, and disclosing 303(d) submittal. Specifically, EPA under the Clean Air Act (CAA) and to and providing information; adjust the approved Louisiana’s listing of 409 submit applications to implement a existing ways to comply with any waterbody pollutant combinations, and CAA program. This ICR extends the previously applicable instructions and associated priority rankings. EPA current collection of information period requirements which have subsequently proposed to disapprove Louisiana’s for determining eligibility, which changed; train personnel to be able to decisions not to list three waterbodies. expires May 31, 2011. The ICR also is respond to a collection of information; These three waterbodies were added by revising the estimates of burden costs search data sources; complete and EPA because the applicable numeric for Tribes in completing a CAA review the collection of information; water quality standards marine criterion application. and transmit or otherwise disclose the for dissolved oxygen was not attained in The program regulation provides for information. these segments. EPA is providing the Indian Tribes, if they so choose, to Respondents/Affected Entities: States, public the opportunity to review its assume responsibility for the locals, Indian Tribes. proposed decisions to add the three development and implementation of Estimated Number of Respondents: 8. waters to Louisiana’s 2008 Section CAA programs. The regulation, Indian Frequency of Response: One-time 303(d) List. EPA will consider public Tribes: Air Quality Planning and application. comments and if necessary amend its Management (Tribal Authority Rule Estimated Total Annual Hour Burden: proposed action on the additional [TAR] 40 CFR parts 9, 35, 49, 50 and 320. waterbodies identified for inclusion on 81), sets forth how Tribes may seek Estimated Total Annual Cost: Louisiana’s Final 2008 Section 303(d) authority to implement their own air $18,896.00, which includes $0 List. quality planning and management annualized capital or O&M costs. programs. The rule establishes: (1) Changes in the Estimates: There is a DATES: Comments must be submitted in Which CAA provisions Indian Tribes decrease of 40 hours in the total writing to EPA on or before May 13, may seek authority to implement, (2) estimated burden currently identified in 2011. what requirements the Tribes must meet the OMB Inventory of Approved ICR ADDRESSES: Comments on the decisions when seeking such authorization, and Burdens. The total burden hours have should be sent to Diane Smith, (3) what Federal financial assistance been updated to reflect new estimates Environmental Protection Specialist, may be available to help Tribes establish that are based on the number of Water Quality Protection Division, U.S. and manage their air quality programs. applications the EPA received under the Environmental Protection Agency The TAR provides Tribes the authority previous ICR and what EPA estimates it Region 6, 1445 Ross Ave., Dallas, TX to administer air quality programs over will receive in the upcoming years. 75202-2733, telephone (214) 665–2145, all air resources, including non-Indian There is no difference between the facsimile (214) 665–6490, or e-mail: owned fee lands, within the exterior active ICR and this ICR in the number [email protected]. Oral comments boundaries of a reservation and other of hours per response. will not be considered. Copies of the areas over which the Tribe can Dated: April 7, 2011. documents which explain the rationale demonstrate jurisdiction. An Indian John Moses, for EPA’s decisions and a list of the 3 Tribe that takes responsibility for a CAA Director, Collection Strategies Division. water quality limited segments for program would essentially be treated in which EPA proposed disapproval of the same way as a state would be treated [FR Doc. 2011–8870 Filed 4–12–11; 8:45 am] Louisiana’s decisions not to list can be for that program. BILLING CODE 6560–50–P Responses to the collection of obtained at EPA Region 6’s Web site at information are required to obtain a http://www.epa.gov/region6/water/ benefit (40 CFR parts 9, 35, 49, 50 and ENVIRONMENTAL PROTECTION npdes/tmdl/index.htm, or by writing or 81). Any information submitted to the AGENCY calling Ms. Smith at the above address. Underlying documents from the Agency for which a claim of [FRL–9294–5] confidentiality is made will be administrative record for these safeguarded according to the Agency Clean Water Act Section 303(d): decisions are available for public policies set forth in Title 40, Chapter 1, Availability of List Decisions inspection at the above address. Please part 2, subpart B—Confidentiality of contact Ms. Smith to schedule an AGENCY: Environmental Protection inspection. Business Information (see 40 CFR 2; 41 Agency (EPA). FR 36902, September 1, 1976; amended FOR FURTHER INFORMATION CONTACT: ACTION: Notice of availability. by 43 FR 40000, September 8, 1978; 43 Diane Smith at (214) 665–2145.

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SUPPLEMENTARY INFORMATION: Section SUMMARY: Pursuant to the Federal telephone at 202–564–1044, via e-mail 303(d) of the Clean Water Act (CWA) Advisory Committee Act (FACA), Public at [email protected]; or by FAX at requires that each State identify those Law 92–463, the U.S. Environmental 202–501–0936. Additional information waters for which existing technology- Protection Agency (EPA) hereby about the meeting is available at the based pollution controls are not provides notice that the National following Web site address: http:// stringent enough to attain or maintain Environmental Justice Advisory Council www.epa.gov/compliance/ State water quality standards. For those (NEJAC) will meet on the dates and environmentaljustice/nejac/ waters, States are required to establish times described below. All meetings are meetings.html. Total Maximum Daily Loads (TMDLs) open to the public. Members of the Registration is encouraged for all according to a priority ranking. EPA’s public are encouraged to provide participants. Pre-registration by noon Water Quality Planning and comments relevant to the specific issues Thursday, April 20, 2011 for all Management regulations include being considered by the NEJAC. For attendees is highly recommended. To requirements related to the additional information about registering register online, visit the Web site implementation of Section 303(d) of the for public comment, please see address above. Requests for pre- CWA (40 CFR 130.7). The regulations SUPPLEMENTARY INFORMATION. Due to registration forms should be faxed to require States to identify water quality limited space, seating at the NEJAC Ms. Estela Rosas, EPA Contractor, APEX limited waters still requiring TMDLs meeting will be on a first-come, first- Direct, Inc., at 877–773–0779 or e- every two years. The list of waters still served basis. mailed to Meetings@AlwaysPursuing needing TMDLs must also include DATES: The NEJAC meeting will Excellence.com. Please remember to priority rankings and must identify the convene Tuesday, May 10, from 9 a.m. specify which meeting you are waters targeted for TMDL development until 7 p.m., and reconvene Wednesday, registering to attend (e.g., NEJAC May during the next two years (40 CFR May 11, 2011, from 9 a.m. to 7 p.m., and 2011). Please also state whether you 130.7). On March 31, 2000, EPA Thursday, May 12, 2011, from 9 a.m. to would like to be put on the list to promulgated a revision to this 2 p.m. All noted times are Eastern Time. provide public comment, and whether regulation that waived the requirement Two public comment sessions you are submitting written comments for States to submit Section 303(d) lists relevant to the specific issues being before the April 20, 2011 deadline. Non- in 2000 except in cases where a court considered by the NEJAC (see English speaking attendees wishing to order, consent decree, or settlement SUPPLEMENTARY INFORMATION) are arrange for a foreign language agreement required EPA to take action scheduled for Tuesday, May 10, 2011, interpreter may make appropriate on a list in 2000 (65 FR 17170). from 3:30 p.m. to 7 p.m. and arrangements in writing using the above Consistent with EPA’s regulations, Wednesday, May 11, 2011, from 3:30 fax number. Louisiana submitted to EPA its listing p.m. to 7 p.m. All noted times are SUPPLEMENTARY INFORMATION: The decisions under Section 303(d) on Eastern Time. The Tuesday, May 10, Charter of the NEJAC states that the August 25, 2009. On April 5, 2011, EPA 2011, public comment period will be for advisory committee shall provide approved Louisiana’s listing of 409 the NEJAC to receive feedback on where independent advice to the EPA water body-pollutant combinations and it should focus its advisory attention for Administrator on areas that may associated priority rankings. EPA the implementation plans associated include, among other things, ‘‘advice proposed to disapprove Louisiana’s with Plan EJ 2014. Recently EPA began about broad, cross-cutting issues related decisions not to list three waterbodies. a comprehensive effort to enhance its to environmental justice, including These three waterbodies were proposed Agency-wide integration of environment-related strategic, scientific, for addition by EPA because the environmental justice by developing technological, regulatory, and economic applicable numeric water quality Plan EJ 2014. The plan is intended to go issues related to environmental justice.’’ standards marine criterion for dissolved beyond current EJ related efforts (such The meeting shall be used to receive oxygen was not attained in these as the EJ Small Grants, Brownfields comments, and discuss and provide segments. EPA solicits public comment Redevelopment, the CARE Program, EJ recommendations regarding these on its identification of three additional Showcase Communities, and the Urban primary areas: (1) EPA’s Plan EJ 2014 waters for inclusion on Louisiana’s 2008 Waters Initiative, to name a few) and implementation plans, including Section 303(d) List. instead focus on new efforts. The Science Tools and Enforcement and Wednesday, May 11, 2011, public Dated: April 6, 2011. Compliance; (2) dialogue with Regional comment period will have a general Administrator; (3) coastal ecosystem Miguel I. Flores, comment theme. Members of the public Director, Water Quality Protection Division. restoration recommendations; and (4) who wish to participate during the local government priorities for [FR Doc. 2011–8963 Filed 4–12–11; 8:45 am] public comment periods are highly environmental justice. BILLING CODE 6560–50–P encouraged to pre-register by 12 p.m. A. Public Comment: Individuals or Eastern Time, Thursday, April 20, 2011. groups making oral presentations during ADDRESSES: The NEJAC meeting will be ENVIRONMENTAL PROTECTION the public comment periods will be held at the New York Marriot at the AGENCY limited to a total time of five minutes. Brooklyn Bridge, 333 Adams Street, To accommodate the large number of Brooklyn, New York 11201. people who want to address the NEJAC, [FRL–9295–5] TELEPHONE: 718–246–7000, FAX: only one representative of a community, 718–246–0563 or TOLL FREE: 1–800– organization, or group will be allowed National Environmental Justice 228–9290. Advisory Council; Notification of to speak. The suggested format for FOR FURTHER INFORMATION CONTACT: Public Meeting and Public Comment written public comments is as follows: Questions concerning the meeting Name of Speaker; Name of AGENCY: Environmental Protection should be directed to Mr. Aaron Bell, Organization/Community; City and Agency. U.S. Environmental Protection Agency, State; E-mail address; and a brief 1200 Pennsylvania Avenue, NW. description of the concern and what you ACTION: Notification of public meeting. (MC2201A), Washington, DC, 20460; by want the NEJAC to advise EPA to do.

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Written comments received by noon ACTION: Notice. sale, distribution, or use of pesticides. Thursday, April 20, 2011, will be Since others also may be interested, the included in the materials distributed to SUMMARY: This notice announces the Agency has not attempted to describe all the members of the NEJAC. Written availability of EPA’s final registration the specific entities that may be affected comments received after that date and review decisions for the pesticides by this action. If you have any questions listed in the table in Unit II.A. time will be provided to the NEJAC as regarding the applicability of this action Registration review is EPA’s periodic time allows. All information should be to a particular entity, consult the review of pesticide registrations to sent to the address, e-mail, or fax pesticide-specific contact person listed ensure that each pesticide continues to number listed in the FOR FURTHER in the table in Unit II.A. INFORMATION, CONTACT section above. satisfy the statutory standard for B. Information about Services for registration, that is, that the pesticide B. How can I get copies of this document Individuals with Disabilities: For can perform its intended function and other related information? information about access or services for without unreasonable adverse effects on individuals with disabilities, please human health or the environment. EPA has established dockets for these contact Ms. Estela Rosas, EPA Through this program, EPA is ensuring actions under the docket identification Contractor, APEX Direct, Inc., at 877– that each pesticide’s registration is (ID) numbers listed in the table in Unit 773–0779 or Meetings@AlwaysPursuing based on current scientific and other II.A. Publicly available docket materials Excellence.com. To request special knowledge, including its effects on are available either in the electronic accommodations for a disability, please human health and the environment. dockets at http://www.regulations.gov, contact Ms. Rosas at least 7 working FOR FURTHER INFORMATION CONTACT: For or, if only available in hard copy, at the days prior to the meeting, to give EPA pesticide specific information, contact Office of Pesticide Programs (OPP) sufficient time to process your request. the person identified in the table in Unit Regulatory Public Docket in Rm. S– All other requests specifically related to II.A. For general information on the 4400, One Potomac Yard (South Bldg.), the meeting should be sent to the registration review program for 2777 S. Crystal Dr., Arlington, VA. The address, E–MAIL, or FAX number listed biopesticides, contact: Chris Pfeifer, hours of operation of this Docket FOR FURTHER INFORMATION, in the Biopesticides and Pollution Prevention Facility are from 8:30 a.m. to 4 p.m., CONTACT section above. Division (7511P), Office of Pesticide Monday through Friday, excluding legal Dated: April 7, 2011. Programs, Environmental Protection holidays. The Docket Facility telephone Victoria J. Robinson, Agency, 1200 Pennsylvania Ave., NW., number is (703) 305–5805. Designated Federal Officer, National Washington, DC 20460–0001; telephone Environmental Justice Advisory Council. number: (703) 308–0031; fax number: II. Background (703) 308–7026; e-mail address: [FR Doc. 2011–8875 Filed 4–12–11; 8:45 am] A. What action is the agency taking? BILLING CODE 6560–50–P [email protected]. SUPPLEMENTARY INFORMATION: Pursuant to 40 CFR 155.58, this notice announces the availability of EPA’s final ENVIRONMENTAL PROTECTION I. General Information registration review decisions for the AGENCY A. Does this action apply to me? pesticides shown in the following table. A brief description of each pesticide and [EPA–HQ–OPP–2011–0197; FRL–8867–3] This action is directed to the public its use(s) is provided after the table. Streptomyces Strain K61, and Wood in general, and may be of interest to a Oils and Gums; Registration Review wide range of stakeholders including Final Decisions; Notice of Availability environmental, human health, farm worker, and agricultural advocates; the AGENCY: Environmental Protection chemical industry; pesticide users; and Agency (EPA). members of the public interested in the

TABLE 1—REGISTRATION REVIEW FINAL DECISIONS

Pesticide specific contact person, Registration review case name and number Pesticide docket ID No. telephone number, e-mail address

Streptomyces Strain K61 Case No.: 6066 ...... EPA–HQ–OPP–2009–0509 ...... Anna Gross, (703) 305–5614, [email protected]. Wood Oils and Gums ...... EPA–HQ–OPP–2009–0258 ...... Sadaf Shaukat, (703) 347–8670, Case No.: 3150 ...... [email protected].

1. Streptomyces Strain K61 (6066). treatment for seed or soil borne damping Pursuant to 40 CFR 155.57, a Streptomyces Strain K61 is a naturally off and early root rot. registration review decision is the occurring soil bacterium registered for 2. Wood Oils and Gums (3150). The Agency’s determination whether a control of seed, root and stem rot, and Wood Oils and Gums registration pesticide meets, or does not meet, the to prevent wilt of ornamentals, review case no longer contains any standard for registration in FIFRA. EPA vegetables and tree and forest seedlings other wood oils or gums with active has considered the pesticides listed in caused by Fusarium, Alternaria, and ingredients with registered products the above table in light of the FIFRA Phomopsis. Streptomyces Strain K61 except for Cedar oil. As a biochemical standard for registration. The Final also suppresses root rots of Pythium, active ingredient, products containing Decision documents in the listed dockets describe the Agency’s rationale Phytophthora and Rhizoctonia in Cedar oil are registered as insect for issuing registration review final greenhouse plants and is used as a seed repellents. decisions for these pesticides.

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In addition to the final registration SUMMARY: This notice announces the petitioner, was included in a docket review decision documents, the withdrawal of pesticide petitions EPA created for each rulemaking. The registration review dockets for the (0G7716, 8F7489, 9E7635, and 9F7587) docket for each of the petitions is pesticides listed in the above table also proposing the establishment or available on-line at http:// include other relevant documents modification of regulations for residues www.regulations.gov. of pesticide chemicals in or on various related to the registration review of Withdrawal by Petitioner these cases. The proposed registration commodities. The petitioners withdrew review decisions were posted to the their petitions voluntarily and without 1. PP 0G7716 (Aspergillus flavus docket and the public was invited to prejudice to future filing. NRRL 21882). EPA issued a notice in the submit any comments or new FOR FURTHER INFORMATION CONTACT: A Federal Register of September 30, 2010 information. During the 60–day contact person, with telephone number (75 FR 60452) (FRL–8837–2) (EPA–HQ– comment period, no public comments and e-mail address, is listed at the end OPP–2010–0547), which announced the were received concerning the pesticides of each pesticide petition summary. You filing of a pesticide petition (PP 0G7716) listed in the above table. may also reach each contact person by by Circle One Global, Inc., P.O. Box Pursuant to 40 CFR 155.58(c), the mail at Biopesticides and Pollution 18300, Greensboro, NC 27409. This registration review case dockets for the Prevention Division (7511P), Office of petition proposed that EPA amend 40 pesticides listed in the above table will Pesticide Programs, Environmental CFR 180.1254 by establishing a remain open until all actions required in Protection Agency, 1200 Pennsylvania temporary exemption from the the final decision have been completed. Ave., NW., Washington, DC 20460– requirement of a tolerance for residues Background on the registration review 0001. of the fungicide, Aspergillus flavus NRRL 21882, in or on cotton. On program is provided at: http:// SUPPLEMENTARY INFORMATION: www.epa.gov/oppsrrd1/ October 11, 2010, Circle One Global, registration_review. Links to earlier I. General Information Inc., notified EPA that it was withdrawing this petition. Contact: documents related to the registration A. Does this action apply to me? review of these pesticides are provided Shanaz Bacchus; telephone number: at the following Web addresses: Although this action only applies to (703) 308–8097; e-mail address: 1. Streptomyces Strain K61 (6066): the petitioners listed in Unit II., it is [email protected]. 2. PP 8F7489 (2-phenethyl http://www.epa.gov/oppsrrd1/ directed to the public in general. Since propionate). EPA issued a notice in the registration_review/streptomyces/ various individuals or entities may be Federal Register of April 8, 2009 (74 FR index.html interested, EPA has not attempted to describe all the specific entities that 15976) (FRL–8409–4) (EPA–HQ–OPP– 2. Wood Oils and gums (3150): 2009–0222), which announced the filing http://www.epa.gov/oppsrrd1/ may be interested in this action. If you _ have any questions regarding this of a pesticide petition (PP 8F7489) by registration review/wood-oils/ EcoSmart Technologies, Inc., 3600 index.html action, please consult the person listed at the end of the withdrawal summary Mansell Rd., Suite 150, Alpharetta, GA B. What is the agency’s authority for for the pesticide petition of interest. 30022. This petition proposed that EPA taking this action? amend 40 CFR part 180 by establishing B. How can I get copies of this document an exemption from the requirement of a Section 3(g) of FIFRA and 40 CFR part and other related information? tolerance for residues of the biochemical 155, subpart C, provide authority for pesticide, 2-phenethyl propionate, in or this action. EPA has established a docket for this action under docket identification (ID) on all agricultural commodities. On List of Subjects number EPA–HQ–OPP–2011–0115. March 9, 2010, EcoSmart Technologies, Inc., notified EPA that it was Environmental protection, Pesticides Publicly available docket materials are withdrawing this petition. Contact: and pests, Registration review, available either in the electronic docket Cheryl Greene; telephone number: (703) Streptomyces Strain K61, and Wood at http://www.regulations.gov, or, if only 308–0352; e-mail address: Oils and Gums. available in hard copy, at the Office of Pesticide Programs Regulatory Public [email protected]. Dated: March 30, 2011. Docket in Rm. S–4400, One Potomac 3. PP 9E7635 (Tobacco mild green Keith A. Matthews, Yard (South Bldg.), 2777 S. Crystal Dr., mosaic tobamovirus). EPA issued a Acting Director, Biopesticides and Pollution Arlington, VA. The hours of operation notice in the Federal Register of March Prevention Division, Office of Pesticide of this Docket Facility are from 8:30 a.m. 10, 2010 (75 FR 11171) (FRL–8810–8) Programs. to 4 p.m., Monday through Friday, (EPA–HQ–OPP–2010–0055), which [FR Doc. 2011–8548 Filed 4–12–11; 8:45 am] excluding legal holidays. The Docket announced the filing of a pesticide BILLING CODE 6560–50–P Facility telephone number is (703) 305– petition (PP 9E7635) by Interregional 5805. Research Project Number 4 (IR–4), Rutgers University, 500 College Rd., ENVIRONMENTAL PROTECTION II. What action is EPA taking? East, Suite 201W., Princeton, NJ 08540 AGENCY EPA is announcing the withdrawal of (on behalf of BioProdex, Inc., 8520 NW pesticide petitions filed under section 2 Place, Gainesville, FL 32607–1423). [EPA–HQ–OPP–2011–0115; FRL–8866–9] 408 of the Federal Food, Drug, and This petition proposed that EPA amend Cosmetic Act (FFDCA), 21 U.S.C. 346a, 40 CFR part 180 by establishing an Notice of Withdrawal of Pesticide and proposing the establishment or exemption from the requirement of a Petitions for Residues of Pesticide modification of regulations in 40 CFR tolerance for residues of the herbicide, Chemicals in or on Various part 180 for residues of pesticide Tobacco mild green mosaic Commodities chemicals in or on various food tobamovirus, in or on all food AGENCY: Environmental Protection commodities. commodities. On January 10, 2011, Agency (EPA). In accordance with 40 CFR 180.7(f), a BioProdex, Inc., notified EPA that it was summary of each of the petitions withdrawing this petition. Contact: ACTION: Notice. covered by this notice, prepared by the Jeannine Kausch; telephone number:

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(703) 347–8920; e-mail address: FARM CREDIT SYSTEM INSURANCE • Report on Insured and Other [email protected]. CORPORATION Obligations. 4. PP 9F7587 (Paecilomyces • Quarterly Report on Annual Farm Credit System Insurance fumosoroseus strain FE 9901). EPA Performance Plan. Corporation Board; Regular Meeting issued a notice in the Federal Register C. New Business of March 10, 2010 (75 FR 11171) (FRL– AGENCY: Farm Credit System Insurance 8810–8) (EPA–HQ–OPP–2010–0092), Corporation. • Presentation of 2010 Audits Results. which announced the filing of a SUMMARY: Notice is hereby given of the Closed Sesson pesticide petition (PP 9F7587) by regular meeting of the Farm Credit Technology Sciences Group, Inc., 1150 System Insurance Corporation Board • FCSIC Report on System 18th St., NW., Suite 1000, Washington, (Board). Performance. DC 20036 (on behalf of Natural DATE AND TIME: The meeting of the Board Executive Session Industries, Inc., 6223 Theall Rd., will be held at the offices of the Farm Houston, TX 77066). This petition Credit Administration in McLean, • Executive Session of the FCSIC proposed that EPA amend 40 CFR part Virginia, on April 14, 2011, from 1 p.m. Board Audit Committee with the 180 by establishing an exemption from until such time as the Board concludes External Auditor. the requirement of a tolerance for its business. Dated: April 7, 2011. residues of the mycoinsecticide, FOR FURTHER INFORMATION CONTACT: Dale Dale L. Aultman, Paecilomyces fumosoroseus strain FE L. Aultman, Secretary to the Farm 9901, in or on vegetable and herb crops Secretary, Farm Credit System Insurance Credit System Insurance Corporation Corporation Board. grown in greenhouses. On February 17, Board, (703) 883–4009, TTY (703) 883– [FR Doc. 2011–8784 Filed 4–12–11; 8:45 am] 2011, Technology Sciences Group, Inc., 4056. BILLING CODE 6710–01–P notified EPA that it was withdrawing ADDRESSES: Farm Credit System this petition. Contact: Kathleen Martin; Insurance Corporation, 1501 Farm telephone number: (703) 308–2857; e- Credit Drive, McLean, Virginia 22102. mail address: [email protected]. SUPPLEMENTARY INFORMATION: Parts of FEDERAL COMMUNICATIONS List of Subjects this meeting of the Board will be open COMMISSION to the public (limited space available) Environmental protection, and parts will be closed to the public. Sunshine Act Meeting; Deletion of Agricultural commodities, Feed In order to increase the accessibility to Agenda Items From April 7, 2011, Open additives, Food additives, Pesticides Board meetings, persons requiring Meeting and pests, Reporting and recordkeeping assistance should make arrangements in April 6, 2011. requirements. advance. The matters to be considered at the meeting are: The following items have been Dated: March 25, 2011. Open Session deleted from the list of Agenda items Keith A. Matthews, scheduled for consideration at the Acting Director, Biopesticides and Pollution A. Approval of Minutes Thursday, April 7, 2011, Open Meeting Prevention Division, Office of Pesticide • January 20, 2011. and previously listed in the Programs. Commission’s Notice of March 31, 2011. [FR Doc. 2011–8549 Filed 4–12–11; 8:45 am] B. Business Reports These items have been adopted by the BILLING CODE 6560–50–P • FCSIC Financial Reports. Commission.

Item No. Bureau Subject

5 ...... WIRELESS TELE–COMMUNICATIONS ...... TITLE: Amending Parts 1, 2, 22, 24, 27, 90 and 95 of the Commission’s Rules to Improve Wireless Coverage Through the Use of Signal Boosters. SUMMARY: The Commission will consider a Notice of Proposed Rulemaking that will help to fill gaps in wireless coverage and expand broadband in rural and dif- ficult-to serve areas, while protecting wireless networks from harm. 6 ...... CONSUMER & GOVERNMENTAL AFFAIRS .. TITLE: Structure and Practices of the Video Relay Service Program (CG Docket No. 10–51). SUMMARY: The Commission will consider a Report and Order that will adopt rules to detect and prevent fraud and abuse in the provision of video relay service (‘‘VRS’’). Also, a Further Notice of Proposed Rulemaking Proposes to require all VRS providers to obtain certification from the FCC under new, tighter certification procedures in order to receive compensation from the TRS Fund.

Federal Communications Commission. FEDERAL MARITIME COMMISSION of the date this notice appears in the Marlene H. Dortch, Federal Register. Copies of the Secretary. Notice of Agreements Filed agreements are available through the Commission’s Web site (http:// [FR Doc. 2011–9030 Filed 4–11–11; 11:15 am] The Commission hereby gives notice www.fmc.gov) or by contacting the BILLING CODE 6712–01–P of the filing of the following agreements under the Shipping Act of 1984. Office of Agreements at (202) 523–5793 Interested parties may submit comments or [email protected]. on the agreements to the Secretary, Agreement No.: 011284–069. Federal Maritime Commission, Title: Ocean Carrier Equipment Washington, DC 20573, within ten days Management Association Agreement.

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Parties: APL Co. Pte. Ltd.; American Dated: April 8, 2011. FEDERAL TRADE COMMISSION President Lines, Ltd.; A.P. Moller- Karen V. Gregory, [File No. 102 3033] Maersk A/S; CMA CGM, S.A.; Atlantic Secretary. Container Line; China Shipping [FR Doc. 2011–9003 Filed 4–12–11; 8:45 am] Oreck Corporation; Analysis of Container Lines Co., Ltd; China BILLING CODE 6730–01–P Proposed Consent Order To Aid Public Shipping Container Lines (Hong Kong) Comment Co., Ltd.; Companhia Libra de Navegacao; Compania Libra de FEDERAL RESERVE SYSTEM AGENCY: Federal Trade Commission. Navegacion Uruguay S.A.; Compania ACTION: Proposed consent agreement. Sud Americana de Vapores, S.A.; Change in Bank Control Notices; COSCO Container Lines Company Acquisitions of Shares of a Bank or SUMMARY: The consent agreement in this Limited; Crowley Maritime Corporation; Bank Holding Company matter settles alleged violations of Evergreen Line Joint Service Agreement; federal law prohibiting unfair or Hamburg-Su¨ d; Hapag-Lloyd AG; Hapag- The notificants listed below have deceptive acts or practices or unfair Lloyd USA LLC; Hanjin Shipping Co., applied under the Change in Bank methods of competition. The attached Ltd.; Hyundai Merchant Marine Co. Control Act (12 U.S.C. 1817(j)) and Analysis to Aid Public Comment Ltd.; Kawasaki Kisen Kaisha, Ltd.; § 225.41 of the Board’s Regulation Y (12 describes both the allegations in the Mediterranean Shipping Company, S.A.; CFR 225.41) to acquire shares of a bank draft complaint and the terms of the Mitsui O.S.K. Lines Ltd.; Nippon Yusen or bank holding company. The factors consent order—embodied in the consent Kaisha Line; Norasia Container Lines that are considered in acting on the agreement—that would settle these Limited; Orient Overseas Container Line notices are set forth in paragraph 7 of allegations. Limited; Yang Ming Marine Transport the Act (12 U.S.C. 1817(j)(7)). The notices are available for DATES: Comments must be received on Corp.; and Zim Integrated Shipping or before May 9, 2011. Services, Ltd. immediate inspection at the Federal Reserve Bank indicated. The notices ADDRESSES: Interested parties are Filing Party: Jeffrey F. Lawrence, Esq. also will be available for inspection at invited to submit written comments and Donald J. Kassilke, Esq.; Cozen the offices of the Board of Governors. electronically or in paper form. O’Connor; 1627 I Street, NW.; Suite Interested persons may express their Comments should refer to a ‘‘Oreck, File 1100; Washington, DC 20006. views in writing to the Reserve Bank No. 102 3033’’ to facilitate the Synopsis: The amendment would indicated for that notice or to the offices organization of comments. Please note clarify the authority of members to of the Board of Governors. Comments that your comment—including your discuss and agree on matters relating to must be received not later than April 28, name and your state—will be placed on how chassis are made available to the 2011. the public record of this proceeding, market place. A. Federal Reserve Bank of San including on the publicly accessible Agreement No.: 012072–001. Francisco (Kenneth Binning, Vice FTC Web site, at http://www.ftc.gov/os/ publiccomments.shtm. Title: NYK/Yang Ming Americas President, Applications and Enforcement) 101 Market Street, San Because comments will be made North-South Service Slot Charter public, they should not include any Agreement. Francisco, California 94105–1579: 1. Susan Marie Horton, Cheney, sensitive personal information, such as Parties: Nippon Yusen Kaisha; and Washington; Raymond Lee Pittman, Jr., an individual’s Social Security Number; Yan Ming (America) Corp. Mesa, Arizona; Rosa Maria Pittman, date of birth; driver’s license number or Filing Party: Patricia M. O’Neill, Esq.; Spokane, Washington; Ted Davis other State identification number, or Corporate Counsel; NYK Line (North Rhodes, Spokane Valley, Washington; foreign country equivalent; passport America) Inc.; 300 Lighting Way, 5th and Wheatland Bank Employee Stock number; financial account number; or Floor; Secaucus, NJ 07094. Ownership Plan, Spokane, Washington; credit or debit card number. Comments Synopsis: The amendment deletes together as a group acting in concert to also should not include any sensitive Hanjin Shipping as a party to the retain voting shares of Community health information, such as medical Agreement. Financial Group, Inc., and thereby records or other individually indirectly retain voting shares of identifiable health information. In Agreement No.: 012105–001. Wheatland Bank, both of Spokane, addition, comments should not include Title: SCM Lines Transportes/CCNI Washington. any ‘‘[t]rade secret or any commercial or Agreement. 2. Wheatland Bank Employee Stock financial information which is obtained Parties: Compania Chilena de Ownership Plan, Spokane, Washington, from any person and which is privileged Navegacion Interoceanica S.A. and SCM and its trustees, Susan Marie Horton, or confidential. * * *,’’ as provided in Lines Transportes Maritimos Sociedade Cheney, Washington; Dennis Dale Bly, Section 6(f) of the FTC Act, 15 U.S.C. Unipessoal, LDA. Davenport, Washington; and Jayne 46(f), and Commission Rule 4.10(a)(2), Filing Party: John P. Vayda, Esq.; Therese Deife, Marlin, Washington; to 16 CFR 4.10(a)(2). Comments containing Nourse & Bowles, LLP; One Exchange retain voting shares of Community material for which confidential Plaza; 55 Broadway; New York, NY Financial Group, Inc., and thereby treatment is requested must be filed in 10006–3030. indirectly retain voting shares of paper form, must be clearly labeled ‘‘Confidential,’’ and must comply with Synopsis: The amendment expands Wheatland Bank, both of Spokane, FTC Rule 4.9(c), 16 CFR 4.9(c).1 the geographic scope of the agreement to Washington.

include the U.S. East Coast, Mexico, Board of Governors of the Federal Reserve 1 System, April 8, 2011. The comment must be accompanied by an Colombia, Venezuela, Jamaica, and the explicit request for confidential treatment, Dominican Republic. The parties have Robert deV. Frierson, including the factual and legal basis for the request, requested expedited review. Deputy Secretary of the Board. and must identify the specific portions of the comment to be withheld from the public record. By Order of the Federal Maritime [FR Doc. 2011–8821 Filed 4–12–11; 8:45 am] The request will be granted or denied by the Commission. BILLING CODE 6210–01–P Continued

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Because paper mail addressed to the Pennsylvania Avenue, NW., vacuuming. According to the FTC FTC is subject to delay due to Washington, DC 20580. complaint, Oreck has promoted the heightened security screening, please SUPPLEMENTARY INFORMATION: Pursuant Oreck Halo as effective, through normal consider submitting your comments in to section 6(f) of the Federal Trade use, in killing virtually all bacteria, electronic form. Comments filed in Commission Act, 38 Stat. 721, 15 U.S.C. viruses, germs, mold and allergens that electronic form should be submitted by 46(f), and § 2.34 of the Commission exist on carpets and other floor surfaces. using the following weblink: https:// Rules of Practice, 16 CFR 2.34, notice is Specifically, the FTC complaint ftcpublic.commentworks.com/ftc/oreck hereby given that the above-captioned alleges that respondent represented, in and following the instructions on the consent agreement containing a consent various advertisements, that the Oreck Web-based form. To ensure that the order to cease and desist, having been Halo: Commission considers an electronic filed with and accepted, subject to final (1) Substantially reduces the risk of or comment, you must file it on the Web- approval, by the Commission, has been prevents the flu; (2) substantially based form at the weblink https:// placed on the public record for a period reduces the risk of or prevents other ftcpublic.commentworks.com/ftc/oreck. of thirty (30) days. The following illnesses or ailments caused by bacteria, If this Notice appears at http:// Analysis to Aid Public Comment viruses, molds, and allergens, such as www.regulations.gov/search/index.jsp, describes the terms of the consent the common cold, diarrhea, upset you may also file an electronic comment agreement, and the allegations in the stomachs, asthma, and allergy through that Web site. The Commission complaint. An electronic copy of the symptoms; and (3) will eliminate all or will consider all comments that full text of the consent agreement virtually all common germs and regulations.gov forwards to it. You may package can be obtained from the FTC allergens found on the floors in users’ also visit the FTC Web site at http:// Home Page (for April 7, 2010), on the homes. The complaint also alleges that www.ftc.gov/ to read the Notice and the World Wide Web, at http://www.ftc.gov/ Oreck claimed that the Oreck Halo’s news release describing it. os/actions.shtm. A paper copy can be UV–C light is effective against germs, A comment filed in paper form obtained from the FTC Public Reference bacteria, dust mites, mold and viruses should include the ‘‘Oreck, File No. 102 Room, Room 130–H, 600 Pennsylvania embedded in carpets. The complaint 3033’’ reference both in the text and on Avenue, NW., Washington, DC 20580, alleges that all of these claims are the envelope, and should be mailed or either in person or by calling (202) 326– unsubstantiated and thus violate the delivered to the following address: 2222. FTC Act. Federal Trade Commission, Office of the Public comments are invited, and may The FTC complaint also alleges that Secretary, Room H–113 (Annex D), 600 be filed with the Commission in either Oreck represented, in various Pennsylvania Avenue, NW., paper or electronic form. All comments advertisements, that the Oreck Washington, DC 20580. The FTC is should be filed as prescribed in the ProShield Plus portable air cleaner: requesting that any comment filed in ADDRESSES section above, and must be (1) Substantially reduces the risk of or paper form be sent by courier or received on or before the date specified prevents the flu; (2) substantially overnight service, if possible, because in the DATES section. reduces the risk of or prevents other U.S. postal mail in the Washington area illnesses or ailments caused by bacteria, and at the Commission is subject to Analysis of Agreement Containing viruses, molds, and allergens, such as delay due to heightened security Consent Order To Aid Public Comment the common cold, asthma, and allergy precautions. The Federal Trade Commission The Federal Trade Commission Act (‘‘FTC’’ or ‘‘Commission’’) has accepted, symptoms; and (3) will eliminate all or (‘‘FTC Act’’) and other laws the subject to final approval, an Agreement virtually all airborne particles from a Commission administers permit the Containing Consent Order from Oreck typical household room under normal collection of public comments to Corporation (‘‘respondent’’). The living conditions. The complaint alleges consider and use in this proceeding as proposed consent order has been placed that all of these claims are appropriate. The Commission will on the public record for thirty (30) days unsubstantiated and thus violate the consider all timely and responsive for receipt of comments by interested FTC Act. public comments that it receives, persons. Comments received during this The complaint further alleges that whether filed in paper or electronic period will become part of the public Oreck claimed that scientific tests prove form. Comments received will be record. After thirty (30) days, the that users of the Oreck Halo will available to the public on the FTC Web Commission will again review the eliminate or virtually eliminate many site, to the extent practicable, at http:// agreement and the comments received, common germs and allergens found on www.ftc.gov/os/publiccomments.shtm. and will decide whether it should the floors in their homes; and that As a matter of discretion, the withdraw from the agreement and take scientific tests prove that the Oreck Commission makes every effort to appropriate action or make final the ProShield Plus will eliminate or remove home contact information for agreement’s proposed order. virtually eliminate many common individuals from the public comments it This matter involves the advertising, viruses, germs and allergens from a receives before placing those comments marketing, and sale of the Oreck Halo typical household room under normal on the FTC Web site. More information, vacuum cleaner and the Oreck living conditions. According to the including routine uses permitted by the ProShield Plus portable air cleaner. complaint, these claims are false and Privacy Act, may be found in the FTC’s Oreck has marketed these products thus violate the FTC Act. privacy policy, at http:// directly to consumers through Finally, the complaint alleges that www.ftc.gov/ftc/privacy.shtm. numerous Web sites, as well as through Oreck provided advertisements to its franchised stores for use in their FOR FURTHER INFORMATION CONTACT: company-owned and franchised retail marketing and sale of the Oreck Halo Matthew Gold (415–848–5176), FTC, stores and third-party retail outlets. The Oreck Halo is an upright vacuum and the Oreck ProShield. According to Western Region, San Francisco, 600 cleaner that has a built-in light chamber the complaint, Oreck thereby provided Commission’s General Counsel, consistent with and a HEPA filter bag. The light means and instrumentalities to applicable law and the public interest. See FTC chamber generates ultraviolet light in distributors of its products in Rule 4.9(c), 16 CFR 4.9(c). the C spectrum onto floor surfaces while furtherance of the deceptive and

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misleading acts or practices alleged in and relies upon competent and reliable order will terminate after twenty (20) the complaint. scientific evidence that is sufficient in years, with certain exceptions. The proposed consent order contains quality and quantity based on standards The purpose of this analysis is to provisions designed to prevent generally accepted in the relevant facilitate public comment on the respondent from engaging in similar scientific fields, when considered in proposed order, and it is not intended acts or practices in the future. light of the entire body of relevant and to constitute an official interpretation of Specifically, Part I of the proposed order reliable scientific evidence, to the agreement and proposed order or to addresses the allegedly unsubstantiated substantiate that the representation is modify their terms in any way. claims regarding the Oreck Halo. Part I true. By direction of the Commission. covers any representation that the Oreck Part III of the proposed order Halo or any other vacuum cleaner: prohibits respondent from making Donald S. Clark, (1) Reduces the risk of or prevents the representations, other than Secretary. flu; (2) reduces the risk of or prevents representations covered under Parts I or [FR Doc. 2011–8757 Filed 4–12–11; 8:45 am] illnesses or ailments caused by bacteria, II, about the absolute or comparative BILLING CODE 6750–01–P viruses, molds, or allergens, such as the health benefits of any product, unless common cold, diarrhea, upset stomachs, the representation is non-misleading, asthma and allergy symptoms; (3) will and, at the time of making such DEPARTMENT OF HEALTH AND eliminate all or virtually all germs, representation, respondent possesses HUMAN SERVICES bacteria, dust mites, molds, viruses or and relies upon competent and reliable allergens from a user’s floor; and (4) will scientific evidence that is sufficient in [Document Identifier: OS–0990–0321] eliminate any percent or numerical quality and quantity based on standards quantity of germs, bacteria, dust mites, generally accepted in the relevant 30-Day Notice; Agency Information molds, viruses or allergens from a user’s scientific fields, when considered in Collection Request; 30-Day Public floor. Part I also applies to light of the entire body of relevant and Comment Request representations that ultraviolet light is reliable scientific evidence, to AGENCY: Office of the Secretary, HHS. effective against germs, bacteria, dust substantiate that the representation is In compliance with the requirement mites, molds, viruses or allergens true. of section 3506(c)(2)(A) of the embedded in carpets. Part I prohibits Part IV of the proposed order Paperwork Reduction Act of 1995, the Oreck from making any of the above addresses the allegedly false claims that representations unless the scientific tests prove that the Oreck Halo Office of the Secretary (OS), Department representation is non-misleading and, at or ProShield Plus eliminate or virtually of Health and Human Services, is the time of making such representation, eliminate many common germs, viruses publishing the following summary of a Oreck possesses and relies upon or allergens from the user’s floor or air. proposed collection for public competent and reliable scientific Part IV prohibits respondent, when comment. Interested persons are invited evidence that is sufficient in quality and advertising any product, from to send comments regarding this burden quantity based on standards generally misrepresenting the existence, contents, estimate or any other aspect of this accepted in the relevant scientific fields, validity, results, conclusions, or collection of information, including any when considered in light of the entire interpretations of any test, study, or of the following subjects: (1) The body of relevant and reliable scientific research. necessity and utility of the proposed evidence, to substantiate that the Part VI of the proposed order requires information collection for the proper representation is true. The proposed the payment of $750,000 intended for performance of the agency’s functions; order defines ‘‘competent and reliable redress to consumers. To facilitate the (2) the accuracy of the estimated scientific evidence’’ as ‘‘tests, analyses, payment of redress, Part V of the burden; (3) ways to enhance the quality, research or studies that have been proposed order requires Oreck to utility, and clarity of the information to conducted and evaluated in an objective provide to the Commission a searchable be collected; and (4) the use of manner by qualified persons and are electronic file containing the name and automated collection techniques or generally accepted in the profession to contact information of all consumers other forms of information technology to yield accurate and reliable results.’’ who purchased the Oreck Halo or the minimize the information collection Part II of the proposed order addresses Oreck ProShield Plus from January 1, burden. the allegedly unsubstantiated claims 2009 through August 31, 2010. To obtain copies of the supporting regarding the Oreck ProShield Plus. Part Part VII of the proposed order requires statement and any related forms for the II covers any representation that the Oreck to send a letter to all of its proposed paperwork collections Oreck ProShield Plus or any other air franchisees requesting that they referenced above, e-mail your request, cleaner: (1) Reduces the risk of or immediately stop using all advertising including your address, phone number, prevents the flu; (2) reduces the risk of and marketing materials previously OMB number, and OS document or prevents illnesses or ailments caused provided to them by Oreck. The identifier, to by bacteria, viruses, molds, or allergens, required letter is appended to the [email protected], or call such as the common cold, asthma and proposed order as Attachment A. the Reports Clearance Office on (202) allergy symptoms; (3) will eliminate all Parts VIII, IX, X and XI of the 690–5683. Send written comments and or virtually all indoor airborne particles proposed order require respondent to recommendations for the proposed under normal living conditions; and keep copies of relevant advertisements information collections within 30 days (4) will eliminate any percent or and materials substantiating claims of this notice directly to the OS OMB numerical quantity of indoor air made in the advertisements; to provide Desk Officer; faxed to OMB at 202–395– contaminants under normal living copies of the order to its personnel; to 5806. conditions. Part II prohibits Oreck from notify the Commission of changes in Title: HHS Web Site Customer making any of the above representations corporate structure that might affect Satisfaction Survey—0990–0321— unless the representation is non- compliance obligations under the order; Reinstatement with change—Office of misleading and, at the time of making and to file compliance reports with the the Assistant Secretary for Public such representation, Oreck possesses Commission. Part XII provides that the Affairs.

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Abstract: The results of the HHS Web HHS Web sites meets visitor needs and determine if the site is easy to use and Site Customer Satisfaction Survey will expectations. The results will also the content easy to understand. be used to ensure that the content on the

ESTIMATED ANNUALIZED BURDEN TABLE

Average Number of Number of burden hours Total burden Form respondents responses per per response hours respondent (in hrs.)

Survey ...... 48,000 1 12/60 9,600

Mary Forbes, ocutox/Transmit-2010.htm. The adopted the BCOP and ICE test methods Office of the Secretary, Paperwork Reduction ICCVAM recommendations are in 2009 as international OECD Test Act Reports Clearance Officer. provided in ICCVAM test method Guidelines 437 and 438, respectively [FR Doc. 2011–8796 Filed 4–12–11; 8:45 am] evaluation reports that are available on (OECD 2009a, OECD 2009b). The BILLING CODE 4150–25–P the NICEATM–ICCVAM Web site at International Organization for http://iccvam.niehs.nih.gov/methods/ Standardization (ISO) adopted the ocutox/OcuAnest-TMER.htm, http:// BCOP and ICE test methods as ISO DEPARTMENT OF HEALTH AND iccvam.niehs.nih.gov/methods/ocutox/ Standard 10993–10 in 2010 (ISO 2010). HUMAN SERVICES MildMod-TMER.htm, http:// ICCVAM recently completed iccvam.niehs.nih.gov/methods/ocutox/ additional test method evaluations Recommendations on In Vitro Ocular AMCP–TMER.htm, and http:// relevant to the original EPA nomination Safety Testing Methods and Strategies iccvam.niehs.nih.gov/methods/ocutox/ and a subsequent EPA request that and Routine Use of Topical LVET.htm. ICCVAM evaluate a proposed in vitro Anesthetics, Systemic Analgesics, and FOR FURTHER INFORMATION CONTACT: Dr. testing strategy for identifying the ocular Humane Endpoints for Ocular Safety William S. Stokes, Director, NICEATM, hazard potential of antimicrobial Testing NIEHS, P.O. Box 12233, Mail Stop: K2– cleaning products. Information is AGENCY: National Institute of 16, Research Triangle Park, NC 27709, provided about ICCVAM’s evaluation Environmental Health Sciences (telephone) 919–541–2384, (fax) 919– and the committee’s recommendations (NIEHS), National Institutes of Health 541–0947, (e-mail) for the alternative testing methods and (NIH). [email protected]. Courier address: strategies proposed to further reduce ACTION: Notice of availability. NICEATM, NIEHS, Room 2034, 530 and refine the use of animals for Davis Drive, Morrisville, NC 27560. assessing the ocular hazard potential of SUMMARY: U.S. Federal agency responses SUPPLEMENTARY INFORMATION: chemicals and products in four to ICCVAM test method ICCVAM Test Method Evaluation recommendations on alternative testing Background Reports: (1) Recommendations for methods and strategies proposed to The U.S. Environmental Protection Routine Use of Topical Anesthetics, further reduce and refine the use of Agency (EPA) requested that ICCVAM Systemic Analgesics, and Humane animals for assessing the ocular hazard (1) evaluate the current validation status Endpoints to Avoid or Minimize Pain potential of chemicals and products are of the bovine corneal opacity and and Distress in Ocular Safety Testing now available. ICCVAM recommended a permeability (BCOP), hen’s egg test– (NIH Publication No. 10–7514), (2) pain management procedure that should chorioallantoic membrane (HET–CAM), Current Validation Status of In Vitro always be used to avoid pain and isolated chicken eye (ICE), and isolated Test Methods Proposed for Identifying distress when it is determined necessary rabbit eye (IRE) test methods; (2) Eye Injury Hazard Potential of to conduct the rabbit eye test for identify in vivo ocular toxicity reference Chemicals and Products (NIH regulatory safety purposes. ICCVAM data to support the validation of in vitro Publication No. 10–7553), (3) Current also recommended the Cytosensor test methods; (3) explore ways of Validation Status of a Proposed In Vitro Microphysiometer (CM) test method as alleviating pain and distress from Testing Strategy for U.S. Environmental a screening test (1) to identify some current in vivo ocular safety testing; and Protection Agency Ocular Hazard types of substances that will not cause (4) review the state of the science and Classification and Labeling of sufficient injury to require eye hazard the availability of in vitro test methods Antimicrobial Cleaning Products (NIH labeling and (2) to identify some types for assessing mild or moderate ocular Publication No. 10–7513), and (4) of substances that may cause permanent irritants. The highest priority activity, Recommendation to Discontinue Use of or severe eye injuries. ICCVAM an evaluation of the BCOP, HET–CAM, the Low Volume Eye Test for Ocular previously forwarded recommendations ICE, and IRE test methods for their Safety Testing (NIH Publication No. to Federal agencies and made these usefulness and limitations for 10–7515). recommendations available to the identifying potential ocular corrosives Agency Responses to ICCVAM public (75 FR 57027). In accordance and severe irritants, was completed in Recommendations with the ICCVAM Authorization Act of 2006 (NIH Publication No. 07–4517). 2000 (42 U.S.C. 285l–3), agencies have Based on this evaluation, U.S. Federal In September 2010, ICCVAM notified ICCVAM in writing of their agencies subsequently accepted the forwarded final test method findings and ICCVAM is making these BCOP and ICE test methods for certain recommendations for ocular safety responses available to the public. regulatory testing purposes without the testing methods and strategies to U.S. Federal agency responses are available need for animal testing. The Federal agencies for consideration, in on the NICEATM–ICCVAM Web site at Organisation for Economic Co-operation accordance with the ICCVAM http://iccvam.niehs.nih.gov/methods/ and Development (OECD) subsequently Authorization Act of 2000 (42 U.S.C.

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285l–3) (75 FR 57027). The ICCVAM for validation studies and technical www.oecd-ilibrary.org/environment/test- Authorization Act requires member evaluations. Additional information no-438-isolated-chicken-eye-test- method-for-identifying-ocular-corrosives- agencies to review ICCVAM test method about ICCVAM and NICEATM can be _ recommendations and notify ICCVAM found on the NICEATM–ICCVAM Web and-severe-irritants 9789264076310-en. in writing of their findings no later than site (http://iccvam.niehs.nih.gov). Dated: April 1, 2011. 180 days after receipt of John R. Bucher, References recommendations. The Act also requires Associate Director, National Toxicology ICCVAM to make ICCVAM ICCVAM. 2006. ICCVAM Test Method Program. recommendations and agency responses Evaluation Report: In Vitro Ocular [FR Doc. 2011–8938 Filed 4–12–11; 8:45 am] Toxicity Test Methods for Identifying available to the public. Agency BILLING CODE 4140–01–P responses should include identification Severe Irritants and Corrosives. NIH of relevant test methods for which the Publication No. 07– 4517. Research Triangle Park, NC: NIEHS. Available: ICCVAM test method recommendations http://iccvam.niehs.nih.gov/methods/ DEPARTMENT OF HEALTH AND may be added or substituted and ocutox/ivocutox/ocu_tmer.htm. HUMAN SERVICES indicate any revisions or planned ICCVAM. 2010. ICCVAM Test Method revisions to existing guidelines, Evaluation Report: Recommendations for Centers for Medicare & Medicaid guidances, or regulations to be made in Routine Use of Topical Anesthetics, Services response to these recommendations. Systemic Analgesics, and Humane ICCVAM agencies concurred with the Endpoints to Avoid or Minimize Pain [CMS–7031–NC] and Distress in Ocular Safety Testing. test method recommendations for the in Announcement of Notice; Proposed vitro ocular safety testing methods and NIH Publication No. 10–7514. Research Establishment of a Federally Funded strategies and support the routine use of Triangle Park, NC: NIEHS. Available: Research and Development Center— topical anesthetics, systemic analgesics, http://iccvam.niehs.nih.gov/methods/ ocutox/OcuAnest-TMER.htm. First Notice and humane endpoints for ocular safety ICCVAM. 2010. ICCVAM Test Method testing. Several agencies also indicated Evaluation Report: Current Validation AGENCY: Centers for Medicare & that they would communicate the Status of In Vitro Test Methods Proposed Medicaid Services (CMS), Department ICCVAM recommendations to for Identifying Eye Injury Hazard of Health & Human Services (DHHS). stakeholders and encourage their Potential of Chemicals and Products. ACTION: Notice. appropriate use. Agency responses are NIH Publication No. 10–7553. Research available at http://iccvam.niehs.nih.gov/ Triangle Park, NC: NIEHS. Available: SUMMARY: This notice announces our methods/ocutox/Transmit-2010.htm. http://iccvam.niehs.nih.gov/methods/ intention to sponsor Federally Funded ocutox/MildMod-TMER.htm. Research and Development Center Background Information on ICCVAM ICCVAM. 2010. ICCVAM Test Method (FFRDC) to facilitate the modernization and NICEATM Evaluation Report: Current Validation of business processes and supporting ICCVAM is an interagency committee Status of a Proposed In Vitro Testing Strategy for U.S. Environmental systems and their operations. This is the composed of representatives from 15 Protection Agency Ocular Hazard first of three notices which must be Federal regulatory and research agencies Classification and Labeling of published over a 90-day period in order that require, use, generate, or Antimicrobial Cleaning Products. NIH to advise the public of the agency’s disseminate toxicological and safety Publication No. 10– 7513. Research intention to sponsor an FFRDC issued testing information. ICCVAM conducts Triangle Park, NC: NIEHS. Available: under the authority of 48 CFR 35.017. technical evaluations of new, revised, http://iccvam.niehs.nih.gov/methods/ DATES: We must receive comments on or and alternative safety testing methods ocutox/AMCP-TMER.htm. before July 5, 2011. with regulatory applicability and ICCVAM. 2010. ICCVAM Test Method Evaluation Report: Recommendation to ADDRESSES: Comments on this notice promotes the scientific validation and must be mailed to the Centers for regulatory acceptance of toxicological Discontinue Use of The Low Volume Eye Test for Ocular Safety Testing. NIH Medicare & Medicaid Services, Candice and safety testing methods that more Publication No. 10–7515. Research Savoy, Contracting Officer, 7500 accurately assess the safety and hazards Triangle Park, NC: NIEHS. Available: Security Boulevard, Mailstop C2–01–10, of chemicals and products and that http://iccvam.niehs.nih.gov/methods/ Baltimore, MD 21244 or e-mail at reduce, refine (decrease or eliminate ocutox/LVET.htm. [email protected]. pain and distress), or replace animal ISO. 2010. Biological evaluation of medical use. The ICCVAM Authorization Act of devices—10993 Part 10: Tests for FOR FURTHER INFORMATION CONTACT: 2000 (42 U.S.C. 285l–3) established irritation and skin sensitization. Candice Savoy, (410) 786–7494. ICCVAM as a permanent interagency Available for purchase at: http:// SUPPLEMENTARY INFORMATION: The committee of the NIEHS under www.iso.org/iso/home.htm. Centers for Medicare & Medicaid NICEATM. NICEATM administers OECD. 2009a. Test Guideline 437. Bovine Services (CMS), an operating division Corneal Opacity and Permeability Test ICCVAM, provides scientific and Method for Identifying Ocular Corrosives within the Department of Health and operational support for ICCVAM-related and Severe Irritants, adopted September Human Services (DHHS), intends to activities, and conducts independent 2009. In: OECD Guidelines for Testing of sponsor a studies and analysis, Delivery validation studies to assess the Chemicals. Paris: OECD. Available: System, Simulations, and Cost Modeling usefulness and limitations of new, http://www.oecd-ilibrary.org/ Federally Funded Research and revised, and alternative test methods environment/test-no-437-bovine-corneal- Development Center (FFRDC) to and strategies. NICEATM and ICCVAM opacity-and-permeability-test-method- facilitate the modernization of business for-identifying-ocular-corrosives-and- work collaboratively to evaluate new _ processes and supporting systems and and improved test methods and severe-irritants 9789264076303-en. their operations. Some of the broad task OECD. 2009b. Test Guideline 438. Isolated strategies applicable to the needs of U.S. Chicken Eye Test Method for Identifying areas that will be utilized include Federal agencies. NICEATM and Ocular Corrosives and Severe Irritants, Strategic/Tactical Planning, Conceptual ICCVAM welcome the public adopted September 2009. In: OECD Planning, Design and Engineering, nomination of new, revised, and Guidelines for Testing of Chemicals. Procurement Assistance, Organizational alternative test methods and strategies Paris: OECD. Available: http:// Planning, Research and Development,

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Continuous Process Improvement, simulations for determining progress in The Request for Proposal (RFP) will IV&V/Compliance, and Security securing DHHS data or other authorized be posted on FedBizOpps in the Planning. Further analysis will consist data sources, (non-DHHS data sources, Summer of 2011. Alternatively, a copy of expert advice and guidance in the such as the census data or DOL data, can be received by contacting the person areas of program and project VA, DOD, data in developing listed in the FOR FURTHER INFORMATION management focused on increasing the performance metrics, and models); CONTACT section above. • effectiveness and efficiency of strategic Providing independent and Dated: April 7, 2011. objective operational test and evaluation information management, prototyping, Donald M. Berwick, demonstrations, and technical activities. analysis support; • Developing recommendations for Administrator, Centers for Medicare & This FFRDC may also be utilized by Medicaid Services. non-sponsors, other than CMS, within guidance on the best practices for DHHS. standards, particularly to improve the [FR Doc. 2011–8942 Filed 4–12–11; 8:45 am] The FFRDC will be established under inter-operability of DHHS components; BILLING CODE 4120–01–P the authority of 48 CFR 35.017. • Assessing technologies and The Contractor will be available to evaluating technology test-beds for DEPARTMENT OF HEALTH AND provide a wide range of support accurate simulation of operational HUMAN SERVICES including, but not limited to: conditions and delivery system • Strategic/Tactical Planning, innovation models; Administration for Children and • Supporting critical thinking about including assisting with planning for Families future CMS program policy, innovation, the DHHS enterprise, business development, and support for Medicare intelligence and analytic tools that can Tribal Consultation Meetings and Medicaid. be applied consistently across DHHS • Conceptual Planning, including and CMS programs; AGENCY: Administration for Children operations, analysis, requirements, • Supporting systems integration, and Families’ Office of Head Start procedures, and analytic support. data management, and data exchange (OHS), HHS. • Design and Engineering, including that contribute to a larger DHHS intra ACTION: Notice. Technical Architecture Direction. and inter-agency enterprise as well as • Procurement Assistance, Review/ collaboration with State, local Tribal SUMMARY: Pursuant to the Improving Recommendations for Current Contract governments, the business sector (for- Head Start for School Readiness Act of Processes to include, Contract Reform, profit and not-for-profits), academia and 2007, Public Law 110–134, notice is Technical Guidance, Price and Cost the public; hereby given of one-day Tribal Estimating, Support and Source • Providing recommendations for Consultation Sessions to be held Selection Evaluation Support. standards for top-level DHHS systems between the Department of Health and • Organizational Planning, including requirements and performance metrics Human Services, Administration for Functional and Gap analysis. best practices for an integrated DHHS Children and Families, Office of Head • Research and Development, approach to systems solutions and Start leadership and the leadership of Assessment of New Technologies and structured and unstructured data Tribal Governments operating Head advice on medical and technical architecture; and Start (including Early Head Start) innovation and health information. • Understanding key DHHS programs. The purpose of these • Continuous Process Improvement, organizations and their specific role and Consultation Sessions is to discuss ways ILC/current practices review and major acquisition requirements and to better meet the needs of American recommendations, implementation of support them in the requirements Indian and Alaska Native children and best practices and code reviews. development phase of the acquisition their families, taking into consideration • IV&V/Compliance, DUA lifecycle. funding allocations, distribution Surveillance and Web Site Content • The FFRDC shall function so formulas, and other issues affecting the Review. effectively as to act as an agent for the delivery of Head Start services in their • Security, including Security sponsor in the design and pursuit of geographic locations [42 U.S.C. 9835, Assessments and Security Test and mission goals. Section 640(l)(4)]. • Evaluations (ST&E). Identify, define, The FFRDC shall provide rapid DATES AND LOCATIONS: Office of Head and resolve problems as an integral part responsiveness to changing Start Tribal Consultation Sessions will of the sponsor’s management team. requirements for personnel in all be held as follows: • Providing independent analysis aspects of strategic, technical and Friday, April 29, 2011—Albuquerque, about DHHS vulnerabilities and the program management. • New Mexico—Indian Pueblo Cultural effectiveness of systems deployed to The FFRDC shall recognize Center, 2401 12th Street, NW., make DHHS more effective in providing Government objectives as its own Albuquerque NM 87104. healthcare services and implementation objectives, partnering with the sponsor Thursday, May 19, 2011—Marksville, of new healthcare initiatives; in pursuit of excellence in public Louisiana—Paragon Casino Resort, • Providing intra-departmental and service. • 6773 East Tunica Drive, Marksville, inter-agency cross-cutting, risk-informed The FFRDC shall allow for non- LA 71351. analysis of alternative resource sponsor, other than CMS, work for FOR FURTHER INFORMATION CONTACT: approaches; operating Divisions within DHHS. • Developing and deploying We are publishing this notice in Camille Loya, Tribal Policy Lead, e-mail analytical tools and techniques to accordance with 48 CFR 5.205(b) of the [email protected] or phone evaluate system alternatives (for Federal Acquisition Regulations (FAR), (202) 401–5964. Additional information example, policy-operations-technology to enable interested members of the and online meeting registration is tradeoffs, etc.), and life-cycle costs that public to provide comments on this available at http:// have broad application across CMS; proposed action. This is the first of three www.headstartresourcecenter.org. • Developing measurable notices issued under the authority of 48 SUPPLEMENTARY INFORMATION: The performance metrics, models, and CFR 5.205(b). Department of Health and Human

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Services announces OHS Tribal Tribes wishing to submit written comments should be identified with the Consultations for leaders of Tribal testimony for the report should send docket number found in brackets in the Governments operating Head Start and testimony to Camille Loya at heading of this document. Early Head Start programs in Regions I, [email protected] either prior to FOR FURTHER INFORMATION CONTACT: II, IV, and VI. The Consultation Session the Consultation Session or within 30 Denver Presley, Office of Information for Region VI will take place Friday, days after the meeting. Management, Food and Drug April 29, 2011, at the Indian Pueblo Oral testimony and comments from Administration, 1350 Piccard Dr., PI50– Cultural Center in Albuquerque, New the Consultation Session will be 400B, Rockville, MD 20850, 301–796– Mexico, immediately following the summarized in the report without 3793. Department of Health and Human attribution, along with topics of concern SUPPLEMENTARY INFORMATION: Under the Services Regional Consultations session. and recommendations. Hotel and PRA (44 U.S.C. 3501–3520), Federal The Consultation Session for Regions I, logistical information for all Agencies must obtain approval from the II, and IV will take place Thursday, May Consultation Sessions has been sent to Office of Management and Budget 19, 2011, at the Paragon Casino Resort Tribal leaders via e-mail and posted on (OMB) for each collection of in Marksville, Louisiana, immediately the Head Start Resource Center Web site information they conduct or sponsor. following the United South and Eastern at http:// ‘‘Collection of information’’ is defined in Tribes, Inc. 2011 Semi-annual Meeting. www.headstartresourcecenter.org. 44 U.S.C. 3502(3) and 5 CFR 1320.3(c) We are convening the OHS Tribal Dated: April 6, 2011. and includes Agency requests or Consultations in conjunction with other requirements that members of the public Tribal Leader events in order to Ann Linehan, submit reports, keep records, or provide minimize the financial and travel Deputy Director, Office of Head Start. information to a third party. Section burden for participants. [FR Doc. 2011–8999 Filed 4–12–11; 8:45 am] 3506(c)(2)(A) of the PRA (44 U.S.C. The agendas for both scheduled OHS BILLING CODE 4184–40–P 3506(c)(2)(A)) requires Federal Agencies Tribal Consultations will be organized to provide a 60-day notice in the around the statutory purposes of Head Federal Register concerning each Start Tribal Consultations related to DEPARTMENT OF HEALTH AND proposed collection of information meeting the needs of American Indian HUMAN SERVICES before submitting the collection to OMB and Alaska Native children and for approval. To comply with this families, taking into consideration Food and Drug Administration requirement, FDA is publishing notice funding allocations, distribution [Docket No. FDA–2011–N–0221] of the proposed collection of formulas, and other issues affecting the information set forth in this document. delivery of Head Start services in their Agency Information Collection With respect to the following geographic locations. In addition, OHS Activities; Proposed Collection; collection of information, FDA invites will share actions taken and in progress Comment Request; Experimental comments on these topics: (1) Whether to address the issues and concerns Study on Consumer Responses to the proposed collection of information raised in 2010 OHS Tribal Labeling Statements on Food is necessary for the proper performance Consultations. Packages of FDA’s functions, including whether Tribal leaders and designated AGENCY: the information will have practical representatives interested in submitting Food and Drug Administration, written testimony or proposing specific HHS. utility; (2) the accuracy of FDA’s agenda topics for the Albuquerque or ACTION: Notice. estimate of the burden of the proposed Marksville Consultation Sessions collection of information, including the SUMMARY: The Food and Drug should contact Camille Loya at validity of the methodology and Administration (FDA) is announcing an [email protected] at least three assumptions used; (3) ways to enhance opportunity for public comment on the days in advance of the Session. the quality, utility, and clarity of the proposed collection of certain Proposals should include a brief information to be collected; and (4) information by the Agency. Under the description of the topic area along with ways to minimize the burden of the Paperwork Reduction Act of 1995 (the the name and contact information of the collection of information on PRA), Federal Agencies are required to suggested presenter. respondents, including through the use The Consultation Sessions will be publish notice in the Federal Register of automated collection techniques, conducted with elected or appointed concerning each proposed collection of when appropriate, and other forms of leaders of Tribal Governments and their information and to allow 60 days for information technology. designated representatives [42 public comment in response to the notice. This notice solicits comments on Experimental Study on Consumer U.S.C.9835, Section 640(l)(4)(A)]. Responses to Labeling Statements on Designees must have a letter from the a study entitled ‘‘Experimental Study on Consumer Responses to Labeling Food Packages; 21 U.S.C. 393(d)(2)(C)— Tribal Government authorizing them to (OMB 0910–NEW) represent the Tribe. The letter should be Statements on Food Packages.’’ submitted at least three days in advance DATES: Submit either electronic or I. Background of the Consultation Session to Camille written comments on the collection of The Nutrition Labeling and Education Loya at (202) 205–9721 (fax). Other information by June 13, 2011. Act requires almost all packaged foods representatives of Tribal organizations ADDRESSES: Submit electronic to bear nutrition labeling in the form of and Native nonprofit organizations are comments on the collection of the Nutrition Facts label. The law also welcome to attend as observers. information to http:// allows manufacturers to provide other A detailed report of each Consultation www.regulations.gov. Submit written nutrition information on labels in the Session will be prepared and made comments on the collection of form of various types of statements, available within 90 days of the information to the Division of Dockets including claims, as long as such Consultation Session to all Tribal Management (HFA–305), Food and Drug statements comply with the regulatory Governments receiving funds for Head Administration, 5630 Fishers Lane, Rm. limits that govern the use of each type Start and Early Head Start programs. 1061, Rockville, MD 20852. All of statement. There are three types of

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claims that the food industry can nature of statement, and presentation of The proposed collection of voluntarily use on food labels: (1) statement. For example, a package may information is a controlled randomized Health claims, (2) nutrient content display one or more statements such as experimental study. The study will use claims (e.g., ‘‘Low fat’’), and (3) symbols relating to nutrition content, a 15-minute Web-based survey to collect structure/function claims (e.g., ‘‘Calcium statements in words relating to the information from 4,000 English- builds strong bones.’’). There are three presence of certain nutrients, statements speaking adult members of an online types of health claims: (1) Those that in words relating to the absence of other consumer panel maintained by a meet the Significant Scientific Standard nutrients, statements in words relating contractor. The study will aim to (e.g., ‘‘Adequate calcium and Vitamin D the health benefits of consuming foods produce a sample that reflects the U.S. throughout life, as part of a well- containing or not containing certain Census on gender, education, age, and balanced diet, may reduce the risk of other nutrients, and statements in words ethnicity/race. osteoporosis.’’), (2) those that are based describing how the product was The study will randomly assign each on authoritative statements from a produced. Moreover, all of those of its participants to view two label recognized scientific body of the U.S. symbols and statements are distributed images from a set of food labels that will government or the National Academy of in various places on the package in be created for the study and Sciences (e.g., ‘‘Diets containing foods different font sizes and colors. systematically varied in the (1) number that are a good source of potassium and There exists a large body of literature of statements (none, one, or two); (2) that are low in sodium may reduce the on the impacts of different types of featured nutrient and substance (e.g., risk of high blood pressure and stroke.’’), labeling statements on consumer fat, sodium, sugars, fiber, whole grain, and (3) qualified health claims that are perceptions and choices of products calories, antioxidant vitamins, or granted under enforcement discretion (Refs. 9 and 10). The majority of the allergen); (3) type of statement (text or (e.g., ‘‘Supportive but not conclusive research, including the consumer graphic, specifically the Guideline Daily research shows that consumption of research that the Agency has previously Amounts nutrition symbol); (4) framing EPA and DHA omega-3 fatty acids may conducted (Refs. 11 and 12), has of statement (‘‘good source of,’’ ‘‘low,’’ or ‘‘ ’’ reduce the risk of coronary heart focused on single labeling statements by free ); (5) nature of statement (nutrition disease. One serving of [Name of the eliciting study participants’ reactions to or method of production such as ‘‘ ’’ food] provides [ ] grams of EPA and variants of a given statement. An natural ); (6) type size of statement DHA omega-3 fatty acids. [See nutrition advantage of this research approach is (large or small); and (7) featured product (e.g., snacks, breakfast cereals, breads, information for total fat, saturated fat, that it helps isolate the effects of soups, or frozen meals). With regard to and cholesterol content.]’’). Although individual statements and avoid claims, the study will focus on the different types of claims are potential confounding effects caused by examples of nutrient content claims and regulated differently, they all must be the presence of other statements. A structure/function claims, which can be truthful and not misleading (Ref. 1). disadvantage of this research approach, With the increased public interest in found on many food packages (Ref. 13). however, is that it does not necessarily identifying healthier foods, U.S. food All label images will be mock-ups reflect the labels consumers see in the processors have been adding nutritional resembling food labels that may be marketplace. In particular, the existing information in the form of nutrition found in the marketplace. Images will literature provides little information symbols to food labels in addition to show product identity (e.g., potato about how the coexistence of two or claims. Examples of nutrition symbols chips), but not any real or fictitious that have been or are planned to be used more different labeling statements brand name. The study will provide on food labels include nutrient-specific affects product perceptions and choices. interested participants access to the disclosure (e.g., ‘‘Guideline Daily This information, however, is critical for Nutrition Facts label, but not together Amounts’’) (Ref. 2), calorie declaration understanding the roles played by with a product image. (Ref. 3), summary product rating (e.g., labeling statements in dietary decisions. The survey will ask its participants to ‘‘Smart Spot’’) (Ref. 4), and a hybrid Research suggests consumer product view label images and answer questions summary indicator with nutrient- perceptions and purchase decisions can about their perceptions and reactions specific disclosure (e.g., ‘‘Sensible be influenced by labeling statements related to the viewed product and label. Solution: Good Source of Calcium, Good and different labeling statements may Product perceptions (e.g., healthiness, Sources of 8 Vitamins and Minerals’’) have different influences (Refs. 9 potential health benefits, levels of (Ref. 5). Claims related to non- through 12). Therefore, the FDA, as part nutrients and substances, taste, and nutritional product characteristics are of its effort to promote public health, safety) and label perceptions (e.g., also used in food labeling. The claims proposes to use this study to explore helpfulness and credibility) will may feature, among other things, consumer responses to food labels that constitute the measures of responses in statements about how foods are grown bear multiple labeling statements. the experiment. To help understand the or made (e.g., ‘‘Organic’’ and ‘‘All Specifically, the study plans to examine: data, the survey will also collect Natural’’) or absence of a substance (e.g., (1) Consumer responses to food labels information about participants’ ‘‘Gluten-free’’). that exhibit various combinations of the background, such as consumption, Many consumers use claims and the characteristics of labeling statements purchase, perception, and familiarity Nutrition Facts label in food choice (i.e., nutrients, types of claim, framing of with a category of food; awareness and decisions (Refs. 6 through 8). While statement, nature of statement, and knowledge of nutrients and substances; some products carry only a single presentation of statement), (2) whether dietary interests; motivation regarding labeling statement (e.g., either one claim and how consumer responses to one of label use and health literacy; and health or one symbol) on their packages, many the characteristics may be affected by status and demographic characteristics. products carry two or more labeling other characteristics (i.e., the The study is part of the Agency’s statements. In addition, on the same interactions between different continuing effort to enable consumers to package the attributes of one statement characteristics of labeling statements), make informed dietary choices and may differ from those of other and (3) whether and how labeling construct healthful diets. Results of the statements in terms of featured nutrient, statements affect the use of the Nutrition study will be used primarily to enrich type of claim, framing of statement, Facts label. the Agency’s understanding of how

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multiple claims and other labeling interview is expected to take 1 hour. 32,000 invitations, each taking 2 statements on food packages may affect The total for cognitive interview minutes (0.033 hour) to complete, will how consumers perceive a product or a activities is 15 hours (6 hours + 9 need to be sent to the consumer panel label, which may in turn affect their hours). Subsequently, we plan to to have 3,000 of its members complete dietary choices. Results of the study will conduct pretests of the questionnaire a 15-minute (0.25 hour) questionnaire. not be used to develop population before it is administered in the study. The total for the survey activities is estimates. We expect that 1,600 invitations, each 2,056 hours (1,056 hours + 1,000 hours). To help design and refine the taking 2 minutes (0.033 hour), will need Thus, the total estimated burden is questionnaire, FDA plans to conduct to be sent to panelists to have 200 of 2,174 hours. FDA’s burden estimate is cognitive interviews by screening 72 them complete a 15-minute (0.25 hour) based on prior experience with research panelists in order to obtain 9 participants in the interviews. Each pretest. The total for the pretest that is similar to this proposed study. screening is expected to take 5 minutes activities is 106 hours (53 hours + 50 FDA estimates the burden of this (0.083 hour) and each cognitive hours). For the survey, we estimate that collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Average Number of Number of Total annual burden per Portion of study respondents responses per responses response Total hours respondent (in hours)

Cognitive interview screener ...... 72 1 72 5/60 6 Cognitive interview ...... 9 1 9 1 9 Pretest invitation ...... 1,600 1 1,600 2/60 53 Pretest ...... 200 1 200 15/60 50 Survey invitation ...... 32,000 1 32,000 2/60 1,056 Survey ...... 4,000 1 4,000 15/60 1,000

Total ...... 2,174 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

II. References Diet Behavior and Nutrition section. Adler, C., Brown, A.-M., and Brecher, S., Unpublished results of questions ‘‘2000–2001 Food Label and Package The following references have been DBQ.750 and DBQ.780. Questionnaire is Survey: An Update on Prevalence of placed on display in the Division of available at http://www.cdc.gov/nchs/ Nutrition Labeling and Claims on Dockets Management (see ADDRESSES) data/nhanes/nhanes_05_06/ Processed, Packaged Foods,’’ Journal of and may be seen by interested persons sp_dbq_d.pdf. the American Dietetic Association, between 9 a.m. and 4 p.m., Monday 7. U.S. Food and Drug Administration. 2008 104(6): 952–8, 2004. Health and Diet Survey. March 20, 2010. through Friday. (FDA has verified the Available at http://www.fda.gov/Food/ Dated: April 8, 2011. Web site addresses, but we are not ScienceResearch/ResearchAreas/ Leslie Kux, responsible for any subsequent changes ConsumerResearch/ucm193895.htm. Acting Assistant Commissioner for Policy. to the Web site after this document 8. Food Marketing Institute. 2009 U.S. [FR Doc. 2011–8908 Filed 4–12–11; 8:45 am] publishes in the Federal Register.) Grocery Shopper Trends Survey. Washington, DC 2009. BILLING CODE 4160–01–P 1. U.S. Food and Drug Administration. 9. Drichoutis, A.C., Lazaridis, P. and Nayga, Claims That Can Be Made for R.M., ‘‘Consumers’ Use of Nutritional Conventional Foods and Dietary Labels: a Review of Research Studies and DEPARTMENT OF HEALTH AND Supplements. September 2003. Available Issues,’’ Academy of Marketing Science HUMAN SERVICES at http://www.fda.gov/Food/ Review, 2006(9), 2006. Available at LabelingNutrition/LabelClaims/ http://www.amsreview.org/articles/ Food and Drug Administration ucm111447.htm. drichoutis09-2006.pdf. 2. Kellogg’s. Nutrition at a Glance. 2010. 10. La¨hteenma¨ki, L., Lampila, P.. Grunert, K., [Docket No. FDA–2011–N–0237] Available at http:// Boztug, Y., Ueland, ;., A˚ stro¨m, A. and www.kelloggnutrition.com/learn-about- Martinsdo´ttir, E., ‘‘Impact of Health- Agency Information Collection labels/nutrition-at-a-glance.html. Related Claims on the Perception of Activities; Proposed Collection; 3. PepsiCo. Nutrition Labeling. 2010. Other Product Attributes,’’ Food Policy, Comment Request; Applications for Available at http://www.pepsico.com/ 23: 230–9. 2010. Food and Drug Administration Purpose/Human-Sustainability/ 11. Labiner-Wolfe, J., Lin, C.-T. J. and Verrill Approval To Market a New Drug; Nutrition-Labeling.html. L., ‘‘Effect of Low Carbohydrate Claims Postmarketing Reports; Reporting ‘‘ 4. Schmit, J. PepsiCo Labels Some of Its on Consumer Perceptions about Food Information About Authorized Generic Products ‘Smart,’’’ USA Today, Products’ Healthfulness and Helpfulness Drugs September 2, 2004. Available at http:// for Weight Management,’’ Journal of www.usatoday.com/money/industries/ Nutrition Education and Behavior, 42(5): _ AGENCY: Food and Drug Administration, food/2004–09–02-smart-spot x.htm. 315–320, 2010. HHS. 5. Kraft Foods. Sensible Solution. 2010. 12. Roe, B., Levy, A.S., and Derby, B.M., ‘‘The Available at http:// Impact of Health Claims on Consumer ACTION: Notice. www.kraftrecipes.com/kf/HealthyLiving/ Search and Product Evaluation SUMMARY: The Food and Drug SensibleSolution/ Outcomes: Evidence from FDA SensibleSolution_Landing.aspx. Experimental Data,’’ Journal of Public Administration (FDA) is announcing an 6. Centers for Disease Control and Policy and Marketing, 18(1): 89–105, opportunity for public comment on the Prevention. 2005–2006 National Health 1999. proposed collection of certain and Examination Survey questionnaire, 13. LeGault, L., Brandt, M.B., McCabe, N., information by the Agency. Under the

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Paperwork Reduction Act of 1995 (the to provide a 60-day notice in the 2008, on the Internet and notified PRA), Federal Agencies are required to Federal Register concerning each relevant Federal Agencies that the list publish notice in the Federal Register proposed collection of information, was published, and we will continue to concerning each proposed collection of including each proposed extension of an update it. information, including each proposed existing collection of information, During the past several years, FDA extension of an existing collection of before submitting the collection to OMB has been reviewing annual reports it has information, and to allow 60 days for for approval. To comply with this received under § 314.81(b)(2) (21 CFR public comment in response to the requirement, FDA is publishing notice 314.81(b)(2)) to discern whether an notice. This notice solicits comments on of the proposed collection of authorized generic drug is being the requirements for a New Drug information set forth in this document. marketed by the NDA holder. Based on Application (NDA) holder to notify the With respect to the following information learned from this review Agency if an authorized generic drug is collection of information, FDA invites and based on the number of annual marketed by clearly including this comments on these topics: (1) Whether reports the Agency currently receives information in an easily accessible place the proposed collection of information under § 314.81(b)(2), we estimate that in the annual report and by sending a is necessary for the proper performance we will receive approximately 400 copy of the relevant portion of the of FDA’s functions, including whether annual reports containing the annual report to a central contact point the information will have practical information required under in the Agency. utility; (2) the accuracy of FDA’s § 314.81(b)(2)(ii)(b), for authorized DATES: Submit either electronic or estimate of the burden of the proposed generic drugs that were marketed during written comments on the collection of collection of information, including the the time period covered by an annual information by June 13, 2011. validity of the methodology and report submitted after January 1, 1999. ADDRESSES: Submit electronic assumptions used; (3) ways to enhance Based on the number of sponsors that comments on the collection of the quality, utility, and clarity of the currently submit annual reports, we information to http:// information to be collected; and (4) estimate that approximately 60 sponsors www.regulations.gov. Submit on the ways to minimize the burden of the will submit these 400 annual reports collection of information to the Division collection of information on with authorized generics. As indicated of Dockets Management (HFA–305), respondents, including through the use in table 1 of this document, we are Food and Drug Administration, 5630 of automated collection techniques, estimating that the same number of Fishers Lane, rm. 1061, Rockville, MD when appropriate, and other forms of annual reports will be submitted each 20852. All comments should be information technology. year from the same number of sponsors containing the information required identified with the OMB control number Applications for Food and Drug 0910–0646. Also include the FDA under § 314.81(b)(2)(ii)(b), and that the Administration Approval To Market a same number of copies of that portion docket number found in brackets in the New Drug; Postmarketing Reports; heading of this document. of each annual report containing the Reporting Information About authorized generic drug information FOR FURTHER INFORMATION CONTACT: Authorized Generic Drugs—21 CFR will be submitted from the same number Elizabeth Berbakos, Office of 314.81(b)(2)—(OMB Control Number of sponsors. Concerning the hours per Information Management, Food and 0910–0646—Extension) response, based on our estimate of 40 Drug Administration, 1350 Piccard Dr., In the Federal Register of July 28, hours to prepare each annual report P150–400B, Rockville, MD 20850, 301– 2009 (74 FR 37163), FDA published a currently submitted under 796–3792, Elizabeth.Berbakos@ final rule that required the holder of an § 314.81(b)(2), we estimate that sponsors fda.hhs.gov. NDA to notify the Agency if an will need approximately 1 hour to SUPPLEMENTARY INFORMATION: Under the authorized generic drug is marketed by prepare the information required under PRA (44 U.S.C. 3501–3520), Federal clearly including this information in § 314.81(b)(2)(ii)(b) for each authorized Agencies must obtain approval from the annual reports in an easily accessible generic drug that was marketed during Office of Management and Budget place and by sending a copy of the the time period covered by an annual (OMB) for each collection of relevant portion of the annual reports to report submitted after January 1, 1999; information they conduct or sponsor. a central contact point. We took this approximately 15 minutes to prepare ‘‘Collection of information’’ is defined in action as part of our implementation of the information required under 44 U.S.C. 3502(3) and 5 CFR 1320.3(c) the Food and Drug Administration § 314.81(b)(2)(ii)(b) for each subsequent and includes Agency requests or Amendments Act, which requires that annual report; and approximately 3 requirements that members of the public FDA publish a list of all authorized minutes to submit to FDA a copy of that submit reports, keep records, or provide generic drugs included in an annual portion of each annual report containing information to a third party. Section report after January 1, 1999, and that the the authorized generic drug information. 3506(c)(2)(A) of the PRA (44 U.S.C. Agency update the list quarterly. We FDA estimates the burden of this 3506(c)(2)(A)) requires Federal Agencies initially published this list on June 27, collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Average Number of Number of Total annual burden per 21 CFR 314.81(b)(2)(ii)(b) respondents reponses per respondents response Total hours respondent (in hours)

Authorized generic drug information on first marketed generics in an annual report under § 314.81(b)(2)(ii)(b) .. 60 6.7 400 1 400 Authorized generic drug information submitted in each subsequent annual report ...... 60 6.7 400 15/60 100

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TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1—Continued

Average Number of Number of Total annual burden per 21 CFR 314.81(b)(2)(ii)(b) respondents reponses per respondents response Total hours respondent (in hours)

The submission of a copy of that portion of each annual report containing authorized generic drug information .... 60 6.7 400 3/60 20

Total ...... 520 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Dated: April 7, 2011. Management (HFA–305), Food and Drug when appropriate, and other forms of Leslie Kux, Administration, 5630 Fishers Lane, rm. information technology. 1061, Rockville, MD 20852. All Acting Assistant Commissioner for Policy. Guidance for Industry: Fast Track Drug comments should be identified with the [FR Doc. 2011–8820 Filed 4–12–11; 8:45 am] Development Programs: Designation, docket number found in brackets in the BILLING CODE 4160–01–P Development, and Application heading of this document. Review—(OMB Control Number 0910– FOR FURTHER INFORMATION CONTACT: 0389)—Extension DEPARTMENT OF HEALTH AND Elizabeth Berbakos, Office of HUMAN SERVICES Information Management, Food and Section 112(a) of the Food and Drug Drug Administration, 1350 Piccard Dr., Administration Modernization Act of Food and Drug Administration PI50–400B, Rockville, MD 20850, 301– 1997 (FDAMA) (Pub. L. 105–115) 796–3792, amended the Federal Food, Drug, and [Docket No. FDA–2011–N–0157] [email protected]. Cosmetic Act (the FD&C Act) by adding section 506 (21 U.S.C. 356). The section Agency Information Collection SUPPLEMENTARY INFORMATION: Under the authorizes FDA to take appropriate Activities; Proposed Collection; PRA (44 U.S.C. 3501–3520), Federal action to facilitate the development and Comment Request; Guidance for Agencies must obtain approval from the expedite the review of new drugs, Industry: Fast Track Drug Office of Management and Budget including biological products, intended Development Programs: Designation, (OMB) for each collection of to treat a serious or life-threatening Development, and Application Review information they conduct or sponsor. condition and that demonstrate a ‘‘Collection of information’’ is defined in AGENCY: potential to address an unmet medical Food and Drug Administration, 44 U.S.C. 3502(3) and 5 CFR 1320.3(c) HHS. need. Under section 112(b) of FDAMA, and includes Agency requests or FDA issued guidance to industry on fast ACTION: Notice. requirements that members of the public track policies and procedures outlined submit reports, keep records, or provide SUMMARY: The Food and Drug in section 506 of the FD&C Act. The information to a third party. Section Administration (FDA) is announcing an guidance discusses collections of 3506(c)(2)(A) of the PRA (44 U.S.C. opportunity for public comment on the information that are specified under 3506(c)(2)(A)) requires Federal Agencies proposed collection of certain section 506 of the FD&C Act, other to provide a 60-day notice in the information by the Agency. Under the sections of the Public Health Service Federal Register concerning each Paperwork Reduction Act of 1995 (the Act (the PHS Act), or implementing proposed collection of information, PRA), Federal Agencies are required to regulations. The guidance describes including each proposed extension of an publish notice in the Federal Register three general areas involving collection existing collection of information, concerning each proposed collection of of information: (1) Fast track before submitting the collection to OMB information, including each proposed designation requests; (2) premeeting for approval. To comply with this extension of an existing collection of packages; and (3) requests to submit requirement, FDA is publishing notice information, and to allow 60 days for portions of an application. Of these, fast of the proposed collection of public comment in response to the track designation requests and information set forth in this document. notice. This notice solicits comments on premeeting packages, in support of With respect to the following receiving a fast track program benefit, the proposed collection of information collection of information, FDA invites concerning requests by sponsors of provide for additional collections of comments on these topics: (1) Whether information not covered elsewhere in investigational new drugs and the proposed collection of information applicants for new drug approvals or statute or regulation. Information in is necessary for the proper performance support of fast track designation or fast biologics licenses for fast track of FDA’s functions, including whether designation as provided in the guidance track program benefits that has the information will have practical previously been submitted to the for industry on fast track drug utility; (2) the accuracy of FDA’s development programs. Agency, may, in some cases, be estimate of the burden of the proposed incorporated into the request by DATES: Submit either electronic or collection of information, including the referring to the information rather than written comments on the collection of validity of the methodology and resubmitting it. information by June 13, 2011. assumptions used; (3) ways to enhance Under section 506(a)(1) of the FD&C ADDRESSES: Submit electronic the quality, utility, and clarity of the Act, an applicant who seeks fast track comments on the collection of information to be collected; and (4) designation is required to submit a information to http:// ways to minimize the burden of the request to the Agency showing that the www.regulations.gov. Submit written collection of information on product: (1) Is intended for a serious or comments on the collection of respondents, including through the use life-threatening condition and (2) has information to the Division of Dockets of automated collection techniques, the potential to address an unmet

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medical need. Mostly, the Agency and should support the intended provision of the FD&C Act. All forms expects that information to support a objectives of the meeting. As with the referred to in the guidance have a designation request will have been request for fast track designation, the current OMB approval: FDA Forms 1571 gathered under existing provisions of Agency expects that most sponsors or (OMB control number 0910–0014); 356h the FD&C Act, the PHS Act, or the applicants will have gathered such (OMB control number 0910–0338); and implementing regulations. If such information to meet existing 3397 (OMB control number 0910–0297). information has already been submitted requirements under the FD&C Act, the Respondents to this information to the Agency, the information may be PHS Act, or implementing regulations. summarized in the fast track designation These may include descriptions of collection are sponsors and applicants request. The guidance recommends that clinical safety and efficacy trials not who seek fast track designation under a designation request include, where conducted under an investigational new section 506 of the FD&C Act. The applicable, additional information not drug application (IND) (i.e., foreign Agency estimates the total annual specified elsewhere by statute or studies), and information to support a number of respondents submitting regulation. For example, additional request for accelerated approval. If such requests for fast track designation to the information may be needed to show that information has already been submitted Center for Biologics Evaluation and a product has the potential to address an to FDA, the information may be Research and the Center for Drug unmet medical need where an approved summarized in the premeeting package. Evaluation and Research is therapy exists for the serious or life- Consequently, FDA anticipates that the approximately 97, and the number of threatening condition to be treated. additional collection of information requests received is approximately 118 Such information may include clinical attributed solely to the guidance will be annually. FDA estimates that the data, published reports, summaries of minimal. number of hours needed to prepare a data and reports, and a list of references. Under section 506(c) of the FD&C Act, request for fast track designation is The amount of information and a sponsor must submit sufficient approximately 60 hours per request. discussion in a designation request need clinical data for the Agency to Not all requests for fast track determine, after preliminary evaluation, not be voluminous, but it should be designation may meet the statutory that a fast track product may be sufficient to permit a reviewer to assess standard. Of the requests for fast track whether the criteria for fast track effective. Section 506(c) also requires designation made per year, the Agency designation have been met. that an applicant provide a schedule for After the Agency makes a fast track the submission of information necessary granted 77 from 64 respondents, and for designation, a sponsor or applicant may to make the application complete before each of these granted requests a submit a premeeting package which FDA can commence its review. The premeeting package was submitted to may include additional information guidance does not provide for any new the Agency. FDA estimates that the supporting a request to participate in collection of information regarding the preparation hours are approximately certain fast track programs. The submission of portions of an application 100 hours per premeeting package. premeeting package serves as that are not required under section FDA estimates the burden of this background information for the meeting 506(c) of the FD&C Act or any other collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Annual Reporting activity Number of frequency per Total annual Hours Total hours respondents response responses per response

Designation Request ...... 97 1.22 118 60 7,080 Premeeting Packages ...... 64 1.20 77 100 7,700

Total ...... 14,780 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Dated: April 4, 2011. DEPARTMENT OF HEALTH AND information has been submitted to the Leslie Kux, HUMAN SERVICES Office of Management and Budget Acting Assistant Commissioner for Policy. (OMB) for review and clearance under Food and Drug Administration [FR Doc. 2011–8818 Filed 4–12–11; 8:45 am] the Paperwork Reduction Act of 1995. BILLING CODE 4160–01–P [Docket No. FDA–2010–N–0627] DATES: Fax written comments on the collection of information by May 13, Agency Information Collection Activities; Submission for Office of 2011. Management and Budget Review; ADDRESSES: To ensure that comments on Comment Request; Application for the information collection are received, Food and Drug Administration OMB recommends that written Approval To Market a New Drug comments be faxed to the Office of AGENCY: Food and Drug Administration, Information and Regulatory Affairs, HHS. OMB, Attn: FDA Desk Officer, FAX: ACTION: Notice. 202–395–7285, or e-mailed to [email protected]. All SUMMARY: The Food and Drug comments should be identified with the Administration (FDA) is announcing OMB control number 0910–0001. Also that a proposed collection of include the FDA docket number found

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in brackets in the heading of this Section 314.50(e) requires the postmarketing reports (Form FDA document. applicant to submit samples of the drug 3500A). (The burden hours for if requested by FDA. In addition, the § 314.80(c)(1) and (c)(2) are already FOR FURTHER INFORMATION CONTACT: archival copy of the application must approved by OMB under OMB control Elizabeth Berbakos, Office of include copies of the label and all numbers 0910–0230 and 0910–0291 and Information Management, Food and labeling for the drug. are not included in the burden estimates Drug Administration, 1350 Piccard Dr., Section 314.50(f) requires that case in table 1 of this document.) P150–400B, Rockville, MD 20852, 301– report forms and tabulations be Section 314.80(i) establishes 796–3792, submitted with the archival copy. recordkeeping requirements for reports [email protected]. Section 314.50(h) requires that patent of postmarketing adverse drug SUPPLEMENTARY INFORMATION: In information, as described under experiences. (The burden hours for compliance with 44 U.S.C. 3507, FDA § 314.53, be submitted with the § 314.80(i) are already approved by has submitted the following proposed application. (The burden hours for OMB under OMB control numbers collection of information to OMB for § 314.50(h) are already approved by 0910–0230 and 0910–0291 and are not review and clearance: OMB under OMB control number 0910– included in the burden estimates in 0513 and are not included in the burden Application for FDA Approval to table 1 of this document.) estimates in table 1 of this document.) Section 314.81(b)(1) requires that field Market a New Drug—(OMB Control Section 314.50(i) requires that patent Number 0910–0001)—Extension alert reports be submitted to FDA (Form certification information be submitted FDA 3331). Under section 505(a) of the Federal in section 505(b)(2) applications for Section 314.81(b)(2) requires that Food, Drug, and Cosmetic Act (the patents claiming the drug, drug product, annual reports be submitted to FDA FD&C Act) (21 U.S.C. 355(a)), a new or method of use. (Form FDA 2252). drug may not be commercially marketed Section 314.50(j) requires that Section 314.81(b)(3)(i) requires that in the United States, imported, or applicants that request a period of drug advertisements and promotional exported from the United States, unless marketing exclusivity submit certain labeling be submitted to FDA (Form an approval of an application filed with information with the application. FDA 2253). FDA under section 505(b) or 505(j) of Section 314.50(l) requires that an Section 314.81(b)(3)(iii) sets forth the FD&C Act is effective with respect archival, review, and field copy of the reporting requirements for sponsors to such drug. Under the FD&C Act, it is application be submitted. who withdraw an approved drug Section 314.52 requires that any the sponsor’s responsibility to provide product from sale. (The burden hours notice of certification of invalidity or the information needed by FDA to make for § 314.81(b)(3)(iii) are already noninfringement of a patent to each a scientific and technical determination approved by OMB under OMB control patent owner and the NDA holder be whether the product is safe and effective number 0910–0045 and are not included sent by a section 505(b)(2) applicant that for use. in the burden estimates in table 1 of this relies on a listed drug. A 505(b)(2) This information collection approval document.) applicant is required to amend its request is for all information Section 314.90 sets forth requirements application at the time notice is requirements imposed on sponsors by for sponsors who request waivers from provided to include a statement the regulations under part 314 (21 CFR FDA for compliance with §§ 314.50 certifying that the required notice has part 314), who apply for approval of a through 314.81. (The information been provided. A 505(b)(2) applicant new drug application (NDA) or collection burden estimate for NDA also is required to amend its application abbreviated new drug application waiver requests is included in table 1 of to document receipt of the required (ANDA) in order to market or to this document under estimates for continue to market a drug. notice. Section 314.54 sets forth the content §§ 314.50, 314.60, 314.70, and 314.71.) Section 314.50(a) requires that an requirements for applications filed Section 314.93 sets forth requirements application form (Form FDA 356h) be under section 505(b)(2) of the FD&C Act. for submitting a suitability petition in submitted that includes introductory (The information collection burden accordance with § 10.20 (21 CFR 10.20) information about the drug as well as a estimate for 505(b)(2) applications is and § 10.30. (The burden hours for checklist of enclosures. included in table 1 of this document § 314.93 are already approved by OMB Section 314.50(b) requires that an under the estimates for § 314.50 (a), (b), under 0910–0183 and are not included index be submitted with the archival (c), (d), (e), (f), and (k)). in the burden estimates in table 1 of this copy of the application and that it Section 314.60 sets forth reporting document.) reference certain sections of the requirements for sponsors who amend Section 314.94(a) and (d) requires that application. an unapproved application. an ANDA contain the following Section 314.50(c) requires that a Section 314.65 states that the sponsor information: Application form; table of summary of the application be must notify FDA when withdrawing an contents; basis for ANDA submission; submitted that presents a good general unapproved application. conditions of use; active ingredients; synopsis of all the technical sections Sections 314.70 and 314.71 require route of administration, dosage form, and other information in the that supplements be submitted to FDA and strength; bioequivalence; labeling; application. for certain changes to an approved chemistry, manufacturing, and controls; Section 314.50(d) requires that the application. samples; patent certification. NDA contain the following technical Section 314.72 requires sponsors to Section 314.95 requires that any sections about the new drug: Chemistry, report to FDA any transfer of ownership notice of certification of invalidity or manufacturing, and controls; of an application. noninfringement of a patent to each nonclinical pharmacology and Section 314.80(c)(1) and (c)(2) sets patent owner and the NDA holder be toxicology; human pharmacokinetics forth requirements for expedited sent by ANDA applicants. and bioavailability; microbiology; adverse drug experience postmarketing Section 314.96 sets forth requirements clinical data; statistical; and pediatric reports and follow-up reports, as well as for amendments to an unapproved use sections. for periodic adverse drug experience ANDA.

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Section 314.97 sets forth requirements period, the patent owner or approved § 314.201, and are not included in the for submitting supplements to an application holder must submit to FDA burden estimates in table 1 of this approved ANDA for changes that a waiver in the specified format. document.) require FDA approval. Section 314.110(b)(3) states that, after Section 314.153(b) sets forth the Section 314.98(a) sets forth receipt of an FDA complete response requirements for suspension of an postmarketing adverse drug experience letter, an applicant may request an ANDA when the listed drug is reporting and recordkeeping opportunity for a hearing on the voluntarily withdrawn for safety and requirements for ANDAs. (The burden question of whether there are grounds effectiveness reasons, and the hours for § 314.98(a) are already for denying approval of the application. applicant’s opportunity to present approved by OMB under OMB control (The burden hours for § 314.110(b)(3) comments and participate in a limited numbers 0910–0230 and 0910–0291 and are included under parts 10 through 16 oral hearing. (The burden hours for are not included in the burden estimates (21 CFR parts 10 and 16) hearing § 314.152(b) are included under parts 10 in table 1 of this document.) regulations, in accordance with through 16 hearing regulations, in Section 314.98(c) requires other § 314.201, and are not included in the accordance with § 314.201, and are not postmarketing reports for ANDAs: Field burden estimates in table 1 of this included in the burden estimates in alert reports (Form FDA 3331), annual document.) table 1 of this document.) reports (Form FDA 2252), and Section 314.110(c) states that, after Section 314.161(b) and (e) sets forth advertisements and promotional receipt of a complete response letter, an the requirements for submitting a labeling (Form FDA 2253). (The applicant may notify FDA that it agrees petition to determine whether a listed information collection burden estimate to an extension of the review period so drug was voluntarily withdrawn from for field alert reports is included in table that it can determine whether to sale for safety or effectiveness reasons. 1 of this document under § 314.81(b)(1); respond further. (The burden hours for § 314.161(b) and Section 314.122(a) requires that an the estimate for annual reports is (e) are already approved by OMB under ANDA or a suitability petition that included under § 314.81(b)(2); the OMB control number 0910–0183 and relies on a listed drug that has been estimate for advertisements and are not included in the burden estimates voluntarily withdrawn from sale must promotional labeling is included under in table 1 of this document.) be accompanied by a petition seeking a § 314.81(b)(3)(i).) Section 314.200(c), (d), and (e) Section 314.99(a) requires that determination whether the drug was requires that applicants or others subject sponsors comply with certain reporting withdrawn for safety or effectiveness to a notice of opportunity for a hearing requirements for withdrawing an reasons. (The burden hours for who wish to participate in a hearing file unapproved ANDA and for a change in § 314.122(a) are already approved by a written notice of participation and ownership of an ANDA. OMB under OMB control number 0910– Section 314.99(b) sets forth 0183 and are not included in the burden request for a hearing as well as the requirements for sponsors who request estimates in table 1 of this document.) studies, data, and so forth, relied on. waivers from FDA for compliance with Section 314.122(d) sets forth Other interested persons may also §§ 314.92 through 314.99. (The requirements for relisting petitions for submit comments on the notice. This information collection burden estimate unlisted discontinued products. (The section also sets forth the content and for ANDA waiver requests is included burden hours for § 314.122(d) are format requirements for the applicants’ in table 1 of this document under already approved by OMB under OMB submission in response to notice of estimates for § 314.94(a) and (d) and control number 0910–0183 and are not opportunity for hearing. (The burden §§ 314.96 and 314.97.) included in the burden estimates in hours for § 314.200(c), (d), and (e) are Section 314.101(a) states that if FDA table 1 of this document.) included under parts 10 through 16 refuses to file an application, the Section 314.126(c) sets forth hearing regulations, in accordance with applicant may request an informal requirements for a petition to waive § 314.201, and are not included in the conference with FDA and request that criteria for adequate and well-controlled burden estimates in table 1 of this the application be filed over protest. studies. (The burden hours for document.) Section 314.107(c) requires notice to § 314.126(c) are already approved by Section 314.200(f) states that FDA by the first applicant to submit a OMB under 0910–0183 and are not participants in a hearing may make a substantially complete ANDA included in the burden estimates in motion to the presiding officer for the containing a certification that a relevant table 1 of this document.) inclusion of certain issues in the patent is invalid, unenforceable, or will Section 314.151(a) and (b) set forth hearing. (The burden hours for not be infringed of the date of first requirements for the withdrawal of § 314.200(f) are included under parts 10 commercial marketing. approval of an ANDA and the through 16 hearing regulations, in Section 314.107(e) requires that an applicant’s opportunity for a hearing accordance with § 314.201, and are not applicant submit a copy of the entry of and submission of comments. (The included in the burden estimates in the order or judgment to FDA within 10 burden hours for § 314.151(a) and (b) are table 1 of this document.) working days of a final judgment. included under parts 10 through 16 Section 314.200(g) states that a person Section 314.107(f) requires that hearing regulations, in accordance with who responds to a proposed order from ANDA or section 505(b)(2) applicants § 314.201, and are not included in the FDA denying a request for a hearing notify FDA immediately of the filing of burden estimates in table 1 of this provide sufficient data, information, and any legal action filed within 45 days of document.) analysis to demonstrate that there is a receipt of the notice of certification. A Section 314.151(c) sets forth the genuine and substantial issue of fact patent owner may also notify FDA of the requirements for withdrawal of approval which justifies a hearing. (The burden filing of any legal action for patent of an ANDA and the applicant’s hours for § 314.200(g) are included infringement. If the patent owner or opportunity to submit written objections under parts 10 through 16 hearing approved application holder who is an and participate in a limited oral hearing. regulations, in accordance with exclusive patent licensee waives its (The burden hours for § 314.151(c) are § 314.201, and are not included in the opportunity to file a legal action for included under parts 10 through 16 burden estimates in table 1 of this patent infringement within the 45-day hearing regulations, in accordance with document.)

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Section 314.420 states that an from a court for a stay of action pending reporting for applications for approval applicant may submit to FDA a drug review. (The burden hours for of new drugs when human efficacy master file in support of an application, § 314.530(f) are already approved by studies are not ethical or feasible. (The in accordance with certain content and OMB under 0910–0194 and are not burden hours for § 314.630 are already format requirements. included in the burden estimates in approved by OMB under OMB control Section 314.430 states that data and table 1 of this document.) numbers 0910–0230 and 0910–0291 and information in an application are Section 314.610(b)(1) requires that are not included in the burden estimates disclosable under certain conditions, applicants include a plan or approach to in table 1 of this document.) unless the applicant shows that postmarketing study commitments in Section 314.640 requires that extraordinary circumstances exist. (The applications for approval of new drugs applicants provide promotional burden hours for § 314.430 are included when human efficacy studies are not materials for applications for approval under parts 10 through 16 hearing ethical or feasible, and provide status of new drugs when human efficacy regulations, in accordance with reports of postmarketing study studies are not ethical or feasible. (The § 314.201, and are not included in the commitments. (The information information collection burden estimate burden estimates in table 1 of this collection burden estimate for for § 314.640 is included in table 1 of document.) § 314.610(b)(1) is included in table 1 of this document under the estimates for Section 314.530(c) and (e) states that this document under the estimates for § 314.81(b)(3)(i)). if FDA withdraws approval of a drug §§ 314.50 (a), (b), (c), (d), (e), (f), and (k) Respondents to this collection of approved under the accelerated and 314.81(b)(2)). information are all persons who submit approval procedures, the applicant has Section 314.610(b)(3) requires that an application or abbreviated the opportunity to request a hearing and applicants propose labeling to be application or an amendment or submit data and information. (The provided to patient recipients in supplement to FDA under part 314 to burden hours for § 314.530(c) and (e) are applications for approval of new drugs obtain approval of a new drug, and any included under parts 10 through 16 when human efficacy studies are not person who owns an approved hearing regulations, in accordance with ethical or feasible. (The information application or abbreviated application. § 314.201, and are not included in the collection burden estimate for In the Federal Register of December burden estimates in table 1 of this § 314.610(b)(3) is included in table 1 of 17, 2010 (75 FR 79001), FDA published document.) this document under the estimates for a 60-day notice requesting public Section 314.530(f) requires that an § 314.50(e)). comment on the proposed collection of applicant first submit a petition for stay Section 314.630 requires that information. No comments were of action before requesting an order applicants provide postmarketing safety received.

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Annual 21 CFR Section; Number of frequency per Total annual Hours per Total hours [Form Number] respondents response responses response

314.50(a), (b), (c), (d), (e), (f), and (k) ...... 92 1.36 126 1,917 241,542 314.50(i) and 314.94(a)(12) ...... 96 9.61 923 2 1,846 314.50(j) ...... 71 4.02 286 2 572 314.52 and 314.95 ...... 71 3 .66 260 16 4,160 314.60 ...... 349 21 .67 7,564 80 605,120 314.65 ...... 10 1.20 12 2 24 314.70 and 314.71 ...... 620 4.91 3,050 150 457,500 314.72 ...... 104 2.98 310 2 620 314.81(b)(1) [3331] ...... 147 2.57 378 8 3,024 314.81(b)(2) [2252] ...... 656 13 .84 9,084 40 363,360 314.81(b)(3)(i) [2253] ...... 490 61 .48 30,130 2 60,260 314.94(a)(1)–(11) and (d) ...... 110 7.83 862 480 413,760 314.96 ...... 292 35 .82 10,461 80 836,880 314.97 ...... 197 26 .23 5,169 80 413,520 314.99(a) ...... 53 2 .30 122 2 244 314.101(a) ...... 1 1 1 .50 .50 314.107(c)– ...... 56 4.1 230 .50 115 314.107(e)– ...... 25 3 .92 98 .50 49 314.107(f)– ...... 56 4.1 230 .50 115 314.110(c) ...... 11 1 .36 15 .50 7.5 314.420 ...... 524 1 .98 1,038 61 63,318

Total ...... 3,466,037 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

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Dated: April 7, 2011. 796–7651, will be prepared by FDA and gives the Leslie Kux, [email protected]. potential applicant an opportunity to Acting Assistant Commissioner for Policy. SUPPLEMENTARY INFORMATION: In seek correction to or clarification of the [FR Doc. 2011–8907 Filed 4–12–11; 8:45 am] compliance with 44 U.S.C. 3507, FDA memorandum. BILLING CODE 4160–01–P has submitted the following proposed Under section 512(b)(1) of the FD&C collection of information to OMB for Act, any person may file an NADA review and clearance. seeking approval to legally market a DEPARTMENT OF HEALTH AND new animal drug. Section 512(b)(1) of HUMAN SERVICES Presubmission Conferences, New the FD&C Act sets forth the information Animal Drug Applications and required to be submitted in an NADA. Food and Drug Administration Supporting Regulations, and FDA Form FDA allows applicants to submit a 356V—(OMB Control Number 0910– complete NADA or to submit [Docket No. FDA–2011–N–0049] 0032)—Extension information in support of an NADA for phased review followed by submission Agency Information Collection Under section 512(b)(3) of the Federal of an Administrative NADA when FDA Activities; Submission for Office of Food, Drug, and Cosmetic Act (the finds all the applicable technical Management and Budget Review; FD&C Act) (21 U.S.C. 360b(b)(3)), any sections are complete. Comment Request; Presubmission person intending to file a new animal The regulations under 21 CFR 514.1 Conferences, New Animal Drug drug application (NADA) or interpret section 512(b)(1) of the FD&C Applications and Supporting supplemental NADA or a request for an Act and further describe the information Regulations, and Food and Drug investigational exemption under section that must be submitted as part of an Administration Form 356V 512(j) is entitled to one or more conferences with FDA to reach an NADA and the manner and form in AGENCY: Food and Drug Administration, agreement acceptable to FDA which the NADA must be assembled HHS. establishing a submission or and submitted. The application must ACTION: Notice. investigational requirement. FDA and include safety and effectiveness data, industry have found that these meetings proposed labeling, product SUMMARY: The Food and Drug have increased the efficiency of the drug manufacturing information, and where Administration (FDA) is announcing development and drug review necessary, complete information on that a proposed collection of processes. food safety (including microbial food information has been submitted to the Section 514.5 (21 CFR 514.5) safety) and any methods used to Office of Management and Budget describes the procedures for requesting, determine residues of drug chemicals in (OMB) for review and clearance under conducting, and documenting edible tissue from food-producing the Paperwork Reduction Act of 1995. presubmission conferences. Section animals. Guidance #152 entitled DATES: Fax written comments on the 514.5(b) describes the information that ‘‘Evaluating the Safety of Antimicrobial collection of information by May 13, must be included in a letter submitted New Animal Drugs With Regard to 2011. by a potential applicant requesting a Their Microbiological Effects on presubmission conference, including a Bacteria of Human Health Concern’’ ADDRESSES: To ensure that comments on proposed agenda and a list of expected outlines a risk assessment approach for the information collection are received, participants. Section 514.5(d) describes evaluating the microbial food safety of OMB recommends that written the information that must be provided antimicrobial new animal drugs. FDA comments be faxed to the Office of by the potential applicant to FDA at requests that an applicant accompany Information and Regulatory Affairs, least 30 days prior to a presubmission NADAs, supplemental NADAs, and OMB, Attn: FDA Desk Officer, FAX: conference. This information includes a requests for phased review of data to 202–395–7285, or e-mailed to _ detailed agenda, a copy of any materials support NADAs, with the FDA Form oira [email protected]. All to be presented at the conference, a list 356V to ensure efficient and accurate comments should be identified with the of proposed indications and, if processing of information to support OMB control number 0910–0032. Also available, a copy of the proposed new animal drug approval. include the FDA docket number found labeling for the product under In the Federal Register of February 8, in brackets in the heading of this consideration, and a copy of any 2011 (76 FR 6798), FDA published a 60- document. background material that provides day notice requesting public comment FOR FURTHER INFORMATION CONTACT: scientific rationale to support the on the proposed collection of Juanmanuel Vilela, Office of potential applicant’s position on issues information. No comments were Information Management, Food and listed in the agenda for the conference. received. Drug Administration, 1350 Piccard Dr., Section 514.5(f) discusses the content of FDA estimates the burden of this PI50–400B, Rockville, MD 20850, 301– the memorandum of conference that collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of Average 21 CFR Section/FDA Form No. Number of responses per Total annual burden per Total hours respondents 4 responses response respondent (in Hours)

514.5(b), (d) and (f) ...... 154 .6 92 .4 50 4,620 514.1 and 514.6 ...... 154 .1 15.4 212 3,265 514.4 2 ...... 154 0 0 0 0 514.8(b) ...... 154 2 .84 437.36 35 15,308 514.8(c)(1) ...... 154 .1 15 .4 71 1,093 514.8(c)(2) and (c)(3) ...... 154 .7 107.8 20 2,156 514.11 ...... 154 .2 30.8 1 31

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TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1—Continued

Number of Average 21 CFR Section/FDA Form No. Number of responses per Total annual burden per Total hours respondents 4 responses response respondent (in Hours)

558.5(i) ...... 154 .01 1.54 5 8 514.1(b)(8) and 514.8(c)(1) 3 ...... 154 .21 32 .34 90 2,911 FDA Form 356V ...... 154 5 .1 785 .4 5 3,927

Total ...... 33,319 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 Substantial Evidence—Because 21 CFR 514.4 only defines substantial evidence, it should not be viewed as creating additional collection bur- den. 3 NADAs and supplements regarding antimicrobial animal drugs that use a recommended approach to assessing antimicrobial concerns as part of the overall preapproval safety evaluation. 4 Based on the number of sponsors subject to animal drug user fees, FDA estimates that there was an average of 154 annual respondents during the 5 fiscal years, from October 1, 2005, through September 30, 2010, on which these estimates were made. We use this estimate con- sistently throughout the table and calculate the ‘‘annual frequency per respondent’’ by dividing the total annual responses by the number of respondents.

Dated: April 7, 2011. SUPPLEMENTARY INFORMATION: In 1984, listed drug (§ 314.161 (21 CFR 314.161)). Leslie Kux, Congress enacted the Drug Price FDA may not approve an ANDA that Acting Assistant Commissioner for Policy. Competition and Patent Term does not refer to a listed drug. [FR Doc. 2011–8906 Filed 4–12–11; 8:45 am] Restoration Act of 1984 (Pub. L. 98–417) NOVANTRONE (mitoxantrone BILLING CODE 4160–01–P (the 1984 amendments), which hydrochloride) Injection, EQ 25 mg authorized the approval of duplicate base/12.5 mL and EQ 30 mg base/15 mL, versions of drug products under an is the subject of NDA 19–297, held by DEPARTMENT OF HEALTH AND ANDA procedure. ANDA applicants EMD Serono, and initially approved on HUMAN SERVICES must, with certain exceptions, show that December 23, 1987. NOVANTRONE is the drug for which they are seeking indicated for reducing neurologic Food and Drug Administration approval contains the same active disability and/or the frequency of [Docket No. FDA–2008–P–0485] ingredient in the same strength and clinical relapses in patients with dosage form as the ‘‘listed drug,’’ which secondary (chronic) progressive, Determination That NOVANTRONE is a version of the drug that was progressive relapsing, or worsening (Mitoxantrone Hydrochloride) Injection, previously approved. ANDA applicants relapsing-remitting multiple sclerosis Equivalent to 25 Milligrams Base/12.5 do not have to repeat the extensive (i.e., patients whose neurologic status is Milliliter and Equivalent to 30 clinical testing otherwise necessary to significantly abnormal between Milligrams Base/15 Milliliter, Was Not gain approval of a new drug application relapses). NOVANTRONE Withdrawn From Sale for Reasons of (NDA). The only clinical data required (mitoxantrone hydrochloride) Injection, Safety or Effectiveness in an ANDA are data to show that the EQ 25 mg base/12.5 mL and EQ 30 mg drug that is the subject of the ANDA is base/15 mL, is currently listed in the AGENCY: Food and Drug Administration, bioequivalent to the listed drug. ‘‘Discontinued Drug Product List’’ HHS. The 1984 amendments include what section of the Orange Book. There are ACTION: Notice. is now section 505(j)(7) of the Federal approved ANDAs for NOVANTRONE Food, Drug, and Cosmetic Act (21 U.S.C. (mitoxantrone hydrochloride) Injection, SUMMARY: The Food and Drug 355(j)(7)), which requires FDA to EQ 25 mg base/12.5 mL and EQ 30 mg Administration (FDA) has determined publish a list of all approved drugs. base/15 mL; these ANDAs are listed in that NOVANTRONE (mitoxantrone FDA publishes this list as part of the the Orange Book. hydrochloride) Injection, equivalent to ‘‘Approved Drug Products With Apotex, Inc., submitted a citizen (EQ) 25 milligrams (mg) base/12.5 Therapeutic Equivalence Evaluations,’’ petition dated September 3, 2008 milliliters (mL) and EQ 30 mg base/15 which is known generally as the (Docket No. FDA–2008–P–0485), under mL, was not withdrawn from sale for ‘‘Orange Book.’’ Under FDA regulations, 21 CFR 10.30, requesting that the reasons of safety or effectiveness. This drugs are removed from the list if the Agency determine whether determination means that FDA will not Agency withdraws or suspends NOVANTRONE (mitoxantrone begin procedures to withdraw approval approval of the drug’s NDA or ANDA hydrochloride) Injection, 25 mg/12.5 mL of abbreviated new drug applications for reasons of safety or effectiveness or and 30 mg/15 mL, was withdrawn from (ANDAs) that refer to this drug product, if FDA determines that the listed drug sale for reasons of safety or and it will allow FDA to continue to was withdrawn from sale for reasons of effectiveness. approve ANDAs that refer to the safety or effectiveness (21 CFR 314.162). After considering the citizen petition product as long as they meet relevant A person may petition the Agency to and reviewing Agency records, FDA has legal and regulatory requirements. determine, or the Agency may determined under § 314.161 that FOR FURTHER INFORMATION CONTACT: determine on its own initiative, whether NOVANTRONE (mitoxantrone Rachel Bressler, Center for Drug a listed drug was withdrawn from sale hydrochloride) Injection, EQ 25 mg Evaluation and Research, Food and for reasons of safety or effectiveness. base/12.5 mL and EQ 30 mg base/15 mL, Drug Administration, 10903 New This determination may be made at any was not withdrawn for reasons of safety Hampshire Ave., Bldg. 51, rm. 6302, time after the drug has been withdrawn or effectiveness. The petitioner has Silver Spring, MD 20993–0002, 301– from sale, but must be made prior to identified no data or other information 796–4288. approving an ANDA that refers to the suggesting that NOVANTRONE

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(mitoxantrone hydrochloride) Injection, 505(o)(4) of the Federal Food, Drug, and (HFM–17), Food and Drug EQ 25 mg base/12.5 mL and EQ 30 mg Cosmetic Act.’’ The Food and Drug Administration, 1401 Rockville Pike, base/15 mL, was withdrawn for reasons Administration Amendments Act of Rockville, MD 20852–1448, 301–827– of safety or effectiveness. We have 2007 (FDAAA) added new provisions to 6210. carefully reviewed our files for records the Federal Food, Drug, and Cosmetic SUPPLEMENTARY INFORMATION: concerning the withdrawal of Act (the FD&C Act) authorizing FDA to NOVANTRONE (mitoxantrone require certain drug and biological I. Background hydrochloride) Injection, EQ 25 mg product application holders to make FDA is announcing the availability of base/12.5 mL and EQ 30 mg base/15 mL, safety related labeling changes based a draft guidance for industry entitled from sale. We have also independently upon new safety information that ‘‘Safety Labeling Changes— evaluated relevant literature and data becomes available after the drug or Implementation of Section 505(o)(4) of for possible postmarketing adverse biological product is approved under the Federal Food, Drug, and Cosmetic events. We have found no information the FD&C Act or the Public Health Act.’’ In the past, FDA has requested that that would indicate that this product Service Act (the PHS Act). This draft holders of applications for approved was withdrawn from sale for reasons of guidance provides information on the products make labeling changes related safety or effectiveness. implementation of the new provisions, to safety after approval to address Accordingly, the Agency will including a description of the types of serious risks. FDA learned of the continue to list NOVANTRONE safety labeling changes that ordinarily potential for such serious risks from a (mitoxantrone hydrochloride) Injection, might be required under the new variety of sources. In most cases, EQ 25 mg base/12.5 mL and EQ 30 mg legislation, how FDA plans to determine application holders responded to these base/15 mL, in the ‘‘Discontinued Drug what constitutes new safety requests by negotiating appropriate Product List’’ section of the Orange information, the procedures involved in language with FDA staff to address the Book. The ‘‘Discontinued Drug Product requiring safety labeling changes, and concerns, and then submitting a enforcement of the requirements for List’’ delineates, among other items, supplement or amended supplement to safety labeling changes. drug products that have been obtain approval of the change. discontinued from marketing for reasons DATES: Although you can comment on Negotiations were often protracted, and other than safety or effectiveness. FDA any guidance at any time (see 21 CFR FDA had few tools available at its will not begin procedures to withdraw 10.115(g)(5)), to ensure that the Agency disposal to end negotiations and require approval of approved ANDAs that refer considers your comment on this draft the changes. Congress recognized the to NOVANTRONE Injection. Additional guidance before it begins work on the limitations of FDA’s authority in this ANDAs for mitoxantrone hydrochloride final version of the guidance, submit area and, in FDAAA, gave FDA new injection, EQ 25 mg base/12.5 mL and written or electronic comments on the authority to require safety labeling EQ 30 mg base/15 mL, may also be draft guidance by July 12, 2011. changes in certain circumstances. approved by the Agency as long as they ADDRESSES: Submit written requests for Title IX, section 901 of FDAAA (Pub. meet all other legal and regulatory single copies of this guidance to the L. 110–85) amended the FD&C Act by requirements for the approval of Division of Drug Information, Center for adding new section 505(o)(4) (21 U.S.C. ANDAs. If FDA determines that labeling Drug Evaluation and Research, Food 355(o)(4)). Section 505(o)(4) authorizes for this drug product should be revised and Drug Administration, 10903 New FDA to require, and if necessary, order to meet current standards, the Agency Hampshire Ave., Bldg. 51, Rm. 2201, labeling changes if FDA becomes aware will advise ANDA applicants to submit Silver Spring, MD 20993–0002; or the of new safety information that FDA such labeling. Office of Communication, Outreach and believes should be included in the Dated: April 6, 2011. Development (HFM–40), Center for labeling of certain prescription drug and Biologics Evaluation and Research Leslie Kux, biological products approved under (CBER), Food and Drug Administration, Acting Assistant Commissioner for Policy. section 505 of the FD&C Act or section 1401 Rockville Pike, Rockville, MD 351 of the PHS Act (42 U.S.C. 262). [FR Doc. 2011–8819 Filed 4–12–11; 8:45 am] 20852–1448. The guidance may also be Specifically, section 505(o)(4) of the BILLING CODE 4160–01–P obtained by mail by calling CBER at 1– FD&C Act applies to prescription drug 800–835–4709 or 301–827–1800. Send products with an approved new drug one self-addressed adhesive label to application (NDA) under section 505(b) DEPARTMENT OF HEALTH AND assist the office in processing your HUMAN SERVICES of the FD&C Act, biological products requests. Submit written comments on with an approved biologics license Food and Drug Administration the guidance to the Division of Dockets application (BLA) under section 351 of Management (HFA–305), Food and Drug the PHS Act, or prescription drug [Docket No. FDA–2011–D–0164] Administration, 5630 Fishers Lane, Rm. products with an approved abbreviated 1061, Rockville, MD 20852. Submit new drug application (ANDA) under Draft Guidance for Industry on Safety electronic comments to http:// Labeling Changes; Implementation of section 505(j) of the FD&C Act if the www.regulations.gov. See the reference listed drug (RLD) with an the Federal Food, Drug, and Cosmetic SUPPLEMENTARY INFORMATION section for Act; Availability approved NDA is not currently electronic access to the draft guidance marketed. FDAAA imposes timeframes AGENCY: Food and Drug Administration, document. for application holders to submit and HHS. FOR FURTHER INFORMATION CONTACT: FDA staff to review such changes, and ACTION: Notice. Kristen Everett, Center for Drug gives FDA new enforcement tools to Evaluation and Research, Food and bring about timely and appropriate SUMMARY: The Food and Drug Drug Administration, 10903 New labeling changes. This draft guidance Administration (FDA) is announcing the Hampshire Ave., Bldg. 51, Rm. 6228, provides information on the availability of a draft guidance for Silver Spring, MD 20993–0002, 301– implementation of the new provisions, industry entitled ‘‘Safety Labeling 796–5400, or Stephen Ripley, Center for including a description of the types of Changes—Implementation of Section Biologics Evaluation and Research safety labeling changes that ordinarily

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might be required under the new defined in 44 U.S.C. 3502(3) and 5 CFR the drug or biological product is legislation, how FDA plans to determine 1320.3(c) and includes Agency requests approved under the FD&C Act or the what constitutes new safety or requirements that members of the PHS Act. FDA plans to request safety information, the procedures involved in public submit reports, keep records, or labeling changes by sending a requiring safety labeling changes, and provide information to a third party. notification letter to the application enforcement of the requirements for Section 3506(c)(2)(A) of the PRA, 44 holder. Under section 505(o)(4)(B), the safety labeling changes. U.S.C. 3506(c)(2)(A), requires Federal application holder must respond to This draft guidance is being issued agencies to provide a 60-day notice in FDA’s notification by submitting a consistent with FDA’s good guidance the Federal Register for each proposed labeling supplement or notifying FDA practices regulation (21 CFR 10.115). collection of information before that the applicant does not believe the The draft guidance, when finalized, will submitting the collection to OMB for labeling change is warranted and represent the Agency’s current thinking approval. To comply with this submitting a statement detailing the on the implementation of section 901 of requirement, FDA is publishing this reasons why the application holder does FDAAA on safety labeling changes. It notice of the proposed collection of not believe a change is warranted (a does not create or confer any rights for information set forth in this document. rebuttal statement). or on any person and does not operate With respect to the collections of The submission of rebuttal statements to bind FDA or the public. An information associated with this draft may result in the collection of alternative approach may be used if guidance that were not previously information that is not already approved such approach satisfies the approved by OMB, described below, by OMB. Based on FDA’s experience requirements of the applicable statutes FDA invites comments on the following thus far with safety labeling changes and regulations. topics: (1) Whether the proposed requirements under section 505(o)(4), information collected is necessary for FDA estimates that approximately six II. Comments the proper performance of FDA’s application holders will elect to submit Interested persons may submit to the functions, including whether the approximately one rebuttal statement Division of Dockets Management (see information will have practical utility; each year and that each rebuttal ADDRESSES) either electronic or written (2) the accuracy of FDA’s estimated statement will take approximately 6 comments regarding this document. It is burden of the proposed information hours to prepare. only necessary to send one set of collected, including the validity of the In addition, in the draft guidance, the comments. It is no longer necessary to methodology and assumptions used; (3) agency states that new labeling prepared send two copies of mailed comments. ways to enhance the quality, utility, and in response to a safety labeling change Identify comments with the docket clarity of the information collected; and notification should be available on the number found in brackets in the (4) ways to minimize the burden of application holder’s Web site within 10 heading of this document. Received information collected on the calendar days of approval, which may comments may be seen in the Division respondents, including through the use result in the collection of information of Dockets Management between 9 a.m. of automated collection techniques, that is not already approved by OMB. and 4 p.m., Monday through Friday. when appropriate, and other forms of FDA estimates that approximately 197 information technology. application holders will post new III. Paperwork Reduction Act of 1995 This draft guidance provides labeling one time each year in response Under the Paperwork Reduction Act information on the implementation of to a safety labeling change notification of 1995 (the PRA) (44 U.S.C. 3501– section 901 of FDAAA, which and that the posting of the labeling will 3520), Federal agencies must obtain authorizes FDA to require certain drug take approximately 4 hours to prepare. approval from the Office of Management and biological product application FDA estimates the burden of the and Budget (OMB) for each collection of holders to make safety related labeling collections of information that have not information that they conduct or changes based upon new safety already been approved by OMB, is as sponsor. ‘‘Collection of information’’ is information that becomes available after follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of Number of responses per Total Hours per Total hours respondents respondent responses response

Rebuttal statement ...... 6 1 6 6 36

Total ...... 36 1 There are no capital costs or operating and maintenance costs associated with this information collection.

TABLE 2—ESTIMATED ANNUAL THIRD PARTY DISCLOSURE BURDEN 1

Annual Type of submission Number of frequency per Total annual Hours per Total hours respondents disclosure disclosures disclosure

Post approved labeling on application holder’s Web site ... 197 1 197 4 788 1 There are no capital costs or operating and maintenance costs associated with this information collection.

This draft guidance also refers to information. Specifically, the draft supplements for NDAs, ANDAs, and previously approved collections of guidance describes: Labeling BLAs submitted under 21 CFR 314.70,

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314.71, 314.97 and 601.12; and the Agency’s good guidance practices in effect and being implemented, and content and format of prescription drug (GGP). guidance is needed to help effect such labeling submitted under 21 CFR 201.56 DATES: Submit either electronic or implementation. Although this guidance and 201.57. These collections of written comments on this guidance at is immediately in effect, it remains information are subject to review by any time. General comments on Agency subject to comment in accordance with OMB under the PRA act and are guidance documents are welcome at any the Agency’s GGP regulation. approved under OMB control numbers time. The Medical Device User Fee and 0910–0001, 0910–0338, and 0910–0572. Modernization Act of 2002 (MDUFMA) ADDRESSES: Submit written requests for Section V of the draft guidance refers to (Pub. L. 107–250) amended the Federal single copies of this guidance to the the guidance entitled ‘‘Formal Dispute Food, Drug, and Cosmetic Act (the Division of Small Manufacturers, Resolution: Appeals Above the Division FD&C Act) (21 U.S.C. et seq.) to International, and Consumer Assistance, Level,’’ which describes collections of authorize FDA to collect user fees for Center for Devices and Radiological information approved under OMB the review of certain premarket Health (CDRH), Food and Drug control number 0910–0430. submissions (See section 708 of the Administration, 10903 New Hampshire FD&C Act (21 U.S.C. 379j).) FDAAA IV. Electronic Access Ave., Bldg. 66, Rm. 4613, Silver Spring, further amended the FD&C Act to Persons with access to the Internet MD 20993–0002; or to the Office of extend FDA’s authority to collect may obtain the document at http:// Communication, Outreach and medical device user fees through www.fda.gov/Drugs/Guidance Development (HFM–40), Center for September 30, 2012, and added 30-day ComplianceRegulatoryInformation/ Biologics Evaluation and Research notices to the types of premarket Guidances/default.htm, http:// (CBER), Food and Drug Administration, submissions subject to user fees (21 www.fda.gov/BiologicsBloodVaccines/ 1401 Rockville Pike, Rockville, MD U.S.C. 379j(a)(2)(A)(vi)). For additional GuidanceCompliance 20852–1448. Send one self-addressed information on the MDUFMA, please RegulatoryInformation/Guidances/ adhesive label to assist that office in see http://www.fda.gov/MedicalDevices/ default.htm, or http:// processing your request. See the DeviceRegulationandGuidance/ www.regulations.gov. SUPPLEMENTARY INFORMATION section for Overview/MedicalDeviceUser electronic access to the guidance. FeeandModernizationActMDUFMA/ Dated: April 7, 2011. Submit electronic comments on the Leslie Kux, default.htm. guidance to http://www.regulations.gov. This guidance supersedes the Acting Assistant Commissioner for Policy. Submit written comments to the previous guidance document entitled [FR Doc. 2011–8895 Filed 4–12–11; 8:45 am] Division of Dockets Management (HFA– ‘‘30-Day Notices and 135-Day PMA BILLING CODE 4160–01–P 305), Food and Drug Administration, Supplements for Manufacturing Method 5630 Fishers Lane, Rm. 1061, Rockville, or Process Changes, Guidance for MD 20852. ’’ DEPARTMENT OF HEALTH AND Industry and CDRH, that published in FOR FURTHER INFORMATION CONTACT: HUMAN SERVICES the Federal Register of February 25, For devices regulated by CDRH: 1998 (63 FR 9570). This guidance Food and Drug Administration Anastacia Bilek, Center for Devices and describes the user fees authorized, Radiological Health, Food and Drug updates the previous guidance to clarify [Docket No. FDA–1998–D–0281] Administration, 10903 New Hampshire the process for submitting a 30-day Ave., Bldg. 66, Rm. 3656, Silver Spring, notice, and provides additional Guidance for Industry and Food and MD 20993–0002, 301–796–5588. information on the types of changes that Drug Administration Staff; 30-Day For devices regulated by CBER: may be submitted. The previous Notices, 135-Day Premarket Approval Stephen Ripley, Center for Biologics guidance did not include information Supplements and 75-Day Humanitarian Evaluation and Research (HFM–17), Device Exemption Supplements for on HDEs even though certain Food and Drug Administration, 1401 modifications to a manufacturing Manufacturing Method or Process Rockville Pike, Suite 200N, Rockville, Changes; Availability procedure or method of manufacture for MD 20852, 301–827–6210. HDEs are subject to the 30-day notice AGENCY: Food and Drug Administration, SUPPLEMENTARY INFORMATION: provisions. The current guidance HHS. I. Background includes this information. ACTION: Notice. The guidance represents the Agency’s FDA is announcing the availability of current thinking on 30-day notices, 135- SUMMARY: The Food and Drug a guidance for industry entitled ‘‘30-Day day PMA supplements and 75-Day HDE Administration (FDA) is announcing the Notices, 135-Day Premarket Approval supplements for manufacturing method availability of the guidance entitled ‘‘30- (PMA) Supplements and 75-Day or process changes. It does not create or Day Notices, 135-Day Premarket Humanitarian Device Exemption (HDE) confer any rights for or on any person Approval (PMA) Supplements and 75- Supplements for Manufacturing Method and does not operate to bind FDA or the Day Humanitarian Device Exemption or Process Changes.’’ This guidance is public. An alternative approach may be (HDE) Supplements for Manufacturing being issued consistent with FDA’s GGP used if such approach satisfies the Method or Process Changes.’’ This regulation (§ 10.115 (21 CFR 10.115). requirements of the applicable statute document provides guidance on the This guidance is being implemented and regulations. type of changes to an approved without prior public comment because application that FDA believes may the Agency has determined that prior II. Paperwork Reduction Act of 1995 qualify for submission as 30-day public participation is not feasible or This guidance refers to previously notices, the type of information to appropriate (§ 10.115(g)(2)). The Agency approved collections of information submit in a 30-day notice, and the user made this determination because found in FDA regulations. These fees associated with these submissions. statutory provisions regarding medical collections of information are subject to The guidance document is immediately device user fees under the Food and review by the Office of Management and in effect, but it remains subject to Drug Administration Amendments Act Budget (OMB) under the Paperwork comment in accordance with the of 2007 (FDAAA) (Pub. L. 110–85) are Reduction Act of 1995 (44 U.S.C. 3501–

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3520). The collections of information 21 guidance is intended to assist sponsors effects under epidemic and pandemic CFR part 814, subparts B and E, have in the clinical development of drugs and conditions. been approved under OMB control therapeutic biological products for the A draft notice of availability of this number 0910–0231; the collections of treatment and/or prophylaxis of illness guidance was published for comment in information 21 CFR part 814, subpart H, caused by influenza viruses A and B, the Federal Register of February 20, have been approved under OMB control including both seasonal and pandemic 2009 (74 FR 7908). Comments we number 0910–0332; the collections of varieties. This guidance finalizes the received on the draft guidance have information 21 CFR part 820 have been draft guidance issued February 20, 2009. been considered and the guidance has approved under OMB control number DATES: Submit either electronic or been revised as follows: (1) Clarification 0910–0073; the collections of written comments on Agency guidances on the size of a safety database needed information in FDA form 3601 have at any time. to support filing of a new drug been approved under OMB control application for the treatment of serious ADDRESSES: Submit written requests for number 0910–0511; and the collections influenza; (2) elaboration on why single copies of this guidance to the of information in FDA form 3602a have virologic endpoints are not currently Division of Drug Information, Center for been approved under OMB control acceptable primary efficacy endpoints Drug Evaluation and Research, Food number 0910–0508. in phase 3 studies; (3) a and Drug Administration, 10903 New recommendation for the inclusion of III. Comments Hampshire Ave., Bldg. 51, rm. 2201, sensitive and specific assays (e.g., real- Silver Spring, MD 20993–0002. Send Interested persons may submit to the time polymerase chain reaction assay) one self-addressed adhesive label to Division of Dockets Management (see for laboratory confirmation of influenza assist that office in processing your ADDRESSES) either electronic or written infection to assist in defining the requests. See the SUPPLEMENTARY comments regarding this document. It is infected population for analyses in INFORMATION section for electronic only necessary to send one set of influenza treatment trials; and (4) access to the guidance document. comments. It is no longer necessary to additional statements regarding Submit electronic comments on the send two copies of mailed comments. proposals for potential emergency use guidance to http://www.regulations.gov. Identify comments with the docket authorizations of antiviral drugs for Submit written comments to the number found in brackets in the influenza. heading of this document. Received Division of Dockets Management (HFA– This guidance is being issued comments may be seen in the Division 305), Food and Drug Administration, consistent with FDA’s good guidance of Dockets Management between 9 a.m. 5630 Fishers Lane, rm. 1061, Rockville, practices regulation (21 CFR 10.115). and 4 p.m., Monday through Friday. MD 20852. The guidance represents the Agency’s IV. Electronic Access FOR FURTHER INFORMATION CONTACT: current thinking on developing drugs Jeffrey Murray, Center for Drug for treatment and/or prophylaxis of Persons with access to the Internet Evaluation and Research, Food and may obtain the document at either influenza illness. It does not create or Drug Administration, 10903 New confer any rights for or on any person http://www.fda.gov/ Hampshire Ave., Bldg. 22, rm. 6360, RegulatoryInformation/Guidances/ and does not operate to bind FDA or the Silver Spring, MD 20993–0002, 301– public. An alternative approach may be default.htm or http:// 796–1500. www.regulations.gov. Always access an used if such approach satisfies the FDA guidance document by using SUPPLEMENTARY INFORMATION: requirements of the applicable statutes and regulations. FDA’s Web site listed previously to find I. Background the most current version of the II. The Paperwork Reduction Act of guidance. FDA is announcing the availability of a guidance for industry entitled 1995 Dated: April 7, 2011. ‘‘Influenza: Development of Drugs for This guidance refers to previously Leslie Kux, Treatment and/or Prophylaxis.’’ Because approved collections of information that Acting Assistant Commissioner for Policy. of the public health implications of both are subject to review by the Office of [FR Doc. 2011–8886 Filed 4–12–11; 8:45 am] epidemic and pandemic influenza, the Management and Budget (OMB) under BILLING CODE 4160–01–P variable nature of the disease, the the Paperwork Reduction Act of 1995 limited therapeutic options, and (44 U.S.C. 3501–3520). The collections challenges in studying new options, of information in 21 CFR parts 312 and DEPARTMENT OF HEALTH AND FDA is issuing guidance to assist 314 have been approved under OMB HUMAN SERVICES sponsors in all phases of influenza drug control numbers 0910–0014 and 0910– development. 0001, respectively. Food and Drug Administration This guidance addresses nonclinical III. Comments [Docket No. FDA–2009–D–0044] development, early phases of clinical development, phase 3 protocol designs Interested persons may submit to the Guidance for Industry on Influenza: and endpoints for the treatment of both Division of Dockets Management (see Developing Drugs for Treatment and/or uncomplicated and serious influenza, ADDRESSES) either electronic or written Prophylaxis; Availability and protocol designs for prevention of comments regarding this document. It is AGENCY: Food and Drug Administration, symptomatic influenza. Other issues only necessary to send one set of HHS. that are addressed in this guidance comments. It is no longer necessary to ACTION: Notice. include the role of animal data in an send two copies of mailed comments. influenza drug development program, Identify comments with the docket SUMMARY: The Food and Drug and considerations relating to the number found in brackets in the Administration (FDA) is announcing the potential for emergency access to heading of this document. Received availability of a guidance for industry influenza drugs, including advance comments may be seen in the Division entitled ‘‘Influenza: Developing Drugs development of protocols for further of Dockets Management between 9 a.m. for Treatment and/or Prophylaxis.’’ This exploration and verification of drug and 4 p.m., Monday through Friday.

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IV. Electronic Access information (including name, title, firm initiatives to be developed with input Persons with access to the Internet name, address, telephone, and fax from both regulatory and industry may obtain the document at either number), written material, and requests representatives. ICH is concerned with http://www.fda.gov/Drugs/ to make oral presentations to the contact harmonization among three regions: The GuidanceCompliance person (see Contact Person) by May 16, European Union, Japan, and the United RegulatoryInformation/Guidances/ 2011. States. The six ICH sponsors are the default.htm or http:// Interested persons may present data, European Commission; the European www.regulations.gov. information, or views orally or in Federation of Pharmaceutical Industries writing, on issues pending at the public Associations; the Japanese Ministry of Dated: April 7, 2011. meeting. Public oral presentations will Health, Labor, and Welfare; the Japanese Leslie Kux, be scheduled between approximately Pharmaceutical Manufactures Acting Assistant Commissioner for Policy. 3:30 p.m. and 4 p.m. Time allotted for Association; the Centers for Drug [FR Doc. 2011–8817 Filed 4–12–11; 8:45 am] oral presentations may be limited to 10 Evaluation and Research and Biologics BILLING CODE 4160–01–P minutes. Those desiring to make oral Evaluation and Research, FDA; and the presentations should notify the contact Pharmaceutical Research and person (see Contact Person) by May 16, Manufacturers of America. The ICH DEPARTMENT OF HEALTH AND 2011, and submit a brief statement of Secretariat, which coordinates the HUMAN SERVICES the general nature of the evidence or preparation of documentation, is arguments they wish to present, the provided by the International Food and Drug Administration names and addresses, telephone Federation of Pharmaceutical [Docket No. FDA–2011–N–0002] number, fax, and email of proposed Manufacturers Associations (IFPMA). participants, and an indication of the The ICH Steering Committee includes Preparation for International approximate time requested to make representatives from each of the ICH Conference on Harmonization Steering their presentation. sponsors and Health Canada, the Committee and Expert Working Group If you need special accommodations European Free Trade Area and the Meetings in Cincinnati, OH; Regional due to a disability, please contact World Health Organization. The ICH Public Meeting Kimberly Franklin (see Contact Person) process has achieved significant at least 7 days in advance. harmonization of the technical AGENCY: Food and Drug Administration, Transcripts: Please be advised that as requirements for the approval of HHS. soon as a transcript is available, it will pharmaceuticals for human use in the ACTION: Notice of public meeting. be accessible at http:// three ICH regions. The Food and Drug Administration www.regulations.gov. It may be viewed The current ICH process and structure (FDA) is announcing a public meeting at the Division of Dockets Management can be found at the following Web site: entitled ‘‘Preparation for ICH Steering (HFA–305), Food and Drug http://www.ich.org. (FDA has verified Committee and Expert Working Group Administration, 5630 Fishers Lane, rm. the Web site addresses in this Meetings in Cincinnati, Ohio’’ to 1061, Rockville, MD. A transcript will document, but FDA is not responsible provide information and receive also be available in either hardcopy or for any subsequent changes to the Web comments on the International on CD–ROM, after submission of a sites after this document publishes in Conference on Harmonization (ICH) as Freedom of Information request. Written the Federal Register.) well as the upcoming meetings in requests are to be sent to Division of The agenda for the public meeting Cincinnati, OH. The topics to be Freedom of Information, 12420 will be made available on the Internet discussed are the topics for discussion Parklawn Dr., Rockville, MD 20857. at http://www.fda.gov/Drugs/ at the forthcoming ICH Steering SUPPLEMENTARY INFORMATION: The ICH NewsEvents/ucm248489.htm. Committee Meeting. The purpose of the was established in 1990 as a joint Dated: April 8, 2011. meeting is to solicit public input prior regulatory/industry project to improve, Leslie Kux, to the next Steering Committee and through harmonization, the efficiency of Acting Assistant Commissioner for Policy. the process for developing and Expert Working Group meetings in [FR Doc. 2011–8816 Filed 4–12–11; 8:45 am] registering new medicinal products in Cincinnati, OH, scheduled on June 11 BILLING CODE 4160–01–P through 17, 2011, at which discussion of Europe, Japan, and the United States the topics underway and the future of without compromising the regulatory ICH will continue. obligations of safety and effectiveness. DEPARTMENT OF HEALTH AND Date and Time: The public meeting In recent years, many important HUMAN SERVICES will be held on May 19, 2011, from 2 initiatives have been undertaken by p.m. to 4 p.m. regulatory authorities and industry Food and Drug Administration Location: The public meeting will be associations to promote international held at the Washington Theater room at harmonization of regulatory [Docket No. FDA–2011–N–0002] the Hilton Washington DC/Rockville requirements. FDA has participated in International Consortium of Hotel & Executive Meeting Center, 1750 many meetings designed to enhance Orthopedic Registries; Public Rockville Pike, Rockville, MD 20852. harmonization and is committed to Workshop Contact Person: All participants must seeking scientifically based harmonized register with Kimberly Franklin, Office technical procedures for pharmaceutical AGENCY: Food and Drug Administration, of the Commissioner, Food and Drug development. One of the goals of HHS. Administration, 10903 New Hampshire harmonization is to identify and then ACTION: Notice of public workshop. Ave., Silver Spring, MD 20993–0002, e- reduce differences in technical mail: [email protected], or requirements for medical product The Food and Drug Administration FAX: 301–595–7937. development among regulatory (FDA) is announcing a public workshop Registration and Requests for Oral Agencies. ICH was organized to provide entitled ‘‘International Consortium of Presentations: Send registration an opportunity for harmonization Orthopedic Registries (ICOR).’’ The

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purpose of the public workshop is to methodology and conduct of studies for the discussions could disclose facilitate discussion among FDA and orthopedic medical devices. We are confidential trade secrets or commercial worldwide orthopedic registries that reaching out to registries that have property such as patentable materials, have orthopedic implant information relevant data and are interested in and personal information concerning and create a research network to collaboration to establish a network that individuals associated with the grant advance the methodology and conduct will work with FDA to determine the applications, the disclosure of which of research related to orthopedic device evidence gaps and questions, datasets would constitute a clearly unwarranted performance. and approaches for conducting robust invasion of personal privacy. Date and Time: The public workshop analytic studies and improve our Name of Committee: National Institute of will be held on May 9, 2011, from 8 a.m. understanding of the performance of Neurological Disorders and Stroke Initial to 5:30 p.m. orthopedic devices. Review Group; Neurological Sciences and Location: The public workshop will Disorders C. be held at the FDA White Oak Campus, II. Who is the target audience for this Date: June 9–10, 2011. 10903 New Hampshire Ave., Bldg. 31, public workshop? Who should attend Time: 8 a.m. to 5 p.m. rm. 1503 (the Great Room), Silver this public workshop? Agenda: To review and evaluate grant Spring, MD 20993. Participants are This workshop is open to all applications. encouraged to arrive early to ensure Place: Lorien Hotel and Spa, 1600 King interested parties. The target audience is Street, Washington, DC 22314. time for parking and security screening comprised of data holders, researchers, Contact Person: William C. Benzing, PhD, before the meeting. and industry interested in advancing the Scientific Review Officer, Scientific Review Contacts: infrastructure and methods for studying Branch, Division of Extramural Research, For information regarding the public orthopedic medical devices. NINDS/NIH/DHHS/Neuroscience Center, workshop and registration: Betty Jo 6001 Executive Blvd., Suite 3208, MSC 9529, Alfstad, Surgical Outcomes and III. What are the topics we intend to Bethesda, MD 20892, 301–496–0660, Analysis, Kaiser Permanente, 3033 address at the public workshop? [email protected]. Bunker Hill Street, B30, San Diego, CA We intend to discuss a large number (Catalogue of Federal Domestic Assistance 92109, 858–581–8272, e-mail: of issues at the workshop, including, but Program Nos. 93.853, Clinical Research [email protected]; Related to Neurological Disorders; 93.854, not limited to the following: Biological Basis Research in the For information regarding this notice: • Regulatory science, clinical Tamia Woodruff, Center for Devices and Neurosciences, National Institutes of Health, community, payers’ and patients’ needs HHS) Radiological Health, Food and Drug that led to creation of ICOR. Dated: April 6, 2011. Administration, 10903 New Hampshire • New methods for distributed Ave., Silver Spring, MD 20993, 307– network based collaborative studies. Jennifer S. Spaeth, 796–6091, e-mail: • The opportunities for medical Director, Office of Federal Advisory [email protected]. device outcomes research. Committee Policy. Registration: There is no fee to attend [FR Doc. 2011–8965 Filed 4–12–11; 8:45 am] the public workshop, but attendees IV. Where can I find out more about BILLING CODE 4140–01–P must register in advance. Registration this public workshop? will be on a first-come, first-served Background information on the public basis. Non-U.S. citizens are subject to workshop, registration information, the DEPARTMENT OF HEALTH AND additional security screening, and they agenda, information about lodging, and HUMAN SERVICES should register as soon as possible. other relevant information will be National Institutes of Health Registration ends April 25, 2011. Onsite posted, as it becomes available, on the registration is not available. If Internet at http://www.fda.gov/cdrh/ National Institute of Neurological registration reaches maximum capacity meetings.html. Disorders and Stroke; Notice of prior to April 25, 2011, FDA will post Dated: April 7, 2011. Meeting a notice closing workshop registration on FDA’s Web site at http:// Leslie Kux, Pursuant to section 10(d) of the www.fda.gov/cdrh/meetings.html. Acting Assistant Commissioner for Policy. Federal Advisory Committee Act, as To register for the public workshop, [FR Doc. 2011–8894 Filed 4–12–11; 8:45 am] amended (5 U.S.C. App.), notice is mail or e-mail your name, title, BILLING CODE 4160–01–P hereby given of the National Advisory organization affiliation, address, phone Neurological Disorders and Stroke number, and email address to Betty Jo Council. Alfstad (see Contacts). Registrants will DEPARTMENT OF HEALTH AND The meeting will be open to the receive e-mail confirmation upon HUMAN SERVICES public as indicated below, with acceptance for their participation in the attendance limited to space available. National Institutes of Health public workshop. If you need special Individuals who plan to attend and accommodations due to a disability, National Institute of Neurological need special assistance, such as sign please contact Tamia Woodruff (see Disorders and Stroke; Notice of Closed language interpretation or other Contacts) at least 7 days in advance of Meetings reasonable accommodations, should the public workshop. notify the Contact Person listed below SUPPLEMENTARY INFORMATION: Pursuant to section 10(d) of the in advance of the meeting. Federal Advisory Committee Act, as The meeting will be closed to the I. Why are we holding this public amended (5 U.S.C. App.), notice is public in accordance with the workshop? hereby given of the following meetings. provisions set forth in sections The purpose of the public workshop The meetings will be closed to the 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., is to facilitate discussion among FDA public in accordance with the as amended. The grant applications and and international orthopedic registries provisions set forth in sections the discussions could disclose and develop a research consortium 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., confidential trade secrets or commercial (ICOR) that will advance the as amended. The grant applications and property such as patentable materials,

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and personal information concerning DEPARTMENT OF HEALTH AND Name of Committee: Center for Scientific individuals associated with the grant HUMAN SERVICES Review Special Emphasis Panel; RFA Panel: applications, the disclosure of which Investigations on Primary Immunodeficiency would constitute a clearly unwarranted National Institutes of Health Diseases. Date: May 26, 2011. invasion of personal privacy. Center for Scientific Review; Notice of Time: 12 p.m. to 3 p.m. Name of Committee: National Advisory Closed Meetings Agenda: To review and evaluate grant Neurological Disorders and Stroke Council. applications. Date: May 26–27, 2011. Pursuant to section 10(d) of the Place: National Institutes of Health, 6701 Open: May 26, 2011, 10:45 a.m. to 4:45 Federal Advisory Committee Act, as Rockledge Drive, Bethesda, MD 20892 p.m. amended (5 U.S.C. App.), notice is (Virtual Meeting). Agenda: Report by the Director, NINDS; hereby given of the following meetings. Contact Person: Scott Jakes, PhD, Scientific Review Officer, Center for Scientific Review, Report by the Associate Director for The meetings will be closed to the Extramural Research, NINDS; Other National Institutes of Health, 6701 Rockledge Administrative and Program Developments; public in accordance with the Drive, Room 4198, MSC 7812, Bethesda, MD and an Overview of the NINDS Intramural provisions set forth in sections 20892, 301–495–1506, [email protected]. Program. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., (Catalogue of Federal Domestic Assistance Place: National Institutes of Health, as amended. The grant applications and Program Nos. 93.306, Comparative Medicine; Building 31, 31 Center Drive, C Wing, the discussions could disclose 93.333, Clinical Research, 93.306, 93.333, Conference Room 10, Bethesda, MD 20892. confidential trade secrets or commercial 93.337, 93.393–93.396, 93.837–93.844, Closed: May 26, 2011, 4:45 p.m. to 5:15 property such as patentable material, 93.846–93.878, 93.892, 93.893, National p.m. and personal information concerning Institutes of Health, HHS) Agenda: To review and evaluate the individuals associated with the grant Dated: April 7, 2011. Division of Intramural Research Board of applications, the disclosure of which Scientific Counselors Reports. Jennifer S. Spaeth, Place: National Institutes of Health, would constitute a clearly unwarranted Director, Office of Federal Advisory Building 31, 31 Center Drive, C Wing, invasion of personal privacy. Committee Policy. Conference Room 10, Bethesda, MD 20892. Name of Committee: Center for Scientific [FR Doc. 2011–8933 Filed 4–12–11; 8:45 am] Closed: May 27, 2011, 8 a.m. to 11 a.m. Review Special Emphasis Panel; Member BILLING CODE 4140–01–P Agenda: To review and evaluate grant Conflict: Cardiac Electrophysiology. applications. Date: May 19, 2011. Place: National Institutes of Health, Time: 2:30 p.m. to 5 p.m. DEPARTMENT OF HEALTH AND Building 31, 31 Center Drive, C Wing, Agenda:To review and evaluate grant HUMAN SERVICES Conference Room 10, Bethesda, MD 20892. applications. Contact Person: Robert Finkelstein, PhD, Place: National Institutes of Health, 6701 National Institutes of Health Associate Director for Extramural Research, Rockledge Drive, Bethesda, MD 20892 National Institute of Neurological Disorders (Telephone Conference Call). National Institute of Diabetes and and Stroke, NIH, 6001 Executive Blvd., Suite Contact Person: Maqsood A. Wani, DVM, 3309, MSC 9531, Bethesda, MD 20892, (301) PhD, Scientific Review Officer, Center for Digestive and Kidney Diseases; Notice 496–9248. Scientific Review, National Institutes of of Meeting Any interested person may file written Health, 6701 Rockledge Drive, Room 2114, Pursuant to section 10(d) of the comments with the committee by forwarding MSC 7814, Bethesda, MD 20892, 301–435– Federal Advisory Committee Act, as the statement to the Contact Person listed on 2270, [email protected]. amended (5 U.S.C. App.), notice is this notice. The statement should include the Name of Committee: Center for Scientific name, address, telephone number and when hereby given of the following meeting. Review Special Emphasis Panel; PA–11– The meeting will be open to the applicable, the business or professional 011—Getting from Genes to Function in Lung affiliation of the interested person. Disease. public as indicated below, with In the interest of security, NIH has Date: May 25–26, 2011. attendance limited to space available. instituted stringent procedures for entrance Time: 9 a.m. to 5 p.m. Individuals who plan to attend and onto the NIH campus. All visitor vehicles, Agenda: To review and evaluate grant need special assistance, such as sign including taxicabs, hotel, and airport shuttles applications. language interpretation or other will be inspected before being allowed on Place: National Institutes of Health, 6701 campus. Visitors will be asked to show one reasonable accommodations, should Rockledge Drive, Bethesda, MD 20892 notify the Contact Person listed below form of identification (for example, a (Virtual Meeting). government-issued photo ID, driver’s license, in advance of the meeting. Contact Person: Ghenima Dirami, PhD, The meeting will be closed to the or passport) and to state the purpose of their Scientific Review Officer, Center for visit. Scientific Review, National Institutes of public in accordance with the Information is also available on the Health, 6701 Rockledge Drive, Room 4122, provisions set forth in sections Institute’s/Center’s home page: http:/// MSC 7814, Bethesda, MD 20892, 301–594– 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., www.ninds.nih.gov, where an agenda and 1321, [email protected]. as amended. The grant applications and any additional information for the meeting the discussions could disclose will be posted when available. Name of Committee: Oncology 1-Basic Translational Integrated Review Group; confidential trade secrets or commercial (Catalogue of Federal Domestic Assistance Tumor Progression and Metastasis Study property such as patentable material, Program Nos. 93.853, Clinical Research Section. and personal information concerning Related to Neurological Disorders; 93.854, Date: May 26–27, 2011. individuals associated with the grant Biological Basis Research in the Time: 8 a.m. to 5 p.m. Neurosciences, National Institutes of Health, applications, the disclosure of which Agenda: To review and evaluate grant would constitute a clearly unwarranted HHS). applications. invasion of personal privacy. Dated: April 7, 2011. Place: Hilton Alexandria Old Town, 1767 Jennifer S. Spaeth, King Street, Alexandria, VA 22314. Name of Committee: National Institute of Contact Person: Rolf Jakobi, PhD, Scientific Diabetes and Digestive and Kidney Diseases Director, Office of Federal Advisory Review Officer, Center for Scientific Review, Initial Review Group; Diabetes, Committee Policy. National Institutes of Health, 6701 Rockledge Endocrinology and Metabolic Diseases B [FR Doc. 2011–8935 Filed 4–12–11; 8:45 am] Drive, Room 6187, MSC 7806, Bethesda, MD Subcommittee. BILLING CODE 4140–01–P 20892, 301–495–1718, [email protected]. Date: May 31–June 2, 2011.

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Open: May 31, 2011, 5 p.m. to 5:30 p.m. Review RFA–DE–12–001, NIDCR Presentations Highlighting Local Academic Agenda: To review procedures and discuss Behavioral or Social Intervention Research in Cancer. policy. Planning and Pilot Data Grant Place: Rizzo Conference Center, 150 Place: Seaport Boston Hotel, 200 Seaport Applications. DuBose House Lane, Chapel Hill, NC 27517. Boulevard, Boston, MA 02210. Time: May 20, 2011, 8 a.m. to 12 p.m. Closed: May 31, 2011, 5:30 p.m. to 9:30 Date: May 18, 2011. Agenda: NCI Leadership Update, Board p.m. Time: 8 a.m. to 6 p.m. Dialogue. Agenda: To review and evaluate grant Agenda: To review and evaluate grant Place: Rizzo Conference Center, 150 applications. applications. DuBose House Lane, Chapel Hill, NC 27517. Place: Seaport Boston Hotel, 200 Seaport Place: Doubletree Hotel Bethesda, Contact Person: Shannon K. Bell, MSW, Boulevard, Boston, MA 02210. (Formerly Holiday Inn Select), 8120 Director, Office of Advocacy Relations, Closed: June 1, 2011, 8 a.m. to 5 p.m. Wisconsin Avenue, Bethesda, MD National Cancer Institute, National Institutes Agenda: To review and evaluate grant 20814. of Health, 31 Center Drive, Building 31, applications. Contact Person: Jayalakshmi Raman, Room 10A30D, Bethesda, MD 20892, 301– 451–3393. Place: Seaport Boston Hotel, 200 Seaport PhD, Scientific Review Officer, Boulevard, Boston, MA 02210. Information is also available on the Closed: June 2, 2011, 8 a.m. to 1 p.m. Scientific Review Branch, National Institute’s/Center’s home page: Agenda: To review and evaluate grant Institute of Dental and Craniofacial deainfo.nci.nih.gov/advisory/dclg/dclg.htm, applications. Research, One Democracy Plaza, Room where an agenda and any additional Place: Seaport Boston Hotel, 200 Seaport 670, Bethesda, MD 20892–4878, 301– information for the meeting will be posted Boulevard, Boston, MA 02210. 594–2904, [email protected]. when available. Contact Person: John F. Connaughton, PhD, (Catalogue of Federal Domestic (Catalogue of Federal Domestic Assistance Chief, Chartered Committees Section, Review Program Nos. 93.392, Cancer Construction; Branch, DEA, NIDDK, National Institutes of Assistance Program Nos. 93.121, Oral 93.393, Cancer Cause and Prevention Health, Room 753, 6707 Democracy Diseases and Disorders Research, Research; 93.394, Cancer Detection and Boulevard, Bethesda, MD 20892–5452, (301) National Institutes of Health, HHS) Diagnosis Research; 93.395, Cancer 594–7797, Dated: April 7, 2011. Treatment Research; 93.396, Cancer Biology [email protected]. Research; 93.397, Cancer Centers Support; Jennifer S. Spaeth, (Catalogue of Federal Domestic Assistance 93.398, Cancer Research Manpower; 93.399, Director, Office of Federal Advisory Program Nos. 93.847, Diabetes, Cancer Control, National Institutes of Health, Committee Policy. Endocrinology and Metabolic Research; HHS) 93.848, Digestive Diseases and Nutrition [FR Doc. 2011–8931 Filed 4–12–11; 8:45 am] Dated: April 7, 2011. Research; 93.849, Kidney Diseases, Urology BILLING CODE 4140–01–P Jennifer S. Spaeth, and Hematology Research, National Institutes Director, Office of Federal Advisory of Health, HHS) Committee Policy. Dated: April 7, 2011. DEPARTMENT OF HEALTH AND HUMAN SERVICES [FR Doc. 2011–8929 Filed 4–12–11; 8:45 am] Jennifer S. Spaeth, BILLING CODE 4140–01–P Director, Office of Federal Advisory National Institutes of Health Committee Policy. [FR Doc. 2011–8932 Filed 4–12–11; 8:45 am] National Cancer Institute; Notice of DEPARTMENT OF HEALTH AND BILLING CODE 4140–01–P Meeting HUMAN SERVICES Pursuant to section 10(a) of the National Institutes of Health DEPARTMENT OF HEALTH AND Federal Advisory Committee Act, as HUMAN SERVICES amended (5 U.S.C. App.), notice is National Cancer Institute; Notice of hereby given of a meeting of the Closed Meeting National Institutes of Health National Cancer Institute Director’s Pursuant to section 10(d) of the Consumer Liaison Group. Federal Advisory Committee Act, as National Institute of Dental & The meeting will be open to the amended (5 U.S.C. App.), notice is Craniofacial Research; Notice of public, with attendance limited to space hereby given of the following meeting. Closed Meeting available. Individuals who plan to The meeting will be closed to the attend and need special assistance, such Pursuant to section 10(d) of the public in accordance with the as sign language interpretation or other Federal Advisory Committee Act, as provisions set forth in sections reasonable accommodations, should amended (5 U.S.C. App.), notice is 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., notify the Contact Person listed below hereby given of the following meeting. as amended. The grant applications and The meeting will be closed to the in advance of the meeting. the discussions could disclose public in accordance with the Name of Committee: National Cancer confidential trade secrets or commercial provisions set forth in sections Institute Director’s Consumer Liaison Group; property such as patentable material, 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., DCLG. and personal information concerning as amended. The grant applications and Date: May 18–20, 2011. individuals associated with the grant Time: May 18, 2011, 12 p.m. to 5 p.m. applications, the disclosure of which the discussions could disclose Agenda: Welcome, Panel Discussion on confidential trade secrets or commercial Public Private Partnership Models, Clinical would constitute a clearly unwarranted property such as patentable material, Research Organizations and How They invasion of personal privacy. and personal information concerning Promote Public Private Partnerships, Board Name of Committee: National Cancer individuals associated with the grant Dialogue. Institute Initial Review Group; Subcommittee applications, the disclosure of which Place: Rizzo Conference Center, 150 G—Education. would constitute a clearly unwarranted DuBose House Lane, Chapel Hill, NC 27517. Date: May 24, 2011. invasion of personal privacy. Time: May 19, 2011, 8 a.m. to 5 p.m. Time: 8 a.m. to 6 p.m. Agenda: Board Dialogue, Nonprofit Agenda: To review and evaluate grant Name of Committee: National Conveners Driving Implementation of applications, Institute of Dental and Craniofacial Research Outcomes, Barriers to Place: Hilton Washington/Rockville, 1750 Research Special Emphasis Panel; Implementation of Research Outcomes, Rockville Pike, Rockville, MD 20852.

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Contact Person: Jeannette F Korczak, PhD, Dated: April 7, 2011. Any interested person may file written Scientific Review Administrator, Resources Jennifer S. Spaeth, comments with the committee by forwarding the statement to the Contact Person listed on and Training Review Branch, Division of Director, Office of Federal Advisory this notice. The statement should include the Extramural Activities, National Cancer Committee Policy. Institute, NIH, 6116 Executive Blvd., Room name, address, telephone number and, when 8115, Bethesda, MD 20892, 301–496–9767, [FR Doc. 2011–8927 Filed 4–12–11; 8:45 am] applicable, the business or professional [email protected]. BILLING CODE 4140–01–P affiliation of the interested person. (Catalogue of Federal Domestic Assistance In the interest of security, NIH has Program Nos. 93.392, Cancer Construction; instituted stringent procedures for entrance 93.393, Cancer Cause and Prevention DEPARTMENT OF HEALTH AND onto the NIH campus. All visitor vehicles, Research; 93.394, Cancer Detection and HUMAN SERVICES including taxicabs, hotel, and airport shuttles Diagnosis Research; 93.395, Cancer will be inspected before being allowed on Treatment Research; 93.396, Cancer Biology National Institutes of Health campus. Visitors will be asked to show one Research; 93.397, Cancer Centers Support; form of identification (for example, a 93.398, Cancer Research Manpower; 93.399, Eunice Kennedy Shriver National government-issued ID, driver’s license, or Cancer Control, National Institutes of Health, Institute of Child Health & Human passport) and to state the purpose of their HHS) Development; Notice of Meeting visit. Information is also available on the Dated: April 7, 2011. Pursuant to section 10(d) of the Institute’s/Center’s home page http:// Jennifer S. Spaeth, Federal Advisory Committee Act, as www.nichd.nih.gov/about/bsd/htm, where an Director, Office of Federal Advisory amended (5 U.S.C. App.), notice is agenda and any additional information for Committee Policy. hereby given of a meeting of the Board the meeting will be posted when available. [FR Doc. 2011–8928 Filed 4–12–11; 8:45 am] of Scientific Counselors, NICHD. (Catalogue of Federal Domestic Assistance Program Nos. 93.864, Population Research; BILLING CODE 4140–01–P The meeting will be open to the 93.865, Research for Mothers and Children; public as indicated below, with the 93.929, Center for Medical Rehabilitation attendance limited to space available. Research; 93.209, Contraception and DEPARTMENT OF HEALTH AND Individuals who plan to attend and Infertility Loan Repayment Program, National HUMAN SERVICES need special assistance, such as sign Institutes of Health, HHS) language interpretation or other Dated: April 7, 2011. National Institutes of Health reasonable accommodations, should Jennifer S. Spaeth, notify the Contact Person listed below Center for Scientific Review; Notice of in advance of the meeting. Director, Office of Federal Advisory Closed Meeting The meeting will be closed to the Committee Policy. public as indicated below in accordance [FR Doc. 2011–8986 Filed 4–12–11; 8:45 am] Pursuant to section 10(d) of the with the provisions set forth in section BILLING CODE 4140–01–P Federal Advisory Committee Act, as 552b(c)(6), Title 5 U.S.C., as amended amended (5 U.S.C. App.), notice is for the review, discussion, and hereby given of the following meeting. evaluation of individual intramural DEPARTMENT OF HEALTH AND The meeting will be closed to the programs and projects conducted by HUMAN SERVICES public in accordance with the Eunice Kennedy Shriver National National Institutes of Health provisions set forth in sections Institute of Child Health & Human 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Development, including consideration Eunice Kennedy Shriver National as amended. The grant applications and of personnel qualifications and Institute of Child Health & Human the discussions could disclose performance, and the competence of Development; Notice of Closed confidential trade secrets or commercial individual investigators, the disclosure Meeting property such as patentable material, of which would constitute a clearly and personal information concerning unwarranted invasion of personal Pursuant to section 10(d) of the individuals associated with the grant privacy. Federal Advisory Committee Act, as applications, the disclosure of which amended (5 U.S.C. App.), notice is would constitute a clearly unwarranted Name of Committee: Board of Scientific hereby given of the following meeting. invasion of personal privacy. Counselors, NICHD. The meeting will be closed to the Date: June 3, 2011. public in accordance with the Name of Committee: Center for Scientific Open: 8 a.m. to 11:30 a.m. Review Special Emphasis Panel; Program provisions set forth in sections Agenda: A report by the Scientific Director, 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Project: Research Resources Site Visit. NICHD, on the status of the NICHD Division Date: May 22–24, 2011. of Intramural Research. as amended. The grant applications and Time: 7 p.m. to 2 p.m. Place: National Institutes of Health, the discussions could disclose Agenda: To review and evaluate grant Building 31, 9000 Rockville Pike, Room confidential trade secrets or commercial applications. 2A48, Bethesda, MD 20892. property such as patentable material, Place: Doubletree Guest Suites Santa Closed: 11:30 a.m. to 4 p.m. and personal information concerning Monica, 1707 Fourth Street, Santa Monica, Agenda: To review and evaluate personal individuals associated with the grant CA 90401. qualifications and performance, and Contact Person: Lee Rosen, PhD, Scientific applications, the disclosure of which competence of individual investigators. would constitute a clearly unwarranted Review Officer, Center for Scientific Review, Place: National Institutes of Health, National Institutes of Health, 6701 Rockledge Building 31, Room 2A46, 9000 Rockville invasion of personal privacy. Drive, Room 5116, MSC 7854, Bethesda, MD Pike, Bethesda, MD 20892. Name of Committee: National Institute of 20892, (301) 435–1171, [email protected]. Contact Person: Constantine A. Stratakis, Child Health and Human Development (Catalogue of Federal Domestic Assistance MD, Acting Scientific Director, Eunice Special Emphasis Panel; Analysis of Human Program Nos. 93.306, Comparative Medicine; Kennedy Shriver National Institute of Child Biospecimens for Environmental Chemicals 93.333, Clinical Research, 93.306, 93.333, Health and Human Development, NIH, 9000 for the Division of Epidemiology, Statistics 93.337, 93.393–93.396, 93.837–93.844, Rockville Pike, Building 31, Room 2A46, and Prevention Research. 93.846–93.878, 93.892, 93.893, National Bethesda, MD 20892, 301–594–5984, Date: April 18, 2011. Institutes of Health, HHS) [email protected]. Time: 1 p.m. to 4 p.m.

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Agenda: To review and evaluate grant Scientific Review, Eunice Kennedy Shriver Dated: April 6, 2011. applications. National Institute of Child Health and Jennifer S. Spaeth, Place: National Institutes of Health, 6100 Human Development, NIH, 6100 Executive Director, Office of Federal Advisory Executive Boulevard, Rockville, MD 20852, Blvd., Room 5B01, Bethesda, MD 20892– Committee Policy. (Telephone Conference Call) 9304, 301–435–6680, Contact Person: Sathasiva B. Kandasamy, [email protected]. [FR Doc. 2011–8988 Filed 4–12–11; 8:45 am] PhD, Scientific Review Officer, Division of (Catalogue of Federal Domestic Assistance BILLING CODE 4140–01–P Scientific Review, Eunice Kennedy Shriver Program Nos. 93.864, Population Research; National Institute of Child Health and 93.865, Research for Mothers and Children; Human Development, NIH, 6100 Executive 93.929, Center for Medical Rehabilitation DEPARTMENT OF HEALTH AND Blvd., Room 5B01, Bethesda, MD 20892, Research; 93.209, Contraception and HUMAN SERVICES 301–435–6680, [email protected]. Infertility Loan Repayment Program, National This notice is being published less than 15 Institutes of Health, HHS) days prior to the meeting due to the timing National Institutes of Health limitations imposed by the review and Dated: April 7, 2011. National Institute of Neurological funding cycle. Jennifer S. Spaeth, (Catalogue of Federal Domestic Assistance Disorders and Stroke; Notice of Closed Director, Office of Federal Advisory Meetings Program Nos. 93.864, Population Research; Committee Policy. 93.865, Research for Mothers and Children; 93.929, Center for Medical Rehabilitation [FR Doc. 2011–8941 Filed 4–12–11; 8:45 am] Pursuant to section 10(d) of the Research; 93.209, Contraception and BILLING CODE 4140–01–P Federal Advisory Committee Act, as Infertility Loan Repayment Program, National amended (5 U.S.C. App.), notice is Institutes of Health, HHS) hereby given of the following meetings. DEPARTMENT OF HEALTH AND Dated: April 7, 2011. HUMAN SERVICES The meetings will be closed to the Jennifer S. Spaeth, public in accordance with the Director, Office of Federal Advisory National Institutes of Health provisions set forth in sections Committee Policy. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., [FR Doc. 2011–8985 Filed 4–12–11; 8:45 am] National Institute of Neurological as amended. The grant applications and BILLING CODE 4140–01–P Disorders and Stroke; Notice of Closed the discussions could disclose Meeting confidential trade secrets or commercial property such as patentable materials, DEPARTMENT OF HEALTH AND Pursuant to section 10(d) of the and personal information concerning HUMAN SERVICES Federal Advisory Committee Act, as individuals associated with the grant amended (5 U.S.C. App.), notice is applications, the disclosure of which National Institutes of Health hereby given of the following meeting. would constitute a clearly unwarranted Eunice Kennedy Shriver National The meeting will be closed to the invasion of personal privacy. Institute of Child Health & Human public in accordance with the Name of Committee: National Institute of Development; Notice of Closed provisions set forth in sections Neurological Disorders and Stroke Initial Meeting 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Review Group; NST–1 Subcommittee. as amended. The grant applications and Date: May 23–24, 2011. Pursuant to section 10(d) of the the discussions could disclose Time: 8 a.m. to 6 p.m. Federal Advisory Committee Act, as confidential trade secrets or commercial Agenda: To review and evaluate grant amended (5 U.S.C. App.), notice is property such as patentable materials, applications. hereby given of the following meeting. and personal information concerning Place: Best Western Tuscan Inn, 425 North The meeting will be closed to the individuals associated with the grant Point Street, San Francisco, CA 94133. public in accordance with the applications, the disclosure of which Contact Person: Raul A. Saavedra, PhD, provisions set forth in sections would constitute a clearly unwarranted Scientific Review Officer, Scientific Review 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., invasion of personal privacy. Branch, Division of Extramural Research, as amended. The contract proposal and NINDS/NIH/DHHS, NSC; 6001 Executive the discussions could disclose Name of Committee: National Institute of Blvd., Suite 3208, Bethesda, MD 20892–9529, confidential trade secrets or commercial Neurological Disorders and Stroke Special 301–496–9223, [email protected]. Emphasis Panel; Parkinson’s Disease Name of Committee: National Institute of property such as patentable material, Biomarker. Neurological Disorders and Stroke Initial and personal information concerning Date: April 25, 2011. Review Group; NST–2 Subcommittee. individuals associated with the contract Time: 12 p.m. to 3 p.m. proposal, the disclosure of which would Agenda: To review and evaluate grant Date: June 20–21, 2011. constitute a clearly unwarranted applications. Time: 8 a.m. to 5 p.m. invasion of personal privacy. Place: Hyatt Regency Bethesda, One Agenda: To review and evaluate grant Bethesda Metro Center, 7400 Wisconsin applications. Name of Committee: National Institute of Avenue, Bethesda, MD 20814. Place: The Fairmont Washington, DC, 2401 Child Health and Human Development Contact Person: Shanta Rajaram, PhD, M Street, NW., Washington, DC 20037. Special Emphasis Panel; Biomedical Analysis Scientific Review Officer, Scientific Review Contact Person: JoAnn McConnell, PhD, of Human Biospecimens for the Division of Scientific Review Officer, Scientific Review Epidemiology, Statistics and Prevention Branch, Division of Extramural Research, NINDS/NIH/DHHS/Neuroscience Center, Branch, NINDS/NIH/DHHS, Neuroscience Research (DESPR) Center, 6001 Executive Blvd., Suite 3208, Date: May 2, 2011. 6001 Executive Blvd., Suite 3208, MSC 9529, MSC 9529, Bethesda, MD 20892, 301–496– Time: 1 p.m. to 4:30 p.m. Bethesda, MD 20852, 301–435–6033, 5324, [email protected]. Agenda: To review and evaluate grant [email protected]. applications. (Catalogue of Federal Domestic Assistance (Catalogue of Federal Domestic Assistance Place: National Institutes of Health, 6100 Program Nos. 93.853, Clinical Research Program Nos. 93.853, Clinical Research Executive Boulevard, Rockville, MD 20852, Related to Neurological Disorders; 93.854, Related to Neurological Disorders; 93.854, (Telephone Conference Call). Biological Basis Research in the Biological Basis Research in the Contact Person: Sathasiva B. Kandasamy, Neurosciences, National Institutes of Health, Neurosciences, National Institutes of Health, PhD, Scientific Review Officer, Division of HHS) HHS)

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Dated: April 6, 2011. The Federal Emergency Management Wednesday, April 6, 2011, from 8:30 Jennifer S. Spaeth, Agency (FEMA) hereby gives notice that a.m. to 5 p.m., EST; and Thursday, April Director, Office of Federal Advisory pursuant to the authority vested in the 7, 2011, 8:30 a.m. to 1 p.m., EST. Committee Policy. Administrator, under Executive Order ADDRESSES: The meeting was held at the [FR Doc. 2011–8994 Filed 4–12–11; 8:45 am] 12148, as amended, W. Montague National Emergency Training Center, BILLING CODE 4140–01–P Winfield, of FEMA is appointed to act Building H, Room 300, Emmitsburg, as the Federal Coordinating Officer for Maryland. Written materials and this major disaster. comments for the meeting record should DEPARTMENT OF HOMELAND The following areas of the State of be submitted by April 28, 2011. SECURITY Tennessee have been designated as Comments must be identified by adversely affected by this major disaster: FEMA–2008–0010 and may be Federal Emergency Management Franklin, Fentress, Grainger, Hamilton, submitted by one of the following Agency Houston, Humphreys, Jackson, Jefferson, methods: Moore, Morgan, Pickett, Scott, and Union • [Internal Agency Docket No. FEMA–1965– Federal eRulemaking Portal: http:// DR; Docket ID FEMA–2011–0001] Counties for Public Assistance. www.regulations.gov. Follow the All counties within the State of Tennessee instructions for submitting comments. Tennessee; Major Disaster and Related are eligible to apply for assistance under the • E-mail: FEMA–[email protected]. Hazard Mitigation Grant Program. Determinations Include the docket ID in the subject line The following Catalog of Federal Domestic of the message. AGENCY: Federal Emergency Assistance Numbers (CFDA) are to be used • Fax: 703–483–2999. Management Agency, DHS. for reporting and drawing funds: 97.030, • Mail: Ruth MacPhail, 16825 South ACTION: Notice. Community Disaster Loans; 97.031, Cora Seton Avenue, Emmitsburg, Maryland Brown Fund; 97.032, Crisis Counseling; 21727. SUMMARY: This is a notice of the 97.033, Disaster Legal Services; 97.034, Disaster Unemployment Assistance (DUA); Instructions: All submissions received Presidential declaration of a major must include the words ‘‘Federal disaster for the State of Tennessee 97.046, Fire Management Assistance Grant; 97.048, Disaster Housing Assistance to Emergency Management Agency’’ and (FEMA–1965–DR), dated March 31, Individuals and Households In Presidentially the docket ID for this action. Comments 2011, and related determinations. Declared Disaster Areas; 97.049, received will be posted without DATES: Effective Date: March 31, 2011. Presidentially Declared Disaster Assistance— alteration at http://www.regulations.gov, FOR FURTHER INFORMATION CONTACT: Disaster Housing Operations for Individuals including any personal information Peggy Miller, Office of Response and and Households; 97.050, Presidentially provided. Recovery, Federal Emergency Declared Disaster Assistance to Individuals Docket: For access to the docket to Management Agency, 500 C Street, SW., and Households—Other Needs; 97.036, Disaster Grants—Public Assistance read background documents or Washington, DC 20472, (202) 646–3886. (Presidentially Declared Disasters); 97.039, comments received by the National Fire SUPPLEMENTARY INFORMATION: Notice is Hazard Mitigation Grant. Academy Board of Visitors, go to http:// hereby given that, in a letter dated www.regulations.gov. W. Craig Fugate, March 31, 2011, the President issued a FOR FURTHER INFORMATION CONTACT: major disaster declaration under the Administrator, Federal Emergency Ruth MacPhail, 16825 South Seton Management Agency. authority of the Robert T. Stafford Avenue, Emmitsburg, Maryland 21727, Disaster Relief and Emergency [FR Doc. 2011–8859 Filed 4–12–11; 8:45 am] telephone (301) 447–1117, fax (301) Assistance Act, 42 U.S.C. 5121 et seq. BILLING CODE 9111–23–P 447–1173, and e-mail (the ‘‘Stafford Act’’), as follows: [email protected]. I have determined that the damage in DEPARTMENT OF HOMELAND SUPPLEMENTARY INFORMATION: Notice of certain areas of the State of Tennessee SECURITY this meeting is given under the Federal resulting from severe storms, tornadoes, and Advisory Committee Act, 5 U.S.C. App. flooding during the period of February 28 to March 1, 2011, is of sufficient severity and Federal Emergency Management (Pub. L. 92–463). The purpose of the magnitude to warrant a major disaster Agency Board of Visitors (Board) for the declaration under the Robert T. Stafford [Docket ID FEMA–2008–0010] National Fire Academy (Academy) is to Disaster Relief and Emergency Assistance review annually the programs of the Act, 42 U.S.C. 5121 et seq. (the ‘‘Stafford National Fire Academy Board of Academy and advise the Administrator, Act’’). Therefore, I declare that such a major Visitors Federal Emergency Management Agency disaster exists in the State of Tennessee. (FEMA), through the United States Fire In order to provide Federal assistance, you AGENCY: Federal Emergency Administrator, regarding the operation are hereby authorized to allocate from funds Management Agency, DHS. of the Academy and any improvements available for these purposes such amounts as ACTION: you find necessary for Federal disaster Committee Management; Notice therein that the Board deems assistance and administrative expenses. of Federal Advisory Committee meeting. appropriate. You are authorized to provide Public The Board met for the purpose of SUMMARY: On Tuesday, March 29, 2011, Assistance in the designated areas and examining Academy programs to Hazard Mitigation throughout the State. the Federal Emergency Management determine whether these programs Consistent with the requirement that Federal Agency (FEMA) announced in the further the basic missions of the assistance is supplemental, any Federal Federal Register at 76 FR 17425 that the Academy and to make comments and funds provided under the Stafford Act for National Fire Academy Board of Visitors recommendations regarding the Public Assistance and Hazard Mitigation will would meet on April 6 and 7, 2011, in operations of the Academy. The Board be limited to 75 percent of the total eligible Emmitsburg, Maryland. This notice costs. also met to discuss curriculum updates, supplements that original meeting personnel changes, facility construction, Further, you are authorized to make notice. changes to this declaration for the approved outreach to women and minority assistance to the extent allowable under the DATES: The National Fire Academy applicants, and professional Stafford Act. Board of Visitors meeting was held on development and other programs for

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State and metropolitan fire service ACTION: General notice. different interest rates applicable to training agencies. The meeting was open overpayments: One for corporations and to the public. SUMMARY: This notice advises the public one for non-corporations. The Federal Advisory Committee Act of the quarterly Internal Revenue The interest rates are based on the requires that notices of meetings of Service interest rates used to calculate Federal short-term rate and determined advisory committees be announced in interest on overdue accounts by the Internal Revenue Service (IRS) on the Federal Register 15 days prior to the (underpayments) and refunds behalf of the Secretary of the Treasury meeting date. A notice of the meeting of (overpayments) of customs duties. For on a quarterly basis. The rates effective the Board was published in the Federal the calendar quarter beginning April 1, for a quarter are determined during the Register on March 29, 8 days prior to 2011, the interest rates for overpayments first-month period of the previous the meeting, due to administrative error. will be 3 percent for corporations and quarter. Although the meeting notice was 4 percent for non-corporations, and the In Revenue Ruling 2011–5, the IRS published in the Federal Register late, interest rate for underpayments will be determined the rates of interest for the the Academy sent special e-mail notices 4 percent for both corporations and non- calendar quarter beginning April 1, to 30,000 citizens who had expressed corporations. This notice is published 2011, and ending on June 30, 2011. The interest in learning about Academy for the convenience of the importing interest rate paid to the Treasury for activities and meetings, and notice of public and Customs and Border underpayments will be the Federal the meeting was posted on the United Protection personnel. short-term rate (1%) plus three States Fire Administrator’s Web site at DATES: Effective Date: April 1, 2011. percentage points (3%) for a total of four http://www.usfa.dhs.gov. FOR FURTHER INFORMATION CONTACT: Ron percent (4%) for both corporations and Dated: April 4, 2011. Wyman, Revenue Division, Collection non-corporations. For corporate Glenn A. Gaines, and Refunds Branch, 6650 Telecom overpayments, the rate is the Federal Deputy Fire Administrator, National Fire Drive, Suite #100, Indianapolis, Indiana short-term rate (1%) plus two Academy, United States Fire Administration, 46278; telephone (317) 614–4516. percentage points (2%) for a total of Federal Emergency Management Agency. SUPPLEMENTARY INFORMATION: three percent (3%). For overpayments [FR Doc. 2011–8858 Filed 4–12–11; 8:45 am] made by non-corporations, the rate is Background BILLING CODE 9111–45–P the Federal short-term rate (1%) plus Pursuant to 19 U.S.C. 1505 and three percentage points (3%) for a total Treasury Decision 85–93, published in of four percent (4%). These interest DEPARTMENT OF HOMELAND the Federal Register on May 29, 1985 rates are subject to change for the SECURITY (50 FR 21832), the interest rate paid on calendar quarter beginning July 1, 2011, applicable overpayments or and ending September 30, 2011. U.S. Customs and Border Protection underpayments of customs duties must For the convenience of the importing Quarterly IRS Interest Rates Used in be in accordance with the Internal public and Customs and Border Calculating Interest on Overdue Revenue Code rate established under 26 Protection personnel the following list Accounts and Refunds on Customs U.S.C. 6621 and 6622. Section 6621 was of IRS interest rates used, covering the Duties amended (at paragraph (a)(1)(B) by the period from before July of 1974 to date, Internal Revenue Service Restructuring to calculate interest on overdue AGENCY: Customs and Border Protection, and Reform Act of 1998, Public Law accounts and refunds of customs duties, Department of Homeland Security. 105–206, 112 Stat. 685) to provide is published in summary format.

Corporate Overpayments Beginning Date Ending Date Overpayments Under-payments (Eff. 1–1–99) (percent) (percent) (percent)

070174 063075 6 6 ...... 070175 013176 9 9 ...... 020176 013178 7 7 ...... 020178 013180 6 6 ...... 020180 013182 12 12 ...... 020182 123182 20 20 ...... 010183 063083 16 16 ...... 070183 123184 11 11 ...... 010185 063085 13 13 ...... 070185 123185 11 11 ...... 010186 063086 10 10 ...... 070186 123186 9 9 ...... 010187 093087 9 8 ...... 100187 123187 10 9 ...... 010188 033188 11 10 ...... 040188 093088 10 9 ...... 100188 033189 11 10 ...... 040189 093089 12 11 ...... 100189 033191 11 10 ...... 040191 123191 10 9 ...... 010192 033192 9 8 ...... 040192 093092 8 7 ...... 100192 063094 7 6 ...... 070194 093094 8 7 ...... 100194 033195 9 8 ...... 040195 063095 10 9 ......

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Corporate Overpayments Beginning Date Ending Date Overpayments Under-payments (Eff. 1–1–99) (percent) (percent) (percent)

070195 033196 9 8 ...... 040196 063096 8 7 ...... 070196 033198 9 8 ...... 040198 123198 8 7 ...... 010199 033199 7 7 6 040199 033100 8 8 7 040100 033101 9 9 8 040101 063001 8 8 7 070101 123101 7 7 6 010102 123102 6 6 5 010103 093003 5 5 4 100103 033104 4 4 3 040104 063004 5 5 4 070104 093004 4 4 3 100104 033105 5 5 4 040105 093005 6 6 5 100105 063006 7 7 6 070106 123107 8 8 7 010108 033108 7 7 6 040108 063008 6 6 5 070108 093008 5 5 4 100108 123108 6 6 5 010109 033109 5 5 4 040109 123110 4 4 3 010111 033111 3 3 2 040111 063011 4 4 3

Dated: April 8, 2011. Management Officer, QDAM, accuracy of the agency’s estimate of the Alan Bersin, Department of Housing and Urban burden of the proposed collection of Commissioner, U.S. Customs and Border Development, 451 7th Street, SW., information; (3) enhance the quality, Protection. Room 4160, Washington, DC 20410– utility, and clarity of the information to [FR Doc. 2011–8950 Filed 4–12–11; 8:45 am] 5000; telephone 202–402–3400, (this is be collected; and (4) minimize the BILLING CODE 9111–14–P not a toll-free number) or e-mail Ms. burden of the collection of information Pollard at [email protected]. on those who are to respond, including Persons with hearing or speech through the use of appropriate DEPARTMENT OF HOUSING AND impairments may access this number automated collection techniques or URBAN DEVELOPMENT through TTY by calling the toll-free other forms of information technology; Federal Information Relay Service at e.g., permitting electronic submission of [Docket No. FR–5487–N–10] 800–877–8339. (Other than the HUD responses. USER information line and TTY This Notice also lists the following Notice of Proposed Information numbers, telephone numbers are not information: Collection for Public Comment; Public toll-free.) Title of Proposal: Public Housing Housing Agency (PHA) 5-Year and Agency (PHA) 5-Year and Annual Plan. Annual Plan FOR FURTHER INFORMATION CONTACT: Arlette Mussington, Office of Policy, OMB Control Number, if applicable: 2577–0226. AGENCY: Office of the Assistant Programs and Legislative Initiatives, Description of the Need for the Secretary for Public and Indian PIH, Department of Housing and Urban Information and Proposed Use: The Housing, HUD. Development, 490 L’Enfant Plaza, Room PHA Plan is a comprehensive guide to ACTION: Notice. 2206, Washington, DC 20024; telephone 202–402–4109, (this is not a toll-free PHA policies, programs, operations, and strategies for meeting local housing SUMMARY: The proposed information number). collection requirement described below needs and goals. The PHA Plan informs will be submitted to the Office of SUPPLEMENTARY INFORMATION: The HUD, residents, and the public of the Management and Budget (OMB) for Department will submit the proposed PHA’s mission for serving the needs of review, as required by the Paperwork information collection to OMB for low, very low-income, and extremely Reduction Act. The Department is review, as required by the Paperwork low-income families and its strategy for soliciting public comments on the Reduction Act of 1995 (44 U.S.C. addressing those needs. This data subject proposal. chapter 35, as amended). This Notice is allows HUD to monitor the performance soliciting comments from members of of programs and the performance of DATES: Comment Due Date: June 13, the public and affected agencies public housing agencies that administer 2011. concerning the proposed collection of the programs. The PHA Plan is being ADDRESSES: Interested persons are information to: (1) Evaluate whether the revised to clarify and provide additional invited to submit comments regarding proposed collection of information is guidance on the submission this proposal. Comments should refer to necessary for the proper performance of requirements for qualified and non- the proposal by name/or OMB Control the functions of the agency, including qualified PHAs. number and should be sent to: Colette whether the information will have Agency Form Number, if applicable: Pollard, Departmental Reports practical utility; (2) evaluate the HUD–50075; HUD–50075.1, HUD–

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50075.2, HUD–50077, HUD–50077–CR, each pilot city may receive up to five These cities, formerly key economic HUD–50077–SL. fellows. Fellows will receive stipends engines of regional and national Members of the Affected Public: and will be mentored by staff located in prosperity have in the past several Local, Regional and State Body each pilot city. decades, undergone high poverty and Corporate Politic Public Housing To administer the fellowship unemployment rates, severe residential Agencies (PHAs) Governments.. program, HUD will select an eligible and commercial vacancies, long-term Estimation of the total number of third party as defined in section II.B. population loss, and have struggled to hours needed to prepare the information Definitions of this notice. HUD solicits return to a place of economic collection including number of expressions of interest by eligible third productivity. The long term economic respondents, frequency of response, and parties to administer the fellowship decline of these cities have constrained hours of response: The estimated program. Qualified eligible third parties local resources, and precluded them number of burden hours needed to that have expressed interest to HUD in from attracting, hiring and maintaining prepare the information collection is administering the fellowship program sufficient staff to support key operations 45,612; estimated number of will be invited to submit full and execute revitalization strategies. respondents is 3,969; the frequency of applications for review and grant Moreover, rising government costs, response for non-qualified PHAs is selection. declining revenue streams, and the annually and once every 5 fiscal years While there is no match requirement requirement that state and local for qualified PHAs. All PHAs may for the fellowship program, HUD governments maintain a balanced submit updated PHA Plans when recognizes that the scope of work budget continue to further these amending or modifying any PHA policy, required of the program may exceed the economic challenges. rule, regulation or other aspect of the funds that are available for this grant. However, despite these significant plan. Therefore, HUD expects that the challenges, these cities possess Status of the Proposed Information selected third party will secure tremendous physical, commercial, and Collection: This is a revision of additional funding support from other public assets that can be used to revive currently approved collection. philanthropic organizations to fulfill the their local and regional economies. In Authority: Section 3507 of the Paperwork scope of work for the fellowship an effort to ensure the economic health Reduction Act of 1995, 44 U.S.C. chapter 35, program. (Please see section II.C.1 and well being of regional and national as amended. Leveraging for more information.) economies, these cities must be given Dated: April 5, 2011. Funding for the fellowship program the best opportunity possible to regain strength through leveraging their key Merrie Nichol-Dixon, was made available to HUD through a private donation, which HUD is assets and extensively partner with Deputy Director for Office of Policy, Programs, public and private sectors. In addition, and Legislative Initiatives. statutorily authorized to accept. the revitalization of these cities can be DATES: Expressions of Interest Due Date: [FR Doc. 2011–8778 Filed 4–12–11; 8:45 am] assisted by providing them with BILLING CODE 4210–67–P May 13, 2011. HUD will review the Expressions of Interest received from additional highly skilled staff with third parties. Only third parties wide-ranging technical expertise in fields that include urban planning, DEPARTMENT OF HOUSING AND determined eligible to apply will be workforce training, economic URBAN DEVELOPMENT notified by HUD no later than 30 days after Due Date to submit full development, and human capital [Docket No. FR–5514–N–01] applications. strategies. The fellowship program is one Fellowship Placement Pilot Program ADDRESSES: Interested Third Parties. outcome of these Federal level Requests for Expressions of Interest Third parties interested in participating discussions in 2010, and one To Administer Pilot in the fellowship program are directed component of a broader and new to submit their Expressions of Interest to approach to making the federal AGENCY: Office of the Assistant [email protected] investment model more flexible, Secretary for Policy Development and by the Due Date. targeted, tailored, and holistic in Research, HUD. FOR FURTHER INFORMATION CONTACT: building local capacity in cities and ACTION: Notice. Kheng Mei Tan, Office of Policy regions facing long-term challenges. SUMMARY: This notice announces HUD’s Development and Research, Department With this new method, these cities can proposal to conduct a Fellowship of Housing and Urban Development, more effectively build partnerships with Placement Pilot (fellowship program). 451 7th Street, SW., Washington, DC businesses, non-profits, and other key The fellowship program is designed to 20410; telephone number 202–708–3815 economic players that will help attract assist local governments rebuild their (this is not a toll-free number). Persons critical private investment to create jobs, capacity by training and placing highly with hearing or speech impairments promote economic growth, and enhance motivated early to midcareer may access this number through TTY by community prosperity. As a result, this professionals into two-year fellowships calling the toll-free Federal Information targeted assistance will help put these to work in a mayor’s office or other Relay Service at 800–877–8339. places on a path towards creating a offices of local government agencies. SUPPLEMENTARY INFORMATION: customized and specific plan for long- HUD intends to conduct the term economic revitalization. I. Background fellowship program in approximately II. Fellowship Placement Pilot Program six pilot cities. In choosing these pilot In 2010, senior leadership from the cities, HUD has conducted an extensive White House, HUD, and other federal A. Fellowship Placement Pilot Program evaluation process and is in the final agencies have assessed ways to enhance Overview stages of selecting the pilot cities. technical assistance to help some of the As described in the Summary, the Through a national competitive nation’s most economically distressed fellowship program will be a process, up to 30 fellows will be cities so that they may begin to stabilize competitive program that provides recruited for the initial class, where and rebuild their local economies. funding for early to mid-career

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professionals to work for two year terms B. Fellowship Placement Pilot Program third parties that will assume all tasks in local government positions to Administrator associated with training as described in supplement existing local capacity. HUD is not seeking applications section II.C.2 of this Expression of HUD envisions that through a national through this notice but is seeking Interest. competitive process, up to 30 fellows expressions of interest from eligible Period of expenditure of fellowship who are strongly committed to public third parties (Administrator) to program funds: The $2.5 million to be service, will be selected for the initial administer the fellowship program. The made available for the fellowship fellowship class. Fellows will be selected Administrator will be program is to be used by the deployed to pilot cities where they will responsible for two major activities of Administrator over the course of 30 support and assist local governments in the fellowship program: months from the date that funding is made available. HUD Headquarters will their economic revitalization efforts. 1. Manage and administer the monitor the Administrator to ensure Fellows will receive stipends and will fellowship program at the national and that the funds are efficiently utilized be mentored by staff located in each local level (Activity 1); and 2. Develop training curriculum and over the 30 month period. pilot city. The objectives of fellows Cooperative agreement: Upon assigned to selected pilot cities will be train fellows for the program (Activity 2). selection of an Administrator, HUD to: intends to execute a cooperative To be eligible for selection, the agreement with the Administrator that 1. Take on high-level responsibilities Administrator must be able to carry out delineates the objectives, roles and and be immersed in the core operations both activities. of the host city; The selected Administrator will be a responsibilities for HUD and the 2. Engage in peer-to-peer learning single third party OR a partnership of Administrator. HUD recognizes that the success of the fellowship program will opportunities and become active leaders third parties, as the term ‘‘third party’’ is require flexibility and adaptability in in their host city; and defined below, along with other key definitions. design and implementation. Therefore, 3. Be intensely engaged and Definitions: The following terms shall the cooperative agreement will allow committed to the redevelopment of the have the meaning indicated below: HUD to work closely with the city so that they remain working in the Administrator: The term Administrator to help fine tune city after the end of the program. ‘‘administrator’’ means a third party or activities as needed to ensure that HUD intends to conduct the partnership of third parties that will be activities are implemented in a manner fellowship program in approximately responsible for all tasks associated with that is consistent with the objectives of six pilot cities. Each pilot city may activities 1 and 2 described in this the fellowship program. HUD receive up to five fellows. As noted Expression of Interest. anticipates that it will have significant earlier in the Summary, HUD is in the Third-party: The term ‘‘third party’’ involvement in all aspects of the final stages of selecting the pilot cities. means an educational institution, fellowship program’s planning, private and for-profit entity, or private delivery, and follow-up. When HUD selects the pilot cities, or public nonprofit with a 501(c)(3) C. Primary Tasks of the Administrator HUD will conduct a comprehensive city status. assessment for each pilot city to identify Partnership: The term ‘‘partnership’’ HUD’s proposal for the fellowship their key challenges and areas of means any combination or grouping of program involves two major activities capacity need. The city assessments also two or more third-parties as previously for the Administrator to carry out, as will provide useful information to help defined. Examples of possible noted above. The following provides determine how fellows can be used to partnerships among third parties may more details on these activities. support each pilot city. HUD intends to include, but is not limited to, a 1. Activity 1: Manage and Implement complete the city assessments before the partnership between: the Fellowship Program at the National fellowship administrator is selected. • A national or regional leadership and Local Level Funding for the fellowship program is institute and local universities or other Coordination with selected pilot provided through a donation of $2.5 local organization with relevant cities: HUD recognizes that the million by a private philanthropic experience; or • A volunteer or community driven fellowship program will require a local organization, which HUD is authorized presence in each of the pilot cities. to accept under section 7(k) of the organization and college institution. Further, to differentiate among the tasks Therefore, the Administrator will be Department of Housing and Urban required to identify, coordinate and Development Act (42 U.S.C. 3535(k)(1)). associated with Activity 1 and Activity 2, HUD will use the following terms: collaborate with a local organization in The donation was specifically provided each of the pilot cities. (Note: Because to HUD to develop, manage, and Activity 1 HUD has not yet finalized its selection implement a national fellowship Local organization: The term ‘‘local of the pilot cities, eligible third parties program to enhance the capacity of organization’’ will refer to those third that have submitted their Expressions of some of the nation’s most economically parties that will be tasked to work in Interest to HUD, and are determined distressed cities. In addition, 42 U.S.C. each of the pilot cities. In addition, HUD eligible to apply for the fellowship 3532(b) authorizes the Secretary of HUD will expand this definition of ‘‘local program will be required to outline a to ‘‘exercise leadership at the direction organization’’ to include an individual(s) detailed plan that describes how they of the President in coordinating Federal who is a qualified independent will identify, select and coordinate with activities affecting housing and urban consultant or professional expert that local organizations in their development’’ as well as to ‘‘provide can effectively manage the work at the applications.) technical assistance and information local level. HUD expects the relationship between * * * to aid state, county, town, village, the Administrator and local or other local governments in Activity 2 organizations to be sufficiently flexible developing solutions to community and Training Organization: The term to ensure that the program functions metropolitan development problems.’’ ‘‘training organization’’ will refer to the smoothly and successfully. The

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Administrator will be responsible for developed general criteria for the types workshops, or meetings. In addition, the the following six tasks: of qualifications anticipated for Administrator will help coordinate site • Managing the overall operations of participation in the program. Please see visits throughout the span of the the fellowship program which includes the Appendix B for the list of fellow fellowship program. paying fellow stipends, recruiting and qualifications. Evaluation: HUD expects that the selecting fellows, and coordinating with HUD expects the Administrator to selected Administrator to collect data to local organizations in each pilot city. work closely with pilot cities to ensure help HUD evaluate the success of • Working with the city to ensure that that the skill sets of fellows recruited fellows and the program. HUD will fellows are well integrated with their reflects the needs of the pilot cities. provide the Administrator with a basic pilot city and working on high-level, Before the recruitment process begins, template to collect qualitative and strategic projects; HUD will connect the Administrator to quantitative information. In addition, • Helping to coordinate site visits the relevant pilot city officials to HUD welcomes proposals from the with the training organization; facilitate such coordination. Administrator on additional metrics for • Identifying additional training and Coordination with local data collection. mentoring opportunities fellows may organizations: The Administrator will Leveraging: As described in the require as they progress through the coordinate their activities with local Summary, HUD will not have a match program; and organizations to ensure that the requirement for the fellowship program. • Tracking and monitoring data to be objectives of the fellowship program are However, HUD recognizes that the used for evaluating the success of being met. This may include activities scope of work required of the program fellows and the fellowship program. such as monitoring the work of the may exceed the funds that are available • Securing additional support from fellows and working with the pilot cities for this grant. Therefore, HUD expects philanthropic organizations to meet the to identify potential projects. HUD does that the selected Administrator will objectives and scope of work in the not want to be rigid in defining these secure additional funding support from fellowship program. roles and responsibilities. Rather, HUD other philanthropic organizations to expects the relationship between the fulfill the scope of work for the Note: Interested eligible third parties that Administrator and the local fellowship program. (Note: Eligible third are determined eligible to apply for the organizations to be flexible enough to fellowship program will be asked to specify parties that have submitted their who (the Administrator or local organization) ensure that the program operates Expressions of Interest to HUD, and are would be responsible for carrying out the five smoothly and successfully. determined eligible to apply for the tasks described above. Mentorship of fellows: HUD fellowship program will be required to recognizes that mentors will be critical explain how they plan to identify and Payment of fellows: The to the success and retention of fellows secure additional financial support to Administrator will be responsible for in the program. HUD does not want to meet the full scale of the fellowship paying fellows in the program. HUD be rigid in defining the roles and program in their applications.) plans to set-aside a portion of the $2.5 responsibility of mentorship. Rather, million to pay fellow stipends. HUD HUD expects the selected Administrator 2. Activity 2: Develop Training anticipates that fellow stipends will be to be adaptive, responsive and flexible Curriculum and Train Fellows for the $60,000 per year. In the best case enough to meet the needs of fellows. Fellowship Program scenario, the cost of the stipend is This would include ensuring that HUD expects that fellows selected shared between the pilot city and the fellows work on challenging and will likely enter the program with an program. When the pilot city is selected, strategic projects and are well-integrated array of skills and expertise, but HUD will work with each pilot city in and connected to their pilot city. notwithstanding skills and expertise, determining the cost share of the Due to the complex nature of the work fellows will be expected to undergo stipend. required of fellows to meet the intricate orientation and training. The selected Recruitment and selection of fellows: challenges of pilot cities, HUD Administrator will either serve as the The Administrator will be responsible anticipates that the roles and training organization or identify a for recruiting and selecting qualified responsibilities of fellows will likely training organization to assist with fellows for the program. No HUD change as the program progresses. In training selected fellows. In this employees are eligible to participate in addition, HUD does not have specific discussion of Activity 2, training the fellowship program. The projects for fellows in mind. However, organization refers to the entity (either Administrator will be primarily HUD, at minimum, expects that the the Administrator or another third responsible for marketing and work of fellows must be high-level, party) that will be responsible and advertising the program in places such strategic projects that will help advance conduct orientation and training. For as graduate programs, career listservs the economic goals of a pilot city. As this activity, the training organization and public sector networks. HUD may described in section II.A Fellowship would be required to complete the also assist in advertising the program to Placement Pilot Program Overview, the following tasks: increase the number of applicants. types of projects that fellows are a. Develop orientation materials for HUD recognizes that selecting the expected to work on will be informed by fellows entering the program; most qualified fellows is a critical a city assessment process of each pilot b. Develop or apply existing training element to ensuring the success of the city that HUD will be undertaking curriculum that will equip fellows with fellowship program. As a result, the separately. Please also review section D. the fundamental knowledge, tools and Administrator to be selected must have Pilot Cities, City Assessments for more skills they would need to be successful significant expertise in similar selection information on the city assessment in the program. and recruitment experience, preferably process. c. Identify the locations of where for public service employment. HUD Coordinating training activities: HUD fellows are to be trained and train will work with Administrator to ensure expects the selected Administrator will fellows; and that the types of fellows selected meet work to identify opportunities for d. Coordinate with the national and the needs and objectives of the additional training which may include, local intermediaries on additional fellowship program. HUD also has but are not limited to conferences, training fellows may need as they

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progress through the program, as well as 3. Reporting Requirements match fellows according to the needs of help to coordinate site visits. HUD will require the selected each pilot city. Orientation: The training organization Administrator to report to the HUD’s Coordination Role. When an will develop the materials and agenda to Government Technical Representative Administrator is selected, HUD will take help orient the new class of fellows. The (GTR) who will be responsible for the lead role in coordinating all key training organization will administer the managing the fellowship program grant aspects of the program between the orientation training and coordinate at HUD no less often than quarterly, Administrator and the pilot cities to activities, guest speakers and attendees unless otherwise specified in the ensure the successful implementation of with HUD. cooperative agreement. As part of this program objectives. HUD’s role in Training: The training organization required report to HUD, the selected coordination would include, but is not will be responsible for all aspects of limited to: Administrator will update the GTR with • training, which includes training information on actual outputs and data Facilitating meetings between the fellows and developing the training third party and the pilot cities; related to outcomes achieved, and a • curriculum for fellows. HUD expects narrative explanation of any disparity Negotiating, where appropriate, that training courses should be practical fellowship work responsibilities; between projected and actual results. • in nature, and focus on leadership HUD will also require the selected Hosting site visits in pilot city development and team building. Areas Administrator to provide HUD with a locations. of focus will be wide-ranging in scope final narrative report no more than three A. Solicitation of Expressions of and may include, but are not limited to months from the end of the grant period. Interests project management; bureaucratic Indirect costs: Indirect costs, if Third parties interested in being navigation; finance and acquisition; data applicable, are allowable based on an selected as the Administrator for the and monitoring; changing market established approved indirect cost rate. fellowship program are invited to advise conditions; urban planning and Applicants should have on file, and of their interest to HUD by must redevelopment; human and social submit to HUD as part of their grant emailing such Expression of Interest to capital development; and local application, a copy of their approved [email protected] government finance and budgeting. indirect cost rate agreement if they have by the deadline set forth in the DATES While HUD recognizes that the one. Applicants that are selected for section of this notice. HUD welcomes training of fellows will largely be ‘‘on- funding but do not have an approved parties expressing an interest (but the-job’’ training, HUD expects that the indirect cost rate agreement established imposes no requirement to do so) to training courses developed should make by the cognizant federal agency, and advise of reasons for the party’s interest every effort to draw on real world who want to charge indirect costs to the in being an Administrator and a general experiences in the policies and practices grant, will be required to establish a description of the interested party’s of local government. rate. In such cases, HUD will issue an capacity and experience in being the Development of local training award with a provisional rate and assist Administrator. Although Expressions of opportunities: The training organization applicants with the process of Interest are not being submitted through will be responsible for developing or establishing a final rate. identifying additional local training a public portal, Expressions of Interest opportunities for fellows. D. Selected Pilot Cities should nevertheless not contain any Responsibilities for the training As previously noted, HUD is in the proprietary information. organization may include, but are not final stages of selecting the pilot cities. Dated: April 6, 2011. limited to, coordinating site visits; HUD anticipates that it will select and Raphael W. Bostic, developing workshops on a specific announce the pilot cities before the Assistant Secretary for Policy Development topic; and identifying and bringing in selection of an Administrator. and Research. expert consultants or speakers to City assessments: When HUD selects educate fellows. While HUD will not the pilot cities, HUD will conduct a Appendix A—Proposed Request for require a minimum number of training comprehensive city assessment. HUD Qualifications (RFQ) opportunities or site visits, HUD expects intends to complete the city assessments [Note: HUD is not soliciting applications at at least one site visit to be in a pilot city. before an Administrator is selected. The this time] The purpose of site visits is to help purpose of the city assessment is to HUD proposes to rate the qualifications of increase the knowledge and expertise of identify the key challenges and areas of an Administrator applicant on three rating fellows in the program. need for each pilot city. To help factors described below, and eligible Leveraging: HUD recognizes that the conduct these assessments, HUD will applicants, as determined through the scope of work required of the fellowship work closely with city mayors and their solicitation of Expressions of Interest, will be program will exceed the funds that are staff to examine areas such as staffing asked to submit applications that address these factors. Only applicants (a single third available for this grant. Therefore, HUD resources; internal decision making party or a partnership of third parties) that expects that the training organization processes; fiscal and budget capacity; can meet the competencies of both activities will secure additional funding support and economic development and housing 1 and 2 should submit applications. If from other philanthropic organizations projects. applying as a partnership, a lead applicant to fulfill the scope of work for the HUD expects that the selected must be named in the application. The lead fellowship program. (Note: Eligible third Administrator, in close collaboration applicant also will be responsible for parties that have submitted their with each pilot city, will review the managing the scope of work in the activities Expressions of Interest to HUD, and are information from the city assessment to applied for by the partnership. determined eligible to apply for the identify the types of work and projects The total number of points possibly awarded for an application is 190 points. fellowship program will be required to for fellows. (HUD will provide the The applicant must answer all questions in explain how they plan to identify and selected Administrator with the city the RFQ. Applicants that leave questions secure additional financial support to assessments and connect them with unanswered will be determined to have meet the full scale of the fellowship each pilot city.) This will allow the submitted incomplete applications, and their program in their applications.) selected Administrator to recruit and applications will not be considered.

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The rating factors are described below. B. Management Structure (30 points) iii. What it thinks the key responsibilities of the local organizations would be to I. Rating Factors Organization Structure (20 points): HUD is interested in understanding the applicant’s accomplish the tasks associated with Rating Factor 1: Demonstrated Capacity of capacity to support the fellowship program Activity 1. the Applicant and Relevant Organizational in relation to ALL activities described in the b. HUD is interested in learning where and Staff (70 Points): RFQ. how the applicant plans to market the program to secure the most qualified fellows. A. Previous Experience (40 points) 1. The applicant must provide a description of its management structure, The applicant must explain its process of 1. General question (10 points): HUD is including an organizational chart that recruiting fellows for the program. The interested in the applicant’s demonstrated identifies all key management positions and applicant must include a discussion of how history of direct public service or placement the names and positions of staff managing it plans to market and reach out to various of public servants within the last 24 months. ALL key tasks described in the RFQ that are places to recruit qualified fellows. This must include a brief explanation about associated with both activities described in c. HUD is interested in learning the the objectives, goals and work of the the RFQ. The applicant must also describe applicant’s process for selecting fellows. applicant, and any awards that the applicant the key staff and their specific roles and While HUD recognizes that some of the has received for public service. In addition, responsibilities for the management of its fellow selection will be based on the needs please include any information on previous proposed activities. Please also include a one of the pilot cities, HUD is looking for an work, partnerships or collaborations with the paragraph description that describes the explanation of the applicant’s proposed federal or local government. If applying as a previous experience as it relates to the selection process and any proposed criteria partnership, please provide a brief assigned activities of all key staff. for fellows it may have in addition to the explanation for all third parties in the If applying as a partnership, the applicant fellows criteria in Appendix B. Information partnership. must provide this information for each third in this process may include additional 2. The following questions relate ONLY to party and also describe the management consultants and experts the applicant may Activity 1 (15 points). Provide at least one structure of the partnership and the role of hire, how it plans to conduct the interviews, example of recent experience within the last each third party. The applicant also must and what additional criteria—given its 24 months where the applicant has managed explain briefly how the partnership will understanding of fellowship programs—it activities similar to the ones covered under work together to ensure that the activities may look for in fellows. Activity 1. The applicant’s explanation will be achieved successfully and how d. HUD would like to know how the should include a discussion of the tasks decisions will be made. applicant plans to identify any additional undertaken, actual results achieved, and the 2. References (10 points). The applicant training opportunities (including site visits, specific skills and resources applied to each must include at least two references for workshops, and conferences) for fellows in task listed below: recent work similar to the programs covered the program. a. The applicant must explain its under the RFQ that has been undertaken by e. HUD recognizes that mentoring fellows demonstrated experience in working on the applicant. If a partnership, the applicant will be critical to the success of the program. projects that have required it to connect with must include two references for each third Therefore, HUD expects the applicant to have other local networks, organizations and key party in the partnership. a close mentor relationship with each fellow. individuals in cities. In addition, the At least one reference must be from an The applicant must explain how it plans to applicant must explain how it has built and organization, individual or institution that mentor fellows one-on-one and in group maintained these relationships with local you have worked with in the past 24 months settings, and how it plans to help them networks, organizations and key individuals, applicable to the activity(s) you are applying resolve or work through their challenges as and how integral this collaboration was to its for. This reference must be submitted in the they arise in the program. The applicant must project. form of a letter (one-page maximum) that also explain how it plans to identify high b. The applicant must explain its includes a contact name, address, phone level, strategic projects for the fellows. demonstrated experience in attracting and number and email address so that HUD may f. The applicant must provide HUD with a recruiting talented individuals from around verify the information. list and description of possible metrics it the country, including those from top A second reference may be taken from a thinks would be valuable to collect for brief newspaper or journal article, program universities or other career networks. evaluation. evaluation, or a transcript from a reputable c. The applicant must explain its For Activity 2 (30 points), the applicant independent source other than you. No video demonstrated experience in managing staff must address specifically in the proposal the or audio recording may be submitted. and/or program participants remotely. following: Rating Factor 2: Soundness of Approach 3. The following questions relate ONLY to (100 Points): The applicant must explain how it plans to Activity 2 (15 points). The applicant must develop training curriculum and how it plans provide at least one example of recent A. Proposed Activities (85 points) to train fellows. The applicant must include experience within the last 24 months where 1. The applicant must briefly describe the a discussion on how its proposed training it has managed activities similar to the ones activities it proposes to undertake in the RFQ curriculum would advance and enhance covered under Activity 2. The applicant’s application, including any additional leadership skills among fellows, and how its explanation must include a discussion of the activities it plans to undertake that will not training curriculum would prepare fellows tasks undertaken, actual results achieved, be funded by the fellowship program. for the fellowship program. and the specific skills and resources applied In addition, for Activity 1 (50 points), a. In addition, the applicant must include to each task listed below: please address specifically in the proposal other organizations it may use to help a. The applicant must explain its the following: develop the curriculum. The applicant must demonstrated experience in developing a. HUD recognizes that key to the success list the types of training it plans to have training curriculum for a public service and/ of the fellowship program will be determined fellows undertake (e.g. workshops, classroom or community or economic development by the close collaboration and training, etc.) including potential instructors program and how it has trained past communication between the national and or speakers, and how it plans to recruit participants. In addition, please include the local third parties. While HUD has not qualified instructors and speakers. The length of training; the types of training past selected the pilot cities, HUD would like the applicant must describe the type of materials participants underwent (e.g. classroom applicant to describe in detail: it plans to develop to train fellows and if instruction, site visits, workshops); and how i. How it plans to identify and select the applicable, describe any certifications it it has recruited instructors and speakers to local organizations or individuals that might offer to fellows. enhance the trainings. it will work with to meet the objectives of b. The applicant must explain how it will b. The applicant must explain its Activity 1. develop the orientation training for fellows demonstrated experience in partnering with ii. How it anticipates each local and include a description of the types of other organizations, individuals are organization or individual will communicate materials it plans to develop to train fellows. institutions to develop training curriculum and work with it to ensure the success of the c. The applicant must describe the types of for a fellowship program. fellowship program. site visits it plans to undertake to enhance

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the learning experience of fellows. The philanthropic organizations. As a result, Accountability and Transparency Act of 2006 applicant must also explain how it plans to HUD will put greater preference on (Pub. L. 109–282). The prime grant awardees identify, develop and/or implement any applicants that can draw additional financial will have until the end of the month plus one additional trainings it thinks would be support. In this rating factor, HUD would like additional month after an award or sub-grant helpful in the fellowship program. to know the applicant’s experience in is obligated to fulfill the reporting 2. Activity 1 & Activity 2 (5 points) As securing philanthropic support and its ability requirement. The Federal Funding referenced in III.A.1.a Leveraging, HUD to leverage existing funds. Accountability and Transparency Act recognizes that the full cost of the program 1. In this factor, the applicant must (FFATA) of 2006 calls for the establishment will likely exceed the $2.5 million granted describe its success in securing philanthropic of a publicly available Web site to disclose under the RFQ. Nevertheless, HUD is support for projects similar or related to any the use of Federal finance assistance. requesting that the applicant indicate how it or all of the activities the applicant is a. The Act requires the reporting of the will use the $2.5 million by providing a list applying for in the RFQ. following data for first-tier sub-grants of or table showing the amount of funds 2. The applicant must also describe its $25,000 or more: budgeted for each activity for years 1 and 2. plans for reaching out to other philanthropic (1) Name of entity receiving award. If a partnership, the applicant must indicate organizations or private institutions, and (2) Amount of award. also the responsible third party for each use fundraising activities it plans to undertake if (3) Funding agency. and activity. granted funds from the RFQ. (4) NAICS code for contracts/CFDA a. In addition, as referenced in section 3. The applicant must indicate, where program number for grants. III.A.1 Payment of Fellows, HUD recognizes appropriate, if it currently has commitments (5) Program source. that the cost of the fellow stipends under the of additional funds from other philanthropic (6) Award title descriptive of the purpose fellowship program is unknown as HUD is in organizations or private institutions and how of the funding action. the process of negotiating stipend share those funds might be leveraged for this (7) Location of the entity (including between what the pilot cities and the program. congressional district). fellowship program will each pay. For your II. Award Administration Information (8) Place of performance (including budget, please include a category for fellow congressional district). stipends for years 1 and 2. HUD anticipates A. Award Notices (9) Unique identifier of the entity and its that fellows will be paid $60,000 per year (for HUD will send written notifications to both parent; and. a total of $120,000 for years 1 and 2 for each successful and unsuccessful applicants. A (10) Total compensation and names of top fellow). Please assume that the program will notification sent to a successful applicant is five executives (same thresholds as for pay 75 percent of this stipend for years 1 and not an authorization to begin performance. primes). 2 (this amounts to $45,000 for each year). Upon notification that an applicant has been b. The Transparency Act also requires the Given your proposed budget, HUD wants to selected for award, HUD will request reporting of the Total Compensation and see the maximum number of fellows that additional information to be submitted or Names of the top five executives in either the could be funded with the $2.5 million grant. may work with the applicant to amend prime awardee or a sub-awardee’s information that was already submitted as organization if: B. Project Completion Schedule (5 points) part of the application. (1) More than 80% of annual gross 1. For the activity(s) the applicant is revenues are from the Federal government, applying for, the applicant must briefly B. Code of Conduct and those revenues are greater than $25M describe the project completion schedule, After selection, but prior to award, annually; and including milestones in each month for 24 applicants selected for funding will be (2) Compensation information is not months for the critical management actions required to provide HUD with their written already available through reporting to the for the applicant, start and end dates of each Code of Conduct if they have not previously SEC. activity, and the expected metrics and done so and it is not recorded on the HUD The statute exempts from reporting any results. Web site at: http://www.hud.gov/offices/adm/ sub-awards less than $25,000 made to grants/codeofconduct/cconduct.cfm. individuals or to an entity whose annual C. Performance and Monitoring (10 points) expenditures are less than $300,000. OMB 1. HUD grantees must have a plan for C. Administrative and National Policy has published Interim Final Guidance to monitoring and funds control plan for all Requirements agencies regarding the FFATA subrecipient program activities to ensure successful After selection for funding but prior to reporting requirements in the Federal performance. This includes an internal audit award, applicants must submit financial and Register on September 14, 2010 (75FR55663.) function. An internal audit function will administrative information to comply with continually examine potentially risky areas applicable requirements. These requirements E. Equal Employment Opportunity of program operations and management and are found in 24 CFR part 84 for all All contracts under the fellowship program provide regular and valuable feedback to organizations, except states and local shall contain a provision requiring program managers and to those who hold governments whose requirements are found compliance with E.O. 11246, ‘‘Equal them accountable. This feedback will include in 24 CFR part 85. Cost principles Employment Opportunity,’’ as amended by identification of risky management practices requirements are found at OMB Circular E.O. 11375, ‘‘Amending Executive Order and missing or ineffective internal controls, A–122 for nonprofit organizations, OMB 11246 Relating to Equal Employment areas that are not in compliance with Circular A–21 for institutions of higher Opportunity,’’ and as supplemented by program requirements, and ineffective education, OMB Circular A–87 for states and regulations at 41 CFR part 60, ‘‘Office of implementation of established policies. For local governments, and at 48 CFR 31.2 for Federal Contract Compliance Programs, the activity(s) the applicant is applying for in commercial organizations. Applicants must Equal Employment Opportunity, Department this factor, the applicant must: submit a certification from an Independent of Labor.’’ a. Describe your monitoring and funds Public Accountant or the cognizant control plan. government auditor, stating that the F. Additional Information b. Describe how you will meet the internal applicant’s financial management system This issuance does not direct, provide for audit requirement. Specifically identify the meets prescribed standards for fund control assistance or loan and mortgage insurance position(s) and agency responsible for and accountability. for, or otherwise govern or regulate, real internal audit. property acquisition, disposition, leasing, Rating Factor 3: Leveraging of Other Funds D. Federal Funding Accountability and rehabilitation, alteration, demolition, or new (20 Points): HUD does not require matching Transparency Act of 2006 construction, or establish, revise or provide funds to be awarded grants from the RFQ. Applicants selected for funding will be for standards for construction or construction However, as referenced in III.A.1.a required to report first sub-grant award and materials, manufactured housing, or Leveraging, HUD expects that the applicant executive compensation information, where occupancy. Accordingly, under 24 CFR that is awarded the grant will secure both their initial award is $25,000 or greater, 50.19(c)(1), this issuance is categorically additional funding support from other as required by the Federal Funding excluded from environmental review under

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the National Environmental Policy Act of exceptions, the Endangered Species Act address listed under ADDRESSES. The 1969 (42 U.S.C. 4321).’’ (ESA) prohibits activities with listed public may review documents and other Appendix B: Fellowship Placement species unless a Federal permit is issued information applicants have sent in Pilot Program—Fellows Criteria for that allows such activities. The ESA support of the application unless our Selection laws require that we invite public allowing viewing would violate the comment before issuing these permits. Privacy Act or Freedom of Information The fellows selection of the fellowship DATES: We must receive comments or Act. Before including your address, program will be open nationally to all phone number, e-mail address, or other qualified applicants. The Administrator will requests for documents on or before help develop the application and selection May 13, 2011. personal identifying information in your criteria for new recruits. The Administrator ADDRESSES: Brenda Tapia, Division of comment, you should be aware that will conduct the competition for fellows. Management Authority, U.S. Fish and your entire comment—including your At minimum, core perquisites must require Wildlife Service, 4401 North Fairfax personal identifying information—may that candidates: be made publicly available at any time. • Drive, Room 212, Arlington, VA 22203; Have 3–5 years of work experience, fax (703) 358–2280; or e-mail While you can ask us in your comment where candidates with graduate degrees are to withhold your personal identifying preferred; [email protected]. • information from public review, we Make a 2 year commitment; FOR FURTHER INFORMATION CONTACT: cannot guarantee that we will be able to • Have prior experience in the area of Brenda Tapia, (703) 358–2104 do so. community development, economic (telephone); (703) 358–2280 (fax); development, community or other public [email protected] (e-mail). II. Background service, or related field; • Be a problem solver, critical thinker and SUPPLEMENTARY INFORMATION: To help us carry out our conservation potential manager; I. Public Comment Procedures responsibilities for affected species, the • Have a proven track record of Endangered Species Act of 1973, section entrepreneurship or social entrepreneurship, A. How do I request copies of 10(a)(1)(A), as amended (16 U.S.C. 1531 ability to work through bureaucracies to get applications or comment on submitted et seq.), and our regulations in the Code things done; and applications? • Demonstrate a commitment and passion of Federal Regulations (CFR) at 50 CFR to public service. Send your request for copies of 17, require that we invite public In addition, applicants will be asked to applications or comments and materials comment before final action on these rank order their location choices, and to concerning any of the applications to permit applications. articulate their interest in, or connection to the contact listed under ADDRESSES. III. Permit Applications any particular location(s). The selected Please include the Federal Register Administrator may explore giving preference notice publication date, the PRT- A. Endangered Species to candidates that already live in a pilot city. The selection process for fellows may number, and the name of the applicant Applicant: Oklahoma City Zoological involve multiple rounds of review that will in your request or submission. We will Park, Oklahoma City, OK; PRT– culminate to several in-person group not consider requests or comments sent 30321A to an e-mail or address not listed under interviews. After the in-person interviews, a The applicant requests a permit to selection committee will make the final ADDRESSES. If you provide an e-mail import a captive-held male Asian selection decisions. Fellows that best match address in your request for copies of elephant (Elephas maximus) born in the the needs of the pilot cities based on their applications, we will attempt to respond wild from African Lion Safari & Game existing area of knowledge and skill set will to your request electronically. Farm Ltd., Ontario, Canada, for the be selected for the program. To ensure Please make your requests or fellows are properly matched to the needs of purpose of enhancement of the survival comments as specific as possible. Please each pilot city, the selection process will of the species through propagation. include a review of the results from the city confine your comments to issues for assessments that were initially conducted for which we seek comments in this notice, Multiple Applicants each pilot city before selection. and explain the basis for your comments. Include sufficient The following applicants each request [FR Doc. 2011–8782 Filed 4–12–11; 8:45 am] a permit to import the sport-hunted BILLING CODE 4210–67–P information with your comments to allow us to authenticate any scientific or trophy of one male bontebok commercial data you include. (Damaliscus pygargus pygargus) culled from a captive herd maintained under DEPARTMENT OF THE INTERIOR The comments and recommendations that will be most useful and likely to the management program of the Republic of South Africa, for the Fish and Wildlife Service influence agency decisions are: (1) Those supported by quantitative purpose of enhancement of the survival [FWS–R9–IA–2011–N074; 96300–1671– information or studies; and (2) Those of the species. 0000–P5] that include citations to, and analyses Applicant: Franklin Brown, Rainbow Endangered Species Receipt of of, the applicable laws and regulations. City, AL; PRT–33362A Applications for Permit We will not consider or include in our Applicant: David Phillips, St. Paul, MN; administrative record comments we PRT–37678A AGENCY: Fish and Wildlife Service, receive after the close of the comment Applicant: Carlos Ramirez, Houston, Interior. period (see DATES) or comments TX; PRT–38803A ACTION: Notice of receipt of applications delivered to an address other than those Dated: April 8, 2011. for permit. listed above (see ADDRESSES). Brenda Tapia, SUMMARY: We, the U.S. Fish and B. May I review comments submitted by Program Analyst/Data Administrator, Branch Wildlife Service, invite the public to others? of Permits, Division of Management comment on the following applications Comments, including names and Authority. to conduct certain activities with street addresses of respondents, will be [FR Doc. 2011–8861 Filed 4–12–11; 8:45 am] endangered species. With some available for public review at the BILLING CODE 4310–55–P

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DEPARTMENT OF THE INTERIOR eradication of the house mouse and the farallonensis) and Farallon camel prevention of future human cricket (Farallonophilus cavernicolus). Fish and Wildlife Service introduction of mice. The Service has initially identified [FWS–R8–R–2011–N041; 1261–0000–80230– We now propose to eradicate three possible alternatives: W5] nonnative house mice (Mus musculus) (1) No Action, which would allow from the South Farallon Islands. The mice to remain on the South Farallon South Farallon Islands Nonnative purpose of this project is to protect and Islands, maintaining the status quo. Mouse Eradication Project; Farallon restore the ecosystem of the South (2) Mouse eradication, with an aerial National Wildlife Refuge, California; Farallon Islands, particularly for broadcast of granular pellets with the Intent To Prepare an Environmental seabirds and other native biological rodenticide brodifacoum as the primary Impact Statement resources. The South Farallon Islands technique, with the entire island group have sustained ecological damage over treated simultaneously. AGENCY: Fish and Wildlife Service, many years from the presence of (3) Mouse eradication, with an aerial Interior. introduced mice. broadcast of granular bait pellets with the rodenticide brodifacoum as the ACTION: Notice of intent; request for In 1909, President Theodore primary technique, conducted in public comment. Roosevelt established the Farallon phases, in which different islands of the National Wildlife Refuge (Refuge), as a SUMMARY: We, the U.S. Fish and group would be treated from days to preserve and breeding ground for Wildlife Service (Service), advise the weeks apart. public that we intend to gather marine birds under Executive Order The Service is currently determining information necessary to prepare an 1043. The Refuge originally what measures could be included to environmental impact statement (EIS) encompassed only the North and minimize adverse effects to nontarget pursuant to the National Environmental Middle Farallon Islands and Noonday species, while ensuring that every Policy Act (NEPA, for a proposed Rock. In 1969 the Refuge was expanded mouse has access to the bait during the project to eradicate nonnative mice from to include the South Farallon Islands eradication window. the South Farallon Islands, part of the and is still managed with the same basic Farallon National Wildlife Refuge off purpose today. The isolated nature, Public Comment the coast of California. We encourage varied and extensive habitats, and We are furnishing this notice in the public and other agencies to adjacent productive marine accordance with section 1501.7 of the participate in the planning process by environment make the South Farallon NEPA implementing regulations, to sending written comments on Islands an ideal breeding and resting obtain suggestions and information from management actions that we should location for wildlife, especially seabirds other agencies and the public on the consider. and marine mammals. The Refuge scope of issues to be addressed in the comprises the largest continental U.S. EIS. We invite written comments from DATES: To ensure that we have adequate seabird breeding colony south of Alaska, interested parties to ensure time to evaluate and incorporate and supports the world’s largest identification of the full range of suggestions and other input, we must breeding colonies of ashy storm-petrel alternatives, issues and concerns. receive your comments on or before (Oceanodroma homochroa), Brandt’s Information gathered through this May 27, 2011. cormorant (Phalacrocorax penicillatus) scoping process will assist us in ADDRESSES: Send written comments or and western gull (Larus occidentalis). developing a range of alternatives. A requests to be added to our project Prior to the introduction of non-native detailed description of the proposed mailing list to: Gerry McChesney, mammals, the South Farallon Islands action and alternatives will be included Refuge Manager, Farallon National were nearly devoid of land-based in the EIS. The EIS will also address the Wildlife Refuge, 9500 Thornton Avenue, predatory threats. Introduced European direct, indirect, and cumulative impacts Newark, CA 94560. Alternatively, you rabbits and cats, which were later of the alternatives on environmental may send written comments or requests removed, and mice, which remain on resources and identify appropriate by fax to (510) 745–9285 or by e-mail to the South Farallon Islands today, have mitigation measures for adverse [email protected]. had noticeable negative impacts on environmental effects. FOR FURTHER INFORMATION CONTACT: native species. Written comments we receive become Gerry McChesney, Refuge Manager, Introduced nonnative mice directly part of the public record associated with (510) 792–0222. and indirectly cause negative impacts to this action. Before including your SUPPLEMENTARY INFORMATION: the populations of small burrow- and address, phone number, e-mail address, crevice-nesting seabirds on the South or other personal identifying Background Farallones, particularly storm-petrels. In information in your comment, you In 2009, the Service completed a order to reduce this impact, the Service should be aware that your entire Comprehensive Conservation Plan has identified mouse eradication as a comment, including your personal (CCP) and Environmental Assessment/ critical step in fulfilling its main identifying information, may be made Finding of No Significant Impact to purpose to protect and restore the native publicly available at any time. While guide the management of Farallon ecosystems of the South Farallon you can ask us in your comment to National Wildlife Refuge over a 15-year Islands. Eradicating mice would withhold your personal identifying period (75 FR 5102 February 1, 2010). increase the survivorship, and would information from public review, we The wildlife management goal of the likely increase the local population cannot guarantee that we will be able to selected management alternative in the sizes, of at least two seabird species, the do so. CCP is to protect, inventory, monitor, ashy storm-petrel and Leach’s storm- In addition to providing written and restore to historic levels breeding petrel. The eradication project may also comments, the public is encouraged to populations of 12 seabird species, 5 benefit other seabirds, as well as native attend a public scoping meeting to marine mammal species, and other amphibians, insects, invertebrates, and provide us with suggestions and native wildlife. One of the strategies plants, including the endemic Farallon information on the scope of issues and identified to meet this goal is the arboreal salamander (Aneides lugubris alternatives to consider when drafting

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the EIS. A public scoping meeting will Bank Adult Passage without Barrier feasibility study for providing fish be held in San Francisco, California, in Dam as the preferred alternative. passage at all Yakima Project storage the spring of 2011. We will mail a DATES: Reclamation will not make a dams. Additionally, Reclamation agreed separate announcement to the public decision on the proposed action until at to mitigation agreement terms and with the exact date, time, and location least 30 days after filing of the FEIS with Hydraulic Project Approval conditions of the public scoping meeting. We will the Environmental Protection Agency. with Washington Department of Fish accept both oral and written comments After the 30-day waiting period, and Wildlife to investigate fish passage at the scoping meeting. Reclamation will complete a Record of feasibility. In 2003, Reclamation NEPA Compliance Decision. The Record of Decision will prevailed in a suit filed by the Yakama identify the selected action for Nation concerning the NEPA and We will conduct environmental implementation and will discuss factors Endangered Species Act compliance for review in accordance with the and rationale used in making the the Keechelus Safety of Dams project. requirements of NEPA, as amended (42 decision. The Yakama Nation then appealed that U.S.C. 4321 et seq.), its implementing decision to the 9th Circuit Court of regulations (40 CFR parts 1500–1508), ADDRESSES: Bureau of Reclamation, Appeals. In 2006, Reclamation and the other applicable regulations, and our Columbia-Cascades Area Office, Yakama Nation entered into a procedures for compliance with those attention: Candace McKinley, settlement agreement to resolve regulations. We anticipate that a draft Environmental Program Manager, 1917 litigation in which the parties agreed to EIS will be available for public review Marsh Road, Yakima, Washington collaborate to prepare technical plans in the fall of 2011. 98901. and a planning report for fish passage at Dated: April 7, 2011. FOR FURTHER INFORMATION CONTACT: Cle Elum and Bumping Lake Dams. This Alexandra Pitts, Candace McKinley, Environmental FEIS is part of the agreed-upon planning Regional Director, Pacific Southwest Region. Program Manager, Telephone (509) 575– process for Cle Elum Dam only. An EIS [FR Doc. 2011–8813 Filed 4–12–11; 8:45 am] 5848, ext. 276, fax: (509) 454–5650. The for Bumping Lake fish passage will be BILLING CODE 4310–55–P FEIS and other information on this prepared separately at a future time. project can be found at http:// Public Disclosure www.usbr.gov/pn/programs/ucao_misc/ DEPARTMENT OF THE INTERIOR fishpassage/. To receive a hard copy or Before including your name, address, compact disc of the FEIS refer to the phone number, e-mail address, or other Bureau of Reclamation above contact. personal identifying information in any [INT–FES 11–02] SUPPLEMENTARY INFORMATION: Pursuant correspondence, you should be aware to Section 102(2)(C) of the National that your entire correspondence— Cle Elum Dam Fish Passage Facilities Environmental Policy Act (NEPA) of including your personal identifying and Fish Reintroduction Project; 1969, as amended, Reclamation is information—may be made publicly Kittitas County, WA evaluating the construction of available at any time. While you can ask downstream juvenile fish passage and us in your correspondence to withhold AGENCY: Bureau of Reclamation, your personal identifying information Interior. upstream adult fish passage alternatives at the dam for the Cle Elum Dam Fish from public view, we cannot guarantee ACTION: Notice of availability of the Passage Facilities Project. Cle Elum Dam that we will be able to do so. Final Environmental Impact Statement did not include fish passage facilities Dated: January 5, 2011. (FEIS) for the Cle Elum Dam Fish when constructed in 1933; Passage Facilities and Fish Karl E. Wirkus, consequently, fish passage to upstream Reintroduction Project. Regional Director, Pacific Northwest Region. habitat for fish species was blocked. [FR Doc. 2011–8862 Filed 4–12–11; 8:45 am] SUMMARY: The Bureau of Reclamation As part of the effort to restore fish BILLING CODE 4310–MN–P (Reclamation) is notifying the public above Cle Elum Dam, the Washington that it has prepared an FEIS on the Department of Fish and Wildlife, in proposed Cle Elum Dam Fish Passage collaboration with the Yakama Nation, INTERNATIONAL TRADE Facilities and Fish Reintroduction is evaluating the implementation of a COMMISSION Project. The Washington State project to reintroduce fish populations Department of Ecology is a joint lead above the dam. The reintroduction plan Notice of Possible Shutdown of with Reclamation in the preparation of would involve the transportation and Investigative Activities the FEIS, in coordination with the release of adults for natural spawning Washington Department of Fish and and potentially hatchery AGENCY: U.S. International Trade Wildlife and the Yakama Nation. The supplementation techniques to restore Commission. Bonneville Power Administration has fish above the dam. ACTION: Notice. assumed the role of a cooperating Early in 2001, Yakima River basin SUMMARY: agency. The FEIS will also be used to interest groups urged Reclamation to Notice is hereby given that comply with requirements of the incorporate fish passage facilities as part the U.S. International Trade Washington State Environmental Policy of the reconstruction of Keechelus Dam Commission has determined to shut Act. under the Safety of Dams program. down its investigative activities in the Reclamation published a Draft EIS in Reclamation determined that fish event of the absence of an the Federal Register on February 3, passage facilities could not be added appropriation. 2010 (75 FR 562622) with a public under existing Safety of Dams authority. FOR FURTHER INFORMATION CONTACT: comment period ending on March 22, However, in the January 2002 Record of James R. Holbein, Secretary to the 2010. Revisions were made in the FEIS Decision for Keechelus Dam Commission, U.S. International Trade to incorporate responses to comments. Modification EIS, Reclamation Commission, 500 E Street, SW., The FEIS also identifies Alternative 3, committed to seek funding under Washington, DC 20436, telephone (202) Right Bank Juvenile Passage with Right existing authorities to conduct a 205–2000. General information

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concerning the Commission may also be amended (19 U.S.C. 1335), and in 31 functions of the agency, including obtained by accessing its Internet server U.S.C. 1341 et seq. whether the information will have at http://www.usitc.gov. Hearing- By order of the Commission. practical utility; —Evaluate the accuracy of the agency’s impaired persons are advised that Issued: April 8, 2011. information on this matter can be estimate of the burden of the James R. Holbein, obtained by contacting the proposed collection of information, Commission’s TDD terminal on (202) Acting Secretary to the Commission. including the validity of the 205–1810. [FR Doc. 2011–8842 Filed 4–12–11; 8:45 am] methodology and assumptions used; BILLING CODE P —Enhance the quality, utility, and SUPPLEMENTARY INFORMATION: The Commission is issuing this notice clarity of the information to be because of the potential for an absence collected; and —Minimize the burden of the collection of an appropriation as of 12:01 a.m. on DEPARTMENT OF JUSTICE of information on those who are to Saturday, April 9, 2011. If the [OMB Number 1105–NEW] respond, including through the use of Commission does not receive funding appropriate automated, electronic, by 8:45 a.m. on Monday, April 11, 2011, Agency Information Collection Activities: Proposed Collection; mechanical, or other technological the agency will shut down its collection techniques or other forms investigative activities for the duration Comments Requested: Elder Justice Roadmap Project of information technology, e.g., of the absence of appropriation. These permitting electronic submission of activities include, but are not limited to, AGENCY: Civil Division, Department of responses. proceedings conducted under the Justice. authority of Title VII of the Tariff Act of Overview of This Information ACTION: 60-day notice of information 1930, including antidumping and Collection collection under review. countervailing duty investigations and (1) Type of Information Collection: reviews; investigations and ancillary The Civil Division of Department of New collection. proceedings conducted under the Justice (DOJ) will be submitting the (2) Title of the Form/Collection: Elder authority of section 337 of the Tariff Act following information collection request Justice Roadmap Project. of 1930; and investigations conducted to the Office of Management and Budget (3) Agency form number, if any, and under the authority of section 332 of the (OMB) for review and approval in the applicable component of the Tariff Act of 1930. accordance with the Paperwork Department of Justice sponsoring the If a shutdown occurs, the schedules Reduction Act of 1995. The proposed collection: None. for all investigative activities will be information collection is published to (4) Affected public who will be asked tolled. All hearings and conferences will obtain comments from the public and or required to respond, as well as a brief be postponed, subject to the exception affected agencies. June 13, 2011. This abstract: Adult practitioners, advocates described below. Once the Commission process is conducted in accordance with and researchers in professions related to receives funding and the period of the 5 CFR 1320.10. elder justice. A recent review of shutdown ends, all schedules will If you have comments, especially on literature related to elder justice resume starting with the day on which the estimated public burden or indicates that the field remains largely the Commission recommences associated response time, suggestions, fragmented and without a clear set of operations. For example, if the or need a copy of the proposed priorities or a roadmap for shutdown lasts four days (e.g., April 11– information collection instrument with advancement. The purpose of this data 14), then the deadline for the filing of instructions or additional information, collection is to identify policy, practice, any document on April 14 would be please contact Laurie Feinberg, 601 D and research priorities in the field of extended four days to April 18, 2011. If Street, NW., Room 9109, Washington, elder abuse, neglect, and exploitation a rescheduled deadline falls on a DC 20004; (202) 305–1789. and to help develop a strategic roadmap nonbusiness day, the deadline will be Written comments concerning this for activities to address those priorities. extended to the next business day. The information collection should be sent to In the first phase of the study, concept agency may reconsider schedules after the Office of Information and Regulatory mapping will be used to create a visual resuming operations. Affairs, Office of Management and representation of the ways that Notwithstanding the general tolling of Budget, Attn: DOJ Desk Officer. The best professionals in the field perceive the schedules, each staff conference in way to ensure your comments are priorities for elder justice. Concept preliminary antidumping and received is to e-mail them to mapping is a well-documented method countervailing duty investigations [email protected] or fax of applied research that makes explicit, scheduled to take place on April 20, 21, them to 202–395–7285. All comments implicit theoretical models that can be or 22, 2011, will take place as scheduled should reference the 8 digit OMB used for planning and action. The if the Commission resumes operations number for the collection or the title of process requires respondents to by April 14, 2011. Should the shutdown the collection. If you have questions brainstorm a set of statements relevant not end before April 14, 2011, all concerning the collection, please call to the topic of interest (‘‘brainstorming’’ conferences will be rescheduled Laurie Feinberg at 202–305–1789 or the task), individually sort these statements pursuant to the general tolling DOJ Desk Officer at 202–395–3176. into piles based on perceived similarity provisions described above. Written comments and suggestions from (‘‘sorting’’ task), rate each statement on The Commission’s World Wide Web the public and affected agencies one or more scales (‘‘rating’’ task), and site, at http://www.usitc.gov, will be concerning the proposed collection of interpret the graphical representation updated to the extent practicable to information are encouraged. Your that result from several multivariate provide information on the status of the comments should address one or more analyses. The collection of data for all agency. of the following four points: concept mapping activities will be The authority for the Commission=s —Evaluate whether the proposed facilitated via a dedicated project Web determination is contained in section collection of information is necessary site. The second phase of the study 335 of the Tariff Act of 1930, as for the proper performance of the includes a series of six face-to-face

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facilitated discussions with relevant meaning and potential use of the process will provide an efficient means stakeholder groups, practitioners, and concept mapping results. This input for managing participation while researchers. In addition up to 9–12 will be aggregated and linked to the simultaneously integrating perspectives interviews with experts in the various emerging conceptual framework that that are complementary and mutually aspects of the field will be conducted to will result in a better understanding of informative. obtain their reaction to the preliminary the complex interrelationships between (5) An estimate of the total number of concept map generated by the policy, practice, and research elements brainstorming, sorting, and rating in the field of elder justice. Thus, the respondents and the amount of time process and asked to provide challenges, and needs of practitioners estimated for an average respondent to information about what may be missing, on the front lines will inform the work respond: It is estimated that 750 need amplification, or to be interrelated of researchers, and the researchers’ respondents total will participate in the in a different manner than on the findings will inform the work of policy concept mapping phase of this preliminary concept map. Guiding makers and practitioners, and the policy collection, and that 60 respondents total questions and discussion prompts, makers will communicate with will participate in the facilitated derived from the concept mapping researchers and practitioners about what discussions. The table below shows the results, will be used to gather information thy need to properly inform estimated number of respondents for information from the respondents on the policy. A single concept mapping each portion of the collection:

Participation Total task Task targets target

Concept Mapping:. Brainstorming ...... 750 750 Sorting ...... 250 250 Rating ...... 750 750

Total group target ...... 750

Participation Total Facilitated discussion targets target

Policy maker group 1 ...... 10 10 Policy maker group 2 ...... 10 10 Practitioner group 3 ...... 10 10 Practitioner group 4 ...... 10 10 Researcher group 5 ...... 10 10 Researcher group 6 ...... 10 10 Total group target ...... 10 60 Expert Interview ...... 9–12 9–12

The brainstorming task will take Department of Justice, Two Constitution States’ claims under Section 107(a) of respondents 5–10 minutes to complete. Square, 145 N Street, NE., Room 2E– the Comprehensive Environmental The sorting task will take respondents 808, Washington, DC 20530. Response, Compensation, and Liability approximately 30–60 minutes to Dated: April 7, 2011. Act, 42 U.S.C. 9607(a), against John M. Williams, Jr., Arizona Public Service complete. The rating task will take Lynn Murray, respondents approximately 30 minutes Co., the Salt River Project, Public Department Clearance Officer, PRA, U.S. Service Company of New Mexico, and to complete. None of these tasks will Department of Justice. require participants to complete in one El Paso Electric Co. relating to response sitting; rather, participants can return to [FR Doc. 2011–8788 Filed 4–12–11; 8:45 am] costs incurred and to be incurred by the work on task completion as often as BILLING CODE 4410–12–P United States Environmental Protection they chose, until the task deadline. Agency (‘‘EPA’’) at or from a Site known Respondents will have approximately DEPARTMENT OF JUSTICE as the Gila River Indian Reservation 4 weeks to brainstorm and Removal Site, also referred to as the Gila approximately 6 weeks to sort and rate. Notice of Lodging of Consent Decree River Boundary Site, located in Facilitated discussions will require Under the Comprehensive Maricopa County, Arizona. The consent approximately 4 hours of respondents’ Environmental Response, decree also resolves potential CERCLA time. Compensation and Liability Act counterclaims against the United States Expert interview will require no more (CERCLA) Department of the Interior. than 90 minutes of respondents’ time. Under the terms of the proposed (6) An estimate of the total public Consistent with Section 122(d)(2) of consent decree, John M. Williams, Jr., burden (in hours) associated with the CERCLA, 42 U.S.C. 9622(d)(2), and 28 Arizona Public Service Co., the Salt collection: There are an estimated 948 CFR 50.7, notice is hereby given that on River Project, Public Service Company total public burden hours associated April 8, 2011, the proposed Consent of New Mexico, El Paso Electric Co., and with this collection. This is planned to Decree in United States v. John the United States Department of Interior be a one-time data collection. Williams, et al, Civil Action No. 11– will reimburse EPA in the amount of If additional information is required 00689–PHX–MEA, was lodged with the $462,500. EPA’s total response costs are contact: Lynn Murray, Department United States District Court for the approximately $1 million. Clearance Officer, Policy and Planning District of Arizona. The proposed The Department of Justice will receive Staff, Justice Management Division, U.S. Consent Decree resolves the United for a period of thirty (30) days from the

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date of this publication comments review and approval in accordance with (1) Type of Information Collection: relating to the Consent Decree. the Paperwork Reduction Act of 1995. Extension of a currently approved Comments should be addressed to the The proposed information collection is collection. Assistant Attorney General, published to obtain comments from the (2) Title of the Form/Collection: U.S. Environment and Natural Resources public and affected agencies. Comments Official Order Forms for Schedule I and Division, and either e-mailed to are encouraged and will be accepted II Controlled Substances (Accountable [email protected] or until June 13, 2011. This process is Forms); Order Form Requisition. mailed to P.O. Box 7611, U.S. conducted in accordance with 5 CFR Department of Justice, Washington, DC 1320.10. (3) Agency form number, if any, and 20044–7611, and should refer to United If you have comments, especially on the applicable component of the States of America v. John Williams, Jr., the estimated public burden or Department of Justice sponsoring the Civil Action No. 11–00689–PHX–MEA associated response time, suggestions, collection: (U.S.D.C. D. AZ) (DOJ Ref. No. 90–11– or need a copy of the proposed Form Number: DEA Forms 222 and 3–09420). The Consent Decree may be information collection instrument with 222a. examined at U.S. Environmental instructions or additional information, Component: Office of Diversion Protection Agency, Office of Regional please contact Cathy A. Gallagher, Control, Drug Enforcement Counsel, EPA IX at 75 Hawthorne Acting Chief, Liaison and Policy Street, San Francisco, California 94105. Section, Office of Diversion Control, Administration, Department of Justice. During the public comment period, the Drug Enforcement Administration, 8701 (4) Affected public who will be asked Consent Decree may also be examined Morrissette Drive, Springfield, VA or required to respond, as well as a brief on the following Department of Justice 22152; (202) 307–7297. abstract: Web site, http://www.usdoj.gov/enrd/ Written comments concerning this Consent_Decrees.html. A copy of the Primary: Business or other for-profit. information collection should be sent to Consent Decree may also be obtained by Other: Not-for-profit; State, local, or the Office of Information and Regulatory mail from the Consent Decree Library, tribal government. Affairs, Office of Management and U.S. Department of Justice, P.O. Box Budget, Attn: DOJ Desk Officer. The best Abstract: DEA–222 is used to transfer 7611, Washington, DC 20044–7611 or by or purchase Schedule I and II controlled faxing or e-mailing a request to Tonia way to ensure your comments are substances and data are needed to Fleetwood ([email protected]), received is to e-mail them to _ provide an audit of transfer and fax no. (202) 514–0097, phone oira [email protected] or fax confirmation number (202) 514–1547. In them to 202–395–7285. All comments purchase. DEA–222a Requisition Form requesting a copy from the Consent should reference the 8 digit OMB is used to obtain the DEA–222 Order Decree Library, please enclose a check number for the collection or the title of Form. Persons may also digitally sign in the amount of $7.75 (25 cents per the collection. If you have questions and transmit orders for controlled page reproduction cost) payable to the concerning the collection, please call substances electronically, using a digital U.S. Treasury or, if by e-mail or fax, Cathy A. Gallagher at 202–307–7297 or certificate. Orders for Schedule I and II forward a check in that amount to the the DOJ Desk Officer at 202–395–3176. controlled substances are archived and Consent Decree Library at the stated Written comments and suggestions transmitted to DEA. address. from the public and affected agencies (5) An estimate of the total number of concerning the proposed collection of respondents and the amount of time Henry Friedman, information are encouraged. Your estimated for an average respondent to Assistant Section Chief, Environmental comments should address one or more Enforcement Section, Environment and of the following four points: respond: DEA estimates that 109,632 Natural Resources Division. registrants participate in this • Evaluate whether the proposed [FR Doc. 2011–8912 Filed 4–12–11; 8:45 am] information collection, taking an collection of information is necessary BILLING CODE 4410–15–P estimated 17.33 hours per registrant for the proper performance of the functions of the agency, including annually. DEPARTMENT OF JUSTICE whether the information will have (6) An estimate of the total public practical utility; burden (in hours) associated with the Drug Enforcement Administration • Evaluate the accuracy of the collection: It is estimated that there are 1,898,970 annual burden hours [OMB Number 1117–0010] agencies estimate of the burden of the proposed collection of information, associated with this collection. Agency Information Collection including the validity of the If additional information is required Activities: Proposed Collection; methodology and assumptions used; contact: Lynn Murray, Department Comments Requested: U.S. Official • Enhance the quality, utility, and Clearance Officer, Policy and Planning Order Forms for Schedule I and II clarity of the information to be Staff, Justice Management Division, U.S. Controlled Substances (Accountable collected; and Department of Justice, Two Constitution Forms); Order Form Requisition DEA • Minimize the burden of the Square, 145 N Street, NE., Room 2E– Form 222, 222a, Controlled Substances collection of information on those who 808, Washington, DC 20530. Order System are to respond, including through the use of appropriate automated, Dated: April 7, 2011. ACTION: 60-Day Notice of Information electronic, mechanical, or other Lynn Murray, Collection Under Review. technological collection techniques or Department Clearance Officer, PRA, U.S. The Department of Justice (DOJ), Drug other forms of information technology, Department of Justice. Enforcement Administration (DEA), will e.g., permitting electronic submission of [FR Doc. 2011–8748 Filed 4–12–11; 8:45 am] be submitting the following information responses. BILLING CODE 4410–09–P collection request to the Office of Overview of information collection Management and Budget (OMB) for 1117–0010:

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DEPARTMENT OF JUSTICE Official for the Panel at (202) 514–8615. may be obtained from the RegInfo.gov [Note: This is not a toll-free number.] Web site, http://www.reginfo.gov/ Office of Justice Programs SUPPLEMENTARY INFORMATION: The Panel, public/do/PRAMain, on the day [OJP (OCR) Docket No. 1548] which was established pursuant to the following publication of this notice or Prison Rape Elimination Act of 2003, by contacting Michel Smyth by Hearings of the Review Panel on Public Law 108–79, 117 Stat. 972 telephone at 202–693–4129 (this is not Prison Rape (codified as amended at 42 U.S.C. a toll-free number) or sending an e-mail 15601–15609 (2006)), will hold its next to [email protected]. AGENCY: Office of Justice Programs, hearings to carry out the review Submit comments about this request Justice. functions specified at 42 U.S.C. to the Office of Information and ACTION: Notice of hearing. 15603(b)(3)(A). Testimony from the Regulatory Affairs, Attn: OMB Desk hearings will assist the Panel in carrying Officer for the Department of Labor, SUMMARY: The Office of Justice Programs Mine Safety and Health Administration (OJP) announces that the Review Panel out its statutory obligations. The witness list is subject to amendment; please (MSHA), Office of Management and on Prison Rape (Panel) will hold Budget, Room 10235, Washington, DC hearings in Washington, DC on April refer to the Review Panel on Prison Rape Web site at http:// 20503, Telephone: 202–395–6929/Fax: 26–27, 2011. The hearing times and 202–395–6881 (these are not toll-free location are noted below. The purpose www.ojp.usdoj.gov/reivewpanel.htm for any updates regarding the hearing numbers), e-mail: of the hearings is to assist the Bureau of [email protected]. Justice Statistics (BJS) in identifying schedule. Space is limited at the hearing FOR FURTHER INFORMATION CONTACT: common characteristics of victims and location. Members of the public who Contact Michel Smyth by telephone at perpetrators of sexual victimization in wish to attend the hearing in 202–693–4129 (this is not a toll-free U.S. prisons, and the common Washington, DC must present number) or by e-mail at characteristics of prisons with the government-issued photo identification [email protected]. highest and lowest incidence of rape, upon entrance to the Office of Justice respectively, based on an anonymous Programs. Special needs requests should SUPPLEMENTARY INFORMATION: MSHA survey by the BJS of inmates in a be made to Joseph Swiderski, regulations require coal mine operators representative sample of U.S. prisons. Designated Federal Official, OJP, to provide bathing facilities, clothing On August 26, 2010, the BJS issued the [email protected] or (202) change rooms, and sanitary flush toilet report Sexual Victimization in Prisons 514–8615, at least one week before the facilities in a location that is convenient and Jails Reported by Inmates, 2008–09. hearings. for use of the miners. See CFR 71.400 The report provides a listing of prisons Michael Alston, through 71.402 and 75.1712–1 through .1712–3. If the operator is unable to grouped according to the prevalence of Director, Office for Civil Rights, Office of reported sexual victimization, and Justice Programs. meet any or all of the requirements, he/ she may apply for a waiver, and the formed the basis of the Panel’s decision [FR Doc. 2011–8781 Filed 4–12–11; 8:45 am] regulations provide procedures by about which facilities would be the BILLING CODE 4410–18–P subject of testimony. which an operator may apply for and be granted a waiver. See 30 CFR 71.403, DATES: The hearing schedule is as 71.404, 75.1712–4, and 75.1712–5. follows: DEPARTMENT OF LABOR 1. Tuesday, April 26, 2011, 9 a.m. to Applications are filed with the District 5:30 p.m.: Bureau of Justice Statistics; Office of the Secretary Manager for the district in which the Dr. Barbara Owen—nationally-known mine is located and must contain the expert on women’s prison culture; Agency Information Collection name and address of the mine operator, Elkton Federal Correctional Activities; Submission for OMB name and location of the mine, and a Institution—facility with a low Review; Comment Request; detailed statement of the grounds on prevalence of sexual victimization; Application for Waiver of Surface which the waiver is requested. This information collection is subject Bridgeport, Texas, Pre-Parole Treatment Facilities Requirements to the PRA. A Federal agency generally Facility—facility with a low prevalence ACTION: cannot conduct or sponsor a collection of sexual victimization; James V. Allred Notice. of information, and the public is Unit, Texas—facility with a high SUMMARY: The Department of Labor generally not required to respond to an prevalence of sexual victimization. (DOL) is submitting the Mine Safety and information collection, unless it is 2. Wednesday, April 27, 2011, 9 a.m. Health Administration (MSHA) approved by the OMB under the PRA 4 p.m.: James V. Allred Unit, Texas— sponsored information collection and displays a currently valid OMB facility with a high prevalence of sexual request (ICR) titled, ‘‘Application for Control Number. In addition, victimization; Elmira, New York, Waiver of Surface Facilities notwithstanding any other provisions of Correctional Facility—facility with a Requirements,’’ to the Office of law, no person shall generally be subject high prevalence of sexual victimization; Management and Budget (OMB) for to penalty for failing to comply with a Fluvanna, Virginia, Correctional Center review and approval for continued use collection of information if the for Women—facility with a high in accordance with the Paperwork collection of information does not prevalence of sexual victimization. Reduction Act of 1995 (Pub. L. 104–13, display a valid OMB control number. ADDRESSES: The hearings will take place 44 U.S.C. chapter 35). See 5 CFR 1320.5(a) and 1320.6. The at the Office of Justice Programs DATES: Submit comments on or before DOL obtains OMB approval for this Building, Video Conference Room, May 13, 2011. information collection under OMB Third Floor, U.S. Department of Justice, ADDRESSES: A copy of this ICR, with Control Number 1219–0024. The current 810 7th Street, NW., Washington, DC applicable supporting documentation; OMB approval is scheduled to expire on 20531. including a description of the likely April 30, 2011; however, it should be FOR FURTHER INFORMATION CONTACT: respondents, proposed frequency of noted that information collections Joseph Swiderski, Designated Federal response, and estimated total burden submitted to the OMB receive a month-

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to-month extension while they undergo DEPARTMENT OF LABOR These information collections are review. For additional information, see subject to the PRA. A Federal agency the related notice published in the Office of the Secretary generally cannot conduct or sponsor a Federal Register on December 17, 2010 collection of information, and the public Agency Information Collection (75 FR 79033). is generally not required to respond to Activities; Submission for OMB an information collection, unless it is Interested parties are encouraged to Review; Comment Request; approved by the OMB under the PRA send comments to the OMB, Office of Representative of Miners, Notification and displays a currently valid OMB Information and Regulatory Affairs at of Legal Identity, and Notification of Control Number. In addition, the address shown in the ADDRESSES Commencement of Operations and notwithstanding any other provisions of section within 30 days of publication of Closing of Mines law, no person shall generally be subject this notice in the Federal Register. In to penalty for failing to comply with a ACTION: order to ensure appropriate Notice. collection of information if the consideration, comments should SUMMARY: The Department of Labor collection of information does not reference OMB Control Number 1219– (DOL) is submitting the Mine Safety and display a valid OMB control number. 0024. The OMB is particularly Health Administration (MSHA) See 5 CFR 1320.5(a) and 1320.6. The interested in comments that: sponsored information collection DOL obtains OMB approval for this • Evaluate whether the proposed request (ICR) titled, ‘‘Representative of information collection under OMB collection of information is necessary Miners, Notification of Legal Identity, Control Number 1219–0042. The current for the proper performance of the and Notification of Commencement of OMB approval is scheduled to expire on April 30, 2011; however, it should be functions of the agency, including Operations and Closing of Mines,’’ to the noted that information collections whether the information will have Office of Management and Budget (OMB) for review and approval for submitted to the OMB receive a month- practical utility; to-month extension while they undergo • continued use in accordance with the Evaluate the accuracy of the Paperwork Reduction Act of 1995 (Pub. review. For additional information, see agency’s estimate of the burden of the L. 104–13, 44 U.S.C. chapter 35). the related notice published in the proposed collection of information, Federal Register on December 17, 2010 DATES: Submit comments on or before including the validity of the (75 FR) 79031. May 13, 2011. methodology and assumptions used; Interested parties are encouraged to ADDRESSES: A copy of this ICR, with • Enhance the quality, utility, and send comments to the OMB, Office of applicable supporting documentation; Information and Regulatory Affairs at clarity of the information to be including a description of the likely the address shown in the ADDRESSES collected; and respondents, proposed frequency of section within 30 days of publication of • Minimize the burden of the response, and estimated total burden this notice in the Federal Register. In collection of information on those who may be obtained from the RegInfo.gov order to ensure appropriate are to respond, including through the Web site, http://www.reginfo.gov/ consideration, comments should use of appropriate automated, public/do/PRAMain, on the day reference OMB Control Number 1219– electronic, mechanical, or other following publication of this notice or 0042. The OMB is particularly technological collection techniques or by contacting Michel Smyth by interested in comments that: other forms of information technology, telephone at 202–693–4129 (this is not • Evaluate whether the proposed a toll-free number) or sending an e-mail collection of information is necessary e.g., permitting electronic submission of _ _ responses. to DOL PRA [email protected]. for the proper performance of the Submit comments about this request functions of the agency, including Agency: Mine Safety and Health to the Office of Information and whether the information will have Administration (MSHA). Regulatory Affairs, Attn: OMB Desk practical utility; Title of Collection: Application for Officer for the Department of Labor, • Evaluate the accuracy of the Waiver of Surface Facilities Mine Safety and Health Administration agency’s estimate of the burden of the Requirements. (MSHA), Office of Management and proposed collection of information, Budget, Room 10235, Washington, DC OMB Control Number: 1219–0024. including the validity of the 20503, Telephone: 202–395–6929/Fax: methodology and assumptions used; Affected Public: Private sector— 202–395–6881 (these are not toll-free • Enhance the quality, utility, and Businesses or other for-profits. numbers), e-mail: clarity of the information to be _ Total Estimated Number of OIRA [email protected]. collected; and • Respondents: 933. FOR FURTHER INFORMATION CONTACT: Minimize the burden of the Contact Michel Smyth by telephone at collection of information on those who Total Estimated Number of are to respond, including through the Responses: 933. 202–693–4129 (this is not a toll-free number) or by e-mail at use of appropriate automated, Total Estimated Annual Burden [email protected]. electronic, mechanical, or other Hours: 357. technological collection techniques or SUPPLEMENTARY INFORMATION: other forms of information technology, Total Estimated Annual Costs Burden: Identification of the miner $4,665. e.g., permitting electronic submission of representative, notification of mine responses. Dated: April 7, 2011. owner and operator legal identity, and Agency: Mine Safety and Health Michel Smyth, notification of commencement of Administration (MSHA). Departmental Clearance Officer. operations and closing of mines provide Title of Collection: Representative of information to help ensure the health [FR Doc. 2011–8787 Filed 4–12–11; 8:45 am] Miners, Notification of Legal Identity, and safety of mine workers by and Notification of Commencement of BILLING CODE 4510–43–P identifying responsibility for mining Operations and Closing of Mines. operations. OMB Control Number: 1219–0042.

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Affected Public: Private sector— [email protected]. Submissions by Under section 403(a) of the CAFTA– Businesses or other for-profits. facsimile may be sent to: Paula Church DR Implementation Act, 19 U.S.C. Total Estimated Number of Albertson, Deputy Division Chief of 4111(a), the President must report Respondents: 11,367. Trade Agreement Administration and biennially to the Congress on the Total Estimated Number of Technical Cooperation, Office of Trade progress made by the CAFTA–DR Responses: 11,367. and Labor Affairs, U.S. Department of countries in implementing the labor Total Estimated Annual Burden Labor at (202) 693–4851 (this is not a obligations and the labor capacity- Hours: 2,517. toll-free number). building provisions found in the Labor Total Estimated Annual Costs Burden: FOR FURTHER INFORMATION CONTACT: Chapter and Annex 16.5 and $4,659. Paula Church Albertson, Deputy implementing the recommendations Dated: April 7, 2011. Division Chief of Trade Agreement contained in the White Paper. Section Michel Smyth, Administration and Technical 403(a)(4) requires the President to Departmental Clearance Officer. Cooperation, Office of Trade and Labor establish a mechanism to solicit public [FR Doc. 2011–8823 Filed 4–12–11; 8:45 am] Affairs, U.S. Department of Labor, 200 comments on the matters described in BILLING CODE 4510–43–P Constitution Avenue, NW., Room S– section 403(a)(3)(D) of the CAFTA–DR 5303, Washington, DC 20210. Implementation Act, 19 U.S.C. Telephone (202) 693–4900 (this is not a 4111(a)(4). DEPARTMENT OF LABOR toll-free number). By Proclamation, the President SUPPLEMENTARY INFORMATION: delegated the reporting function and the Office of the Secretary responsibility for soliciting public 1. Background comments under section 403(a) of the Bureau of International Labor Affairs; During the legislative approval CAFTA–DR Implementation Act, 19 Office of Trade and Labor Affairs; U.S.C. 4111(a), to the Secretary of Labor, Request for Comments on Labor process for the CAFTA–DR, the Administration and the Congress in consultation with the United States Capacity-Building Efforts Under the Trade Representative. Proclamation No. Dominican Republic—Central reached an understanding on the need to support labor capacity-building 8272, 73 FR 38,297 (June 30, 2008). This America—United States Free Trade notice serves to request public Agreement efforts linked to recommendations identified in the White Paper of the comments as required by this section. AGENCIES: Office of the Secretary, Labor, Working Group of the Vice Ministers 2. Information Sought and Office of the United States Trade Responsible for Trade and Labor in the The Department of Labor is seeking Representative. countries of Central America and the comments on the following topics as Dominican Republic. A total of $155 ACTION: Request for comments from the required under Section 404(a)(3)(D) of million was appropriated in support of public. the CAFTA–DR Implementation Act: labor and environment capacity- 1. Capacity-building efforts by the SUMMARY: This notice is a request for building in FY 2005 through FY 2009. comments from the public to assist the United States government envisaged by For more information on these Article 16.5 of the CAFTA–DR Labor Secretary of Labor and the United States initiatives, see the full text of the Trade Representative in preparing a Chapter and Annex 16.5; CAFTA–DR and the White Paper as well 2. Efforts by the United States report on labor capacity-building efforts as other relevant fact sheets and reports under Chapter 16 (‘‘the Labor Chapter’’) government to facilitate full posted on the respective Web sites of implementation of the White Paper and Annex 16.5 of the Dominican the Office of the United States Trade Republic—Central America—United recommendations; Representative, http://www.ustr.gov/ 3. Efforts made by the CAFTA–DR States Free Trade Agreement (‘‘the _ Trade Agreements/Regional/CAFTA/ countries to comply with Article 16.5 of CAFTA–DR’’), as well as efforts made by _ Section Index.html, and the the Labor Chapter and Annex 16.5 and the CAFTA–DR countries to implement International Labour Organization (ILO) to fully implement the White Paper the recommendations contained in the Subregional Office for Central America, recommendations, including progress report entitled ‘‘The Labor Dimension in Haiti, Panama and the Dominican made by the CAFTA–DR countries in Central America and the Dominican Republic, http://web.oit.or.cr/ (follow affording to workers internationally- Republic—Building on Progress: the link to: Sector IV, Dia´logo Social, recognized worker rights through Strengthening Compliance and and then link to: Verification of the ’’ ‘‘ improved capacity; and Enhancing Capacity ( the White White Paper, Central America and the 4. Efforts made by the governments of ’’ Paper ). This report is required under Dominican Republic). the Parties to the CAFTA–DR to fulfill the Dominican Republic—Central In addition, in December 2006, the their Labor Chapter (Chapter 16) America—United States Free Trade USDOL published the procedural commitments under the CAFTA–DR. Agreement Implementation Act (‘‘the guidelines for the receipt and review of CAFTA–DR Implementation Act’’). The submissions under U.S. Free Trade 3. Requirements for Comments reporting function and the Agreements, including the CAFTA–DR This notice requests comments in responsibility for soliciting public (71 FR 76691 Dec. 21, 2006). response to a general solicitation to the comments required under this Act were Subsequently, the U.S. held the first public. Written comments may be assigned to the Secretary of Labor, in Labor Affairs Council meeting in submitted by 5 p.m. May 20, 2011. To consultation with the United States November 2008, pursuant CAFTA–DR ensure prompt and full consideration of Trade Representative. Article 16.4.2. Since the CAFTA–DR comments, it is strongly recommended DATES: Written comments are due no came into force, OTLA has received, that comments be submitted by later than 5 p.m. May 20, 2011. accepted and reviewed one submission, electronic mail to the following e-mail ADDRESSES: Persons submitting issuing a public report in January 2009. address: [email protected]. comments are strongly advised to make OTLA received a second submission, Persons making comments by e-mail such submissions by electronic mail to and will decide whether to accept this should use the following subject line: the following address: submission in April 2011. Comments pursuant to CAFTA–DR

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Implementation Act. Documents should Chief Information Officer, Mail Suite They will also become a matter of be submitted in MSWord format. 2S65, National Aeronautics and Space public record. Supporting documentation submitted as Administration, Washington, DC 20546– Fran Teel, spreadsheets is acceptable in Excel 0001, (202) 358–1351, format. Persons who make comments by [email protected]. Acting NASA Clearance Officer. [FR Doc. 2011–8762 Filed 4–12–11; 8:45 am] e-mail should not provide separate SUPPLEMENTARY INFORMATION: cover letters; information that might BILLING CODE 7510–13–P appear in a cover letter should be I. Abstract included in the comments themselves. The Scientific and Technical Similarly, to the extent possible, any NATIONAL AERONAUTIC AND SPACE Information (STI) Program Office desires ADMINISTRATION attachments to the comments should be to seek out customer feedback from included in the same file as the industry, academia, research institutes, [Notice: (11–032)] comments themselves, not as separate other government, as well as individual files. In the event that e-mail comments members of the public, in order to Agency Information Collection are not possible, comments should be assess the impact of the STI Activities: Proposed Collection; sent by facsimile to (202) 693–4851 (this disseminated to those populations in Comment Request; Generic Clearance is not a toll-free number). Written terms of cost avoidance, schedule gain, for the Collection of Qualitative comments will be placed in a file open productivity, innovation, and potential Feedback on Agency Service Delivery to public inspection at the Department job creation. AGENCY: National Aeronautics and of Labor, Room S–5303, 200 Space Administration. Constitution Avenue, NW., Washington, II. Method of Collection ACTION: DC 20210. An appointment to review We intend to introduce the feedback Notice of Information the file must be scheduled at least 48 questionnaire by initially by e-mail in Collection. This is a 30-day notice of hours in advance and may be made by reply to fulfilled information requests submission of information collection calling (202) 693–4900 (this is not a toll- initiated by customers; however, approval from the Office of Management free number). customers accessing STI online will also and Budget and request for comments. Signed at Washington, DC, the 7th day of have an option to provide their feedback SUMMARY: As part of a Federal April 2011. via e-mail or web-based questionnaire as Government-wide effort to streamline Sandra Polaski, part of the document retrieval process. the process to seek feedback from the Deputy Undersecretary, International Affairs. III. Data public on service delivery, NASA Headquarters has submitted a Generic [FR Doc. 2011–8971 Filed 4–12–11; 8:45 am] Title: NASA STI Impact Assessment. Information Collection Request (Generic BILLING CODE 4510–28–P OMB Number: 2700–XXXX. ‘‘ Type of review: New Collection. ICR): Generic Clearance for the Affected Public: Industry, academia, Collection of Qualitative Feedback on NATIONAL AERONAUTICS AND research institutes, other government, Agency Service Delivery’’ to OMB for SPACE ADMINISTRATION individuals. approval under the Paperwork Estimated Number of Respondents: Reduction Act (PRA) (44 U.S.C. 3501 et [Notice: (11–033)] 500 annually. seq.). Estimated Number of Responses per DATES: All comments should be Notice of Information Collection Respondent: 1. submitted within 15 calendar days AGENCY: National Aeronautics and Estimated Time per Response: 2 following the date of this publication. Space Administration (NASA). minutes. ADDRESSES: Written comments may be Estimated Total Annual Burden ACTION: Notice of information collection. submitted to Lori Parker, Office of the Hours: 17 hours. Chief Information Officer, Mail Suite SUMMARY: The National Aeronautics and Estimated Annual Cost for 2S65, National Aeronautics and Space Space Administration, as part of its Respondents: $3.50. Administration, Washington, DC 20546– continuing effort to reduce paperwork IV. Request for Comments 0001. and respondent burden, invites the FOR FURTHER INFORMATION CONTACT: general public and other Federal Comments are invited on: (1) Whether the proposed collection of information Requests for additional information or agencies to take this opportunity to copies of the information collection comment on proposed and/or is necessary for the proper performance of the functions of NASA, including instrument(s) and instructions should continuing information collections, as be directed to Lori Parker, Office of the required by the Paperwork Reduction whether the information collected has practical utility; (2) the accuracy of Chief Information Officer, Mail Suite Act of 1995 (Pub. L. 104–13, 44 U.S.C. 2S65, National Aeronautics and Space 3506(c)(2)(A)). NASA’s estimate of the burden (including hours and cost) of the Administration, Washington, DC 20546– DATES: All comments should be proposed collection of information; (3) 0001, (202) 358–1351, submitted within sixty calendar days ways to enhance the quality, utility, and [email protected]. from the date of this publication. clarity of the information to be SUPPLEMENTARY INFORMATION: ADDRESSES: All comments should be collected; and 4) ways to minimize the Title: Generic Clearance for the addressed to Lori Parker, National burden of the collection of information Collection of Qualitative Feedback on Aeronautics and Space Administration, on respondents, including automated Agency Service Delivery. Washington, DC 20546–0001. collection techniques or the use of other Abstract: The information collection FOR FURTHER INFORMATION CONTACT: forms of information technology. activity will garner qualitative customer Requests for additional information or Comments submitted in response to and stakeholder feedback in an efficient, copies of the information collection this notice will be summarized and timely manner, in accordance with the instrument(s) and instructions should included in the request for OMB Administration’s commitment to be directed to Lori Parker, Office of the approval of this information collection. improving service delivery. By

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qualitative feedback we mean Current Actions: New collection of individuals of NASA’s intent to prepare information that provides useful information. the EIS and to request input regarding insights on perceptions and opinions, Type of Review: New Collection. the definition of reasonable alternatives but are not statistical surveys that yield Affected Public: Individuals and and significant environmental issues to quantitative results that can be Households, Businesses and be evaluated in the EIS. generalized to the population of study. Organizations, State, Local or Tribal In cooperation with BLM, UAF, and This feedback will provide insights into Government. USFWS, NASA will hold public scoping customer or stakeholder perceptions, Average Expected Annual Number of meetings as part of the NEPA process experiences and expectations, provide Activities: 1,000. associated with the development of the an early warning of issues with service, Respondents: 200,000 annually. EIS. The scoping meeting locations and or focus attention on areas where Annual Responses: 200,000. dates identified at this time are communication, training or changes in Frequency of Response: Once per provided under SUPPLEMENTARY operations might improve delivery of request. INFORMATION below. products or services. These collections Average Minutes per Response: 15 DATES: Interested parties are invited to will allow for ongoing, collaborative and minutes. submit comments on environmental actionable communications between the Burden Hours: 50,000 hours (over issues and concerns, preferably in Agency and its customers and three years). writing, on or before June 1, 2011, to stakeholders. It will also allow feedback An agency may not conduct or assure full consideration during the to contribute directly to the sponsor, and a person is not required to scoping process. improvement of program management. respond to, a collection of information ADDRESSES: Comments submitted by Feedback collected under this generic unless it displays a currently valid mail should be addressed to Joshua clearance will provide useful Office of Management and Budget Bundick, Manager, Poker Flat Research information, but it will not yield data control number. Range EIS, NASA Goddard Space Flight that can be generalized to the overall Fran Teel, Center’s Wallops Flight Facility, Wallops Island, Virginia 23337. population. This type of generic Acting NASA Clearance Officer. Comments may be submitted via e-mail clearance for qualitative information [FR Doc. 2011–8761 Filed 4–12–11; 8:45 am] will not be used for quantitative to [email protected]. BILLING CODE 7510–13–P information collections that are FOR FURTHER INFORMATION CONTACT: designed to yield reliably actionable Joshua Bundick, Manager, Poker Flat results, such as monitoring trends over NATIONAL AERONAUTICS AND Research Range EIS, NASA Wallops time or documenting program SPACE ADMINISTRATION Flight Facility, Wallops Island, Virginia performance. Such data uses require 23337; telephone (757) 824–2319; more rigorous designs that address: The [Notice (11–034)] e-mail: [email protected]. target population to which Additional information about NASA’s National Environmental Policy Act; generalizations will be made, the Sounding Rocket Program (SRP) and the Sounding Rockets Program; Poker Flat sampling frame, the sample design University of Alaska-Fairbanks’ PFRR Research Range (including stratification and clustering), may be found on the internet at http:// the precision requirements or power AGENCY: National Aeronautics and sites.wff.nasa.gov/code810 and http:// calculations that justify the proposed Space Administration. www.pfrr.alaska.edu, respectively. Information regarding the NEPA process sample size, the expected response rate, ACTION: Notice of intent to prepare an methods for assessing potential non- Environmental Impact Statement (EIS) for this proposal and supporting response bias, the protocols for data and to conduct scoping for continuing documents (as available) are located at collection, and any testing procedures http://sites.wff.nasa.gov/code250/ sounding rocket operations at Poker Flat _ that were or will be undertaken prior to Research Range (PFRR), Alaska. pfrr eis.html. fielding the study. Depending on the SUPPLEMENTARY INFORMATION: degree of influence the results are likely SUMMARY: Pursuant to the National to have, such collections may still be Environmental Policy Act, as amended, Programmatic Background eligible for submission for other generic (NEPA) (42 U.S.C. 4321 et seq.), the NASA’s SRP, based at the Goddard mechanisms that are designed to yield Council on Environmental Quality Space Flight Center’s Wallops Flight quantitative results. Regulations for Implementing the Facility (WFF), supports the NASA The Agency received no comments in Procedural Provisions of NEPA (40 CFR Science Mission Directorate’s strategic response to the 60-day notice published parts 1500–1508), and NASA’s NEPA vision and goals for understanding the in the Federal Register of December 22, policy and procedures (14 CFR part phenomena affecting the past, present, 2010 (75 FR 80542). 1216, subpart 1216.3), NASA intends to and future of Earth and the solar system Below we provide NASA prepare an EIS for its continued use of and supports the Agency’s educational Headquarters projected average the University of Alaska-Fairbanks mission. The suborbital missions estimates for the next three years: 1 (UAF) owned and managed PFRR, enabled by the SRP provide researchers outside of Fairbanks, Alaska. The U.S. with opportunities to build, test, and fly 1 The 60-day notice included the following Fish and Wildlife Service (USFWS), new instrument concepts while estimate of the aggregate burden hours for this Bureau of Land Management (BLM), and simultaneously conducting world class generic clearance federal-wide: UAF will serve as Cooperating Agencies scientific research. With its hands-on Average Expected Annual Number of Activities: as they possess both regulatory approach to mission formulation and 25,000. authority and specialized expertise execution, the SRP also helps ensure Average Number of Respondents per Activity: 200. regarding the Proposed Action that will that the next generation of space Annual Responses: 5,000,000. be the subject of the EIS. scientists receives the training and Frequency of Response: Once per request. The purpose of this notice is to experience necessary to move on to Average Minutes per Response: 30. apprise interested agencies, NASA’s larger, more complex missions. Burden Hours: 2,500,000. organizations, tribal governments, and

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Launch Sites and evolution of the solar system. During the scoping process for the EA Sounding rockets can be launched Technology development and validation in the fall of 2010, NASA solicited input from permanently established ranges or enabled by the SRP at the PFRR is from over 75 potentially interested from temporary launch sites using critical in furthering the development of agencies and organizations. A number of NASA’s mobile range assets. Permanent Earth and space science instruments at conservation organizations expressed ranges include WFF in Wallops Island, a fraction of the size and cost that would concern regarding NASA’s continued Virginia; PFRR near Fairbanks, Alaska; result from using other launch methods. operations at PFRR and requested that a White Sands Missile Range (WSMR) in The PFRR facility also supports more detailed assessment be performed. educational outreach programs where White Sands, New Mexico; Kwajalein As such, NASA decided that an EIS students and scientists from various Island, Marshall Islands Republic; would be the most appropriate level of universities are able to conduct Esrange, Kiruna, Sweden; and the NEPA documentation for the proposal. aeronautics and space research. Norwegian Rocket Range, And

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Alternatives involvement, the first of which is during The meeting will be open to the The EIS will consider a range of scoping. Even if an interested party does public up to the seating capacity of the alternatives that meet NASA’s needs for not have input at this time, other room. It is imperative that the meeting obtaining the requisite earth and space avenues, including reviews of the Draft be held on this date to accommodate the science data afforded by high-latitude and Final EIS, will be offered in the scheduling priorities of the key sounding rocket launches in support of future. The availability of these participants. documents will be published in the both NASA’s science and educational P. Diane Rausch, missions. Federal Register and through local news media to ensure that all members of the Advisory Committee Management Officer, Alternatives currently being National Aeronautics and Space considered for evaluation in the EIS public have the ability to actively Administration. participate in the NEPA process. include: [FR Doc. 2011–8845 Filed 4–12–11; 8:45 am] • In conclusion, written public input on Continuing the SRP in its present BILLING CODE 7510–13–P form and at the current level of effort; alternatives and environmental issues • Continuing SRP launches from and concerns associated with NASA’s PFRR within the existing flight zones SRP launches at PFRR that should be NATIONAL AERONAUTICS AND with differing requirements for addressed in the EIS are hereby SPACE ADMINISTRATION identification and recovery of spent requested. [Notice: (11–036)] stages and payloads; Olga M. Dominguez, • Modifying the trajectories of the Assistant Administrator, Office of Strategic NASA Advisory Council; Audit, existing flight zones; and Infrastructure. Finance and Analysis Committee; • Conducting a subset of launches at [FR Doc. 2011–8844 Filed 4–12–11; 8:45 am] Meeting other high-latitude launch sites, thereby BILLING CODE 7510–13–P avoiding the federally-managed lands. AGENCY: National Aeronautics and The No Action Alternative is to Space Administration. discontinue sounding rocket launches NATIONAL AERONAUTICS AND ACTION: Notice of meeting. from PFRR. NASA anticipates that the SPACE ADMINISTRATION areas of potential environmental impact SUMMARY: In accordance with the from each alternative of most interest to [Notice: (11–035)] Federal Advisory Committee Act, Public the public will be: The effects of rocket Law 92–463, as amended, the National and payload landing and recovery on NASA Advisory Council; Space Aeronautics and Space Administration special interest lands (including Operations Committee; Meeting. announces a meeting of the Audit, Wilderness Areas and Wild Rivers), Finance and Analysis Committee of the AGENCY: National Aeronautics and considerations to ensure public safety NASA Advisory Council. Space Administration. during rocket flight, and potential DATES: Tuesday, May 3, 2011, 9 a.m.– effects on subsistence uses on lands ACTION: Notice of meeting. 11:45 a.m., Local Time. within the flight zones. SUMMARY: In accordance with the ADDRESSES: NASA Headquarters, Scoping Meetings Federal Advisory Committee Act, Public Conference Room 8D48, 300 E Street, SW., Washington, DC 20546. NASA and its Cooperating Agencies Law 92–463, as amended, the National FOR FURTHER INFORMATION CONTACT: Ms. plan to hold three public scoping Aeronautics and Space Administration Charlene Williams, Office of the Chief meetings to provide information on the announces a meeting of the NASA Financial Officer, National Aeronautics PFRR EIS and to solicit public Advisory Council (NAC) Space and Space Administration comments regarding environmental Operations Committee. Headquarters, Washington, DC 20546, concerns and alternatives to be DATES: Tuesday, May 3, 2011, 8 a.m.–2 Phone: 202–358–2183, fax: 202–358– considered in the EIS. The public p.m. local time. 4336. scoping meetings are scheduled as ADDRESSES: Doubletree Hotel, 2080 follows: North Atlantic Ave, Cocoa Beach, FL SUPPLEMENTARY INFORMATION: The —Friday, April 29, 2011, at the Tribal 32931. agenda for the meeting includes the following topics: Hall, Third and Alder Streets, Fort FOR FURTHER INFORMATION CONTACT: Mr. • Overview of the GAO Quick Look Yukon, Alaska, 1 p.m.–4 p.m. Jacob Keaton, NAC Space Operations —Monday, May 2, 2011, at the Book. Committee Executive Secretary, • Overview of the NASA Strategic University of Alaska-Fairbanks, National Aeronautics and Space William R. Wood Student Center, Plan. Administration Headquarters, • Committee Discussion. 505 South Chandalar Drive, Washington, DC 20546, 202/358–1507, Fairbanks, Alaska, 2 p.m.–4 p.m. [email protected]. The meeting will be open to the public —Monday, May 2, 2011, at the Pioneer up to the seating capacity of the room. Park, Blue Room, 2300 Airport SUPPLEMENTARY INFORMATION: The It is imperative that the meeting be held Way, Fairbanks, Alaska, 6 p.m.–8 agenda for the meeting includes the on this date to accommodate the p.m. following topics: scheduling priorities of the key —Tuesday, May 3, 2011, at the United —Space Operations Mission Directorate participants. Visitors will need to show States Fish and Wildlife Service FY2012 Budget. a valid picture identification such as a Alaska Regional Office, Gordon —Commercial Crew Development driver’s license to enter the NASA Watson Conference Room, 1011 Program status. Headquarters building (West Lobby— East Tudor Road, Anchorage, —Commercial Orbital Transportation Visitor Control Center), and must state Alaska, 2 p.m.–4 p.m. and 6 p.m.– System status. that they are attending the Audit, 8 p.m. —21st Century Launch Complex status. Finance, and Analysis Committee As the EIS is prepared, the public will —Recommendation preparation and meeting in room 8D48 before receiving be provided several opportunities for discussion. an access badge. All non-U.S. citizens

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must fax a copy of their passport, and prepare appraisal memorandums that No Federal records are authorized for print or type their name, current contain additional information destruction without the approval of the address, citizenship, company concerning the records covered by a Archivist of the United States. This affiliation (if applicable) to include proposed schedule. These, too, may be approval is granted only after a address, telephone number, and their requested and will be provided once the thorough consideration of their title, place of birth, date of birth, U.S. appraisal is completed. Requesters will administrative use by the agency of visa information to include type, be given 30 days to submit comments. origin, the rights of the Government and number, and expiration date, U.S. social ADDRESSES: You may request a copy of of private persons directly affected by Security Number (if applicable), and any records schedule identified in this the Government’s activities, and place and date of entry into the U.S., fax notice by contacting the Life Cycle whether or not they have historical or to Charlene Williams, Executive Management Division (NWML) using other value. Secretary, Audit, Finance, and Analysis one of the following means: Besides identifying the Federal Committee, FAX (202) 358–4336, by no Mail: NARA (NWML), 8601 Adelphi agencies and any subdivisions later than April 21, 2011. To expedite Road, College Park, MD 20740–6001. requesting disposition authority, this admittance, attendees with U.S. E-mail: [email protected]. public notice lists the organizational citizenship can provide identifying FAX: 301–837–3698. unit(s) accumulating the records or information 3 working days in advance Requesters must cite the control indicates agency-wide applicability in by contacting Charlene Williams at number, which appears in parentheses the case of schedules that cover records (202) 358–2183, or fax: (202) 358–4336. after the name of the agency which that may be accumulated throughout an submitted the schedule, and must agency. This notice provides the control P. Diane Rausch, provide a mailing address. Those who number assigned to each schedule, the Advisory Committee Management Officer, desire appraisal reports should so total number of schedule items, and the National Aeronautics and Space indicate in their request. number of temporary items (the records Administration. FOR FURTHER INFORMATION CONTACT: proposed for destruction). It also [FR Doc. 2011–8847 Filed 4–12–11; 8:45 am] Laurence Brewer, Director, Life Cycle includes a brief description of the BILLING CODE 7510–13–P Management Division (NWML), temporary records. The records National Archives and Records schedule itself contains a full Administration, 8601 Adelphi Road, description of the records at the file unit NATIONAL ARCHIVES AND RECORDS College Park, MD 20740–6001. level as well as their disposition. If ADMINISTRATION Telephone: 301–837–1539. E-mail: NARA staff has prepared an appraisal [email protected]. memorandum for the schedule, it too Records Schedules; Availability and includes information about the records. Request for Comments SUPPLEMENTARY INFORMATION: Each year Further information about the Federal agencies create billions of disposition process is available on AGENCY: National Archives and Records records on paper, film, magnetic tape, request. Administration (NARA). and other media. To control this Schedules Pending: ACTION: Notice of availability of accumulation, agency records managers 1. Department of Agriculture, Grain proposed records schedules; request for prepare schedules proposing retention Inspection, Packers, and Stockyards comments. periods for records and submit these Administration (N1–545–08–24, 6 schedules for NARA’s approval, using items, 4 temporary items). Records of SUMMARY: The National Archives and the Standard Form (SF) 115, Request for the Field Management Division, Records Administration (NARA) Records Disposition Authority. These including program notices, non- publishes notice at least once monthly schedules provide for the timely transfer substantive reports, and case files for of certain Federal agency requests for into the National Archives of revising procedures and standards. records disposition authority (records historically valuable records and Proposed for permanent retention are schedules). Once approved by NARA, authorize the disposal of all other substantive reports, program directives, records schedules provide mandatory records after the agency no longer needs and handbooks containing official instructions on what happens to records them to conduct its business. Some procedures and standards. when no longer needed for current schedules are comprehensive and cover 2. Department of Agriculture, Risk Government business. They authorize all the records of an agency or one of its Management Agency (N1–258–09–11, 2 the preservation of records of major subdivisions. Most schedules, items, 2 temporary items). Master files continuing value in the National however, cover records of only one of electronic information systems Archives of the United States and the office or program or a few series of containing compliance review case files destruction, after a specified period, of records. Many of these update and information used to track fraud, records lacking administrative, legal, previously approved schedules, and waste, and abuse. research, or other value. Notice is some include records proposed as 3. Department of the Army, Agency- published for records schedules in permanent. wide (N1–AU–10–54, 1 item, 1 which agencies propose to destroy The schedules listed in this notice are temporary item). Master files of an records not previously authorized for media neutral unless specified electronic information system used by disposal or reduce the retention period otherwise. An item in a schedule is original equipment manufacturers to of records already authorized for media neutral when the disposition develop interactive electronic technical disposal. NARA invites public instructions may be applied to records manuals for Army and Marine vehicle comments on such records schedules, as regardless of the medium in which the systems, including vehicle system required by 44 U.S.C. 3303a(a). records are created and maintained. troubleshooting, procedural DATES: Requests for copies must be Items included in schedules submitted maintenance, and part repair data. received in writing on or before May 13, to NARA on or after December 17, 2007, 4. Department of the Army, Agency- 2011. Once the appraisal of the records are media neutral unless the item is wide (N1–AU–10–91, 1 item, 1 is completed, NARA will send a copy of limited to a specific medium. (See 36 temporary item). Master files of an the schedule. NARA staff usually CFR 1225.12(e).) electronic information system used to

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manage data of aircraft components, 11. Department of Housing and Urban an electronic system used to track aviation maintenance, usage, and Development, Agency-wide (N1–207– criminal investigations primarily vibratory data. 09–03, 8 items, 8 temporary items). Web relating to visa and passport fraud. If the 5. Department of the Army, Agency- content of agency external and intranet Department of State becomes aware of wide (N1–AU–11–16, 1 item, 1 sites; copies of content posted in social any significant or precedent-setting temporary item). Master files of an media tools; and web management cases that warrant preservation, the electronic information system used by records including design standards, Department will notify NARA and an the National Guard Bureau to budget, reports of site traffic, and links. independent appraisal of these cases track, and report on all financial 12. Department of Housing and Urban will be conducted. matters, including records related to Development (N1–207–10–2, 63 items, 19. Department of the Treasury, contracting services, government 58 temporary items, 5 permanent items). Financial Management Service (N1– purchase card transactions, training Legal records previously approved on 425–09–1, 9 items, 7 temporary items). funds, and travel funds. prior schedules being submitted for Records pertaining to agency debt 6. Department of Army, Agency-wide media neutral status, including collection activities, including routine (N1–AU–11–18, 1 item, 1 temporary delegations of authority, legislative and debt management procedures, item). Master files of an electronic regulatory records, litigation files, legal announcements and fact sheets, information system used by the National opinions, and attorney working files. transaction level collections data for Guard Bureau to identify and develop Proposed for permanent retention are federal servicing programs as well as for programs which automate requirements delegations of authority and several treasury account servicing, routine and not included in standard Army systems, categories of legal opinions, including ad hoc reports and consolidated data, including logistical data on weapons, opinions specifically linked to Public and debt management project and electronic equipment, vehicles, aviation, Housing Authorities or selected as program management records. Proposed and medical equipment. significant by the Office of General for permanent retention are debt 7. Department of the Army, Agency- Counsel. collection policy directives and 13. Department of the Interior, Office wide (N1–AU–11–21, 1 item, 1 decisions as well as significant reports of the Special Trustee for American temporary item). Master files of an on debt collection activities. Indians (N1–75–09–9, 4 items, 1 electronic information system used by 20. National Aeronautics and Space temporary item). Scanned images of the National Guard Bureau to manage Administration, Agency-wide (N1–255– probate case file records maintained for supply, finance, maintenance, man-hour 10–4, 14 items, 12 temporary items). reference. Proposed for permanent accountability, and reports on the Records not required for documenting retention are hard copy probate case maintenance and repair of aircraft, the history of both manned and files and related electronic data. including budget, supply, maintenance, unmanned space flight and routine 14. Department of the Interior, Office administrative records. Proposed for and time and attendance data. of Surface Mining (N1–471–10–5, 2 8. Department of Health and Human permanent retention are programs and items, 1 temporary item). Master files of project records that document the Services, Office of the Secretary (N1– an electronic information system used 468–10–1, 14 items, 11 temporary history of both manned and unmanned to document coal reclamation problems. space flight, including aerospace items). Records of the Departmental Proposed for permanent retention are Appeals Board, including technology research and basic or periodic snapshots of the master files. applied scientific research. administrative correspondence files; 15. Department of Justice, Federal internship program files; judge and Bureau of Investigation (N1–65–11–6, 1 Dated: April 6, 2011. attorney working files; master files of item, 1 temporary item). Records of the Sharon G. Thibodeau, electronic systems containing case Criminal Justice Information Services Deputy Assistant Archivist for Records tracking information and a roster or Division, including documents Services—Washington, DC. mediators; alternative dispute resolution submitted to the FBI in support of [FR Doc. 2011–9103 Filed 4–12–11; 8:45 am] training materials; and board and requests to produce identification BILLING CODE 7515–01–P administrative law judge case files. records. These documents are not Proposed for permanent retention are scanned or included in the management records of the chairman, program database for processing requests. NATIONAL FOUNDATION ON THE correspondence files, and official board 16. Department of Justice, Justice ARTS AND THE HUMANITIES decisions. Management Division (N1–60–11–8, 1 9. Department of Homeland Security, item, 1 temporary item). Legacy video National Endowment for the Arts; Arts U.S. Immigration and Customs recordings and documentation created Advisory Panel Enforcement (N1–567–11–11, 5 items, 5 as a part of routine business functions Pursuant to Section 10(a)(2) of the temporary items). Master files of an or events. Federal Advisory Committee Act (Pub. electronic information system used to 17. Department of Justice, Office of L. 92–463), as amended, notice is hereby generate, log, and track subpoenas, the Inspector General (N1–60–10–17, 10 given that nine meetings of the Arts summonses, and notices of employment items, 4 temporary items). Working files Advisory Panel to the National Council eligibility verification inspections. No and case files of audits, evaluations, and on the Arts will be held at the Nancy evidence is maintained in this system. inspections examining expenditure of Hanks Center, 1100 Pennsylvania 10. Department of Homeland Security, funds within the Department in which Avenue, NW., Washington, DC 20506 as Transportation Security Administration no specific investigation is conducted. follows (ending times are approximate): (N1–560–10–2, 3 items, 3 temporary Proposed for permanent retention are items). Records of the Federal Air internal and external reports, follow-up Literature (application review): May 18–19, Marshal Service training program, 2011 in Room 716. This meeting, from 9 a.m. files, and case files of investigations of to 6:30 p.m. on May 18th and from 9 a.m. to including course assessments, syllabi, significant value. 5 p.m. on May 19th, will be closed. instructor biographies, class requests, 18. Department of State, Bureau of Literature (application review): May 20, rosters, test scores, student awards, and Diplomatic Security (N1–59–09–36, 1 2011 in Room 716. This meeting, from 9 a.m. disciplinary documents. item, 1 temporary item). Master file of to 5:15 p.m., will be closed.

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Design/Our Town (application review): NATIONAL SCIENCE FOUNDATION NATIONAL SCIENCE FOUNDATION May 25–27, 2011 in Room 716. This meeting, from 9 a.m. to 5:30 p.m. on May 25th, from Advisory Panel for Integrative National Science Board; Sunshine Act 9 a.m. to 6 p.m. on May 26th, and from 9:30 Activities; Notice of Meeting Meetings; Notice a.m. to 5 p.m. on May 27th, will be closed. The closed portions of meetings are for the In accordance with the Federal The National Science Board’s purpose of Panel review, discussion, Committee on Programs and Plans (CPP) evaluation, and recommendations on Advisory Committee Act (Pub. L. 92– 463, as amended), the National Science Task Force on Unsolicited Mid-Scale financial assistance under the National Research (MS), pursuant to NSF Foundation announces the following Foundation on the Arts and the Humanities regulations (45 CFR part 614), the meeting: Act of 1965, as amended, including National Science Foundation Act, as information given in confidence to the Name: Committee of Visitors Panel for amended (42 U.S.C. 1862n–5), and the agency. In accordance with the determination the Experimental Program to Stimulate of the Chairman of February 15, 2011, these Government in the Sunshine Act (5 sessions will be closed to the public pursuant Competitive Research Science and U.S.C. 552b), hereby gives notice in to subsection (c)(6) of section 552b of Title Technology Centers (STC) #1373. regard to the scheduling of a 5, United States Code. Dates: May 16, 2011; 6 p.m.–8 p.m. teleconference for the transaction of Any person may observe meetings, or May 17, 2011; 8:30 a.m.–5 p.m. May 18, National Science Board business and portions thereof, of advisory panels that are 2011; 8 a.m.–4 p.m. other matters specified, as follows: open to the public, and if time allows, may DATE AND TIME: April 19, 2011, 11 a.m.– be permitted to participate in the panel’s Place: National Science Foundation, discussions at the discretion of the panel 4201 Wilson Blvd., Arlington, VA 12 p.m. EDT. chairman. If you need any accommodations 22230. SUBJECT MATTER: (1) Summary of the due to a disability, please contact the Office March 31, 2011 National Science Board of AccessAbility, National Endowment for Type of Meeting: Partially Open. (NSB) Mid-Scale Research Task Force the Arts, 1100 Pennsylvania Avenue, NW., Contact Person: Dr. Dragana small discussion group meeting in Washington, DC 20506, 202–682–5532, TDY– Brzakovic, Senior Staff Associate, Office Denver, Colorado; (2) Update on the TDD 202/682–5496, at least seven (7) days of Integrative Activities, National Mid-Scale Research Task Force survey prior to the meeting. Science Foundation, Suite 935, 4201 development; (3) Update and discussion Further information with reference to these Wilson Blvd., Arlington, VA 22230, of the June 5–7 Mid-Scale Research Task meetings can be obtained from Ms. Kathy Plowitz-Worden, Office of Guidelines & (703) 292–8040. Force workshop plans; and, (4) Panel Operations, National Endowment for Purpose of Meeting: To carry out Discussion of the May NSB Mid-Scale the Arts, Washington, DC 20506, or call 202– Committee of Visitors (COV) review, Research Task Force meeting agenda 682–5691. including examination of decisions on STATUS: Open. Dated: April 8, 2010. proposals, reviewer comments, and LOCATION: This meeting will be held by Kathy Plowitz-Worden, other privileged materials. teleconference at the National Science Board Office, National Science Panel Coordinator, Panel Operations, Agenda National Endowment for the Arts. Foundation, 4201Wilson Blvd., [FR Doc. 2011–8825 Filed 4–12–11; 8:45 am] May 16, 2011 Arlington, VA 22230. A room will be available for the public to listen-in to BILLING CODE 7537–01–P 6 p.m.–8 p.m. Open Session; this meeting held by teleconference at Welcome, overview of STC program. Stafford Place I, National Science May 17, 2011 Foundation, 4201Wilson Blvd., NATIONAL SCIENCE FOUNDATION Arlington, VA 22230. All visitors must 8:30 a.m.–5 p.m. Closed Session; contact the Board Office [call 703–292– Committee Management; Renewals Review and Evaluation of Program. 7000 or send an e-mail message to [email protected]] at least 24 The NSF management officials having May 18, 2011 hours prior to the teleconference for the responsibility for the Advisory 8 a.m.–3 p.m. Closed Session; Review, room number and provide name and Committee for International Science and evaluation, and report writing. organizational affiliation. All visitors Engineering, #25104 have determined must report to the NSF visitor desk that renewing this committee for 3 p.m.–4 p.m. Open Session; located in the lobby at the 9th and N. another two years is necessary and in Presentation of report. Stuart Streets entrance on the day of the the public interest in connection with Reason for Closing: Certain sessions of teleconference to receive a visitor’s the performance of duties imposed upon the meeting are closed to the public badge. the Director, National Science because the Committee is reviewing UPDATES AND POINT OF CONTACT: Please Foundation (NSF), by 42 U.S.C. 1861 et proposal actions that will include refer to the National Science Board seq. This determination follows privileged intellectual property and website http://www.nsf.gov/nsb for consultation with the Committee personal information that could harm additional information and schedule Management Secretariat, General individuals if they are disclosed. If updates (time, place, subject matter or Services Administration. discussions were open to the public, status of meeting) may be found at Effective date for renewal is April 15, these matters that are exempt under 5 http://www.nsf.gov/nsb/notices/. Point 2011. For more information, please U.S.C. 552b(c), (4) and (6) of the of contact for this meeting is: Matthew contact Susanne Bolton, NSF, at (703) Government in the Sunshine Act would B. Wilson, National Science Board 292–7488. be improperly disclosed. Office, 4201Wilson Blvd., Arlington, VA Dated: April 8, 2011. Dated: April 8, 2011. 22230. Telephone: (703) 292–7000. Susanne Bolton, Susanne Bolton, Daniel A. Lauretano, Committee Management Officer. Committee Management Officer. Counsel to the National Science Board. [FR Doc. 2011–8905 Filed 4–12–11; 8:45 am] [FR Doc. 2011–8797 Filed 4–12–11; 8:45 am] [FR Doc. 2011–9053 Filed 4–11–11; 11:15 am] BILLING CODE 7555–01–P BILLING CODE 7555–01–P BILLING CODE 7555–01–P

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NATIONAL SCIENCE FOUNDATION lungs are critical to the diving Dates physiology of penguins in at least two Notice of Permit Applications Received ways. First, the respiratory oxygen store September 1, 2011 to December 31, Under the Antarctic Conservation Act is estimated to comprise one-third to 2012. of 1978 (Pub. L. 95–541) one-half the total body O2 stores in Suzanne H. Plimpton, various species. And second, the ratio of AGENCY: National Science Foundation. air sac to lung volume is a potential Management Analyst, National Science Foundation. ACTION: Notice of permit applications mechanism for prevention of pulmonary Received Under the Antarctic barotrauma (‘‘lung squeeze’’). Yet the [FR Doc. 2011–8737 Filed 4–12–11; 8:45 am] Conservation Act of 1978, Public Law volumes of the air sacs and lungs have BILLING CODE 7555–01–P 95–541. never been directly measured in any penguin species. There have only been SUMMARY: The National Science NATIONAL SCIENCE FOUNDATION Foundation (NSF) is required to publish indirect estimates based on simulated notice of permit applications received to dives in pressure chambers or on buoyancy-swim speed calculations Notice of Permit Applications Received conduct activities regulated under the Under the Antarctic Conservation Act Antarctic Conservation Act of 1978. during dives at sea. Therefore, in this research project, air sac and lung NSF has published regulations under AGENCY: National Science Foundation. the Antarctic Conservation Act at Title volumes in emperor penguins 45 part 670 of the Code of Federal (Aptenodytes forsteri), king penguins (A. ACTION: Notice of permit applications Regulations. This is the required notice patagonicus), and Ade´lie penguins received under the Antarctic of permit applications received. (Pygoscelis adeliae) will be measured by Conservation Act of 1978, Public Law 3D reconstructions from computerized DATES: Interested parties are invited to 95–541. tomography (CT) and magnetic submit written data, comments, or resonance imaging (MRI) scans. The views with respect to this permit SUMMARY: The National Science study, to be conducted in collaboration application by May 13, 2011. This Foundation (NSF) is required to give with the University of California San application may be inspected by public notice of permit applications Diego Keck Center for Magnetic received to conduct activities regulated interested parties at the Permit Office, Resonance Imaging, will utilize captive under the Antarctic Conservation Act of address below. birds. Subjects from the latter two 1978. NSF has published regulations ADDRESS: Comments should be species are already available. Most of addressed to Permit Office, Room 755, the captive emperor penguins would be under the Antarctic Conservation Act at Office of Polar Programs, National considered geriatric and at risk for Title 45 part 670 of the Code of Federal Science Foundation, 4201 Wilson anesthesia, therefore emperor penguins Regulations. This is the required notice Boulevard, Arlington, Virginia 22230. will be exported as chicks, and then of permit applications received. FOR FURTHER INFORMATION CONTACT: raised and maintained for the study. DATES: Interested parties are invited to Nadene G. Kennedy at the above The export of 10 chicks will have no submit written data, comments, or address or (703) 292–7405. impact on the Cape Washington colony views with respect to this permit SUPPLEMENTARY INFORMATION: The as emperor penguin chick censuses application by May 13, 2011. This National Science Foundation, as between 1983 and 2005 have been as application may be inspected by directed by the Antarctic Conservation high as 24,000 chicks. interested parties at the Permit Office, Act of 1978 (Pub. L. 95–541), as Given (a) the significance of the address below. amended by the Antarctic Science, volume of the air sacs and lungs in Tourism and Conservation Act of 1996, determination of the magnitude and ADDRESSES: Comments should be has developed regulations for the distribution of total body O2 stores, (b) addressed to Permit Office, Room 755, establishment of a permit system for the lack of verification of indirect Office of Polar Programs, National various activities in Antarctica and estimates of diving air volume in Science Foundation, 4201 Wilson designation of certain animals and penguins, (c) the possibility of air Boulevard, Arlington, Virginia 22230. certain geographic areas requiring exhalation during many dives of FOR FURTHER INFORMATION CONTACT: special protection. The regulations penguins, and (d) the limited data used Nadene G. Kennedy at the above establish such a permit system to to construct allometric equations to address or (703) 292–7405. designate Antarctic Specially Protected predict air sac/lung volume on the basis Areas. of body mass, it is imperative to obtain SUPPLEMENTARY INFORMATION: The The applications received are as direct measures of air sac and lung National Science Foundation, as follows: volumes in emperor penguins, king directed by the Antarctic Conservation penguins, and Ade´lie penguins. Such Permit Application No. 2012–001 Act of 1978 (Pub. L. 95–541), as direct measurements would provide the amended by the Antarctic Science, 1. Applicant: Paul Ponganis, Center for maximum available respiratory volume Tourism and Conservation Act of 1996, Marine Biotechnology and for O2 store calculations and allow has developed regulations for the Biomedicine, Scripps Institution of better evaluation and interpretation of establishment of a permit system for Oceanography, University of data obtained with indirect techniques various activities in Antarctica and California, San Diego, La Jolla, CA at sea for the three species. This is designation of certain animals and 92093–0204. especially important for emperor certain geographic areas as requiring penguins, as it is the species in which Activity for Which Permit Is Requested special protection. The regulations the most detailed diving physiology establish such a permit system to Take and Import into the U.S.A. The studies are available. applicant plans to capture up to 10 designate Antarctic Specially Protected fledgling emperor chicks for research Location Areas. studies at University of California, San Cape Washington, Terra Nova Bay, The applications received are as Diego. The volume of the air sacs and Victoria Land. follows:

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1. Applicant Paul Ponganis, Permit penguins, and Ade´lie penguins. Such II. Further Information Center for Marine Bio- Application direct measurements would provide the I technology and Biomedi- No. 2012– maximum available respiratory volume cine, Scripps Institution of 001 for O2 store calculations and allow NRC has issued a general license to Oceanography, University of better evaluation and interpretation off Indiana Michigan Power Company California, San Diego, La data obtained with indirect techniques (I&M), authorizing the operation of an Jolla, CA 92093–0204.. at sea for the three species. This is ISFSI, in accordance with the Atomic especially important for emperor Energy Act of 1954, as amended, and Activity for Which Permit Is Requested penguins, as it is the species in which Title 10 of the Code of Federal Take and Import into the U.S.A. The the most detailed diving physiology Regulations (10 CFR) part 72. This applicant plans to capture up to 10 studies are available. Order is being issued to I&M because it has identified near-term plans to store fledgling Emperor chicks for research Location studies at University of California, San spent fuel in an ISFSI under the general Diego. The volume of the air sacs and Cape Washington, Terra Nova Bay, license provisions of 10 CFR part 72. lungs are critical to the diving Victoria Land. The Commission’s regulations at 10 CFR physiology of penguins in at least two 72.212(b)(5), 10 CFR 50.54(p)(1), and 10 Dates ways. First, the respiratory oxygen store CFR 73.55(c)(5) require licensees to is estimated to comprise one-third to September 1, 2011 to December 31, maintain safeguards contingency plan one-half the total body O2 stores in 2012. procedures to respond to threats of various species. And second, the ratio of radiological sabotage and to protect the air sac to lung volume is a potential Nadene G. Kennedy, spent fuel against the threat of mechanism for prevention of pulmonary Permit Officer, Office of Polar Programs. radiological sabotage, in accordance barotrauma (‘‘lung squeeze’’). Yet the [FR Doc. 2011–8772 Filed 4–12–11; 8:45 am] with 10 CFR part 73, Appendix C. volumes of the air sacs and lungs have BILLING CODE 7555–01–M Specific physical security requirements never been directly measured in any are contained in 10 CFR 73.51 or 73.55, penguin species. There have only been as applicable. indirect estimates based on simulated Inasmuch as an insider has an dives in pressure chambers or on NUCLEAR REGULATORY opportunity equal to, or greater than, buoyancy-swim speed calculations COMMISSION any other person, to commit radiological during dives at sea. Therefore, in this sabotage, the Commission has research project, air sac and lung [Docket No. 72–72; NRC–2011–0079; EA– determined these measures to be volumes in emperor penguins 11–039] prudent. Comparable Orders have been (Aptenodytes forsteri), king penguins (A. issued to all licensees that currently patagonicus), and Ade´lie penguins In the Matter of Indiana Michigan store spent fuel or have identified near- (Pygoscelis adeliae) will be measured by Power Company; DC Cook Nuclear term plans to store spent fuel in an 3D reconstructions from computerized Plant Independent Spent Fuel ISFSI. tomography (CT) and magnetic Installation; Order Modifying License II resonance imaging (MRI) scans. The (Effective Immediately) study, to be conducted in collaboration On September 11, 2001, terrorists AGENCY: with the University of California San Nuclear Regulatory simultaneously attacked targets in New Diego Keck Center for Magnetic Commission. York, NY, and Washington, DC, using Resonance Imaging, will utilize captive ACTION: Issuance of Order for large commercial aircraft as weapons. In birds. Subjects from the latter two Implementation of Additional Security response to the attacks and intelligence species are already available. Most of Measures and Fingerprinting for information subsequently obtained, the the captive emperor penguins would be Unescorted Access to Indiana Michigan Commission issued a number of considered geriatric and at risk for Power Company. Safeguards and Threat Advisories to its anesthesia, therefore emperor penguins licensees to strengthen licensees’ will be exported as chicks, and then FOR FURTHER INFORMATION CONTACT: L. capabilities and readiness to respond to raised and maintained for the study. Raynard Wharton, Senior Project a potential attack on a nuclear facility. The export of 10 chicks will have no Manager, Licensing and Inspection On October 16, 2002, the Commission impact on the Cape Washington colony Directorate, Division of Spent Fuel issued Orders to the licensees of as emperor penguin chick censuses Storage and Transportation, Office of operating ISFSIs, to place the actions between 1983 and 2005 have been as Nuclear Material Safety and Safeguards, taken in response to the Advisories into high as 24,000 chicks. U.S. Nuclear Regulatory Commission the established regulatory framework Given (a) the significance of the (NRC), Rockville, MD 20852. Telephone: and to implement additional security volume of the air sacs and lungs in 301–492–3316; fax number: 301–492– enhancements that emerged from NRC’s determination of the magnitude and 3348; e-mail: ongoing comprehensive review. The distribution of total body O2 stores, (b) [email protected]. Commission has also communicated the lack of verification of indirect with other Federal, State, and local estimates of diving air volume in SUPPLEMENTARY INFORMATION: government agencies and industry penguins, (c) the possibility of air I. Introduction representatives to discuss and evaluate exhalation during many dives of the current threat environment in order penguins, and d) the limited data used Pursuant to 10 CFR 2.106, the NRC (or to assess the adequacy of security to construct allometric equations to the Commission) is providing notice, in measures at licensed facilities. In predict air sac/lung volume on the basis the matter of DC Cook Nuclear Plant addition, the Commission has of body mass, it is imperative to obtain Independent Spent Fuel Storage conducted a comprehensive review of direct measures of air sac and lung Installation (ISFSI) Order Modifying its safeguards and security programs volumes in emperor penguins, king License (Effective Immediately). and requirements.

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As a result of its consideration of Commission’s regulations in 10 CFR 2. I&M shall report to the Commission current safeguards and security 2.202 and 10 CFR Parts 50, 72, and 73, when it has achieved full compliance requirements, as well as a review of it is hereby ordered, effective with the requirements described in information provided by the intelligence immediately, that your general license is Attachments 1 and 2. community, the Commission has modified as follows: D. All measures implemented or determined that certain additional A. I&M shall comply with the actions taken in response to this Order security measures (ASMs) are required requirements described in Attachments shall be maintained until the to address the current threat 1 and 2 to this Order, except to the Commission determines otherwise. environment, in a consistent manner extent that a more stringent requirement I&M’s response to Conditions B.1, B.2, throughout the nuclear ISFSI is set forth in the Waterford Steam C.1, and C.2, above, shall be submitted community. Therefore, the Commission Electric Station’s physical security plan. in accordance with 10 CFR 72.4. In is imposing requirements, as set forth in I&M shall demonstrate its ability to addition, submittals and documents Attachments 1 and 2 of this Order, on comply with the requirements in produced by I&M as a result of this all licensees of these facilities. These Attachments 1 and 2 to the Order no order, that contain Safeguards requirements, which supplement later than 365 days from the date of this Information as defined by 10 CFR 73.22, existing regulatory requirements, will Order or 90 days before the first day that shall be properly marked and handled, provide the Commission with spent fuel is initially placed in the in accordance with 10 CFR 73.21 and reasonable assurance that the public ISFSI, whichever is earlier. I&M must 73.22. health and safety, the environment, and implement these requirements before The Director, Office of Nuclear Material Safety and Safeguards, may, in common defense and security continue initially placing spent fuel in the ISFSI. writing, relax or rescind any of the to be adequately protected in the current Additionally, I&M must receive written above conditions, for good cause. threat environment. These requirements verification from the NRC that it has will remain in effect until the adequately demonstrated compliance IV Commission determines otherwise. with these requirements before initially In accordance with 10 CFR 2.202, I&M The Commission recognizes that placing spent fuel in the ISFSI. licensees may have already initiated must, and any other person adversely B. 1. I&M shall, within twenty (20) affected by this Order may, submit an many of the measures set forth in days of the date of this Order, notify the Attachments 1 and 2 to this Order, in answer to this Order within 20 days of Commission: (1) If it is unable to its publication in the Federal Register. response to previously issued comply with any of the requirements Advisories, or on their own. It also In addition, I&M and any other person described in Attachments 1 and 2; (2) if recognizes that some measures may not adversely affected by this Order may compliance with any of the be possible or necessary at some sites, request a hearing on this Order within requirements is unnecessary, in its or may need to be tailored to 20 days of its publication in the Federal specific circumstances; or (3) if accommodate the specific Register. Where good cause is shown, implementation of any of the circumstances existing at I&M’s facility, consideration will be given to extending requirements would cause I&M to be in to achieve the intended objectives and the time to answer or request a hearing. violation of the provisions of any avoid any unforeseen effect on the safe A request for extension of time must be Commission regulation or the facility storage of spent fuel. made, in writing, to the Director, Office Although the ASMs implemented by license. The notification shall provide of Nuclear Material Safety and licensees in response to the Safeguards I&M’s justification for seeking relief Safeguards, U.S. Nuclear Regulatory and Threat Advisories have been from, or variation of, any specific Commission, Washington, DC 20555– sufficient to provide reasonable requirement. 0001, and include a statement of good assurance of adequate protection of 2. If I&M considers that cause for the extension. public health and safety, in light of the implementation of any of the The answer may consent to this continuing threat environment, the requirements described in Attachments Order. If the answer includes a request Commission concludes that these 1 and 2 to this Order would adversely for a hearing, it shall, under oath or actions must be embodied in an Order, impact the safe storage of spent fuel, affirmation, specifically set forth the consistent with the established I&M must notify the Commission, matters of fact and law on which I&M regulatory framework. within twenty (20) days of this Order, of relies and the reasons as to why the To provide assurance that licensees the adverse safety impact, the basis for Order should not have been issued. If a are implementing prudent measures to its determination that the requirement person other than I&M requests a achieve a consistent level of protection has an adverse safety impact, and either hearing, that person shall set forth with to address the current threat a proposal for achieving the same particularity the manner in which his/ environment, licenses issued pursuant objectives specified in Attachments 1 her interest is adversely affected by this to 10 CFR 72.210 shall be modified to and 2 requirements in question, or a Order and shall address the criteria set include the requirements identified in schedule for modifying the facility, to forth in 10 CFR 2.309(d). Attachments 1 and 2 to this Order. In address the adverse safety condition. If All documents filed in NRC addition, pursuant to 10 CFR 2.202, I neither approach is appropriate, I&M adjudicatory proceedings, including a find that, in light of the common must supplement its response, to request for hearing, a petition for leave defense and security circumstances Condition B.1 of this Order, to identify to intervene, any motion or other described above, the public health, the condition as a requirement with document filed in the proceeding prior safety, and interest require that this which it cannot comply, with attendant to the submission of a request for Order be effective immediately. justifications, as required under hearing or petition to intervene, and Condition B.1. documents filed by interested III C. 1. I&M shall, within twenty (20) governmental entities participating Accordingly, pursuant to Sections 53, days of this Order, submit to the under 10 CFR 2.315(c), must be filed in 103, 104, 147, 149, 161b, 161i, 161o, Commission, a schedule for achieving accordance with the NRC 182, and 186 of the Atomic Energy Act compliance with each requirement E-Filing rule (72 FR 49139, August 28, of 1954, as amended, and the described in Attachments 1 and 2. 2007). The

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E-Filing process requires participants to been created, the participant can then responsible for serving the document on submit and serve all adjudicatory submit a request for hearing or petition all other participants. Filing is documents over the internet, or in some for leave to intervene. Submissions considered complete by first-class mail cases to mail copies on electronic should be in Portable Document Format as of the time of deposit in the mail, or storage media. Participants may not (PDF) in accordance with NRC guidance by courier, express mail, or expedited submit paper copies of their filings available on the NRC public Web site at delivery service upon depositing the unless they seek an exemption in http://www.nrc.gov/site-help/e- document with the provider of the accordance with the procedures submittals.html. A filing is considered service. A presiding officer, having described below. complete at the time the documents are granted an exemption request from To comply with the procedural submitted through the NRC’s E-Filing using E-Filing, may require a participant requirements of E-Filing, at least ten system. To be timely, an electronic or party to use (10) days prior to the filing deadline, the filing must be submitted to the E-Filing E-Filing if the presiding officer participant should contact the Office of system no later than 11:59 p.m. Eastern subsequently determines that the reason the Secretary by e-mail at Time on the due date. Upon receipt of for granting the exemption from use of [email protected], or by telephone a transmission, the E-Filing system E-Filing no longer exists. at 301–415–1677, to request (1) a digital time-stamps the document and sends Documents submitted in adjudicatory identification (ID) certificate, which the submitter an e-mail notice proceedings will appear in NRC’s allows the participant (or its counsel or confirming receipt of the document. The electronic hearing docket which is representative) to digitally sign E-Filing system also distributes an e- available to the public at http:// documents and access the E-Submittal mail notice that provides access to the ehd1.nrc.gov/EHD/, unless excluded server for any proceeding in which it is document to the NRC Office of the pursuant to an order of the Commission, participating; and (2) advise the General Counsel and any others who or the presiding officer. Participants are Secretary that the participant will be have advised the Office of the Secretary requested not to include personal submitting a request or petition for that they wish to participate in the privacy information, such as social hearing (even in instances in which the proceeding, so that the filer need not security numbers, home addresses, or participant, or its counsel or serve the documents on those home phone numbers in their filings, representative, already holds an NRC- participants separately. Therefore, unless an NRC regulation or other law issued digital ID certificate). Based upon applicants and other participants (or requires submission of such this information, the Secretary will their counsel or representative) must information. With respect to establish an electronic docket for the apply for and receive a digital ID copyrighted works, except for limited hearing in this proceeding if the certificate before a hearing request/ excerpts that serve the purpose of the Secretary has not already established an petition to intervene is filed so that they adjudicatory filings and would electronic docket. can obtain access to the document via constitute a Fair Use application, Information about applying for a the E-Filing system. participants are requested not to include digital ID certificate is available on A person filing electronically using copyrighted materials in their NRC’s public Web site at http:// the agency’s adjudicatory E-Filing submission. www.nrc.gov/site-help/e-submittals/ system may seek assistance by If a hearing is requested by I&M or a apply-certificates.html. System contacting the NRC Meta System Help person whose interest is adversely requirements for accessing the E- Desk through the ‘‘Contact Us’’ link Submittal server are detailed in NRC’s located on the NRC Web site at http:// affected, the Commission will issue an ‘‘Guidance for Electronic Submission,’’ www.nrc.gov/site-help/ Order designating the time and place of which is available on the agency’s e-submittals.html, by e-mail at any hearing. If a hearing is held, the public Web site at http://www.nrc.gov/ [email protected], or by a toll- issue to be considered at such hearing site-help/e-submittals.html. Participants free call at 1–866–672–7640. The NRC shall be whether this Order should be may attempt to use other software not Meta System Help Desk is available sustained. listed on the Web site, but should note between 8 a.m. and 8 p.m., Eastern Pursuant to 10 CFR 2.202(c)(2)(i), I&M that the NRC’s E-Filing system does not Time, Monday through Friday, may, in addition to requesting a hearing, support unlisted software, and the NRC excluding government holidays. at the time the answer is filed or sooner, Meta System Help Desk will not be able Participants who believe that they move the presiding officer to set aside to offer assistance in using unlisted have a good cause for not submitting the immediate effectiveness of the Order software. documents electronically must file an on the grounds that the Order, including If a participant is electronically exemption request, in accordance with the need for immediate effectiveness, is submitting a document to the NRC in 10 CFR 2.302(g), with their initial paper not based on adequate evidence, but on accordance with the E-Filing rule, the filing requesting authorization to mere suspicion, unfounded allegations, participant must file the document continue to submit documents in paper or error. using the NRC’s online, Web-based format. Such filings must be submitted In the absence of any request for submission form. In order to serve by: (1) First class mail addressed to the hearing, or written approval of an documents through the Electronic Office of the Secretary of the extension of time in which to request a Information Exchange System, users Commission, U.S. Nuclear Regulatory hearing, the provisions as specified in will be required to install a Web Commission, Washington, DC 20555– Section III shall be final twenty (20) browser plug-in from the NRC Web site. 0001, Attention: Rulemaking and days from the date this Order is Further information on the Web-based Adjudications Staff; or (2) courier, published in the Federal Register, submission form, including the express mail, or expedited delivery without further Order or proceedings. If installation of the Web browser plug-in, service to the Office of the Secretary, an extension of time for requesting a is available on the NRC’s public Web Sixteenth Floor, One White Flint North, hearing has been approved, the site at http://www.nrc.gov/site-help/ 11555 Rockville Pike, Rockville, provisions as specified in Section III, e-submittals.html. Maryland 20852, Attention: Rulemaking shall be final when the extension Once a participant has obtained a and Adjudications Staff. Participants expires, if a hearing request has not digital ID certificate and a docket has filing a document in this manner are been received. An answer or a request

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for hearing shall not stay the immediate must address at least the past 3 years The scope of the applicant’s local effectiveness of this order. and, as a minimum, must include: criminal history check shall cover all Dated at Rockville, Maryland, this 6th day i. Fingerprinting and a Federal Bureau residences of record for the past 3 years of April 2011. of Investigation (FBI) identification and from the date of the application for criminal history records check (CHRC). unescorted access. For the Nuclear Regulatory Commission. Where an applicant for unescorted 2. The licensee shall use any Catherine Haney, access has been previously fingerprinted information obtained as part of a CHRC Director, Office of Nuclear Material Safety with a favorably completed CHRC, (such solely for the purpose of determining an and Safeguards. as a CHRC pursuant to compliance with individual’s suitability for unescorted Attachment 1—Additional Security orders for access to safeguards access to the protected area of an ISFSI. Measures (ASMs) for Physical information) the licensee may accept the 3. The licensee shall document the Protection of Dry Independent Spent results of that CHRC, and need not basis for its determination for granting Fuel Storage Installations (ISFSIs) submit another set of fingerprints, or denying access to the protected area Contains Safeguards Information and Is provided the CHRC was completed not of an ISFSI. Not Included in the Federal Register more than 3 years from the date of the 4. The licensee shall develop, Notice application for unescorted access. implement, and maintain procedures for ii. Verification of employment with updating background investigations for Attachment 2—Additional Security each previous employer for the most persons who are applying for Measures for Access Authorization and recent year from the date of application. reinstatement of unescorted access. Fingerprinting at Independent Spent iii. Verification of employment with Licensees need not conduct an Fuel Storage Installations, Dated June an employer of the longest duration independent reinvestigation for 3, 2010 during any calendar month for the individuals who possess active ‘‘Q’’ or A. General Basis Criteria remaining next most recent 2 years. ‘‘L’’ clearances or possess another active iv. A full credit history review. U.S. Government granted security 1. These additional security measures v. An interview with not less than two clearance, i.e., Top Secret, Secret or (ASMs) are established to delineate an character references, developed by the Confidential. independent spent fuel storage investigator. 5. The licensee shall develop, installation (ISFSI) licensee’s vi. A review of official identification implement, and maintain procedures for responsibility to enhance security (e.g., driver’s license; passport; reinvestigations of persons granted measures related to authorization for government identification; state-, unescorted access, at intervals not to unescorted access to the protected area province-, or country-of-birth issued exceed 5 years. Licensees need not of an ISFSI in response to the current certificate of birth) to allow comparison conduct an independent reinvestigation threat environment. of personal information data provided for individuals employed at a facility 2. Licensees whose ISFSI is collocated by the applicant. The licensee shall who possess active ‘‘Q’’ or ‘‘L’’ clearances with a power reactor may choose to maintain a photocopy of the identifying or possess another active U.S. comply with the U.S. Nuclear document(s) on file, in accordance with Government granted security clearance, Regulatory Commission (NRC)-approved ‘‘Protection of Information,’’ in Section G i.e., Top Secret, Secret or Confidential. reactor access authorization program for of these ASMs. 6. The licensee shall develop, the associated reactor as an alternative vii. Licensees shall confirm eligibility implement, and maintain procedures means to satisfy the provisions of for employment through the regulations designed to ensure that persons who sections B through G below. Otherwise, of the U.S. Department of Homeland have been denied unescorted access licensees shall comply with the access Security, U.S. Citizenship and authorization to the facility are not authorization and fingerprinting Immigration Services, and shall verify allowed access to the facility, even requirements of section B through G of and ensure, to the extent possible, the under escort. these ASMs. accuracy of the provided social security 7. The licensee shall develop, 3. Licensees shall clearly distinguish number and alien registration number, implement, and maintain an audit in their 20-day response which method as applicable. program for licensee and contractor/ they intend to use in order to comply b. The procedures developed or vendor access authorization programs with these ASMs. enhanced shall include measures for that evaluate all program elements and B. Additional Security Measures for confirming the term, duration, and include a person knowledgeable and Access Authorization Program character of military service for the past practiced in access authorization 3 years, and/or academic enrollment program performance objectives to assist 1. The licensee shall develop, and attendance in lieu of employment, in the overall assessment of the site’s implement and maintain a program, or for the past 5 years. program effectiveness. enhance its existing program, designed c. Licensees need not conduct an to ensure that persons granted independent investigation for C. Fingerprinting Program Requirements unescorted access to the protected area individuals employed at a facility who 1. In a letter to the NRC, the licensee of an ISFSI are trustworthy and reliable possess active ‘‘Q’’ or ‘‘L’’ clearances or must nominate an individual who will and do not constitute an unreasonable possess another active U.S. review the results of the FBI CHRCs to risk to the public health and safety for Government-granted security clearance make trustworthiness and reliability the common defense and security, (i.e., Top Secret, Secret, or determinations for unescorted access to including a potential to commit Confidential). an ISFSI. This individual, referred to as radiological sabotage. d. A review of the applicant’s the ‘‘reviewing official,’’ must be a. To establish trustworthiness and criminal history, obtained from local someone who requires unescorted reliability, the licensee shall develop, criminal justice resources, may be access to the ISFSI. The NRC will implement, and maintain procedures for included in addition to the FBI CHRC, review the CHRC of any individual conducting and completing background and is encouraged if the results of the nominated to perform the reviewing investigations, prior to granting access. FBI CHRC, employment check, or credit official function. Based on the results of The scope of background investigations check disclose derogatory information. the CHRC, the NRC staff will determine

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whether this individual may have from the date the individual no longer they will be treated as initial submittals access. If the NRC determines that the requires access to the facility. and will require a second payment of nominee may not be granted such the processing fee. D. Prohibitions access, that individual will be 3. Fees for processing fingerprint prohibited from obtaining access.1 Once 1. A licensee shall not base a final checks are due upon application. The the NRC approves a reviewing official, determination to deny an individual licensee shall submit payment of the the reviewing official is the only unescorted access to the protected area processing fees electronically. To be individual permitted to make access of an ISFSI solely on the basis of able to submit secure electronic determinations for other individuals information received from the FBI payments, licensees will need to who have been identified by the involving: an arrest more than 1 year old establish an account with Pay.Gov licensee as having the need for for which there is no information of the (https://www.pay.gov). To request an unescorted access to the ISFSI, and have disposition of the case, or an arrest that account, the licensee shall send an been fingerprinted and have had a resulted in dismissal of the charge, or an e-mail to [email protected]. The e-mail must CHRC in accordance with these ASMs. acquittal. include the licensee’s company name, The reviewing official can only make 2. A licensee shall not use address, point of contact (POC), POC access determinations for other information received from a CHRC e-mail address, and phone number. The individuals, and therefore cannot obtained pursuant to this Order in a NRC will forward the request to approve other individuals to act as manner that would infringe upon the Pay.Gov; who will contact the licensee reviewing officials. Only the NRC can rights of any individual under the First with a password and user lD. Once the approve a reviewing official. Therefore, Amendment to the Constitution of the licensee has established an account and if the licensee wishes to have a new or United States, nor shall the licensee use submitted payment to Pay.Gov, they the information in any way that would additional reviewing official, the NRC shall obtain a receipt. The licensee shall discriminate among individuals on the must approve that individual before he submit the receipt from Pay.Gov to the basis of race, religion, national origin, or she can act in the capacity of a NRC along with fingerprint cards. For sex, or age. reviewing official. additional guidance on making electronic payments, contact the 2. No person may have access to E. Procedures for Processing Fingerprint Facilities Security Branch, Division of Safeguards Information (SGI) or Checks Facilities and Security, at 301–492– unescorted access to any facility subject 1. For the purpose of complying with 3531. Combined payment for multiple to NRC regulation, if the NRC has this Order, licensees shall, using an applications is acceptable. The determined, in accordance with its appropriate method listed in 10 CFR application fee (currently $26) is the administrative review process based on 73.4, submit to the NRC’s Division of sum of the user fee charged by the FBI fingerprinting and an FBI identification Facilities and Security, Mail Stop TWB– for each fingerprint card or other and CHRC, that the person may not have 05B32M, one completed, legible fingerprint record submitted by the NRC access to SGI or unescorted access to standard fingerprint card (Form FD–258, on behalf of a licensee, and an NRC any facility subject to NRC regulation. ORIMDNRCOOOZ) or, where processing fee, which covers 3. All fingerprints obtained by the practicable, other fingerprint records for administrative costs associated with licensee under this Order, must be each individual seeking unescorted NRC handling of licensee fingerprint submitted to the Commission for access to an ISFSI, to the Director of the submissions. The Commission will transmission to the FBI. Division of Facilities and Security, directly notify licensees who are subject 4. The licensee shall notify each marked for the attention of the to this regulation of any fee changes. affected individual that the fingerprints Division’s Criminal History Check 4. The Commission will forward to will be used to conduct a review of his/ Section. Copies of these forms may be the submitting licensee all data received her criminal history record and inform obtained by writing the Office of from the FBI as a result of the licensee’s the individual of the procedures for Information Services, U.S. Nuclear application(s) for CHRCs, including the revising the record or including an Regulatory Commission, Washington, FBI fingerprint record. DC 20555–0001, by calling 301–415– explanation in the record, as specified F. Right to Correct and Complete ‘‘ 5877, or by e-mail to [email protected]. in the Right to Correct and Complete Information Information,’’ in section F of these Practicable alternative formats are set ASMs. forth in 10 CFR 73.4. The licensee shall 1. Prior to any final adverse 5. Fingerprints need not be taken if establish procedures to ensure that the determination, the licensee shall make the employed individual (e.g., a licensee quality of the fingerprints taken results available to the individual the contents employee, contractor, manufacturer, or in minimizing the rejection rate of of any criminal history records obtained supplier) is relieved from the fingerprint cards because of illegible or from the FBI for the purpose of assuring fingerprinting requirement by 10 CFR incomplete cards. correct and complete information. 2. The NRC will review submitted 73.61, has a favorably adjudicated U.S. Written confirmation by the individual fingerprint cards for completeness. Any Government CHRC within the last 5 of receipt of this notification must be Form FD–258 fingerprint record years, or has an active Federal security maintained by the licensee for a period containing omissions or evident errors clearance. Written confirmation from of one 1 year from the date of will be returned to the licensee for the Agency/employer who granted the notification. corrections. The fee for processing 2. If, after reviewing the record, an Federal security clearance or reviewed fingerprint checks includes one re- individual believes that it is incorrect or the CHRC must be provided to the submission if the initial submission is incomplete in any respect and wishes to licensee. The licensee must retain this returned by the FBI because the change, correct, or update the alleged documentation for a period of 3 years fingerprint impressions cannot be deficiency, or to explain any matter in classified. The one free re-submission the record, the individual may initiate 1 The NRC’s determination of this individual’s challenge procedures. These procedures unescorted access to the ISFSI, in accordance with must have the FBI Transaction Control the process, is an administrative determination that Number reflected on the re-submission. include either direct application by the is outside the scope of the Order. If additional submissions are necessary, individual challenging the record to the

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agency (i.e., law enforcement agency) 4. The personal information obtained Secretary of the Commission and that contributed the questioned on an individual from a CHRC may be serving NLIC with a copy of the request, information, or direct challenge as to the transferred to another licensee if the personally or by mail. Hearing requests accuracy or completeness of any entry gaining licensee receives the must be received by the Commission by on the criminal history record to the individual’s written request to re- 5:30 p.m. on April 28, 2011, and should Assistant Director, Federal Bureau of disseminate the information contained be accompanied by proof of service on Investigation Identification Division, in his/her file, and the gaining licensee NLIC in the form of an affidavit or, for Washington, DC 20537–9700 (as set verifies information such as the lawyers, a certificate of service. Hearing forth in 28 CFR 16.30 through 16.34). In individual’s name, date of birth, social requests should state the nature of the the latter case, the FBI forwards the security number, sex, and other requester’s interest, the reason for the challenge to the agency that submitted applicable physical characteristics for request, and the issues contested. the data and requests that agency to identification purposes. Persons who wish to be notified of a verify or correct the challenged entry. 5. The licensee shall make criminal hearing may request notification by Upon receipt of an official history records, obtained under this writing to the Secretary of the communication directly from the agency section, available for examination by an Commission. that contributed the original authorized representative of the NRC to ADDRESSES: Secretary, Securities and information, the FBI Identification determine compliance with the Exchange Commission, 100 F Street, Division makes any changes necessary regulations and laws. NE., Washington, DC 20549–1090. in accordance with the information [FR Doc. 2011–9007 Filed 4–12–11; 8:45 am] Applicants, c/o Lisa F. Muller, Counsel, supplied by that agency. The licensee BILLING CODE 7590–01–P National Life Insurance Company, must provide at least 10 days for an National Life Drive, Montpelier, individual to initiate an action Vermont 05604. challenging the results of a FBI CHRC SECURITIES AND EXCHANGE FOR FURTHER INFORMATION CONTACT: after the record is made available for COMMISSION Craig Ruckman, Attorney-Adviser, at his/her review. The licensee may make (202) 551–6753 or Michael Kosoff, a final access determination based on [Release No. IC–29627; File No. 812–13806] Branch Chief, Office of Insurance the criminal history record only upon National Life Insurance Company, et al. Products, Division of Investment receipt of the FBI’s ultimate Management, at (202) 551–6754. confirmation or correction of the record. April 7, 2011. SUPPLEMENTARY INFORMATION: The Upon a final adverse determination on AGENCY: Securities and Exchange following is a summary of the access to an ISFSI, the licensee shall Commission (‘‘Commission’’). application. The complete application provide the individual its documented may be obtained via the Commission’s basis for denial. Access to an ISFSI shall ACTION: Notice of application for an Web site by searching for the file not be granted to an individual during order pursuant to Section 26(c) of the number, or an applicant using the the review process. Investment Company Act of 1940 (the ‘‘1940 Act’’). Company name box, at http:// G. Protection of Information www.sec.gov/search/search.htm or by calling (202) 551–8090. 1. The licensee shall develop, APPLICANTS: National Life Insurance implement, and maintain a system for Company (‘‘NLIC’’), National Variable Applicants’ Representations Annuity Account II (‘‘Annuity personnel information management 1. NLIC is a stock life insurance with appropriate procedures for the Account’’), National Variable Life Insurance Account (‘‘Life Account’’, and company, all the outstanding stock of protection of personal, confidential which is indirectly owned by National information. This system shall be together with Annuity Account, ‘‘Separate Accounts’’). Life Holding Company, a mutual designed to prohibit unauthorized insurance holding company established SUMMARY OF APPLICATION: Applicants access to sensitive information and to under Vermont law on January 1, 1999. request an order of the Commission prohibit modification of the information NLIC is authorized to transact life pursuant to Section 26(c) of 1940 Act, without authorization. insurance and annuity business in as amended, approving the substitution 2. Each licensee who obtains a Vermont and in 50 other jurisdictions. of shares of the Money Market Portfolio criminal history record on an individual For purposes of the 1940 Act, NLIC is (the ‘‘Replacement Portfolio’’) of the pursuant to this Order shall establish the depositor and sponsor of the Variable Insurance Products Fund V and maintain a system of files and Annuity Account and the Life Account (‘‘VIPFV’’) for shares of the Money procedures, for protecting the record as those terms have been interpreted by Market Fund (the ‘‘Substituted and the personal information from the Commission with respect to variable Portfolio’’) of the Sentinel Variable unauthorized disclosure. life insurance and variable annuity Products Trust (‘‘SVPT’’) held by the 3. The licensee may not disclose the separate accounts. record or personal information collected Separate Accounts to support variable 2. Under Vermont law, the assets of and maintained to persons other than annuity contracts or variable life each Separate Account attributable to the subject individual, his/her insurance contracts (collectively, the the Contracts through which interests in representative, or to those who have a ‘‘Contracts’’) issued by NLIC. that Separate Account are issued are need to access the information in FILING DATE: The application was owned by NLIC but are held separately performing assigned duties in the originally filed on July 26, 2010 and from all other assets of NLIC for the process of determining suitability for amended on December 13, 2010, and benefit of the owners of, and the persons unescorted access to the protected area March 28, 2011. entitled to payment under, those of an ISFSI. No individual authorized to HEARING OR NOTIFICATION OF HEARING: Contracts. Consequently, the assets in have access to the information may re- An order granting the application will each Separate Account equal to the disseminate the information to any be issued unless the Commission orders reserves and other contract liabilities of other individual who does not have the a hearing. Interested persons may the Separate Account are not chargeable appropriate need to know. request a hearing by writing to the with liabilities arising out of any other

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business that NLIC may conduct. registered investment adviser. Sentinel rebalancing features, or the initial Income, gains and losses, realized or is an indirect wholly-owned subsidiary reallocation from a money market unrealized, from assets allocated to each of National Life Holding Company and subaccount do not count as transfers for Separate Account are credited to or therefore is under common control with the purpose of determining the transfer charged against that Separate Account NLIC. charge. without regard to the other income, 7. VIPFV is registered under the 1940 10. Pursuant to each Contract, NLIC gains or losses of NLIC. Each Separate Act as a diversified, open-end 3 reserves the right to substitute shares of Account is a ‘‘separate account’’ as management investment company. one portfolio for shares of another. Each defined by Rule 0–1(e) under the 1940 Currently, VIPFV has 31 investment Contract’s prospectus discloses that Act, and is registered with the portfolios, one of which—the NLIC reserves the right to substitute 1 Commission as a unit investment trust. Replacement Portfolio—would be shares of one portfolio for shares of 3. The Annuity Account is divided involved in the proposed Substitution. another if the shares of the portfolio into sixty-four subaccounts. Each VIPFV issues a separate series of shares should no longer be available for subaccount invests exclusively in shares of beneficial interest in connection with investment or, if in NLIC’s judgment of a corresponding investment portfolio each portfolio and has registered such further investment in such portfolio (a ‘‘Portfolio’’) of one of fifteen series- shares under the 1933 Act on Form N– shares should become inappropriate. type management investment 1A (File No. 33–17704). companies, including the SVPT. The 8. Fidelity Management & Research 11. NLIC proposes to substitute assets of the Annuity Account support Company (‘‘FMR’’) serves as the manager Service Class Shares of the Money variable annuity contracts, and interests of each portfolio of VIPFV. As the Market Portfolio of the Variable in the Separate Account offered through manager, FMR has overall responsibility Insurance Products Fund V for shares of such contracts have been registered for directing portfolio investments and the Money Market Fund of the Sentinel under the Securities Act of 1933, as handling the VIPFV’s business affairs. Variable Products Trust (‘‘Substitution’’). amended (the ‘‘1933 Act’’), on Form N– FMR receives an investment 12. The Applicants assert that the 4 (File No. 333–19583). management fee from each portfolio. Substitution is necessary in order to 4. The Life Account is divided into FMR is a registered investment adviser. provide the Contract owners with sixty-eight subaccounts. Each Fidelity Investments Money continued access to a money market subaccount invests exclusively in shares Management, Inc. (‘‘FIMM’’) and other portfolio investment option. Currently, of a corresponding investment portfolio affiliates of FMR serve as sub-advisers the only money market portfolio (also, a ‘‘Portfolio’’) of one of sixteen for the Replacement Portfolio. FIMM investment option offered under the series-type management investment has the day-to-day responsibility of Contracts is the Substituted Portfolio. companies, including the SVPT. The choosing investments for the The Applicants contend that the assets of the Life Account support Replacement Portfolio. In addition, Substituted Portfolio is small and, variable life insurance contracts, and Fidelity Research & Analysis Company because it is only offered as an interests in the Separate Account (‘‘FRAC’’), another affiliate of FMR, investment option under the Contracts, offered through such contracts have serves as a sub-adviser for the Portfolio there is little prospect of it growing in been registered under the 1933 Act on and may provide investment research size sufficiently to materially decrease Form N–6 (File Nos. 33–91938, 333– and advice for the Portfolio.4 None of its expense ratio or obtain economies of 44723, 333–151535, and 333–67003). VIPFV, FMR, FIMM, or FRAC are scale. In addition, Sentinel has been 5. SVPT is registered under the 1940 affiliated persons (or affiliated persons subsidizing the Substituted Portfolio’s Act as a diversified, open-end of affiliated persons) of any of the expenses for some time, but cannot 2 management investment company. Applicants. Likewise, none of the continue to do so indefinitely.5 SVPT currently consists of six Applicants are affiliated persons (or investment portfolios, including the affiliated persons of affiliated persons) NLIC has determined that Contract Substituted Portfolio, and issues a of VIPFV, FMR, FIMM, or FRAC. owners would be better served if the separate series of shares of beneficial 9. Each Contract permits Contract Substituted Portfolio is closed and interest in connection with each. SVPT owners to transfer contract value replaced as an investment option by has registered such shares under the between and allocate contract value another, larger, money market fund with 1933 Act on Form N–1A (File No. 333– among the subaccounts. Currently, NLIC lower expenses and better prospects for 35832). does not assess a transfer charge or limit future growth and competitive yields. 6. Sentinel Asset Management, Inc. the number of transfers permitted each 13. The table below sets forth the (‘‘Sentinel’’) serves as the investment year. However, NLIC reserves the right, name, investment adviser, investment adviser to each SVPT Portfolio. Sentinel upon prior notice, to impose a transfer objective, principal investment manages the Porfolios’ investments and charge of $25 for each transfer in excess strategies, and principal risks of both the business operations of the SVPT of 12 in any one contract year. NLIC the Substituted Portfolio and the under the overall supervision of the does have in place market timing Replacement Portfolio. SVPT board of trustees. Sentinel has the policies and procedures that may responsibility for making all investment operate to limit transfers. Under the Life 5 For the fiscal year ended December 31, 2010, decisions for the SVPT Portfolios and Account, transfers resulting from loans, Sentinel reimbursed the Substituted Portfolio in an receives an investment management fee dollar cost averaging, portfolio amount equal to 0.37% of the Portfolio’s average from each Portfolio. Sentinel is a daily net assets. This reimbursement was made to avoid the Substituted Portfolio having a negative 3 File No. 811–05361. yield in the current very low interest rate 1 File No. 811–08015 (Annuity Account); File No. 4 FMR does not manage the sub-advisers for the environment. Sentinel may cease the 811–09044 (Life Account). VIPFV Money Market Portfolio pursuant to a reimbursement at any time and is only providing 2 File No. 811–09917. ‘‘manager-of-managers’’ exemption. it to the extent necessary to avoid a negative yield.

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Substituted Portfolio Replacement Portfolio

Name ...... Sentinel Variable Products Trust Sentinel Variable Insurance Products Fund V Money Variable Products Money Market Fund. Market Portfolio. Investment Adviser (Subadviser) ...... Sentinel ...... FMR (FIMM, FRAC). Investment Objective ...... Seeks as high a level of current income as is Seeks as high a level of current income as is consistent with stable principal values and consistent with preservation of capital and liquidity. liquidity. Principal Investment Strategies ...... The Fund invests exclusively in dollar-denomi- FMR invests the Fund’s assets in U.S. dollar- nated money market instruments, including denominated money market securities of U.S. government securities, bank obliga- domestic and foreign issuers and repur- tions, repurchase agreements, commercial chase agreements. FMR also may enter paper, and other corporate debt obligations. into reverse repurchase agreements for the All such investments will have remaining Fund. maturities of 397 days or less. FMR will invest more than 25% of the Fund’s total assets in the financial services indus- tries. The Fund may also invest up to 10% of its In buying and selling securities for the Fund, total assets in shares of institutional money FMR complies with industry-standard regu- market funds that invest primarily in securi- latory requirements for money market funds ties in which the Fund could invest directly. regarding the quality, maturity, and diver- sification of the fund’s investments. The Fund seeks to maintain a net asset value FMR stresses maintaining a stable $1.00 of $1.00 per share by using the amortized share price, liquidity, and income. cost method of valuing its securities. The Fund is required to maintain a dollar- weighted average portfolio maturity of 90 days or less. The Fund may participate in a securities lend- ing program. Principal Risks ...... • General Fixed-Income Securities Risk ...... • Interest Rate Charges. • Government Securities Risk ...... • Foreign Exposure. • Financial Services Exposure. • Issuer-Specific Changes.

14. The table below compares the operating expenses, fee waivers and net annual percentage of average daily net investment management fees, operating expenses for the year ended assets, of the Substituted Portfolio and distribution fees, other expenses, total December 31, 2010, expressed as an the Replacement Portfolio.

Substituted Portfolio Replacement Portfolio Sentinel Variable Products Trust Sentinel Variable Insurance Variable Products Products Fund V Money Money Market Fund Market Portfolio

Management Fee ...... 0.25% 0.18% Distribution and Service (12b–1) Fee ...... None 0.10% Other Expenses ...... 0.27% 0.08% Total Operating Expenses ...... 0.52% 0.36% Fee Waivers and Expense Reimbursements 6 ...... 0.37% N/A Net Operating Expenses ...... 0.15% 0.36% 6 Fee waivers and expense reimbursements are not contractual and may be terminated at any time.

The management fee for the month when the annualized gross yield 15. The table below compares the 1- Replacement Portfolio in the table above for the month is 0% to an annual rate year, 5-year, and 10-year average annual consists of two components: a so-called of 0.27% of average daily net assets total return of the Substituted Portfolio ‘‘group’’ fee of 0.11% and an ‘‘income- throughout the month when the and Replacement Portfolio, as well as related’’ fee of 0.07%. The income- annualized gross yield for the month is the yield for the seven days ending related fee varies from month to month 15%. The group fee rate is based on the December 31, 2010 and the net asset depending on the level of the average daily net assets for all of the values of the Substituted Portfolio and Replacement Portfolio’s monthly gross mutual funds managed by FMR. The Replacement Portfolio as of December income from an annual rate of 0.05% of group fee is capped at an annual rate of 31, 2010. average daily net assets throughout the 0.37% of average daily net assets.

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Substituted Portfolio Replacement Portfolio Sentinel Variable Prod- ucts Trust Sentinel Vari- Variable Insurance Prod- able Products Money ucts Fund V Money Mar- Market Fund ket Portfolio

1-Year Average Annual Return ...... 0.00% 0.14% 5-Year Average Annual Return ...... 2.24% 2.69% 10-Yr Average Annual Return ...... 2.07% 2.40% 7-Day Yield ...... 0.00% 0.11% Net Asset Value ...... $15,290,904 $155,272,000 As of December 31, 2010.

16. As of the effective date of the Contracts to impose restrictions on owners may make one transfer of Substitution (the ‘‘Effective Date’’), each transfers under the Contracts for the contract value from the sub-account Separate Account will redeem shares of period beginning on the date the investing in the Substituted Portfolio the Substituted Portfolio. The proceeds Application was filed with the (before the Substitution) or the of such redemptions will then be used Commission through at least thirty (30) Replacement Portfolio (after the to purchase shares of the Replacement days following the Effective Date.7 Substitution) to one or more other sub- Portfolio, with the subaccount of the 18. For twenty-four months following account(s) without a transfer charge and applicable Separate Account investing the Effective Date and for those without that transfer counting against the proceeds of its redemption from the Contracts with contract value invested any contractual transfer limitations. Substituted Portfolio in the applicable in the Substituted Portfolio on the 20. All Contract owners will receive a Replacement Portfolio. Redemptions Effective Date, NLIC will reimburse, on copy of the most recent prospectus for and purchases will occur the last business day of each fiscal the Replacement Portfolio prior to the simultaneously so that contract values period (not to exceed a fiscal quarter), Substitution. Within five (5) days will remain fully invested at all times. the sub-accounts investing in the following the Substitution, Contract All redemptions of shares of the Replacement Portfolio to the extent that owners affected by the Substitution will Substituted Portfolio and purchases of the Replacement Portfolio’s net annual be notified in writing that the shares of the Replacement Portfolio will expenses (taking into account Substitution was carried out. This be effected in accordance with Section contractual fee waivers and expense notice will restate the information set 22(c) of the Act and Rule 22c–1 reimbursements) for such period forth in the Pre-Substitution Notice, and thereunder. The Substitution will take exceeds, on an annualized basis, the net will also explain that the contract values place at relative net asset value as of the annual expenses (taking into account attributable to investments in the Effective Date with no change in the contractual fee waivers and expense Substituted Portfolio were transferred to amount of any Contract owner’s contract reimbursements) of the Substituted the Replacement Portfolio without value or death benefit or in the dollar Portfolio for the fiscal year ended charge (including sales charges or value of his or her investments in the December 31, 2010. In addition, for surrender charges) and without money market subaccount of the twenty-four months following the counting toward the number of transfers appropriate Separate Account. Effective Date, NLIC will not increase that may be permitted without charge. 17. Contract values attributable to asset-based fees or charges for Contracts Legal Analysis investments in the Substituted Portfolio outstanding on the Effective Date. will be transferred to the Replacement 19. Existing Contract owners as of the 1. Applicants request an order of the Portfolio without charge (including date the Application was filed, and new Commission pursuant to Section 26(c) sales charges or surrender charges) and Contract owners who have purchased or of the 1940 Act approving the without counting toward the number of who will purchase a Contract Substitution. 2. Applicants assert that Section 26(c) transfers that may be permitted without subsequent to that date but prior to the of the 1940 Act prohibits any depositor charge. Contract owners will not incur Effective Date, have been or will be or trustee of a unit investment trust that any additional fees or charges as a result notified of the proposed Substitution by invests exclusively in the securities of a of the Substitution, nor will their rights means of a prospectus or prospectus single issuer from substituting the or NLIC’s obligations under the supplement for each of the Contracts securities of another issuer without the Contracts be altered in any way and the (‘‘Pre-Substitution Notice’’). The Pre- Substitution will not change Contract approval of the Commission. Section Substitution Notice will state that the owners’ insurance benefits under the 26(c) provides that such approval shall Applicants filed the Application, set Contracts. All expenses incurred in be granted by order of the Commission, forth the anticipated Effective Date, connection with the Substitution, if the evidence establishes that the explain that contract values attributable including legal, accounting, substitution is consistent with the to investments in the Substituted transactional, and other fees and protection of investors and the purposes Portfolio would be attributable to the expenses, including brokerage of the 1940 Act. Replacement Portfolio as of the Effective commissions, will be paid by NLIC. In 3. Applicants aver that Section 26(c) Date, and state that, from the date the addition, the Substitution will not was intended to provide for Application was first filed with the impose any tax liability on Contract Commission scrutiny of a proposed Commission through the date thirty (30) owners. The Substitution will not cause substitution which could, in effect, force days after the Substitution, Contract the Contract fees and charges currently shareholders dissatisfied with the paid by existing Contract owners to be substitute security to redeem their 7 One exception to this would be restrictions that greater after the Substitution than before NLIC may impose to prevent or restrict ‘‘market shares, thereby possibly incurring a loss the Substitution. NLIC will not exercise timing’’ activities by Contract owners or their of the sales load deducted from initial any right it may have under the agents. premium, an additional sales load upon

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reinvestment of the proceeds of as does the Substituted Portfolio. In Conclusion redemption, or both.8 The section was particular, given the diversification and designed to forestall the ability of a risk-limiting conditions of Rule 2a–7 Applicants submit that for the reasons depositor to present holders of interest under the Act, the Replacement summarized above the proposed in a unit investment trust with Portfolio cannot have a materially Substitution meets the standards of situations in which a holder’s only different risk profile than the Section 26(c) of the 1940 Act and choice would be to continue an Substituted Portfolio. request that the Commission issue an investment in an unsuitable underlying 8. Applicants assert that the order of approval pursuant to Section security, or to elect a costly and, in Substitution will result in a reduction in 26(c) of the 1940 Act. effect, forced redemption. overall expenses of the Replacement For the Comission, by the Division of 4. Applicants represent that each Portfolio as compared to the Substituted Investment Management pursuant to Contract and its prospectus reserves Portfolio. Although the Service Class delegated authority. NLIC’s right to substitute shares of one shares of the Replacement Portfolio are Cathy H. Ahn, portfolio for shares of another. subject to a modest Rule 12b–1 Deputy Secretary. 5. Applicants contend that based on a distribution and shareholder service [FR Doc. 2011–8731 Filed 4–12–11; 8:45 am] comparison of the basic characteristics plan expense that the Substituted BILLING CODE 8011–01–P of the Replacement Portfolio and the Portfolio does not bear, the total annual Substituted Portfolio, the Substitution operating expenses for the Replacement will provide Contract owners with Portfolio have been significantly less SECURITIES AND EXCHANGE substantially the same investment than the total annual operating expenses COMMISSION vehicle. for the Substituted Portfolio in recent 6. Applicants believe that the years. [File No. 500–1] Replacement Portfolio and the 9. The Applicants believe that Substituted Portfolio have substantially Contract owners would benefit from the RINO International Corporation; Order the same investment objectives and significantly larger size of the of Suspension of Trading principal investment strategies, thus Replacement Portfolio and the making the Replacement Portfolio an somewhat higher yields that the April 11, 2011. appropriate candidate for the Replacement Portfolio can be expected It appears to the Securities and Substitution. Both the Replacement to provide, as contrasted with the size Exchange Commission that there is a Portfolio and the Substituted Portfolio and recent yields of the Substituted lack of current and accurate information seek a high level of current income as Portfolio. concerning the securities of RINO is consistent with stable principal 10. Applicants represent that for three International Corporation, because the values and liquidity. However, while years from the Effective Date, NLIC and company has failed to disclose that: (i) both the Replacement Portfolio and the persons under common control with The outside law firm and forensic Substituted Portfolio pursue their NLIC will not receive in the aggregate accountants hired by the audit investment objective by investing in any direct or indirect benefits from the committee to investigate allegations of U.S. dollar-denominated money market Replacement Portfolio, its investment financial fraud at the company resigned securities of domestic issuers as well as adviser, or its principal underwriter (or on or about March 31, 2011, after repurchase agreements, only the their affiliates) in connection with assets reporting the results of their Replacement Portfolio invests in representing contract values (at the time investigation to management and the of the substitution) of the Contracts, at instruments issued by foreign issuers. board; (ii) the chairman of its audit Both the Replacement Portfolio and the a higher rate than they had received committee resigned on March 31, 2011; Substituted Portfolio seek to maintain a from the Substituted Portfolio, its and (iii) the company’s remaining net asset value of $1.00 per share as well investment adviser, or its principal independent directors have also as liquidity. Most significantly, both the underwriter (or their affiliates) resigned. Further, questions have arisen Replacement Portfolio and the including, without limitation: Rule 12b- regarding, among other things: (i) The Substituted Portfolio must comply with 1 fees, shareholder service fees, size of the company’s operations and the diversification and risk-limiting administrative fees or other service fees, number of employees; (ii) the existence conditions of Rule 2a-7 under the Act. revenue-sharing payments, or payments of certain material customer contracts; Notwithstanding one difference in the from other arrangements in connection and (iii) the existence of two separate investment strategies, both the with such assets. Replacement Portfolio and the 11. Applicants submit that the and materially different sets of corporate Substituted Portfolio emphasize the Substitution meets the standards set books and accounts. RINO is a Nevada same investment objective and follow forth in Section 26(c) and that, if corporation with its headquarters and substantially the same investment implemented, the Substitution would operations in the People’s Republic of strategies to pursue those objectives. not raise any of the aforementioned China, which trades on OTC Link under Thus, the Applicants believe that the concerns that Congress intended to the symbol ‘‘RINO.’’ money market investment option address when the 1940 Act was The Commission is of the opinion that available to Contract owners will not amended to include this provision. the public interest and the protection of change in any material respect as a Further, Applicants submit that the investors require a suspension of trading result of the Substitution. replacement of the Substituted Portfolio in the securities of the above-listed 7. Applicants represent that the with the Replacement Portfolio is company. Replacement Portfolio entails consistent with the protection of Therefore, it is ordered, pursuant to substantially the same investment risks Contract owners and the purposes fairly Section 12(k) of the Securities Exchange intended by the policy and provisions of Act of 1934, that trading in the above- 8 House Comm. Interstate Commerce, Report of the 1940 Act and, thus, meets the listed company is suspended for the the Securities and Exchange Commission on the standards necessary to support an order period from 9:30 a.m. EDT, April 11, Public Policy Implications of Investment Company Growth, H.R. Rep. No. 2337, 89th Cong. 2d Session pursuant to Section 26(c) of the 1940 2011, through 11:59 p.m. EDT, on April 337 (1966). Act. 25, 2011.

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By the Commission. to address extraordinary market erroneous trades. The Exchange also Elizabeth M. Murphy, volatility, if adopted, applies [April 11, believes that a four month extension of Secretary. 2011], the prior versions of paragraphs the pilot is warranted so that it may [FR Doc. 2011–9060 Filed 4–11–11; 11:15 am] (C), (c)(1), and (b) shall be in effect. continue to monitor the effects of the BILLING CODE 8011–01–P (a)–(f) No change. pilot on the markets and investors, and * * * * * consider appropriate adjustments, as necessary. The Exchange notes, SECURITIES AND EXCHANGE II. Self-Regulatory Organization’s however, that the Exchanges are COMMISSION Statement of the Purpose of, and developing a ‘‘limit up/limit down’’ Statutory Basis for, the Proposed Rule mechanism to reduce the negative [Release No. 34–64240; File No. SR–BX– Change 2011–019] impacts of sudden, unanticipated price In its filing with the Commission, the movements in securities traded on the Self-Regulatory Organizations; Exchange included statements Exchanges. Under such a mechanism, NASDAQ OMX BX, Inc.; Notice of Filing concerning the purpose of and basis for trades in a security outside a price band and Immediate Effectiveness of the proposed rule change and discussed would not be allowed, thus eliminating Proposed Rule Change To Extend the any comments it received on the clearly erroneous transactions from Pilot Period of Amendments to the proposed rule change. The text of these occurring altogether. As such, the Clearly Erroneous Rule statements may be examined at the proposed extension may be shorter in places specified in Item IV below. The duration should the Exchange adopt a April 7, 2011. Exchange has prepared summaries, set limit up/limit down mechanism to Pursuant to Section 19(b)(1) of the forth in Sections A, B, and C below, of address extraordinary market volatility. Securities Exchange Act of 1934 the most significant aspects of such Accordingly, the Exchange is filing to 1 2 (‘‘Act’’), and Rule 19b–4 thereunder, statements. further extend the pilot program until notice is hereby given that on March 31, the earlier of August 11, 2011 or the A. Self-Regulatory Organization’s 2011, NASDAQ OMX BX, Inc. date on which a limit up/limit down Statement of the Purpose of, and (‘‘Exchange’’), filed with the Securities mechanism to address extraordinary Statutory Basis for, the Proposed Rule and Exchange Commission market volatility, if adopted, applies. (‘‘Commission’’) the proposed rule Change 2. Statutory Basis change as described in Items I and II 1. Purpose below, which Items have been prepared On September 10, 2010, the The statutory basis for the proposed by the Exchange. The Commission is rule change is Section 6(b)(5) of the publishing this notice to solicit Commission approved, for a pilot period to end December 10, 2010, a proposed Securities Exchange Act of 1934 (the comments on the proposed rule change ‘‘Act’’),5 which requires the rules of an from interested persons. rule change submitted by the Exchange, together with related rule changes of the exchange to promote just and equitable I. Self-Regulatory Organization’s BATS Exchange, Inc., Chicago Board principles of trade, to remove Statement of the Terms of the Substance Options Exchange, Incorporated, impediments to and perfect the of the Proposed Rule Change Chicago Stock Exchange, Inc., EDGA mechanism of a free and open market The Exchange proposes to extend the Exchange, Inc., EDGX Exchange, Inc., and a national market system and, in pilot period of recent amendments to International Securities Exchange LLC, general, to protect investors and the Rule 11890, concerning clearly The NASDAQ Stock Market LLC, New public interest. The proposed rule erroneous transactions, so that the pilot York Stock Exchange LLC, NYSE Amex change also is designed to support the 6 will now expire on the earlier of August LLC, NYSE Arca, Inc., and National principles of Section 11A(a)(1) of the 11, 2011 or the date on which a limit Stock Exchange, Inc., to amend certain Act in that it seeks to assure fair up/limit down mechanism to address of their respective rules to set forth competition among brokers and dealers extraordinary market volatility, if clearer standards and curtail discretion and among exchange markets. The adopted, applies. with respect to breaking erroneous Exchange believes that the proposed The text of the proposed rule change trades.3 rule meets these requirements in that it is below. Proposed new language is The changes were adopted to address promotes transparency and uniformity italicized; proposed deletions are in concerns that the lack of clear across markets concerning decisions to brackets. guidelines for dealing with clearly break erroneous trades. * * * * * erroneous transactions may have added B. Self-Regulatory Organization’s to the confusion and uncertainty faced Statement on Burden on Competition 11890. Clearly Erroneous Transactions by investors on May 6, 2010. On The provisions of paragraphs (C), December 7, 2010, the Exchange filed an The Exchange does not believe that (c)(1), (b)(i), and (b)(ii) of this Rule, as immediately effective filing to extend the proposed rule change will result in amended on September 10, 2010, shall the existing pilot program for four any burden on competition that is not be in effect during a pilot period set to months, so that the pilot would expire necessary or appropriate in furtherance end on the earlier of August 11, 2011 or on April 11, 2011.4 of the purposes of the Act, as amended. The Exchange believes that the pilot the date on which a limit up/limit down C. Self-Regulatory Organization’s program has been successful in mechanism to address extraordinary Statement on Comments on the providing greater transparency and market volatility, if adopted, applies Proposed Rule Change Received From certainty to the process of breaking [April 11, 2011]. If the pilot is not either Members, Participants, or Others extended or approved permanent by the earlier of August 11, 2011 or the date on 3 Securities Exchange Act Release No. 62886 Written comments were neither (September 10, 2010), 75 FR 56613 (September 16, solicited nor received. which a limit up/limit down mechanism 2010). 4 Securities Exchange Act Release No. 63490; 1 15 U.S.C. 78s(b)(1). (December 9, 2010), 75 FR 78299 (December 15, 5 15 U.S.C. 78f(b)(5). 2 17 CFR 240.19b–4. 2010). 6 15 U.S.C. 78k–1(a)(1).

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III. Date of Effectiveness of the Electronic Comments SECURITIES AND EXCHANGE Proposed Rule Change and Timing for COMMISSION • Commission Action Use the Commission’s Internet comment form (http://www.sec.gov/ [Release No. 34–64231; File No. SR–ISE– Because the foregoing proposed rule rules/sro.shtml); or 2011–19] change does not: (i) Significantly affect • Send an e-mail to rule- Self-Regulatory Organizations; the protection of investors or the public [email protected]. Please include File International Securities Exchange, interest; (ii) impose any significant Number SR–BX–2011–019 on the LLC; Notice of Filing and Immediate burden on competition; and (iii) become subject line. Effectiveness of Proposed Rule operative for 30 days from the date on Change To Amend ISE Rule 2128 To which it was filed, or such shorter time Paper Comments Extend the Pilot Program as the Commission may designate, it has • Send paper comments in triplicate become effective pursuant to Section April 7, 2011. to Elizabeth M. Murphy, Secretary, 19(b)(3)(A) of the Act 7 and Rule 19b– Pursuant to Section 19(b)(1) of the Securities and Exchange Commission, Securities Exchange Act of 1934 (the 4(f)(6)(iii) thereunder.8 The Exchange 100 F Street, NE., Washington, DC ‘‘Act’’),1 and Rule 19b–4 thereunder,2 has asked the Commission to waive the 20549–1090. notice is hereby given that on March 31, 30-day operative delay so that the 2011, the International Securities proposal may become operative All submissions should refer to File Number SR–BX–2011–019. This file Exchange, LLC (the ‘‘Exchange’’ or the immediately upon filing. The ‘‘ ’’ number should be included on the ISE ) filed with the Securities and Commission believes that waiving the Exchange Commission (‘‘Commission’’) subject line if e-mail is used. To help the 30-day operative delay is consistent the proposed rule change as described Commission process and review your with the protection of investors and the in Items I and II below, which items public interest because such waiver will comments more efficiently, please use have been prepared by the self- allow the pilot program to continue only one method. The Commission will regulatory organization. The uninterrupted and help ensure post all comments on the Commission’s Commission is publishing this notice to uniformity among the national Internet Web site (http://www.sec.gov/ solicit comments on the proposed rule securities exchanges and FINRA with rules/sro.shtml). Copies of the change from interested persons. submission, all subsequent respect to the treatment of clearly I. Self-Regulatory Organization’s erroneous transactions.9 Accordingly, amendments, all written statements with respect to the proposed rule Statement of the Terms of Substance of the Commission waives the 30-day the Proposed Rule Change operative delay requirement and change that are filed with the The Exchange proposes to amend designates the proposed rule change as Commission, and all written communications relating to the Rule 2128 (Clearly Erroneous Trades) to operative upon filing with the extend the expiration of the pilot rule. Commission. proposed rule change between the Commission and any person, other than The text of the proposed rule change At any time within 60 days of the is available on the Exchange’s Internet those that may be withheld from the filing of the proposed rule change, the Web site at http://www.ise.com, at the public in accordance with the Commission summarily may principal office of the Exchange, and at provisions of 5 U.S.C. 552, will be temporarily suspend such rule change if the Commission’s Public Reference available for Web site viewing and it appears to the Commission that such Room. printing in the Commission’s Public action is necessary or appropriate in the Reference Room, 100 F Street, NE., II. Self-Regulatory Organization’s public interest, for the protection of Washington, DC 20549, on official Statement of the Purpose of, and investors, or otherwise in furtherance of business days between the hours of 10 Statutory Basis for, the Proposed Rule the purposes of the Act. a.m. and 3 p.m. Copies of such filing Change IV. Solicitation of Comments also will be available for inspection and In its filing with the Commission, the copying at the principal office of the self-regulatory organization included Interested persons are invited to Exchange. All comments received will statements concerning the purpose of, submit written data, views, and be posted without change; the and basis for, the proposed rule change arguments concerning the foregoing, Commission does not edit personal and discussed any comments it received including whether the proposed rule identifying information from on the proposed rule change. The text change is consistent with the Act. submissions. You should submit only of these statements may be examined at Comments may be submitted by any of information that you wish to make the places specified in Item IV below. the following methods: publicly available. All submissions The self-regulatory organization has should refer to File Number SR–BX– prepared summaries, set forth in 7 sections A, B and C below, of the most 15 U.S.C. 78s(b)(3)(A). 2011–019 and should be submitted on 8 significant aspects of such statements. 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule or before May 4, 2011. 19b–4(f)(6)(iii) requires that a self-regulatory organization submit to the Commission written For the Commission, by the Division of A. Self-Regulatory Organization’s notice of its intent to file the proposed rule change, Trading and Markets, pursuant to delegated Statement of the Purpose of, and along with a brief description and text of the authority.10 Statutory Basis for, the Proposed Rule proposed rule change, at least five business days Change prior to the filing of the proposed rule change, or Cathy H. Ahn, such shorter time as designated by the Commission. Deputy Secretary. 1. Purpose The Commission notes that the Exchange has [FR Doc. 2011–8849 Filed 4–12–11; 8:45 am] satisfied this requirement. The Exchange proposes to amend ISE 9 For purposes only of waiving the 30-day BILLING CODE 8011–01–P Rule 2128 (Clearly Erroneous Trades) to operative delay, the Commission has considered the proposed rule’s impact on efficiency, competition, 1 15 U.S.C. 78s(b)(1). and capital formation. See 15 U.S.C. 78c(f). 10 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4.

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extend the expiration of the pilot rule. III. Date of Effectiveness of the Electronic Comments Amendments to ISE Rule 2128 to Proposed Rule Change and Timing for • provide for uniform treatment of certain Commission Action Use the Commission’s Internet clearly erroneous execution reviews and comment form (http://www.sec.gov/ transactions that occur before a trading Because the foregoing proposed rule rules/sro.shtml); or pause is in effect on the Exchange were change does not: (i) Significantly affect • Send an e-mail to rule- approved by the Commission on the protection of investors or the public [email protected]. Please include File September 10, 2010 on a pilot basis to interest; (ii) impose any significant Number SR–ISE–2011–19 on the subject end on April 11, 2011.3 The Exchange burden on competition; and (iii) become line. now proposes to extend the date by operative for 30 days from the date on which this pilot rule will expire to the which it was filed, or such shorter time Paper Comments earlier of August 11, 2011 or the date on as the Commission may designate, it has • Send paper comments in triplicate which the limit up/limit down become effective pursuant to Section to Elizabeth M. Murphy, Secretary, mechanism to address extraordinary 19(b)(3)(A) of the Act 6 and Rule 19b– Securities and Exchange Commission, market volatility, if adopted, applies. 4(f)(6)(iii) thereunder.7 The Exchange 100 F Street, NE., Washington, DC Extending this pilot program will has asked the Commission to waive the 20549–1090. provide the exchanges with a continued 30-day operative delay so that the opportunity to assess the effect of this proposal may become operative All submissions should refer to File rule proposal on the markets. immediately upon filing. The Number SR–ISE–2011–19. This file 2. Statutory Basis Commission believes that waiving the number should be included on the 30-day operative delay is consistent subject line if e-mail is used. To help the The statutory basis for the proposed with the protection of investors and the Commission process and review your rule change is Section 6(b)(5) of the public interest because such waiver will comments more efficiently, please use Act,4 which requires the rules of an allow the pilot program to continue only one method. The Commission will exchange to promote just and equitable uninterrupted and help ensure post all comments on the Commission’s principles of trade, to remove uniformity among the national Internet Web site (http://www.sec.gov/ impediments to and perfect the rules/sro.shtml). Copies of the mechanism of a free and open market securities exchanges and FINRA with submission, all subsequent and a national market system and, in respect to the treatment of clearly 8 general, to protect investors and the erroneous transactions. Accordingly, amendments, all written statements public interest. The proposed rule the Commission waives the 30-day with respect to the proposed rule change also is designed to support the operative delay requirement and change that are filed with the principles of Section 11A(a)(1) 5 of the designates the proposed rule change as Commission, and all written Act in that it seeks to assure fair operative upon filing with the communications relating to the competition among brokers and dealers Commission. proposed rule change between the and among exchange markets. The At any time within 60 days of the Commission and any person, other than Exchange believes that the proposed filing of the proposed rule change, the those that may be withheld from the rule meets these requirements in that it Commission summarily may public in accordance with the promotes uniformity across markets temporarily suspend such rule change if provisions of 5 U.S.C. 552, will be concerning decisions relating to clearly it appears to the Commission that such available for Web site viewing and erroneous trades in a security when action is necessary or appropriate in the printing in the Commission’s Public there are significant price movements. public interest, for the protection of Reference Room, 100 F Street, NE., B. Self-Regulatory Organization’s investors, or otherwise in furtherance of Washington, DC 20549, on official Statement on Burden on Competition the purposes of the Act. business days between the hours of 10 a.m. and 3 p.m. Copies of such filing The proposed rule change does not IV. Solicitation of Comments also will be available for inspection and impose any burden on competition that copying at the principal office of the Interested persons are invited to is not necessary or appropriate in Exchange. All comments received will submit written data, views, and furtherance of the purposes of the Act. be posted without change; the arguments concerning the foregoing, Commission does not edit personal C. Self-Regulatory Organization’s including whether the proposed rule identifying information from Statement on Comments on the change is consistent with the Act. submissions. You should submit only Proposed Rule Change Received From Comments may be submitted by any of information that you wish to make Members, Participants or Others the following methods: publicly available. All submissions The Exchange has not solicited, and should refer to File Number SR–ISE– 6 does not intend to solicit, comments on 15 U.S.C. 78s(b)(3)(A). 2011–19 and should be submitted on or 7 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule this proposed rule change. The before May 4, 2011. Exchange has not received any 19b–4(f)(6)(iii) requires that a self-regulatory unsolicited written comments from organization submit to the Commission written For the Commission, by the Division of notice of its intent to file the proposed rule change, Trading and Markets, pursuant to delegated members or other interested parties. along with a brief description and text of the 9 proposed rule change, at least five business days authority. 3 See Securities Exchange Act Release Nos. 62886 prior to the filing of the proposed rule change, or Cathy H. Ahn, (September 10, 2010), 75 FR 56613 (September 16, such shorter time as designated by the Commission. Deputy Secretary. 2010) (SR–ISE–2010–62) (Extending the pilot The Commission notes that the Exchange has period to December 10, 2010); 63481 (December 9, satisfied this requirement. [FR Doc. 2011–8809 Filed 4–12–11; 8:45 am] 2010), 75 FR 78275 (December 15, 2010) (Extending 8 For purposes only of waiving the 30-day BILLING CODE 8011–01–P the pilot period to April 11, 2011). operative delay, the Commission has considered the 4 15 U.S.C. 78f(b)(5). proposed rule’s impact on efficiency, competition, 5 15 U.S.C. 78k–1(a)(1). and capital formation. See 15 U.S.C. 78c(f). 9 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE set forth in sections A, B, and C below, breaking clearly erroneous transactions. COMMISSION of the most significant parts of such The Exchange proposes to extend the statements. [Release No. 34–64232; File No. SR–NYSE– pilot amendments to NYSE Rule 128 2011–17] A. Self-Regulatory Organization’s until the earlier of August 11, 2011 or Statement of the Purpose of, and the the date on which a limit up/limit down Self-Regulatory Organizations; New Statutory Basis for, the Proposed Rule mechanism to address extraordinary York Stock Exchange LLC; Notice of Change market volatility, if adopted, applies in Filing and Immediate Effectiveness of order to maintain uniform rules across Proposed Rule Change Amending 1. Purpose markets and allow the pilot to continue NYSE Rule 128, Clearly Erroneous The Exchange proposes to amend to operate without interruption during Executions, To Extend the Effective NYSE Rule 128, which governs clearly the same period that the Rule 80C Date of the Pilot Until the Earlier of erroneous executions, to extend the trading pause rule pilot is also in effect. August 11, 2011 or the Date on Which effective date of the pilot by which Extension of the pilot would permit the a Limit Up/Limit Down Mechanism To portions of such Rule operate, until the Exchange, other national securities Address Extraordinary Market earlier of August 11, 2011 or the date on exchanges and the Commission to Volatility, if Adopted, Applies which a limit up/limit down further assess the effect of the pilot on mechanism to address extraordinary the marketplace, including whether April 7, 2011. market volatility, if adopted, applies. 1 additional measures should be added, Pursuant to Section 19(b)(1) of the The pilot is currently scheduled to whether the parameters of the rule Securities Exchange Act of 1934 (the expire on April 11, 2011.4 2 3 ‘‘Act’’) and Rule 19b–4 thereunder, On September 10, 2010, the should be modified or whether other notice is hereby given that March 31, Commission approved, on a pilot basis, initiatives should be adopted in lieu of 2011, New York Stock Exchange LLC market-wide amendments to exchanges’ the current pilot. (‘‘NYSE’’ or the ‘‘Exchange’’) filed with rules for clearly erroneous executions to 2. Statutory Basis the Securities and Exchange set forth clearer standards and curtail Commission (the ‘‘Commission’’) the discretion with respect to breaking The proposed rule change is proposed rule change as described in erroneous trades. In connection with consistent with Section 6(b) 7 of the Act, Items I and II below, which Items have this pilot initiative, the Exchange in general, and furthers the objectives of been prepared by the self-regulatory amended NYSE Rule 128(c), (e)(2), (f), Section 6(b)(5) 8 in particular in that it organization. The Commission is and (g). The amendments provide for is designed to prevent fraudulent and publishing this notice to solicit uniform treatment of clearly erroneous manipulative acts and practices, to comments on the proposed rule change execution reviews (1) in Multi-Stock promote just and equitable principles of from interested persons. 5 Events involving twenty or more trade, to foster cooperation and I. Self-Regulatory Organization’s securities, and (2) in the event coordination with persons engaged in Statement of the Terms of Substance of transactions occur that result in the facilitating transactions in securities, to the Proposed Rule Change issuance of an individual security remove impediments to and perfect the trading pause by the primary market The Exchange proposes to amend mechanism of a free and open market and subsequent transactions that occur NYSE Rule 128, which governs clearly and a national market system and, in before the trading pause is in effect on erroneous executions, to extend the general, to protect investors and the the Exchange.6 The amendments also effective date of the pilot by which eliminated appeals of certain rulings public interest. More specifically, the portions of such Rule operate until the made in conjunction with other NYSE believes that the extension of the earlier of August 11, 2011 or the date on exchanges with respect to clearly pilot would help assure that the which a limit up/limit down erroneous transactions and limited the determination of whether a clearly mechanism to address extraordinary Exchange’s discretion to deviate from erroneous trade has occurred will be market volatility, if adopted, applies. Numerical Guidelines set forth in the based on clear and objective criteria, The text of the proposed rule change is Rule in the event of system disruptions and that the resolution of the incident available at the Exchange, the or malfunctions. will occur promptly through a Commission’s Public Reference Room, If the pilot were not extended, the transparent process. The proposed rule the Commission’s website at http:// prior versions of paragraphs (c), (e)(2), changes would also help assure www.sec.gov and http://www.nyse.com. (f), and (g) of Rule 128 would be in consistent results in handling erroneous II. Self-Regulatory Organization’s effect, and the NYSE would have trades across the U.S. markets, thus Statement of the Purpose of, and different rules than other exchanges and furthering fair and orderly markets, the Statutory Basis for, the Proposed Rule greater discretion in connection with protection of investors and the public Change interest. 4 See Securities Exchange Act Release No. 62886 In its filing with the Commission, the (September 10, 2010), 75 FR 56613 (September 16, B. Self-Regulatory Organization’s self-regulatory organization included 2010) (SR–NYSE–2010–47). See also Securities Statement on Burden on Competition statements concerning the purpose of, Exchange Act Release No. 63479 (December 9, and basis for, the proposed rule change 2010), 75 FR 78274 (December 15, 2010) (SR– The Exchange does not believe that and discussed any comments it received NYSE–2010–80). 5 Terms not defined herein are defined in NYSE the proposed rule change will impose on the proposed rule change. The text Rule 128. any burden on competition that is not of those statements may be examined at 6 Separately, the Exchange has proposed extend necessary or appropriate in furtherance the places specified in Item IV below. the effective date of the trading pause pilot under of the purposes of the Act. The Exchange has prepared summaries, NYSE Rule 80C, which requires to the Exchange to pause trading in an individual security listed on the Exchange if the price moves by 10% as compared 1 15 U.S.C. 78s(b)(1). to prices of that security in the preceding five- 2 15 U.S.C. 78a. minute period during a trading day. See SR–NYSE– 7 15 U.S.C. 78f(b). 3 17 CFR 240.19b–4. 2011–16. 8 15 U.S.C. 78f(b)(5).

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C. Self-Regulatory Organization’s including whether the proposed rule SECURITIES AND EXCHANGE Statement on Comments on the change is consistent with the Act. COMMISSION Proposed Rule Change Received From Comments may be submitted by any of [Release No. 34–64233; File No. SR– Members, Participants, or Others the following methods: NYSEAmex–011–24] No written comments were solicited Electronic Comments or received with respect to the proposed Self-Regulatory Organizations; NYSE • Use the Commission’s Internet rule change. Amex LLC; Notice of Filing and comment form (http://www.sec.gov/ Immediate Effectiveness of Proposed III. Date of Effectiveness of the rules/sro.shtml); or • Rule Change Amending NYSE Amex Proposed Rule Change and Timing for Send an e-mail to rule- Equities Rule 128, Clearly Erroneous Commission Action [email protected]. Please include File Executions, To Extend the Effective Because the foregoing proposed rule Number SR–NYSE–2011–17 on the Date of the Pilot Until the Earlier of change does not: (i) Significantly affect subject line. August 11, 2011 or the Date on Which the protection of investors or the public Paper Comments a Limit Up/Limit Down Mechanism To interest; (ii) impose any significant • Send paper comments in triplicate Address Extraordinary Market burden on competition; and (iii) become to Elizabeth M. Murphy, Secretary, Volatility, if Adopted, Applies operative for 30 days from the date on Securities and Exchange Commission, which it was filed, or such shorter time April 7, 2011. 100 F Street, NE., Washington, DC 1 as the Commission may designate, it has Pursuant to Section 19(b)(1) of the 20549–1090. become effective pursuant to Section Securities Exchange Act of 1934 (the 19(b)(3)(A) of the Act 9 and Rule 19b– All submissions should refer to File ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 4(f)(6)(iii) thereunder.10 The Exchange Number SR–NYSE–2011–17. This file notice is hereby given that on March 31, has asked the Commission to waive the number should be included on the 2011, NYSE Amex LLC (the ‘‘Exchange’’ 30-day operative delay so that the subject line if e-mail is used. To help the or ‘‘NYSE Amex’’) filed with the proposal may become operative Commission process and review your Securities and Exchange Commission immediately upon filing. The comments more efficiently, please use (the ‘‘Commission’’) the proposed rule Commission believes that waiving the only one method. The Commission will change as described in Items I and II 30-day operative delay is consistent post all comments on the Commission’s below, which Items have been prepared with the protection of investors and the Internet Web site (http://www.sec.gov/ by the self-regulatory organization. The public interest because such waiver will rules/sro.shtml). Copies of the Commission is publishing this notice to allow the pilot program to continue submission, all subsequent solicit comments on the proposed rule uninterrupted and help ensure amendments, all written statements change from interested persons. with respect to the proposed rule uniformity among the national I. Self-Regulatory Organization’s securities exchanges and FINRA with change that are filed with the Commission, and all written Statement of the Terms of Substance of respect to the treatment of clearly the Proposed Rule Change erroneous transactions.11 Accordingly, communications relating to the The Exchange proposes to amend the Commission waives the 30-day proposed rule change between the NYSE Amex Equities Rule 128, which operative delay requirement and Commission and any person, other than governs clearly erroneous executions, to designates the proposed rule change as those that may be withheld from the extend the effective date of the pilot by operative upon filing with the public in accordance with the which portions of such Rule operate Commission. provisions of 5 U.S.C. 552, will be At any time within 60 days of the available for Web site viewing and until the earlier of August 11, 2011 or filing of the proposed rule change, the printing in the Commission’s Public the date on which a limit up/limit down Commission summarily may Reference Room, 100 F Street, NE., mechanism to address extraordinary temporarily suspend such rule change if Washington, DC 20549, on official market volatility, if adopted, applies. it appears to the Commission that such business days between the hours of 10 The text of the proposed rule change is action is necessary or appropriate in the a.m. and 3 p.m. Copies of such filing available at the Exchange, the public interest, for the protection of also will be available for inspection and Commission’s Public Reference Room, investors, or otherwise in furtherance of copying at the principal office of the the Commission’s Web site at http:// the purposes of the Act. Exchange. All comments received will www.sec.gov, and http://www.nyse.com. be posted without change; the IV. Solicitation of Comments II. Self-Regulatory Organization’s Commission does not edit personal Statement of the Purpose of, and Interested persons are invited to identifying information from Statutory Basis for, the Proposed Rule submit written data, views, and submissions. You should submit only Change arguments concerning the foregoing, information that you wish to make publicly available. All submissions In its filing with the Commission, the 9 15 U.S.C. 78s(b)(3)(A). should refer to File Number SR–NYSE– self-regulatory organization included 10 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule 2011–17 and should be submitted on or statements concerning the purpose of, 19b–4(f)(6)(iii) requires that a self- regulatory before May 4, 2011. and basis for, the proposed rule change organization submit to the Commission written and discussed any comments it received notice of its intent to file the proposed rule change, For the Commission, by the Division of on the proposed rule change. The text along with a brief description and text of the Trading and Markets, pursuant to delegated proposed rule change, at least five business days authority.12 of those statements may be examined at prior to the filing of the proposed rule change, or the places specified in Item IV below. Cathy H. Ahn, such shorter time as designated by the Commission. The Exchange has prepared summaries, The Commission notes that the Exchange has Deputy Secretary. set forth in sections A, B, and C below, satisfied this requirement. [FR Doc. 2011–8808 Filed 4–12–11; 8:45 am] 11 For purposes only of waiving the 30-day operative delay, the Commission has considered the BILLING CODE 8011–01–P 1 15 U.S.C. 78s(b)(1). proposed rule’s impact on efficiency, competition, 2 15 U.S.C. 78a. and capital formation. See 15 U.S.C. 78c(f). 12 17 CFR 200.30–3(a)(12). 3 17 CFR 240.19b–4.

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of the most significant parts of such erroneous transactions. The Exchange C. Self-Regulatory Organization’s statements. proposes to extend the pilot Statement on Comments on the Proposed Rule Change Received From A. Self-Regulatory Organization’s amendments to NYSE Amex Equities Statement of the Purpose of, and the Rule 128 until the earlier of August 11, Members, Participants, or Others Statutory Basis for, the Proposed Rule 2011 or the date on which a limit up/ No written comments were solicited Change limit down mechanism to address or received with respect to the proposed extraordinary market volatility, if rule change. 1. Purpose adopted, applies in order to maintain III. Date of Effectiveness of the The Exchange proposes to amend uniform rules across markets and allow NYSE Amex Equities Rule 128, which Proposed Rule Change and Timing for the pilot to continue to operate without Commission Action governs clearly erroneous executions, to interruption during the same period that extend the effective date of the pilot by the Rule 80C trading pause rule pilot is Because the foregoing proposed rule which portions of such Rule operate, also in effect. Extension of the pilot change does not: (i) Significantly affect until the earlier of August 11, 2011 or would permit the Exchange, other the protection of investors or the public the date on which a limit up/limit down national securities exchanges and the interest; (ii) impose any significant burden on competition; and (iii) become mechanism to address extraordinary Commission to further assess the effect operative for 30 days from the date on market volatility, if adopted, applies. of the pilot on the marketplace, The pilot is currently scheduled to which it was filed, or such shorter time including whether additional measures expire on April 11, 2011.4 as the Commission may designate, it has On September 10, 2010, the should be added, whether the become effective pursuant to Section Commission approved, on a pilot basis, parameters of the rule should be 19(b)(3)(A) of the Act 9 and Rule 19b– market-wide amendments to exchanges’ modified or whether other initiatives 4(f)(6)(iii) thereunder.10 The Exchange rules for clearly erroneous executions to should be adopted in lieu of the current has asked the Commission to waive the set forth clearer standards and curtail pilot. 30-day operative delay so that the discretion with respect to breaking 2. Statutory Basis proposal may become operative erroneous trades. In connection with immediately upon filing. The this pilot initiative, the Exchange The proposed rule change is Commission believes that waiving the amended NYSE Amex Equities Rule consistent with Section 6(b) 7 of the Act, 30-day operative delay is consistent 128(c), (e)(2), (f), and (g). The in general, and furthers the objectives of with the protection of investors and the amendments provide for uniform Section 6(b)(5) 8 in particular in that it public interest because such waiver will treatment of clearly erroneous execution is designed to prevent fraudulent and allow the pilot program to continue reviews (1) in Multi-Stock Events 5 manipulative acts and practices, to uninterrupted and help ensure involving twenty or more securities, and promote just and equitable principles of uniformity among the national (2) in the event transactions occur that trade, to foster cooperation and securities exchanges and FINRA with result in the issuance of an individual coordination with persons engaged in respect to the treatment of clearly 11 security trading pause by the primary facilitating transactions in securities, to erroneous transactions. Accordingly, market and subsequent transactions that the Commission waives the 30-day remove impediments to and perfect the occur before the trading pause is in operative delay requirement and mechanism of a free and open market effect on the Exchange.6 The designates the proposed rule change as and a national market system and, in amendments also eliminated appeals of operative upon filing with the certain rulings made in conjunction general, to protect investors and the Commission. with other exchanges with respect to public interest. More specifically, the At any time within 60 days of the clearly erroneous transactions and NYSE Amex believes that the extension filing of the proposed rule change, the limited the Exchange’s discretion to of the pilot would help assure that the Commission summarily may deviate from Numerical Guidelines set determination of whether a clearly temporarily suspend such rule change if forth in the Rule in the event of system erroneous trade has occurred will be it appears to the Commission that such disruptions or malfunctions. based on clear and objective criteria, action is necessary or appropriate in the If the pilot were not extended, the and that the resolution of the incident public interest, for the protection of prior versions of paragraphs (c), (e)(2), will occur promptly through a investors, or otherwise in furtherance of (f), and (g) of NYSE Amex Equities Rule transparent process. The proposed rule the purposes of the Act. 128 would be in effect, and the NYSE changes would also help assure IV. Solicitation of Comments Amex would have different rules than consistent results in handling erroneous other exchanges and greater discretion trades across the U.S. markets, thus Interested persons are invited to in connection with breaking clearly furthering fair and orderly markets, the submit written data, views, and protection of investors and the public arguments concerning the foregoing, 4 See Securities Exchange Act Release No. 62886 interest. (September 10, 2010), 75 FR 56613 (September 16, 9 15 U.S.C. 78s(b)(3)(A). 2010) (SR–NYSEAmex–2010–60). See also B. Self-Regulatory Organization’s 10 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule Securities Exchange Act Release No. 63480 19b–4(f)(6)(iii) requires that a self-regulatory (December 9, 2010), 75 FR 78333 (December 15, Statement on Burden on Competition organization submit to the Commission written 2010) (SR–NYSEAmex–2010–116). notice of its intent to file the proposed rule change, 5 Terms not defined herein are defined in NYSE The Exchange does not believe that along with a brief description and text of the Amex Equities Rule 128. the proposed rule change will impose proposed rule change, at least five business days 6 Separately, the Exchange has proposed extend any burden on competition that is not prior to the filing of the proposed rule change, or the effective date of the trading pause pilot under necessary or appropriate in furtherance such shorter time as designated by the Commission. NYSE Amex Equities Rule 80C, which requires to The Commission notes that the Exchange has the Exchange to pause trading in an individual of the purposes of the Act. satisfied this requirement. security listed on the Exchange if the price moves 11 For purposes only of waiving the 30-day by 10% as compared to prices of that security in operative delay, the Commission has considered the the preceding five-minute period during a trading 7 15 U.S.C. 78f(b). proposed rule’s impact on efficiency, competition, day. See SR–NYSEAmex–2011–23. 8 15 U.S.C. 78f(b)(5). and capital formation. See 15 U.S.C. 78c(f).

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including whether the proposed rule SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s change is consistent with the Act. COMMISSION Statement of the Purpose of, and Comments may be submitted by any of Statutory Basis for, the Proposed Rule the following methods: [Release No. 34–64229; File No. SR–EDGX– Change Electronic Comments 2011–11] 1. Purpose • Use the Commission’s Internet Self-Regulatory Organizations; EDGX The purpose of this filing is to extend comment form (http://www.sec.gov/ Exchange, Inc.; Notice of Filing and the effectiveness of the Exchange’s rules/sro.shtml); or Immediate Effectiveness of Proposed current rule applicable to Clearly • Send an e-mail to rule- Rule Change To Amend EDGX Rule Erroneous Executions, Rule 11.13. The [email protected]. Please include File 11.13 To Extend the Operation of a rule, explained in further detail below, Number SR–NYSEAmex–2011–24 on Pilot was approved to operate under a pilot the subject line. program set to expire on December 10, Paper Comments April 7, 2011. 2010. Then, it was subsequently extended by the Exchange to April 11, • Pursuant to Section 19(b)(1) of the Send paper comments in triplicate 2011. The Exchange now proposes to to Elizabeth M. Murphy, Secretary, Securities Exchange Act of 1934 (the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 extend the pilot program to extend until Securities and Exchange Commission, the earlier of August 11, 2011 or the 100 F Street, NE., Washington, DC notice is hereby given that on April 5, 2011, the EDGX Exchange, Inc. (the date on which a limit up/limit down 20549–1090. mechanism to address extraordinary All submissions should refer to File ‘‘Exchange’’ or the ‘‘EDGX’’) filed with the Securities and Exchange market volatility, if adopted, applies. Number SR–NYSEAmex–2011–24. This On September 10, 2010, the file number should be included on the Commission (‘‘Commission’’) the proposed rule change as described in Commission approved, on a pilot basis, subject line if e-mail is used. To help the changes to EDGX Rule 11.13 to provide Commission process and review your Items I and II below, which items have been prepared by the self-regulatory for uniform treatment: (1) of clearly comments more efficiently, please use erroneous execution reviews in multi- only one method. The Commission will organization. The Commission is publishing this notice to solicit stock events involving twenty or more post all comments on the Commission’s securities; and (2) in the event Internet Web site (http://www.sec.gov/ comments on the proposed rule change from interested persons. transactions occur that result in the rules/sro.shtml). Copies of the issuance of an individual stock trading submission, all subsequent I. Self-Regulatory Organization’s pause by the primary market and amendments, all written statements Statement of the Terms of Substance of subsequent transactions that occur with respect to the proposed rule the Proposed Rule Change before the trading pause is in effect on change that are filed with the the Exchange.3 The Exchange also Commission, and all written The Exchange proposes to amend adopted additional changes to Rule communications relating to the EDGX Rule 11.13 to extend the 11.13 that reduced the ability of the proposed rule change between the operation of a pilot pursuant to the Rule Exchange to deviate from the objective Commission and any person, other than until the earlier of August 11, 2011 or standards set forth in Rule 11.13.4 The those that may be withheld from the the date on which a limit up/limit down pilot was subsequently extended to public in accordance with the mechanism to address extraordinary April 11, 2011.5 The Exchange believes provisions of 5 U.S.C. 552, will be market volatility, if adopted, applies. the benefits to market participants from available for Web site viewing and The text of the proposed rule change is the more objective clearly erroneous printing in the Commission’s Public available on the Exchange’s Web site at executions rule should be approved to Reference Room, 100 F Street, NE., http://www.directedge.com, at the continue on a pilot basis. Washington, DC 20549, on official Exchange’s principal office, on the business days between the hours of 10 Commission’s Web site at http:// 2. Statutory Basis a.m. and 3 p.m. Copies of such filing www.sec.gov, and at the Public The statutory basis for the proposed also will be available for inspection and Reference Room of the Commission. rule change is Section 6(b)(5) of the copying at the principal office of the Securities Exchange Act of 1934 (the Exchange. All comments received will II. Self-Regulatory Organization’s Statement of the Purpose of, and ‘‘Act’’),6 which requires the rules of an be posted without change; the exchange to promote just and equitable Commission does not edit personal Statutory Basis for, the Proposed Rule Change principles of trade, to remove identifying information from impediments to and perfect the submissions. You should submit only In its filing with the Commission, the mechanism of a free and open market information that you wish to make Exchange included statements and a national market system and, in publicly available. All submissions concerning the purpose of, and basis for, general, to protect investors and the should refer to File Number SR– the proposed rule change and discussed public interest. The Exchange believes NYSEAmex–2011–24 and should be any comments it received on the that the proposed rule meets these submitted on or before May 4, 2011. proposed rule change. The text of these requirements in that it promotes For the Commission, by the Division of statements may be examined at the transparency and uniformity across Trading and Markets, pursuant to delegated places specified in Item IV below. The authority.12 self-regulatory organization has 3 See Securities Exchange Act Release No. 62886 Cathy H. Ahn, prepared summaries, set forth in (September 10, 2010), 75 FR 56613 (September 16, Deputy Secretary. Sections A, B and C below, of the most 2010) (SR–EDGX–2010–03). 4 Id. [FR Doc. 2011–8807 Filed 4–12–11; 8:45 am] significant aspects of such statements. 5 See Securities Exchange Act Release No. 63515 BILLING CODE 8011–01–P (December 10, 2010), 75 FR 78319 (December 15, 1 15 U.S.C. 78s(b)(1). 2010) (SR–EDGX–2010–23). 12 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. 6 15 U.S.C. 78f(b)(5).

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markets concerning review of temporarily suspend such rule change if 2011–11 and should be submitted on or transactions as clearly erroneous. it appears to the Commission that such before May 4, 2011. action is necessary or appropriate in the B. Self-Regulatory Organization’s For the Commission, by the Division of public interest, for the protection of Statement on Burden on Competition Trading and Markets, pursuant to delegated investors, or otherwise in furtherance of authority.10 The proposed rule change does not the purposes of the Act. Cathy H. Ahn, impose any burden on competition that Deputy Secretary. is not necessary or appropriate in IV. Solicitation of Comments [FR Doc. 2011–8806 Filed 4–12–11; 8:45 am] furtherance of the purposes of the Act. Interested persons are invited to BILLING CODE 8011–01–P C. Self-Regulatory Organization’s submit written data, views, and Statement on Comments on the arguments concerning the foregoing, Proposed Rule Change Received From including whether the proposed rule SECURITIES AND EXCHANGE Members, Participants or Others change is consistent with the Act. COMMISSION Comments may be submitted by any of The Exchange has not solicited, and the following methods: [Release No. 34–64236; File No. SR–BYX– does not intend to solicit, comments on 2011–006] this proposed rule change. The Electronic Comments Self-Regulatory Organizations; BATS Exchange has not received any • Use the Commission’s Internet Y–Exchange, Inc.; Notice of Filing and unsolicited written comments from comment form (http://www.sec.gov/ members or other interested parties. Immediate Effectiveness of a Proposed rules/sro.shtml); or Rule Change To Extend Pilot Program • III. Date of Effectiveness of the Send an e-mail to rule- Related to Clearly Erroneous Proposed Rule Change and Timing for [email protected]. Please include File Execution Reviews Commission Action Number SR–EDGX–2011–11 on the Because the foregoing proposed rule subject line. April 7, 2011. Pursuant to Section 19(b)(1) of the change does not: (i) Significantly affect Paper Comments the protection of investors or the public Securities Exchange Act of 1934 (the • 1 2 interest; (ii) impose any significant Send paper comments in triplicate ‘‘Act’’), and Rule 19b–4 thereunder, burden on competition; and (iii) become to Elizabeth M. Murphy, Secretary, notice is hereby given that on April 1, operative for 30 days from the date on Securities and Exchange Commission, 2011, BATS Y–Exchange, Inc. (the which it was filed, or such shorter time 100 F Street, NE., Washington, DC ‘‘Exchange’’ or ‘‘BYX’’) filed with the as the Commission may designate, it has 20549–1090. Securities and Exchange Commission become effective pursuant to Section All submissions should refer to File (‘‘Commission’’) the proposed rule 19(b)(3)(A) of the Act 7 and Rule 19b–4 Number SR–EDGX–2011–11. This file change as described in Items I and II (f)(6)(iii) thereunder.8 The Exchange has number should be included on the below, which Items have been prepared asked the Commission to waive the 30- subject line if e-mail is used. To help the by the Exchange. The Commission is day operative delay so that the proposal Commission process and review your publishing this notice to solicit may become operative immediately comments more efficiently, please use comments on the proposed rule change upon filing. The Commission believes only one method. The Commission will from interested persons. that waiving the 30-day operative delay post all comments on the Commission’s I. Self-Regulatory Organization’s is consistent with the protection of Internet Web site (http://www.sec.gov/ Statement of the Terms of Substance of investors and the public interest rules/sro.shtml). Copies of the the Proposed Rule Change because such waiver will allow the pilot submission, all subsequent The Exchange is filing with the program to continue uninterrupted and amendments, all written statements Commission a proposal to extend a pilot help ensure uniformity among the with respect to the proposed rule program related to Rule 11.17, entitled national securities exchanges and change that are filed with the ‘‘Clearly Erroneous Executions.’’ The FINRA with respect to the treatment of Commission, and all written text of the proposed rule change is clearly erroneous transactions.9 communications relating to the available at the Exchange’s Web site at Accordingly, the Commission waives proposed rule change between the http://www.batstrading.com, at the the 30-day operative delay requirement Commission and any person, other than principal office of the Exchange, and at and designates the proposed rule change those that may be withheld from the the Commission’s Public Reference as operative upon filing with the public in accordance with the Room. Commission. provisions of 5 U.S.C. 552, will be At any time within 60 days of the available for Web site viewing and II. Self-Regulatory Organization’s filing of the proposed rule change, the printing in the Commission’s Public Statement of the Purpose of, and Commission summarily may Reference Room, 100 F Street, NE., Statutory Basis for, the Proposed Rule Washington, DC 20549, on official Change 7 15 U.S.C. 78s(b)(3)(A). business days between the hours of 10 8 17 CFR 240.19b–4 (f)(6)(iii). In addition, Rule In its filing with the Commission, the 19b–4 (f)(6)(iii) requires that a self- regulatory a.m. and 3 p.m. Copies of such filing Exchange included statements organization submit to the Commission written also will be available for inspection and concerning the purpose of and basis for notice of its intent to file the proposed rule change, copying at the principal office of the the proposed rule change and discussed along with a brief description and text of the Exchange. All comments received will proposed rule change, at least five business days any comments it received on the prior to the filing of the proposed rule change, or be posted without change; the proposed rule change. The text of these such shorter time as designated by the Commission. Commission does not edit personal statements may be examined at the The Commission notes that the Exchange has identifying information from places specified in Item IV below. The satisfied this requirement. submissions. You should submit only 9 For purposes only of waiving the 30-day operative delay, the Commission has considered the information that you wish to make 10 17 CFR 200.30–3(a)(12). proposed rule’s impact on efficiency, competition, publicly available. All submissions 1 15 U.S.C. 78s(b)(1). and capital formation. See 15 U.S.C. 78c(f). should refer to File Number SR–EDGX– 2 17 CFR 240.19b–4.

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Exchange has prepared summaries, set with Section 6(b)(5) of the Act,6 because the Commission waives the 30-day forth in Sections A, B, and C below, of it would promote just and equitable operative delay requirement and the most significant parts of such principles of trade, remove designates the proposed rule change as statements. impediments to, and perfect the operative upon filing with the mechanism of, a free and open market Commission. A. Self-Regulatory Organization’s and a national market system. The At any time within 60 days of the Statement of the Purpose of, and Exchange believes that the pilot filing of the proposed rule change, the Statutory Basis for, the Proposed Rule program promotes just and equitable Commission summarily may Change principles of trade in that it promotes temporarily suspend such rule change if 1. Purpose transparency and uniformity across it appears to the Commission that such The purpose of this filing is to extend markets concerning review of action is necessary or appropriate in the the effectiveness of the Exchange’s transactions as clearly erroneous. public interest, for the protection of current rule applicable to Clearly investors, or otherwise in furtherance of B. Self-Regulatory Organization’s the purposes of the Act. Erroneous Executions, Rule 11.17. The Statement on Burden on Competition rule, explained in further detail below, The Exchange does not believe that IV. Solicitation of Comments was approved to operate under a pilot the proposed rule change imposes any Interested persons are invited to program set to expire on April 11, 2011. burden on competition. submit written data, views, and The Exchange proposes to extend the arguments concerning the foregoing, pilot program to the earlier of August C. Self-Regulatory Organization’s including whether the proposed rule 11, 2011 or the date on which a limit Statement on Comments on the change is consistent with the Act. up/limit down mechanism to address Proposed Rule Change Received From Comments may be submitted by any of Members, Participants, or Others extraordinary market volatility, if the following methods: adopted, applies. The Exchange has neither solicited On October 4, 2010, the Exchange nor received written comments on the Electronic Comments filed an immediately effective filing to proposed rule change. • Use the Commission’s Internet adopt various rule changes to bring BYX comment form (http://www.sec.gov/ III. Date of Effectiveness of the Rules up to date with the changes that rules/sro.shtml); or had been made to the rules of BATS Proposed Rule Change and Timing for • Send an e-mail to rule- Exchange, Inc., the Exchange’s affiliate, Commission Action [email protected]. Please include File while BYX’s Form 1 Application to Because the foregoing proposed rule Number SR–BYX–2011–006 on the register as a national security exchange change does not: (i) Significantly affect subject line. was pending approval. Such changes the protection of investors or the public included changes to the Exchange’s interest; (ii) impose any significant Paper Comments Rule 11.17, on a pilot basis, to provide burden on competition; and (iii) become • Send paper comments in triplicate for uniform treatment: (1) Of clearly operative for 30 days from the date on to Elizabeth M. Murphy, Secretary, erroneous execution reviews in multi- which it was filed, or such shorter time Securities and Exchange Commission, stock events involving twenty or more as the Commission may designate, it has 100 F Street, NE., Washington, DC securities; and (2) in the event become effective pursuant to Section 20549–1090. transactions occur that result in the 19(b)(3)(A) of the Act 7 and Rule 19b– All submissions should refer to File issuance of an individual stock trading 4(f)(6)(iii) thereunder.8 The Exchange Number SR–BYX–2011–006. This file pause by the primary market and has asked the Commission to waive the number should be included on the subsequent transactions that occur 30-day operative delay so that the subject line if e-mail is used. To help the before the trading pause is in effect on proposal may become operative Commission process and review your the Exchange.3 The Exchange also immediately upon filing. The comments more efficiently, please use adopted additional changes to Rule Commission believes that waiving the only one method. The Commission will 11.17 that reduced the ability of the 30-day operative delay is consistent post all comments on the Commission’s Exchange to deviate from the objective with the protection of investors and the Internet Web site (http://www.sec.gov/ standards set forth in Rule 11.17.4 The public interest because such waiver will rules/sro.shtml). Copies of the Exchange believes the benefits to market allow the pilot program to continue submission, all subsequent participants from the more objective uninterrupted and help ensure amendments, all written statements clearly erroneous executions rule uniformity among the national with respect to the proposed rule should be approved to continue on a securities exchanges and FINRA with change that are filed with the pilot basis. respect to the treatment of clearly Commission, and all written erroneous transactions.9 Accordingly, 2. Statutory Basis communications relating to the proposed rule change between the The Exchange believes that its 6 15 U.S.C. 78f(b)(5). Commission and any person, other than 7 proposal is consistent with the 15 U.S.C. 78s(b)(3)(A). those that may be withheld from the 8 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule requirements of the Act and the rules public in accordance with the and regulations thereunder that are 19b–4(f)(6)(iii) requires that a self-regulatory organization submit to the Commission written provisions of 5 U.S.C. 552, will be applicable to a national securities notice of its intent to file the proposed rule change, available for Web site viewing and exchange, and, in particular, with the along with a brief description and text of the printing in the Commission’s Public 5 proposed rule change, at least five business days requirements of Section 6(b) of the Act. Reference Room, 100 F Street, NE., In particular, the proposal is consistent prior to the filing of the proposed rule change, or such shorter time as designated by the Commission. Washington, DC 20549, on official The Commission notes that the Exchange has business days between the hours of 10 3 Securities Exchange Act Release No. 63097 satisfied this requirement. a.m. and 3 p.m. Copies of such filing (October 13, 2010), 75 FR 64767 (October 20, 2010) 9 For purposes only of waiving the 30-day (SR–BYX–2010–002). operative delay, the Commission has considered the also will be available for inspection and 4 Id. proposed rule’s impact on efficiency, competition, copying at the principal office of the 5 15 U.S.C. 78f(b). and capital formation. See 15 U.S.C. 78c(f). Exchange. All comments received will

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be posted without change; the these procedures, FINRA appoints a In addition, the number of promissory Commission does not edit personal single chair-qualified public arbitrator note cases has more than doubled in the identifying information from from the roster of arbitrators approved past two years. As a result of this submissions. You should submit only to hear statutory discrimination claims substantial increase, it is becoming more information that you wish to make (a statutory discrimination qualified difficult to appoint panels solely with publicly available. All submissions arbitrator) 5 to resolve the dispute.6 statutory discrimination qualified should refer to File Number SR–BYX– These specially qualified arbitrators are arbitrators to these cases. Under the 2011–006 and should be submitted on public chair-qualified arbitrators who proposed rule change, the number of or before May 4, 2011. also are attorneys familiar with arbitrators available for appointment in For the Commission, by the Division of employment law and have at least ten promissory note cases would increase Trading and Markets, pursuant to delegated years of legal experience. In addition, significantly. The proposed rule change authority.10 they may not have represented would ensure that FINRA has a Cathy H. Ahn, primarily the views of employers or of sufficient number of qualified Deputy Secretary. employees within the last five years. arbitrators readily available to resolve [FR Doc. 2011–8848 Filed 4–12–11; 8:45 am] FINRA proposed using statutory these matters. discrimination qualified arbitrators BILLING CODE 8011–01–P As explained in the Notice, FINRA because of the depth of their experience believes that the proposed rule change and their familiarity with employment is consistent with the provisions of SECURITIES AND EXCHANGE law. At the time that FINRA filed the Section 15A(b)(6) of the Act,9 which COMMISSION proposed rule change, these arbitrators requires, among other things, that were underutilized at the forum. FINRA rules must be designed to [Release No. 34–64226; File No. SR–FINRA– Since implementing the new 2011–005] prevent fraudulent and manipulative procedures, FINRA has found that acts and practices, to promote just and promissory note cases do not require Self-Regulatory Organizations; equitable principles of trade, and, in extensive experience or depth of Financial Industry Regulatory general, to protect investors and the knowledge (or the limitation on Authority, Inc.; Order Granting public interest. FINRA believes that the representation of employers or of Approval of a Proposed Rule Change proposed rule change is consistent with employees within the last five years). In Relating to Promissory Note the provisions of the Act noted above a majority of completed cases, Proceedings because it would ensure that FINRA has arbitrators decided the case on the a sufficient number of qualified April 7, 2011. pleadings and the respondent broker did 7 arbitrators readily available to resolve not appear. Experience with the new promissory note cases. I. Introduction procedures led FINRA to propose On February 4, 2011, the Financial amending the Industry Code to provide III. Discussion of Comment Letters Industry Regulatory Authority, Inc. that FINRA will appoint a chair- The Commission did not receive any (‘‘FINRA’’) filed with the Securities and qualified public arbitrator to a panel comment letters regarding the proposed Exchange Commission (‘‘Commission’’), resolving a promissory note dispute rule change. pursuant to Section 19(b)(1) of the instead of appointing a statutory Securities Exchange Act of 1934 discrimination qualified arbitrator. IV. Commission Findings 1 2 (‘‘Act’’), and Rule 19b–4 thereunder, a Chair-qualified arbitrators have The Commission has carefully proposed rule change to amend Rule completed chair training and are reviewed the proposed rule change and 13806 of the Code of Arbitration attorneys who have served through finds that the proposed rule change is Procedure for Industry Disputes award on at least two cases, or, if not consistent with the requirements of the (‘‘Industry Code’’) to provide that FINRA attorneys, are arbitrators who have Act and the rules and regulations will appoint a chair-qualified public served through award on at least three 8 thereunder applicable to a national arbitrator also qualified to resolve cases. securities association.10 In particular, statutory discrimination cases. The the Commission finds that the proposed proposed rule change was published for No. SR–FINRA–2009–015). FINRA announced implementation of New Rule 13806 (Promissory rule change is consistent with Section comment in the Federal Register on 11 3 Note Proceedings) in Regulatory Notice 09–48 15A(b)(6) of the Act, which requires, February 22, 2011. The Commission (August 2009). The effective date was September among other things, that FINRA rules did not receive any comments on the 14, 2009. 5 must be designed to prevent fraudulent proposal. This order approves the See Rule 13802(c)(3). and manipulative acts and practices, to proposed change. 6 Under Rule 13806, if an associated person does not file an answer, or files an answer but does not promote just and equitable principles of II. Description of the Proposal assert any counterclaims or third party claims, trade, and, in general, to protect regardless of the amount in dispute, a single investors and the public interest. More In 2009, FINRA implemented new statutory discrimination qualified arbitrator decides procedures to expedite the the case. If an associated person files a counterclaim specifically, the Commission finds that administration of cases that solely or third party claim, FINRA bases panel the proposed rule change to allow chair- composition on the amount of the counterclaim or involve a broker-dealer’s claim that an qualified arbitrators to hear promissory third party claim. For counterclaims and third party note cases would help to ensure that associated person failed to pay money claims that are not more than $100,000, FINRA owed on a promissory note.4 Under appoints a single statutory discrimination qualified there are sufficient number of qualified arbitrator. For counterclaims and third party claims arbitrators readily available to resolve of more than $100,000, FINRA appoints a three- 10 such cases. 17 CFR 200.30–3(a)(12). arbitrator panel comprised of a statutory 1 15 U.S.C. 78s(b)(1). discrimination qualified arbitrator, a public 2 17 CFR 240.19b–4. arbitrator, and a non-public arbitrator. 9 15 U.S.C. 78o–3(b)(6). 3 See Securities and Exchange Act Release No. 7 Of the first 175 promissory note cases 10 In approving this proposed rule change, the 63909 (February 15, 2011), 76 FR 9838 (February completed, arbitrators decided the case on the Commission has considered the proposed rule’s 22, 2011) (‘‘Notice’’). pleadings 76 percent of the time (unless the case impact on efficiency, competition, and capital 4 See Securities Exchange Act Rel. No. 60132 concluded by settlement or some other means). formation. See 15 U.S.C. 78c(f). (June 17, 2009), 74 FR 30191 (June 24, 2009) (File 8 See Rule 12400(c). 11 15 U.S.C. 78o–3(b)(6).

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V. Conclusion whether the market is trading in an proposed rule change. The text of these It is therefore ordered, pursuant to orderly fashion and whether to conduct statements may be examined at the Section 19(b)(2) of the Act,12 that the an Imbalance Cross in order to restore places specified in Item IV below. The proposed rule change (SR–FINRA– an orderly market in a single Nasdaq Exchange has prepared summaries, set 2011–005), be, and hereby is, approved. Security. forth in Sections A, B, and C below, of (1) An Imbalance Cross shall occur if the most significant aspects of such For the Commission, by the Division of the System executes a transaction in a statements. Trading and Markets, pursuant to delegated Nasdaq Security at a price that is 13 A. Self-Regulatory Organization’s authority. beyond the Threshold Range away from Statement of the Purpose of, and Cathy H. Ahn, the Triggering Price for that security. Statutory Basis for, the Proposed Rule Deputy Secretary. The Triggering Price for each Nasdaq Change [FR Doc. 2011–8897 Filed 4–12–11; 8:45 am] Security shall be the price of any BILLING CODE 8011–01–P execution by the System in that security 1. Purpose within the prior 30 seconds. The NASDAQ is proposing to amend Rule Threshold Range shall be determined as 4753(c) to change the effective time of SECURITIES AND EXCHANGE follows: the rule from 9:30 a.m. to 4 p.m., to 9:45 COMMISSION a.m. to 3:35 p.m. On March 11, 2011, [Release No. 34–64268; File No. SR– Threshold range away the Commission approved Rule 4753(c) NASDAQ–2011–051] Execution price from triggering (the ‘‘Volatility Guard’’), a volatility- price (percent) based pause in trading in individual Self-Regulatory Organizations; The NASDAQ-listed securities traded on NASDAQ Stock Market LLC; Notice of $1.75 and under ...... 15 NASDAQ (‘‘NASDAQ Securities’’), as a Filing and Immediate Effectiveness of Over $1.75 and up to $25 .... 10 six month pilot applied to the NASDAQ Proposed Rule Change To Modify the Over $25 and up to $50 ...... 5 100 Index securities.3 The Volatility Over $50 ...... 3 Effective Hours of Rule 4753(c) Guard automatically suspends trading in individual NASDAQ Securities that April 8, 2011. (2) If the System determines pursuant are the subject of abrupt and significant Pursuant to Section 19(b)(1) of the to subsection (1) above to conduct an intraday price movements between 9:30 Securities Exchange Act of 1934 Imbalance Cross in a Nasdaq Security, a.m. and 4 p.m. Eastern Standard Time (‘‘Act’’),1 and Rule 19b–4 thereunder,2 the System shall automatically cease (‘‘EST’’). Volatility Guard is triggered notice is hereby given that on April 7, executing trades in that security for a automatically when the execution price 2011, The NASDAQ Stock Market LLC 60-second Display Only Period. During of a pilot security moves more than a (‘‘NASDAQ’’ or the ‘‘Exchange’’), filed that 60-second Display Only Period, the fixed amount away from a pre- with the Securities and Exchange System shall: established ‘‘triggering price’’ for that Commission (‘‘Commission’’) the (A) maintain all current quotes and security. The triggering price for each proposed rule change as described in orders and continue to accept quotes pilot security is the price of any Items I and II below, which Items have and orders in that System Security; and execution by the system in that security been prepared by the Exchange. The (B) Disseminate by electronic means within the previous 30 seconds. For Commission is publishing this notice to an Order Imbalance Indicator every 5 each pilot security, the system solicit comments on the proposed rule seconds. continually compares the price of each change from interested persons. (3) At the conclusion of the 60-second Display Only Period, the System shall execution in the system against the I. Self-Regulatory Organization’s re-open the market by executing the prices of all system executions in that Statement of the Terms of the Substance Nasdaq Halt Cross as set forth in security over the 30 seconds. Once of the Proposed Rule Change subsection (b)(2)–(4) above. triggered, NASDAQ institutes a formal NASDAQ is proposing to amend Rule (4) If the opening price established by trading halt during which time 4753(c) to change the effective time of the Nasdaq Halt Cross pursuant to NASDAQ systems are prohibited from the rule from 9:30 a.m. to 4 p.m., to 9:45 subsection (b)(2)(A)–(D) above is outside executing orders. Members, however, a.m. to 3:35 p.m. the benchmarks established by Nasdaq may continue to enter quotes and The text of the proposed rule change by a threshold amount, the Nasdaq Halt orders, which are queued during a 60- is below. Proposed new language is Cross will occur at the price within the second Display Only Period. At the italicized; proposed deletions are in threshold amounts that best satisfies the conclusion of the Display Only Period, brackets. conditions of subparagraphs (b)(2)(A) the queued orders are executed at a through (D) above. Nasdaq management single price, pursuant to NASDAQ’s * * * * * shall set and modify such benchmarks Halt Cross mechanism.4 4753. Nasdaq Halt and Imbalance and thresholds from time to time upon NASDAQ is preparing to implement Crosses prior notice to market participants. the Volatility Guard in the second quarter of 2011, and through these (a)–(b) No change. (d) No change. * * * * * preparations NASDAQ identified a (c) For a pilot period ending six possible concern with the effective time months after the date of Commission II. Self-Regulatory Organization’s approval of SR–NASDAQ–2010–074, Statement of the Purpose of, and 3 See Securities Exchange Act Release No. 64071 between 9:45[30] a.m. and 3:35[4:00] Statutory Basis for, the Proposed Rule (March 11, 2011), 76 FR 14699 (March 17, 2011) p.m. EST, the System will automatically Change (SR–NASDAQ–2010–074). Amendment 1 to SR– monitor System executions to determine NASDAQ–2010–074 designated the NASDAQ 100 In its filing with the Commission, the Index as the 100 pilot securities. 4 The Nasdaq Halt Cross is ‘‘the process for 12 Exchange included statements 15 U.S.C. 78s(b)(2). determining the price at which Eligible Interest 13 concerning the purpose of and basis for 17 CFR 200.30–3(a)(12). shall be executed at the open of trading for a halted 1 15 U.S.C. 78s(b)(1). the proposed rule change and discussed security and for executing that Eligible Interest.’’ 2 17 CFR 240.19b–4. any comments it received on the See Nasdaq Rule 4753(a)(3).

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of the Volatility Guard. As currently Pilot and Volatility Guard.7 Such a the protection of investors or the public proposed, the Volatility Guard could consistent approach to the effective time interest; (2) does not impose any interfere with the effective hours of will lessen the potential for investor significant burden on competition; and NASDAQ’s opening and closing crosses confusion surrounding the timing and (3) by its terms does not become should a Volatility Guard halt occur operation of the two processes. operative for 30 days after the date of during a cross process. The NASDAQ Accordingly, NASDAQ believes this filing, or such shorter time as the opening and closing crosses are price harmonizing the intra-day effective time Commission may designate if consistent discovery facilities that cross orders at of the Volatility Guard with that of the with the protection of investors and the a single price. The crosses enable Circuit Breaker Pilot will better serve public interest, the proposed rule market participants to execute on-open the goal of working seamlessly with the change has become effective pursuant to and on-close interest.5 NASDAQ is cross-market pause and will avoid Section 19(b)(3)(A) 10 of the Act and proposing to change the effective time of potential interference with the orderly Rule 19b–4(f)(6) thereunder.11 the pilot to 9:45 a.m. until 3:35 p.m. opening and closing of the markets. A proposed rule change filed under EST to avoid potential interference with 2. Statutory Basis the crosses, and the orderly opening and 19b–4(f)(6) normally may not become closing of the market. NASDAQ believes that the proposed operative prior to 30 days after the date of filing.12 However, Rule 19b– NASDAQ notes that the proposed rule change is consistent with the 8 4(f)(6)(iii) 13 permits the Commission to effective time is identical to the effective provisions of Section 6 of the Act, in designate a shorter time if such action time of the single-stock trading pause general and with Sections 6(b)(5) of the pilot adopted by multiple U.S. markets, Act,9 in particular in that it is designed is consistent with the protection of including NASDAQ, (the ‘‘Circuit to prevent fraudulent and manipulative investors and the public interest. Breaker Pilot’’).6 In approving the acts and practices, to promote just and NASDAQ has requested that the Circuit Breaker Pilot, the Commission equitable principles of trade, to foster Commission waive the 30-day operative noted that limiting the effective time of cooperation and coordination with delay. The Commission believes that the pilot to 9:45 a.m. until 3:35 p.m. persons engaged in regulating, clearing, waiving the 30-day operative delay is EST would ensure that existing settling, processing information with consistent with the protection of procedures designed to facilitate orderly respect to, and facilitating transactions investors and the public interest. This openings and closings would not be in securities, to remove impediments to proposed rule change will reduce the interfered with. As a consequence, and perfect the mechanism of a free and effective time of the Volatility Guard as NASDAQ believes that adopting the open market and a national market the current effective time of the identical effective time as the Circuit system, and, in general, to protect Volatility Guard could interfere with the Breaker Pilot will reasonably ensure that investors and the public interest. NASDAQ opening and closing the orderly opening and closing of the NASDAQ believes that the proposed processes. This proposed rule change markets is not interfered with by the rule meets these requirements in that it will also make the effective time of the Volatility Guard. promotes transparency and uniformity Volatility Guard consistent with the NASDAQ also believes that, as a among the Circuit Breaker Pilot and the Circuit Breaker Pilot. Waiving the complement to the Circuit Breaker Pilot, Volatility Guard. Further, the proposed operative delay will ensure that the it is important that Volatility Guard’s changes will ensure that the opening proposed change in the effective time of effective time mirror that of the Circuit and closing processes of the markets are the Volatility Guard is both effective Breaker Pilot. The Circuit Breaker Pilot not interfered with by the Volatility and operative by the date on which applies to the securities of the S&P 500 Guard. NASDAQ implements the Volatility Index, Russell 1000 Index and certain B. Self-Regulatory Organization’s Guard. For this reason, the Commission exchange-traded products. As such, Statement on Burden on Competition designates the proposed rule change to be operative upon filing with the there is certain overlap between the The Exchange does not believe that Commission.14 securities covered by the Circuit Breaker the proposed rule change will result in any burden on competition that is not At any time within 60 days of the 5 The crosses generate opening and closing prices necessary or appropriate in furtherance filing of such proposed rule change, the that are widely used by industry professionals Commission summarily may including Russell Investments, Standard & Poor’s of the purposes of the Act, as amended. temporarily suspend such rule change if and Dow Jones. C. Self-Regulatory Organization’s 6 On June 10, 2010, the Commission approved the it appears to the Commission that such Circuit Breaker Pilot, which instituted new circuit Statement on Comments Regarding the action is necessary or appropriate in the breaker rules that pause trading for five minutes in Proposed Rule Change Received From public interest, for the protection of a security included in the S&P 500 Index if its price Members, Participants or Others moves ten percent or more over a five-minute investors, or otherwise in furtherance of period. See Securities Exchange Act Release Nos. Written comments were neither the purposes of the Act. 62251 (June 10, 2010), 75 FR 34183 (June 16, 2010) solicited nor received. (SR–FINRA–2010–025); 62252 (June 10, 2010), 75 10 15 U.S.C. 78s(b)(3)(A). FR 34186 (June 16, 2010) (SR–NASDAQ–2010–061, III. Date of Effectiveness of the 11 et al.). On September 10, 2010, the Circuit Breaker Proposed Rule Change and Timing for 17 CFR 240.19b–4(f)(6). 12 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule Pilot was expanded to include securities in the Commission Action Russell 1000 Index and certain exchange-traded 19b–4(f)(6) requires a self-regulatory organization to products. See Securities Exchange Act Release Nos. Because the foregoing proposed rule give the Commission written notice of its intent to 62883 (September 10, 2010), 75 FR 56608 change: (1) Does not significantly affect file the proposed rule change at least five business (September 16, 2010) (SR–FINRA–2010–033); 62884 days prior to the date of filing of the proposed rule (September 10, 2010), 75 FR 56618 (September 16, change, or such shorter time as designated by the 2010) (SR–NASDAQ–2010–079, et al.). The Circuit 7 See Securities Exchange Act Release No. 62468 Commission. The Commission notes that the Breaker Pilot is scheduled to expire on April 11, (July 7, 2010), 75 FR 41258 (July 15, 2010) (SR– Exchange has met this requirement. 2011, however, the Exchanges are filing proposals NASDAQ–2010–074) (discussing how Volatility 13 Id. with the Commission to extend the pilot to August Guard operates in relation to the Circuit Breaker 14 For the purposes only of waiving the 30-day 11, 2011. See e.g., Securities Exchange Act Release Pilot). operative delay, the Commission has considered the No. 63505 (December 9, 2010), 75 FR 78302 8 15 U.S.C. 78f. proposed rule’s impact on efficiency, competition, (December 15, 2010) (SR–NASDAQ–2010–162). 9 15 U.S.C. 78f(b)(5). and capital formation. See 15 U.S.C. 78c(f).

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IV. Solicitation of Comments For the Commission, by the Division of proposed rule change should be Trading and Markets, pursuant to delegated disapproved. The 45th day for this filing 15 Interested persons are invited to authority. is April 17, 2011. submit written data, views, and Cathy Ahn, The Commission is hereby extending arguments concerning the foregoing, Deputy Secretary. the 45-day period for Commission including whether the proposed rule [FR Doc. 2011–8917 Filed 4–12–11; 8:45 am] action on the proposed rule change. The change is consistent with the Act. BILLING CODE 8011–01–P Commission finds that it is appropriate Comments may be submitted by any of to designate a longer period within the following methods: which to take action on the proposed SECURITIES AND EXCHANGE rule change. The extension of time will Electronic Comments COMMISSION ensure that the Commission has • Use the Commission’s Internet [Release No. 34–64264; File No. SR–FINRA– sufficient time to consider and take comment form (http://www.sec.gov/ 2011–008] action on FINRA’s proposal in light of, rules/sro.shtml); or among other things, the comments Self-Regulatory Organizations; • received on the proposal. Send an e-mail to rule- Financial Industry Regulatory Accordingly, pursuant to Section [email protected]. Please include File Authority, Inc.; Notice of Designation 19(b)(2)(A)(ii)(I) of the Act 6 and for the Number SR–NASDAQ–2011–051 on the of a Longer Period for Commission reasons stated above, the Commission subject line. Action on Proposed Rule Change To designates May 25, 2011, as the date by Require Public Disclosure of Any Paper Comments which the Commission should either Access or Post-Transaction Fees for approve or disapprove, or institute • Send paper comments in triplicate Executions Against a Public Quotation proceedings to determine whether to to Elizabeth M. Murphy, Secretary, in an OTC Equity Security disapprove, the proposed rule change Securities and Exchange Commission, April 8, 2011. File No. SR–FINRA–2011–008. 100 F Street, NE., Washington, DC On February 18, 2011, the Financial For the Commission, by the Division of 20549–1090. Industry Regulatory Authority, Inc. Trading and Markets, pursuant to delegated authority.7 All submissions should refer to File (‘‘FINRA’’) filed with the Securities and Cathy H. Ahn, Number SR–NASDAQ–2011–051. This Exchange Commission (‘‘Commission’’), Deputy Secretary. file number should be included on the pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 [FR Doc. 2011–8916 Filed 4–12–11; 8:45 am] subject line if e-mail is used. To help the (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a BILLING CODE 8011–01–P Commission process and review your proposed rule change to require each comments more efficiently, please use member to disclose on its website any only one method. The Commission will fees imposed against its published SECURITIES AND EXCHANGE post all comments on the Commission’s quotation in any OTC Equity Security, COMMISSION Internet Web site (http://www.sec.gov/ consistent with FINRA Rule 6450 rules/sro.shtml). Copies of the (Restrictions on Access Fees). The [Release No. 34–64263; File No. SR– submission, all subsequent proposed rule change was published for NASDAQ–2011–050] amendments, all written statements comment in the Federal Register on Self-Regulatory Organizations; The with respect to the proposed rule 3 March 3, 2011. The Commission NASDAQ Stock Market LLC; Notice of change that are filed with the received two comments on the Filing and Immediate Effectiveness of Commission, and all written proposal.4 5 Proposed Rule Change To Modify an communications relating to the Section 19(b)(2) of the Act provides Initial Listing Standard for the Nasdaq proposed rule change between the that, within 45 days of the publication Global Select Market Commission and any person, other than of notice of the filing of a proposed rule those that may be withheld from the change, or within such longer period up April 8, 2011. public in accordance with the to 90 days as the Commission may Pursuant to Section 19(b)(1) of the provisions of 5 U.S.C. 552, will be designate if it finds such longer period Securities Exchange Act of 1934 available for Web site viewing and to be appropriate and publishes its (‘‘Act’’),1 and Rule 19b–4 thereunder,2 printing in the Commission’s Public reasons for so finding or as to which the notice is hereby given that on April 1, Reference Room, 100 F Street, NE., self-regulatory organization consents, 2011, The NASDAQ Stock Market LLC Washington, DC 20549, on official the Commission shall either approve the (‘‘Nasdaq’’) filed with the Securities and business days between the hours of 10 proposed rule change, disapprove the Exchange Commission (‘‘Commission’’) proposed rule change, or institute a.m. and 3 p.m. Copies of such filing the proposed rule change as described proceedings to determine whether the also will be available for inspection and in Items I and III below, which Items copying at the principal office of the have been prepared by Nasdaq. Nasdaq 15 17 CFR 200.30–3(a)(12). has designated the proposed rule change Exchange. All comments received will 1 15 U.S.C. 78s(b)(1). as effecting a change described under be posted without change; the 2 17 CFR 240.19b–4. Rule 19b–4(f)(6) under the Act,3 which Commission does not edit personal 3 See Securities Exchange Act Release No. 63960 renders the proposal effective upon identifying information from (February 24, 2011), 76 FR 11829 (‘‘Notice’’). 4 filing with the Commission. The submissions. You should submit only See Letter from Daniel Zinn, General Counsel, OTC Markets Group, Inc., to Elizabeth M. Murphy, Commission is publishing this notice to information that you wish to make Secretary, Commission, dated March 22, 2011 (‘‘OTC Markets Letter’’) and letter from Kimberly publicly available. All submissions 6 Unger, Executive Director, The Security Traders 15 U.S.C. 78s(b)(2)(A)(ii)(I). should refer to File Number SR– 7 Association of New York, Inc. to Elizabeth M. 17 CFR 200.30–3(a)(31). NASDAQ–2011–051 and should be Murphy, Secretary, Commission, dated April 6, 1 15 U.S.C. 78s(b)(1). submitted on or before May 4, 2011. 2011 (‘‘STANY Letter’’). 2 17 CFR 240.19b–4. 5 15 U.S.C. 78s(b)(2). 3 17 CFR 240.19b–4(f)(6).

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solicit comments on the proposed rule to be funded with the proceeds. 5315. Initial Listing Requirements for change from interested persons. Adjustments will be made that are Primary Equity Securities disclosed as such in accordance with I. Self-Regulatory Organization’s Rule 5310 provides guidance about ‘‘ Statement of the Terms of the Substance Rule 3–05 Financial Statements of computations made under this Rule ’’ of the Proposed Rule Change Business Acquired or to be Acquired 5315. and Article 11 of Regulation S–X. (a)—(e) No change. Nasdaq proposes to modify an initial Adjustments will be made for all the listing standard for the Nasdaq Global relevant periods for those acquisitions (f) Select Market. Nasdaq will implement for which historical financial (1)–(2) No change the proposed rule change immediately. information of the acquiree is required (3) Valuation Requirement The text of the proposed rule change to be disclosed in the SEC registration is below. Proposed new language is in A Company, other than a closed end statement; and (ii) Adjustments management investment company, shall italics; proposed deletions are in applicable to any period for which pro brackets.4 meet the requirements of sub-paragraph forma numbers are not set forth in the (A), (B), (C), or (D) below: 5310. Definitions and Computations registration statement shall be (A)–(C) No change. (a)–(i) No change. accompanied by the relevant adjusted (D) (i) Market capitalization of at least (j) In computing total assets and financial data to combine the historical $160 million, (ii) total assets of at least stockholders’ equity for purposes of results of the acquiree (or relevant $80 million [for the most recently Rule 5315(f)(3)(D), Nasdaq will rely on portion thereof) and acquiror, as completed fiscal year], and (iii) a Company’s most recent publicly disclosed in the company’s SEC filing. stockholders’ equity of at least $55 reported financial statements subject to Under SEC rules, the number of periods million. disclosed depends upon the significance the adjustments described below: * * * * * (1) Application of Use of Proceeds— level of the acquiree to the acquiror. The If a company is in registration with the adjustments will include those II. Self-Regulatory Organization’s SEC and is in the process of an equity necessary to reflect (a) the allocation of Statement of the Purpose of, and offering, adjustments should be made to the purchase price, including adjusting Statutory Basis for, the Proposed Rule reflect the net proceeds of that offering, assets and liabilities of the acquiree to Change and the specified intended fair value recognizing any intangibles In its filing with the Commission, application(s) of such proceeds to: (and associated amortization and Nasdaq included statements concerning (A) Pay off existing debt or other depreciation), and (b) the effects of the purpose of and basis for the financial instruments: The adjustment additional financing to complete the proposed rule change and discussed any will include elimination of the actual acquisition. The company must prepare comments it received on the proposed historical interest expense on debt or the relevant adjusted financial data to rule change. The text of these statements other financial instruments classified as reflect the adjustment to its historical may be examined at the places specified liabilities under generally accepted financial data, and its outside audit in Item IV below. Nasdaq has prepared accounting principles being retired with firm must provide a report of having summaries, set forth in Sections A, B, offering proceeds of all relevant periods applied agreed-upon procedures with and C below, of the most significant or by conversion into common stock at respect to such adjustments. Such aspects of such statements. the time of an initial public offering report must be prepared in accordance occurring in conjunction with the with the standards established by the A. Self-Regulatory Organization’s company’s listing. If the event giving American Institute of Certified Public Statement of the Purpose of, and rise to the adjustment occurred during Accountants. Statutory Basis for, the Proposed Rule Change a time-period such that pro forma (2) Acquisitions and Dispositions—In amounts are not set forth in the SEC instances other than acquisitions (and 1. Purpose registration statement (typically, the pro related dispositions of part of the forma effect of repayment of debt will be Nasdaq recently adopted an initial acquiree) funded with the use of listing standard for the Nasdaq Global provided in the current registration proceeds, adjustments will be made for statement only with respect to the last Select Market that permits listing if the those acquisitions and dispositions that company has: (i) $80 million in total fiscal year plus any interim period in are disclosed as such in a company’s accordance with SEC rules), the assets; (ii) $55 million in stockholders’ financial statements in accordance with equity; and (iii) $160 million of market company must prepare the relevant Rule 3–05 ‘‘Financial Statements of adjusted financial data to reflect the capitalization.5 Companies qualifying Business Acquired or to be Acquired’’ under this standard also have to meet all adjustment to its historical financial and Article 11 of Regulation S–X. If the data, and its outside audit firm must other requirements of Rule 5315, disclosure does not specify pre-tax including the ownership and market provide a report of having applied earnings from continuing operations, agreed-upon procedures with respect to value requirements contained in Rule minority interest, and equity in the 5315(f) and, upon listing, are subject to such adjustments. Such report must be earnings or losses of investees, then prepared in accordance with the the Global Market continued listing such data must be prepared by the standards. standards established by the American company’s outside audit firm for the Institute of Certified Public Nasdaq based this listing standard on Exchange’s consideration. In this a listing standard adopted by the New Accountants. regard, the audit firm would have to (B) Fund an acquisition: York Stock Exchange (‘‘NYSE’’), though issue an independent accountant’s (i) The adjustments will include those the numeric requirements of the Nasdaq report on applying agreed-upon applicable with respect to acquisition(s) standard are higher than those of the procedures in accordance with the standards established by the American 4 Changes are marked to the rule text that appears 5 Securities Exchange Act Release No. 61904 in the electronic manual of Nasdaq found at Institute of Certified Public (April 14, 2010), 75 FR 20651 (April 20, 2010) (SR– http://nasdaqomx.cchwallstreet.com. Accountants. NASDAQ–2010–047).

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NYSE.6 However, unlike the NYSE publicly traded and has an average C. Self-Regulatory Organization’s requirement upon which the standard is monthly trading volume over the prior Statement on Comments on the based, Nasdaq required that the total 12 months of at least 1.1 million shares Proposed Rule Change Received From assets portion of the requirement be met per month, it can list with 550 total Members, Participants, or Others at the end of the prior fiscal year. As a holders. Nasdaq believes that these Written comments were neither result, companies are only able to requirements are comparable to, or more solicited nor received. demonstrate compliance with the total stringent than, the requirement of SEC assets portion of this standard based on Rule 3a51–1(a)(2)(i)(D) that a security III. Date of Effectiveness of the a single point in time each year—the have at least 300 round lot holders, and Proposed Rule Change and Timing for year-end financials. To conform with satisfy the same objective by assuring Commission Action NYSE’s treatment under their adequate liquidity in the security. Last, Because the proposed rule change: (i) comparable standard, Nasdaq proposes SEC Rule 3a51–1(a)(2)(i)(E) requires at Does not significantly affect the to delete the requirement in Rule least 1 million publicly held shares with protection of investors or the public 5315(f)(3)(D)(ii) that total assets be a market value of at least $5 million. interest; (ii) does not impose any demonstrated as of the close of the most Rule 5315(e)(2) requires all securities significant burden on competition; and recent fiscal year. Nasdaq also proposes listing on the Nasdaq Global Select (iii) does not become operative for 30 to add a definition in Rule 5310 Market to have at least 1.25 million days after the date of the filing, or such explaining what adjustments will be publicly held shares and Rule 5215(f)(2) shorter time as the Commission may made to total assets and stockholders’ requires a minimum $45 million market designate if consistent with the equity to reflect the use of proceeds and value of publicly held shares. As such, protection of investors and the public acquisitions and dispositions. These Nasdaq believes its initial listing interest, the proposed rule change has adjustments are identical to the standards for the Global Select Market become effective pursuant to Section adjustments specified in the NYSE continue to meet or exceed the 19(b)(3)(A) of the Act 13 and Rule 19b– Listed Company Manual.7 14 requirements of the Penny Stock 4(f)(6) thereunder. Nasdaq believes that the proposed Rules.10 A proposed rule change filed amendment to Rule 5315(f)(3)(D) does pursuant to Rule 19b–4(f)(6) under the not affect the status of Global Select 2. Statutory Basis Act 15 normally does not become Market-listed securities under Securities operative for 30 days after the date of its Exchange Act Rule 3a51–1(a) (the Nasdaq believes that the proposed filing. However, Rule 19b–4(f)(6)(iii) 16 ‘‘Penny Stock Rule’’),8 as the amended rule change is consistent with the permits the Commission to designate a standards satisfy the requirements of provisions of Section 6 of the Act,11 in shorter time if such action is consistent Exchange Act Rule 3a51–1(a)(2).9 Rule general and with Sections 6(b)(5) of the with the protection of investors and the 5315(f)(3)(D) requires stockholders’ Act,12 in particular in that it is designed public interest. The Exchange has equity of at least $55 million, which to prevent fraudulent and manipulative requested that the Commission waive exceeds the requirement in SEC Rule acts and practices, to promote just and the 30-day operative delay so that 3a51–1(a)(2)(i)(A)(1) of $5 million. Rule equitable principles of trade, to foster companies may immediately take 5315(f)(3)(D) also requires a minimum cooperation and coordination with advantage of the proposed rule change. market capitalization of $160 million. persons engaged in regulating, clearing, In support of the waiver, Nasdaq Nasdaq believes that this meets or settling, processing information with believes that its proposal is consistent exceeds the requirement of SEC Rule respect to, and facilitating transactions with NYSE’s rules, which were 3a51–1(a)(2)(i)(B) that a company have a in securities, to remove impediments to previously published for public market value of listed securities of at and perfect the mechanism of a free and comment, and raise no new issues. least $50 million, although these are not open market and a national market The Commission believes that waiver identical standards. Nasdaq believes system, and, in general, to protect of the operative delay is consistent with that its Global Select Market’s rules will investors and the public interest. The the protection of investors and the also exceed the Penny Stock Rules proposed rule change is consistent with public interest. In making this remaining stock price and distribution the investor protection objectives of the determination, the Commission notes requirements. Rule 5315(e)(1) requires Act in that the proposed requirements that Nasdaq’s proposed rule change is companies initially listing on Nasdaq to modify and provide transparency to the consistent with the NYSE’s comparable have a minimum bid price of $4 per calculation of total assets, but maintain listing standard in Section 102.01C(IV) share, thereby satisfying the $4 the requirement at a level high enough of the NYSE’s Listed Company Manual requirement of SEC Rule 3a51– so that only companies that are suitable (‘‘Assets and Equity Test’’) and 1(a)(2)(i)(C). Rule 5315(f)(1) requires a for listing on the Global Select Market applicable adjustments as set forth in company’s securities to have either 450 will qualify to list. Section 102.01C(I) of the NYSE’s Listed round lot holders or at least 2,200 total Company Manual.17 The Commission holders, although if a company is B. Self-Regulatory Organization’s believes that Nasdaq’s proposed rule Statement on Burden on Competition

6 13 Securities Exchange Act Release No. 58934 Nasdaq does not believe that the 15 U.S.C. 78s(b)(3)(A). (November 12, 2008), 73 FR 69708 (November 19, 14 17 CFR 240.19b–4(f)(6). Pursuant to Rule 19b– 2008) (SR–NYSE–2008–098, modifying Section proposed rule change will result in any 4(f)(6)(iii) under the Act, the Exchange is required 102.01C of the Listed Company Manual). The NYSE burden on competition that is not to give the Commission written notice of its intent listing standard allows a company to list if it has necessary or appropriate in furtherance to file the proposed rule change, along with a brief total assets of at least $75 million, stockholders’ description and text of the proposed rule change, equity of at least $50 million, and a global market of the purposes of the Act, as amended. at least five business days prior to the date of filing capitalization of at least $150 million. of the proposed rule change, or such shorter time 7 See Section 102.01C(IV)(ii) of the Listed 10 Nasdaq notes that each of these requirements as designated by the Commission. The Commission Company Manual noting that total assets and exceed the comparable requirements of the NYSE. notes that the Exchange has satisfied this stockholders’ equity are adjusted pursuant to See Securities Exchange Act Release No. 58934, requirement. Sections 102.01C(I)(3)(a) and (b). supra, note 6. 15 17 CFR 240.19b–4(f)(6). 8 17 CFR 240.a51–1(a). 11 15 U.S.C. 78f. 16 17 CFR 240.19b–4(f)(6)(iii). 9 17 CFR 240.a51–1(a)(2). 12 15 U.S.C. 78f(b)(5). 17 See supra notes 6 and 7.

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change does not raise any issues that with respect to the proposed rule I. Self-Regulatory Organization’s were not previously considered by the change that are filed with the Statement of the Terms of the Substance Commission in its approval of the Commission, and all written of the Proposed Rule Change NYSE’s Assets and Equities Test and communications relating to the NASDAQ is filing with the Securities does not otherwise raise any new proposed rule change between the Commission [sic] a proposal for regulatory issues. The Commission also Commission and any person, other than NASDAQ to amend NASDAQ Rules notes that the NYSE’s proposal to adopt those that may be withheld from the 2360 (Approval Procedures for Day- the Assets and Equity Test listing public in accordance with the Trading Accounts); 2361 (Day-Trading standard, with the applicable provisions of 5 U.S.C. 552, will be Risk Disclosure Statement); 2370 adjustments noted above, was subject to available for Web site viewing and (Borrowing From or Lending to full notice and comment, and the printing in the Commission’s Public Customers); and 6951 (Definitions) to Commission received no comments on Reference Room, 100 F Street, NE., make non-substantive changes that the NYSE’s rule proposal. For these Washington, DC 20549, on official reflect recent changes to corresponding reasons, the Commission designates, business days between the hours of 10 rules of the Financial Industry consistent with the protection of a.m. and 3 p.m. Copies of such filing Regulatory Authority (‘‘FINRA’’). investors and the public interest, that also will be available for inspection and The text of the proposed rule change the proposed rule change become copying at the principal office of is available from NASDAQ’s Web site at operative immediately upon filing.18 NASDAQ. All comments received will http://nasdaq.cchwallstreet.com/ At any time within 60 days of the be posted without change; the Filings/, at NASDAQ’s principal office, filing of the proposed rule change, the Commission does not edit personal and at the Commission’s Public Commission summarily may identifying information from Reference Room. temporarily suspend the rule change if submissions. You should submit only it appears to the Commission that such information that you wish to make II. Self-Regulatory Organization’s action is necessary or appropriate in the available publicly. All submissions Statement of the Purpose of, and public interest, for the protection of should refer to File No. SR–NASDAQ– Statutory Basis for, the Proposed Rule investors, or otherwise in furtherance of 2011–050 and should be submitted on Change the purposes of the Act. or before May 4, 2011. In its filing with the Commission, NASDAQ included statements IV. Solicitation of Comments For the Commission, by the Division of Trading and Markets, pursuant to delegated concerning the purpose of and basis for Interested persons are invited to authority.19 the proposed rule change and discussed submit written data, views, and Cathy H. Ahn, any comments it received on the arguments concerning the foregoing, Deputy Secretary. proposed rule change. The text of these including whether the proposed rule statements may be examined at the [FR Doc. 2011–8914 Filed 4–12–11; 8:45 am] change is consistent with the Act. places specified in Item IV below. Comments may be submitted by any of BILLING CODE 8011–01–P NASDAQ has prepared summaries, set the following methods: forth in sections A, B, and C below, of Electronic Comments SECURITIES AND EXCHANGE the most significant aspects of such COMMISSION statements. • Use the Commission’s Internet comment form (http://www.sec.gov/ A. Self-Regulatory Organization’s rules/sro.shtml); or [Release No. 34–64262; File No. SR– Statement of the Purpose of, and • Send an e-mail to rule- NASDAQ–2011–047] Statutory Basis for, the Proposed Rule Change [email protected]. Please include File Self-Regulatory Organizations; The No. SR–NASDAQ–2011–050 on the NASDAQ Stock Market LLC; Notice of 1. Purpose subject line. Filing and Immediate Effectiveness of The Exchange is not making any Paper Comments Proposed Rule Change To Conform substantive changes to the content of its Rules 2360, 2361, 2370, 6951 to FINRA • Send paper comments in triplicate rules. The purpose of this proposal is to Rule Changes to Elizabeth M. Murphy, Secretary, update NASDAQ Rules 2360, 2361, 2370, and 6951 to reflect proper cross- Securities and Exchange Commission, April 8, 2011. 100 F Street, NE., Washington, DC references to corresponding FINRA 20549–1090. Pursuant to Section 19(b)(1) of the rules. Securities Exchange Act of 1934 Many of NASDAQ’s rules are based All submissions should refer to File No. (‘‘Act’’) 1, and Rule 19b–4 thereunder,2 on rules of FINRA (formerly the SR–NASDAQ–2011–050. This file notice is hereby given that on April 1, National Association of Securities number should be included on the 2011, The NASDAQ Stock Market LLC Dealers (‘‘NASD’’)). During 2008, FINRA subject line if e-mail is used. To help the (‘‘NASDAQ’’) filed with the Securities embarked on an extended process of Commission process and review your and Exchange Commission (‘‘SEC’’ or moving rules formerly designated as comments more efficiently, please use ‘‘Commission’’) the proposed rule ‘‘NASD Rules’’ into a consolidated only one method. The Commission will change as described in Items I, II, and FINRA rulebook. In most cases, FINRA post all comments on the Commission’s III, below, which Items have been has renumbered these rules, and in Internet Web site (http://www.sec.gov/ prepared by NASDAQ. The Commission some cases has substantively amended rules/sro.shtml). Copies of the is publishing this notice to solicit them. Accordingly, NASDAQ also submission, all subsequent comments on the proposed rule change proposes to initiate a process of amendments, all written statements from interested persons. modifying its rulebook to ensure that NASDAQ rules corresponding to 18 For purposes only of waiving the 30-day operative delay, the Commission has considered the 19 17 CFR 200.30–3(a)(12). FINRA/NASD rules continue to mirror proposed rule’s impact on efficiency, competition, 1 15 U.S.C. 78s(b)(1). them as closely as practicable. In some and capital formation. 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4. cases, it will not be possible for the rule

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numbers of NASDAQ rules to mirror Additionally, in SR–FINRA–2009– III. Date of Effectiveness of the corresponding FINRA rules, because 005,5 FINRA renumbered cross- Proposed Rule Change and Timing for existing or planned NASDAQ rules references in its rules from NYSE Rule Commission Action make use of those numbers. However, 80A to NYSE Rule 132B on the basis of The Exchange believes that the ‘‘ ’’ wherever possible, NASDAQ plans to a New York Stock Exchange ( NYSE or foregoing proposed rule change may ’’ 6 update its rules to reflect changes to NYSE Euronext ) rule proposal. In that take effect upon filing with the corresponding FINRA rules. proposal, NYSE rescinded its Rule 80A Commission pursuant to Section regarding index arbitration [sic] In SR–FINRA–2009–059,3 FINRA 19(b)(3)(A) 9 of the Act and Rule 19b– restrictions and repositioned the adopted, with minor changes, NASD 4(f)(6)(iii) thereunder 10 because the definitions of ‘‘index arbitrage’’ and Rules 2360 and 2361 regarding day foregoing proposed rule change does ‘‘program trading’’ into NYSE Rule 132B. trading into the FINRA consolidated not: (i) Significantly affect the Because NASDAQ Rule 6951 refers in rulebook as FINRA Rules 2130 and protection of investors or the public its definitions of index arbitrage and 2270, respectively. FINRA Rules 2130 interest; (ii) impose any significant program trading to Rule 80A, NASDAQ and 2270, like former NASD Rules 2360 burden on competition; and (iii) become is, by this filing, updating the references and 2361, define day-trading strategy operative for 30 days from the date on in its Rule 6951 from NYSE Rule 80A and focus on members’ obligations to which it was filed, or such shorter time to 132B. disclose to non-institutional customers as the Commission may designate. the basic risks of engaging in a day- 2. Statutory Basis At any time within 60 days of the trading strategy and to assess the filing of the proposed rule change, the appropriateness of day-trading strategies The Exchange believes that the Commission summarily may for such customers. FINRA Rule 2130 proposed rule change is consistent with temporarily suspend such rule change if 7 creates an obligation on members that the provisions of Section 6 of the Act, it appears to the Commission that such promote a day-trading strategy regarding in general, and with Sections 6(b)(5) of action is: (i) Necessary or appropriate in 8 account-opening approval procedures the Act, in particular, in that the the public interest; (ii) for the protection for non-institutional customers. FINRA proposal is designed to prevent of investors; or (iii) otherwise in Rule 2270 creates an obligation on such fraudulent and manipulative acts and furtherance of the purposes of the Act. members to disclose to non-institutional practices, to promote just and equitable If the Commission takes such action, the customers the unique risks of engaging principles of trade, to foster cooperation Commission shall institute proceedings in a day-trading strategy. NASDAQ is, and coordination with persons engaged to determine whether the proposed rule by this filing, updating the references in in regulating, clearing, settling, should be approved or disapproved. its Rules 2360 and 2361 from NASD processing information with respect to, IV. Solicitation of Comments Rules 2360 and 2361 to FINRA Rules and facilitating transactions in 2130 and 2270. securities, to remove impediments to Interested persons are invited to and perfect the mechanism of a free and NASDAQ is similarly updating the submit written data, views, and open market and a national market arguments concerning the foregoing, reference in its Rule 2370 from NASD system, and, in general, to protect Rule 2370 to FINRA Rule 3240. In SR– including whether the proposed rule 4 investors and the public interest. The change is consistent with the Act. FINRA–2009–095, FINRA adopted, proposed changes will conform with minor changes, NASD Rule 2370 Comments may be submitted by any of NASDAQ Rules 2360, 2361, 2370, and the following methods: regarding borrowing from or lending to 6951 to recent changes made to several customers into the FINRA consolidated corresponding FINRA rules, to promote Electronic Comments rulebook as FINRA Rule 3240, and application of consistent regulatory • Use the Commission’s Internet added record retention requirements. standards. FINRA Rule 3240, like former NASD comment form (http://www.sec.gov/ B. Self-Regulatory Organization’s rules/sro.shtml); or Rules 2370, focuses in general on the • appropriateness of particular lending Statement on Burden on Competition Send an e-mail to rule- arrangements between FINRA member [email protected]. Please include File broker-dealers and their registered NASDAQ does not believe that the Number SR–NASDAQ–2011–047 on the persons and customers (to the extent proposed rule change will result in any subject line. burden on competition that is not permitted by the member) and the Paper Comments necessary or appropriate in furtherance potential for conflicts of interests • between both the registered person and of the purposes of the Act. Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, his or her customer and the registered C. Self-Regulatory Organization’s Securities and Exchange Commission, person and the member with which he Statement on Comments on the 100 F Street, NE., Washington, DC or she is associated. Proposed Rule Change Received From 20549–1090. Members, Participants, or Others 3 See Securities Exchange Release No. 61059 All submissions should refer to File (November 24, 2009), 74 FR 62847 (December 1, Written comments were neither Number SR–NASDAQ–2011–047. This 2009) (SR–FINRA–2009–059) (notice of filing and solicited nor received. file number should be included on the immediate effectiveness). See also Securities subject line if e-mail is used. Exchange Release No. 59432 (February 23, 2009), 74 FR 9121 (March 2, 2009) (SR–FINRA–2009–005) 5 See Securities Exchange Release No. 59432 (notice of filing and immediate effectiveness (February 23, 2009), 74 FR 9121 (March 2, 2009) 9 15 U.S.C. 78s(b)(3)(A). regarding, among other things, updated rule cross- (SR–FINRA–2009–005) (notice of filing and 10 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule references and other non-substantive technical immediate effectiveness). 19b–4(f)(6) requires a self-regulatory organization to changes to FINRA Rules 2360 and 2370). 6 See Securities Exchange Release No. 56726 give the Commission written notice of its intent to 4 See Securities Exchange Release No. 61537 (October 31, 2007), 72 FR 62719 (November 6, 2007) file the proposed rule change at least five business (February 18, 2010), 75 FR 8772 (February 25, (SR–NYSE–2007–96) (notice of filing and days prior to the date of filing of the proposed rule 2010)(SR–FINRA–2009–095)(order approving, immediate effectiveness). change, or such shorter time as designated by the among other things, adoption of NASD Rule 2370 7 15 U.S.C. 78f. Commission. The Exchange has satisfied this as FINRA Rule 3240). 8 15 U.S.C. 78f(b)(5). requirement.

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To help the Commission process and change as described in Items I and II (‘‘NASD’’)). As a consequence, many of review your comments more efficiently, below, which Items have been prepared BX’s rules closely mirror those of please use only one method. The by the Exchange. The Exchange has FINRA. During 2008, FINRA embarked Commission will post all comments on designated the proposed rule change as on an extended process of moving rules the Commission’s Internet Web site constituting a non-controversial rule formerly designated as ‘‘NASD Rules’’ (http://www.sec.gov/rules/sro.shtml). change under Rule 19b–4 (f)(6) under into a consolidated FINRA rulebook. In Copies of the submission, all subsequent the Act,3 which renders the proposal most cases, FINRA has renumbered amendments, all written statements effective upon filing with the these rules, and in some cases has with respect to the proposed rule Commission. The Commission is substantively amended them. change that are filed with the publishing this notice to solicit Accordingly, BX also proposes to Commission, and all written comments on the proposed rule change initiate a process of modifying its communications relating to the from interested persons. rulebook to ensure that BX rules proposed rule change between the I. Self-Regulatory Organization’s corresponding to FINRA/NASD rules Commission and any person, other than Statement of the Terms of the Substance continue to mirror them as closely as those that may be withheld from the of the Proposed Rule Change practicable. In some cases, it will not be public in accordance with the possible for the rule numbers of BX provisions of 5 U.S.C. 552, will be The Exchange is filing this proposed rules to mirror corresponding FINRA available for Web site viewing and rule change to amend BX Rules 2360 rules, because existing or planned BX printing in the Commission’s Public (Approval Procedures for Day-Trading rules make use of those numbers. Reference Room on official business Accounts); 2361 (Day-Trading Risk However, wherever possible, BX plans days between the hours of 10 a.m. and Disclosure Statement); 2370 (Borrowing to update its rules to reflect changes to 3 p.m. Copies of such filing also will be From or Lending to Customers); and corresponding FINRA rules. available for inspection and copying at 6951 (Definitions) to make non- In SR–FINRA–2009–059,4 FINRA the principal offices of the Exchange. substantive changes that reflect recent adopted, with minor changes, NASD All comments received will be posted changes to corresponding rules of the Rules 2360 and 2361 regarding day without change; the Commission does Financial Industry Regulatory Authority trading into the FINRA consolidated not edit personal identifying (‘‘FINRA’’). rulebook as FINRA Rules 2130 and information from submissions. You The text of the proposed rule change 2270, respectively. FINRA Rules 2130 should submit only information that is available at http:// and 2270, like former NASD Rules 2360 you wish to make available publicly. All nasdaqomxbx.cchwallstreet.com, the and 2361, define day-trading strategy submissions should refer to File Exchange’s principal office, and at the Number SR–NASDAQ–2011–047, and Commission’s Public Reference Room. and focus on members’ obligations to disclose to non-institutional customers should be submitted on or before May II. Self-Regulatory Organization’s 4, 2011. the basic risks of engaging in a day- Statement of the Purpose of, and trading strategy and to assess the For the Commission, by the Division of Statutory Basis for, the Proposed Rule appropriateness of day-trading strategies Trading and Markets, pursuant to delegated Change for such customers. FINRA Rule 2130 authority.11 In its filing with the Commission, the creates an obligation on members that Cathy H. Ahn, Exchange included statements promote a day-trading strategy regarding Deputy Secretary. concerning the purpose of and basis for account-opening approval procedures [FR Doc. 2011–8913 Filed 4–12–11; 8:45 am] the proposed rule change and discussed for non-institutional customers. FINRA BILLING CODE 8011–01–P any comments it received on the Rule 2270 creates an obligation on such proposed rule change. The text of these members to disclose to non-institutional statements may be examined at the customers the unique risks of engaging SECURITIES AND EXCHANGE places specified in Item IV below. The in a day-trading strategy. BX is, by this COMMISSION Exchange has prepared summaries, set filing, updating the references in its [Release No. 34–64261; File No. SR–BX– forth in Sections A, B, and C below, of Rules 2360 and 2361 from NASD Rules 2011–021] the most significant aspects of such 2360 and 2361 to FINRA Rules 2130 and statements. 2270. Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing A. Self-Regulatory Organization’s BX is similarly updating the reference and Immediate Effectiveness of Statement of the Purpose of, and in its Rule 2370 from NASD Rule 2370 5 Proposed Rule Change To Amend Statutory Basis for, the Proposed Rule to FINRA Rule 3240. In SR–FINRA– 6 Rules 2360, 2361, 2370, and 6951 To Change 2009–095, FINRA adopted, with minor Reflect Changes to Corresponding 1. Purpose 4 FINRA Rules See Securities Exchange Release No. 61059 The Exchange is not making any (November 24, 2009), 74 FR 62847 (December 1, substantive changes to the content of its 2009)(SR–FINRA–2009–059)(notice of filing and April 8, 2011. immediate effectiveness). See also Securities Pursuant to Section 19(b)(1) of the rules. The purpose of this proposal is to Exchange Release No. 59432 (February 23, 2009), 74 Securities Exchange Act of 1934 update BX Rules 2360, 2361, 2370, and FR 9121 (March 2, 2009)(SR–FINRA–2009– (‘‘Act’’),1 and Rule 19b–4 thereunder,2 6951 to reflect proper cross-references to 005)(notice of filing and immediate effectiveness corresponding FINRA rules. regarding, among other things, updated rule cross- notice is hereby given that on April 1, references and other non-substantive technical 2011, NASDAQ OMX BX, Inc. (the BX based many of its rules on those changes to FINRA Rules 2360 and 2370). ‘‘Exchange’’ or ‘‘BX’’) filed with the of The NASDAQ Stock Market LLC 5 BX is also deleting obsolete references in Rules Securities and Exchange Commission (‘‘NASDAQ’’). Similarly, many of 2360, 2361, and 2370 regarding FINRA being in the (‘‘Commission’’) the proposed rule NASDAQ’s rules are based on rules of in the process of consolidating certain NASD rules FINRA (formerly the National into a new FINRA rulebook. 6 See Securities Exchange Release No. 61537 11 17 CFR 200.30–3(a)(12). Association of Securities Dealers (February 18, 2010), 75 FR 8772 (February 25, 1 15 U.S.C. 78s(b)(1). 2010)(SR–FINRA–2009–095)(order approving, 2 17 CFR 240.19b–4 . 3 17 CFR 240.19b–4 (f)(6). Continued

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changes, NASD Rule 2370 regarding application of consistent regulatory All submissions should refer to File borrowing from or lending to customers standards. Number SR–BX–2011–021. This file into the FINRA consolidated rulebook number should be included on the B. Self-Regulatory Organization’s as FINRA Rule 3240, and added record subject line if e-mail is used. Statement on Burden on Competition retention requirements. FINRA Rule To help the Commission process and 3240, like former NASD Rules 2370, The Exchange does not believe that review your comments more efficiently, focuses in general on the the proposed rule change will result in please use only one method. The appropriateness of particular lending any burden on competition that is not Commission will post all comments on arrangements between FINRA member necessary or appropriate in furtherance the Commission’s Internet Web site broker-dealers and their registered of the purposes of the Act, as amended. (http://www.sec.gov/rules/sro.shtml). persons and customers (to the extent Copies of the submission, all subsequent C. Self-Regulatory Organization’s amendments, all written statements permitted by the member) and the Statement on Comments on the potential for conflicts of interests with respect to the proposed rule Proposed Rule Change Received From change that are filed with the between both the registered person and Members, Participants, or Others his or her customer and the registered Commission, and all written person and the member with which he Written comments were neither communications relating to the or she is associated. solicited nor received. proposed rule change between the Commission and any person, other than Additionally, in SR–FINRA–2009– III. Date of Effectiveness of the 005,7 FINRA renumbered cross- those that may be withheld from the Proposed Rule Change and Timing for public in accordance with the references in its rules from NYSE Rule Commission Action 80A to NYSE Rule 132B on the basis of provisions of 5 U.S.C. 552, will be a New York Stock Exchange (‘‘NYSE’’ or Because the foregoing proposed rule available for Web site viewing and NYSE Euronext’’) rule proposal.8 In that change does not: (i) Significantly affect printing in the Commission’s Public proposal, NYSE rescinded its Rule 80A the protection of investors or the public Reference Room on official business regarding index arbitration [sic] interest; (ii) impose any significant days between the hours of 10 a.m. and restrictions and repositioned the burden on competition; and (iii) become 3 p.m. Copies of such filing also will be definitions of ‘‘index arbitrage’’ and operative for 30 days from the date on available for inspection and copying at ‘‘program trading’’ into NYSE Rule 132B. which it was filed, or such shorter time the principal offices of the Exchange. Because BX Rule 6951 refers in its as the Commission may designate, it has All comments received will be posted definitions of index arbitrage and become effective pursuant to Section without change; the Commission does 11 program trading to Rule 80A, BX is, by 19(b)(3)(A) of the Act and Rule 19b– not edit personal identifying 12 this filing, updating the references in its 4 (f)(6) thereunder. information from submissions. You Rule 6951 from NYSE Rule 80A to 132B. At any time within 60 days of the should submit only information that filing of the proposed rule change, the you wish to make available publicly. All 2. Statutory Basis Commission summarily may submissions should refer to File The Exchange believes that the temporarily suspend such rule change if Number SR–BX–2011–021, and should proposed rule change is consistent with it appears to the Commission that such be submitted on or before May 4, 2011. the provisions of Section 6 of the Act,9 action is necessary or appropriate in the For the Commission, by the Division of in general, and with Sections 6(b)(5) of public interest, for the protection of Trading and Markets, pursuant to delegated the Act,10 in particular, in that the investors, or otherwise in furtherance of authority.13 proposal is designed to prevent the purposes of the Act. Cathy H. Ahn, fraudulent and manipulative acts and IV. Solicitation of Comments Deputy Secretary. practices, to promote just and equitable [FR Doc. 2011–8911 Filed 4–12–11; 8:45 am] principles of trade, to foster cooperation Interested persons are invited to BILLING CODE 8011–01–P and coordination with persons engaged submit written data, views, and in regulating, clearing, settling, arguments concerning the foregoing, processing information with respect to, including whether the proposed rule SECURITIES AND EXCHANGE and facilitating transactions in change is consistent with the Act. COMMISSION securities, to remove impediments to Comments may be submitted by any of the following methods: [Release No. 34–64253; File No. SR–EDGX– and perfect the mechanism of a free and 2011–09] open market and a national market Electronic Comments Self-Regulatory Organizations; EDGX system, and, in general, to protect • investors and the public interest. The Use the Commission’s Internet Exchange, Inc.; Notice of Filing and proposed changes will conform BX comment form (http://www.sec.gov/ Immediate Effectiveness of Proposed rules/sro.shtml); or Rule Change Relating to Amendments Rules 2360, 2361, 2370, and 6951 to • recent changes made to several Send an e-mail to rule- to the EDGX Exchange, Inc. Fee corresponding FINRA rules, to promote [email protected]. Please include File Schedule Number SR–BX–2011–021 on the subject line. April 7, 2011. among other things, adoption of NASD Rule 2370 Pursuant to Section 19(b)(1) of the as FINRA Rule 3240). Paper Comments 7 See Securities Exchange Release No. 59432 Securities Exchange Act of 1934 (the (February 23, 2009), 74 FR 9121 (March 2, • Send paper comments in triplicate ‘‘Act’’),1 and Rule 19b–4 thereunder,2 2009)(SR–FINRA–2009–005)(notice of filing and to Elizabeth M. Murphy, Secretary, notice is hereby given that on April 6, immediate effectiveness). Securities and Exchange Commission, 2011, the EDGX Exchange, Inc. (the 8 See Securities Exchange Release No. 56726 (October 31, 2007), 72 FR 62719 (November 6, 100 F Street, NE., Washington, DC ‘‘Exchange’’ or the ‘‘EDGX’’) filed with 2007)(SR–NYSE–2007–96)(notice of filing and 20549–1090. immediate effectiveness). 13 17 CFR 200.30–3(a)(12). 9 15 U.S.C. 78f. 11 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(1). 10 15 U.S.C. 78f(b)(5). 12 17 CFR 240.19b–4 (f)(6). 2 17 CFR 240.19b–4.

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the Securities and Exchange for the equitable allocation of reasonable strategies is Parallel D or Parallel 2D Commission (‘‘Commission’’) the dues, fees and other charges among its with the DRT (Dark routing technique) proposed rule change as described in members and other persons using its option on BATS BZX Exchange Items I, II, and III below, which items facilities. (‘‘BATS’’). BATS charges $0.0020 per have been prepared by the self- The Exchange believes that the share for its DRT option. The Exchange regulatory organization. The proposed reduced rate for Flag T believes that the proposed rebate is non- Commission is publishing this notice to (routing using ROUD/ROUE routing discriminatory in that it applies solicit comments on the proposed rule strategies) of $0.0012 per share is an uniformly to all Members. change from interested persons. equitable allocation of reasonable dues, The Exchange notes that it operates in fees, and other charges. Lower fees are a highly competitive market in which I. Self-Regulatory Organization’s directly correlated with a higher number market participants can readily direct Statement of the Terms of Substance of of intermediate low cost destinations as order flow to competing venues if they the Proposed Rule Change the more intermediate low cost deem fee levels at a particular venue to The Exchange proposes to amend its destinations that there are, there is a be excessive. The proposed rule change fees and rebates applicable to Members 3 greater potential for an execution at a reflects a competitive pricing structure of the Exchange pursuant to EDGX Rule lower cost destination before reaching a designed to incent market participants 15.1(a) and (c). All of the changes higher cost destination. For example, to direct their order flow to the described herein are applicable to EDGX the ROUQ routing strategy, as defined in Exchange. The Exchange believes that Members. The text of the proposed rule Rule 11.9(b)(3)(c)(iv),6 routes to the the proposed rates are equitable in that change is available on the Exchange’s lowest number of low cost destinations they apply uniformly to all Members. Internet Web site at http:// compared to the ROUD/ROUE 7 and The Exchange believes the fees and www.directedge.com. ROUZ 8 routing strategies. As a result, credits remain competitive with those the Exchange charges a higher fee for charged by other venues and therefore II. Self-Regulatory Organization’s such strategy of $0.0020 per share (flag continue to be reasonable and equitably Statement of the Purpose of, and Q). The ROUD/ROUE routing strategies allocated to Members. Statutory Basis for, the Proposed Rule route to a medium number of low cost Change destinations and the ROUZ routing B. Self-Regulatory Organization’s In its filing with the Commission, the strategy routes to the highest number of Statement on Burden on Competition self-regulatory organization included low costs destinations amongst these The proposed rule change does not statements concerning the purpose of, routing strategies. As a result, the impose any burden on competition that and basis for, the proposed rule change Exchange will assess a proposed fee of is not necessary or appropriate in and discussed any comments it received $0.0012 per share for the ROUD/ROUE furtherance of the purposes of the Act. on the proposed rule change. The text routing strategies and assesses the C. Self-Regulatory Organization’s of these statements may be examined at lowest fee for the ROUZ routing strategy Statement on Comments on the the places specified in Item IV below. of $0.0010 per share. The more low cost Proposed Rule Change Received From The self-regulatory organization has destinations that an order routes to Members, Participants or Others prepared summaries, set forth in allows the Exchange to pass on the sections A, B and C below, of the most savings it receives from such The Exchange has not solicited, and significant aspects of such statements. destinations to its members in lower does not intend to solicit, comments on fees. Therefore, it is equitable that this proposed rule change. The A. Self-Regulatory Organization’s ROUQ has the highest fee of $0.0020 per Exchange has not received any Statement of the Purpose of, and share, while ROUD/ROUE has an unsolicited written comments from Statutory Basis for, the Proposed Rule intermediate fee of $0.0012 per share, members or other interested parties. Change and ROUZ has the lowest fee of the III. Date of Effectiveness of the 1. Purpose three strategies of $0.0010 per share. The Exchange also notes that a Proposed Rule Change and Timing for The Exchange proposes to reduce the difference between ROUQ and ROUZ Commission Action rate on Flag T from $0.0020 per share routing strategies is that the additional The foregoing rule change has become to $0.0012 per share for routing using routing destinations in the ROUZ effective pursuant to Section 19(b)(3) of the ROUD/ROUE routing strategies, as routing strategy are intermediate the Act 9 and Rule 19b–4(f)(2) 10 defined in Rules 11.9(b)(3)(b) and between the routing destinations in thereunder. At any time within 60 days 11.9(b)(3)(c)(i). ROUQ. This also accounts for the of the filing of such proposed rule EDGX Exchange proposes to differences in fees. Therefore, for each change, the Commission summarily may implement this amendment to the additional intermediate low cost temporarily suspend such rule change if Exchange fee schedule on April 6, 2011. destination that an order routes to, the it appears to the Commission that such 2. Statutory Basis prices of the strategies mentioned above action is necessary or appropriate in the (ROUQ, ROUD/ROUE, ROUZ) decrease public interest, for the protection of The Exchange believes that the accordingly. investors, or otherwise in furtherance of proposed rule change is consistent with The Exchange believes that the rate is the purposes of the Act. the objectives of Section 6 of the reasonable when compared to other Exchange Act,4 in general, and furthers market centers using similar routing IV. Solicitation of Comments the objectives of Section 6(b)(4),5 in strategies. The comparable routing Interested persons are invited to particular, as it is designed to provide strategy to the ROUD/ROUE routing submit written data, views, and arguments concerning the foregoing, 3 A Member is any registered broker or dealer, or 6 See SR–EDGX–2011–08 (April 1, 2011). including whether the proposed rule any person associated with a registered broker or 7 The Exchange notes that ROUD/ROUE routing change is consistent with the Act. dealer, that has been admitted to membership in the strategies route to the identical number of low cost Exchange. destinations. 4 15 U.S.C. 78f. 8 See SR–EDGX–2011–08 (April 1, 2011). See 9 15 U.S.C. 78s(b)(3)(A). 5 15 U.S.C. 78f(b)(4). Rule 11.9(b)(3)(c)(v). 10 17 CFR 19b–4(f)(2).

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Comments may be submitted by any of For the Commission, by the Division of A. Self-Regulatory Organization’s the following methods: Trading and Markets, pursuant to delegated Statement of the Purpose of, and authority.12 Statutory Basis for, the Proposed Rule Electronic Comments Cathy H. Ahn, Change Deputy Secretary. • Use the Commission’s Internet 1. Purpose comment form (http://www.sec.gov/ [FR Doc. 2011–8910 Filed 4–12–11; 8:45 am] rules/sro.shtml); or BILLING CODE 8011–01–P The ISE is proposing to amend its Schedule of Fees regarding the • Send an e-mail to rule- Exchange’s API or login fees. ISE [email protected]. Please include File SECURITIES AND EXCHANGE currently charges its members a fee for Number SR–EDGX–2011–09 on the COMMISSION each login that a Member utilizes for subject line. quoting or order entry, with a lesser [Release No. 34–64269; File No. SR–ISE– Paper Comments charge for logins used for the limited 2011–21] purpose of ‘‘listening’’ to broadcast • Send paper comments in triplicate messages.3 The Exchange currently has Self-Regulatory Organizations; to Elizabeth M. Murphy, Secretary, the following categories of authorized International Securities Exchange, Securities and Exchange Commission, logins: (1) Quoting, order entry and LLC; Notice of Filing and Immediate listening (allowing the user to enter 100 F Street, NE., Washington, DC Effectiveness of Proposed Rule 20549–1090. quotes, orders, and perform all other Change Relating to API Fees miscellaneous functions, such as setting All submissions should refer to File April 8, 2011. parameters and pulling quotes); (2) Number SR–EDGX–2011–09. This file Pursuant to Section 19(b)(1) of the order entry and listening (allowing the number should be included on the Securities Exchange Act of 1934 (the user to enter orders and perform all subject line if e-mail is used. To help the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 other miscellaneous functions, such as Commission process and review your notice is hereby given that on April 6, setting parameters and pulling quotes comments more efficiently, please use 2011, the International Securities (but not quoting)); and (3) listening only one method. The Commission will Exchange, LLC (the ‘‘Exchange’’ or the (allowing the user only to query the post all comments on the Commission’s ‘‘ ’’ system and to respond to broadcast ISE ) filed with the Securities and 4 Internet Web site (http://www.sec.gov/ Exchange Commission the proposed messages). The Exchange notes that rules/sro.shtml). Copies of the rule change, as described in Items I, II, quoting, order entry and listening are submission,11 all subsequent and III below, which items have been functionalities available only to amendments, all written statements prepared by the self-regulatory Exchange market makers, i.e., Primary with respect to the proposed rule organization. The Commission is Market Makers and Competitive Market change that are filed with the publishing this notice to solicit Makers, while order entry and listening Commission, and all written comments on the proposed rule change are functionalities available only to non- communications relating to the from interested persons. market makers, i.e., Electronic Access Members. proposed rule change between the I. Self-Regulatory Organization’s Commission and any person, other than ISE market makers currently receive Statement of the Terms of Substance of an allocation of 1,300,000 quotes per those that may be withheld from the the Proposed Rule Change day per user.5 If a market maker submits public in accordance with the more quotes than those allocated, i.e., provisions of 5 U.S.C. 552, will be The ISE is proposing to amend its Schedule of Fees regarding the 1,300,000 quotes per day per user as available for Web site viewing and measured on average in a single month, printing in the Commission’s Public Exchange’s API or login fees. The text of the proposed rule change is available on the market maker is charged for Reference Room, 100 F Street, NE., the Exchange’s Web site (http:// additional users depending upon the Washington, DC 20549, on official www.ise.com), at the principal office of number of quotes submitted. Each business days between the hours of 10 the Exchange, and at the Commission’s month, the total number of quotes a.m. and 3 p.m. Copies of the filing also Public Reference Room. submitted by a market maker across all will be available for inspection and bins (i.e., group of options to which the copying at the principal office of the II. Self-Regulatory Organization’s market maker is appointed), is divided Exchange. All comments received will Statement of the Purpose of, and by the number of trading days, resulting be posted without change; the Statutory Basis for, the Proposed Rule in the average quotes per day. This Commission does not edit personal Change number is then divided by 1,300,000 identifying information from In its filing with the Commission, the and rounded up to the nearest whole submissions. You should submit only self-regulatory organization included number, resulting in an implied number information that you wish to make statements concerning the purpose of, of users based on quotes. Market makers available publicly. All submissions and basis for, the proposed rule change are invoiced on a monthly basis for the should refer to File Number SR–EDGX– and discussed any comments it received greater of (a) the greatest number of 2011–09 and should be submitted on or on the proposed rule change. The text users that logged into the system, or (b) before May 4, 2011. of these statements may be examined at the number of implied users based on the places specified in Item IV below. quotes. The self-regulatory organization has 3 See Exchange Act Release No. 53522 (March 20, 11 prepared summaries, set forth in The text of the proposed rule change is 2006), 71 FR 14975 (March 24, 2006) (SR–ISE– available on Exchange’s Web site at http:// sections A, B and C below, of the most significant aspects of such statements. 2006–09). www.directedge.com, on the Commission’s Web site 4 Id. at http://www.sec.gov, at EDGX, and at the 5 See Exchange Act Release No. 56721 (October Commission’s Public Reference Room. 1 15 U.S.C. 78s(b)(1). 30, 2007), 72 FR 62502 (November 5, 2007) (SR– 12 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. ISE–2007–91).

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The Exchange also has an additional Members will be charged a single login C. Self-Regulatory Organization’s category of login known as a ‘‘High fee regardless of whether they use their Statement on Comments on the Throughput User.’’ 6 A High Throughput quote allocation for the current trading Proposed Rule Change Received From User is a market maker who is allocated system or for the Optimise trading Members, Participants or Others up to 2,600,000 quotes per day in a system instead of charging for quote The Exchange has not solicited, and month.7 A High Throughput User is able allocation separately for each of the does not intend to solicit, comments on to enter quotes, orders, and perform all trading systems. Therefore, until the this proposed rule change. The other miscellaneous functions, such as Exchange fully migrates to the Optimise Exchange has not received any 8 setting parameters and pulling quotes. trading system, ISE proposes to waive unsolicited written comments from ISE currently charges market makers any API fees that are duplicative. members or other interested parties. $950 per month for each quoting session for up to 1,300,000 quotes per day, on ISE represents that the proposed III. Date of Effectiveness of the average for a month. Market makers are increase in the allocation of quotes per Proposed Rule Change and Timing for charged an additional user fee of $950 day per user will not have an adverse Commission Action for each incremental usage of up to effect on capacity on the Exchange. The foregoing rule change has become 1,300,000 quotes per day per user. For The Exchange has designated this effective pursuant to Section High Throughput Users, ISE charges a proposal to be operative on April 11, 19(b)(3)(A)(ii) of the Act.11 At any time fee of $1,900 per month. High 2011. within 60 days of the filing of such Throughput Users are charged an proposed rule change, the Commission additional user fee of $1,900 for each 2. Basis summarily may temporarily suspend incremental usage of up to 2,600,000 such rule change if it appears to the The Exchange believes that its quotes per day per user. Commission that such action is The Exchange is scheduled to launch proposal to amend its Schedule of Fees necessary or appropriate in the public an enhanced trading system called is consistent with Section 6(b) of the interest, for the protection of investors, 9 Optimise on April 11, 2011. In Act in general, and furthers the or otherwise in furtherance of the anticipation of the launch of the objectives of Section 6(b)(4) of the Act 10 purposes of the Act. If the Commission Optimise trading platform, the Exchange in particular, in that it is an equitable takes such action, the Commission shall proposes to amend its API quote fees. allocation of reasonable dues, fees and institute proceedings to determine Specifically, ISE proposes to increase other charges among Exchange members whether the proposed rule should be the monthly fee and quote allowance for and other persons using its facilities. approved or disapproved. The Exchange believes that the proposal non-High Throughput Users to $1,200 IV. Solicitation of Comments and 1,800,000 quotes per day per user, does not constitute an inequitable respectively. Members that quote in allocation of fees, as all similarly Interested persons are invited to excess of 1,800,000 quotes per day situated Members will be subject to the submit written data, views, and average in a month will be charged an same fee structure, and access to the arguments concerning the foregoing, additional login of $950 per month for Exchange’s market is offered on fair and including whether the proposed rule change is consistent with the Act. each subsequent usage of 1,800,000 non-discriminatory terms. In other Comments may be submitted by any of quotes per day in a month. For example, words, the proposed rule change will the following methods: a market maker who uses four million treat similarly situated Members in the quotes per day would be charged as same manner by assessing the same fees Electronic Comments follows: $1,200 for the initial session to all Members based on their quoting • Use the Commission’s Internet with an allowance of 1,800,000 quotes needs. The Exchange also believes that comment form http://www.sec.gov/ per day plus $1,900 for two additional it is equitable to assess different access rules/sro.shtml); or quoting sessions, each with an fees based on the type of logins as long • Send an E-mail to rule- allowance of 1,800,000 quotes per day. [email protected]. Please include File For ‘‘High Throughput Users,’’ ISE as the same access fee is assessed to all No. SR–ISE–2011–21 on the subject proposes to increase the monthly fee Members that are similarly situated. The line. and quote allowance to $2,400 and Exchange also believes that the proposal 3,600,000 quotes per day, respectively. is reasonable because during the Paper Comments transition period to the Optimise trading Members that quote in excess of • Send paper comments in triplicate platform the Exchange will waive any 3,600,000 quotes per day in a month to Elizabeth Murphy, Secretary, API fees that are duplicative to ensure will be charged an additional login of Securities and Exchange Commission, $1,900 per month for each subsequent Members are not burdened by having to 100 F Street, NE., Washington, DC usage of 3,600,000 quotes per day in a pay fees to login in to both the current 20549–1090. trading platform and the Optimise month. All submissions should refer to File As the Exchange migrates from its platform. Number SR–ISE–2011–21. This file current trading platform to Optimise, number should be included on the Members will undoubtedly be required B. Self-Regulatory Organization’s Statement on Burden on Competition subject line if e-mail is used. To help the to login to access both trading systems Commission process and review your and thus could be charged for accessing The proposed rule change does not comments more efficiently, please use both systems. The Exchange does not impose any burden on competition that only one method. The Commission will intend to charge members for logging in is not necessary or appropriate in post all comments on the Commissions to both systems simultaneously. furtherance of the purposes of the Act. Internet Web site (http://www.sec.gov/ rules/sro.shtml). Copies of the 6 See Securities Exchange Act Release No. 55941 (June 21, 2007), 72 FR 35535 (June 28, 2007) (SR– submission, all subsequent ISE–2007–36). amendments, all written statements 7 See supra note 3. 9 15 U.S.C. 78f(b). 8 Id. 10 15 U.S.C. 78f(b)(4). 11 15 U.S.C. 78s(b)(3)(A)(ii).

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with respect to the proposed rule was published for comment in the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 change that are filed with the Federal Register on March 10, 2011.3 notice is hereby given that on March 31, Commission, and all written Section 19(b)(2) of the Act 4 provides 2011, the International Securities communications relating to the that within 45 days of the publication of Exchange, LLC (the ‘‘Exchange’’ or the proposed rule change between the notice of the filing of a proposed rule ‘‘ISE’’) filed with the Securities and Commission and any person, other than change, or within such longer period up Exchange Commission the proposed those that may be withheld from the to 90 days as the Commission may rule change, as described in Items I, II, public in accordance with the designate if it finds such longer period and III below, which items have been provisions of 5 U.S.C. 552, will be to be appropriate and publishes its prepared by the self-regulatory available for Web site viewing and reasons for so finding or as to which the organization. The Commission is printing in the Commission’s Public self-regulatory organization consents, publishing this notice to solicit Reference Room. Copies of such filing the Commission shall either approve the comments on the proposed rule change also will be available for inspection and proposed rule change, disapprove the from interested persons. copying at the principal office of the proposed rule change, or institute I. Self-Regulatory Organization’s ISE. All comments received will be proceedings to determine whether the Statement of the Terms of Substance of posted without change; the Commission proposed rule change should be the Proposed Rule Change does not edit personal identifying disapproved. The 45th day for this filing The ISE is proposing to establish a fee information from submissions. You is April 24, 2011. cap of $100,000 per month and a related should submit only information that The Commission is hereby extending service fee for member firms on all you wish to make available publicly. All the 45-day period for Commission proprietary trading, with certain submissions should refer to File action on the proposed rule change. The exclusions, in all ISE products. The text Number SR–ISE–2011–21 and should be Commission finds that it is appropriate of the proposed rule change is available submitted by May 4, 2011. to designate a longer period within on the Exchange’s Web site (http:// For the Commission, by the Division of which to take action on the proposed www.ise.com), at the principal office of Trading and Markets, pursuant to delegated rule change. In particular, the extension the Exchange, and at the Commission’s authority.12 of time will ensure that the Commission Public Reference Room. Cathy H. Ahn, has sufficient time to consider and take action on the Exchange’s proposal. II. Self-Regulatory Organization’s Deputy Secretary. Accordingly, pursuant to Section Statement of the Purpose of, and [FR Doc. 2011–8923 Filed 4–12–11; 8:45 am] Statutory Basis for, the Proposed Rule 19(b)(2)(A)(ii)(I) of the Act 5 and for the Change BILLING CODE 8011–01–P reasons stated above, the Commission designates June 8, 2011, as the date by In its filing with the Commission, the which the Commission should either self-regulatory organization included SECURITIES AND EXCHANGE approve or disapprove, or institute statements concerning the purpose of, COMMISSION proceedings to determine whether to and basis for, the proposed rule change disapprove, the proposed rule change and discussed any comments it received [Release No. 34–64274; File No. SR– File No. SR–NYSEAmex-2011–11. on the proposed rule change. The text NYSEAmex-2011–11] of these statements may be examined at For the Commission, by the Division of Trading and Markets, pursuant to delegated the places specified in Item IV below. Self-Regulatory Organizations; NYSE authority.6 The self-regulatory organization has Amex LLC; Notice of Designation of a prepared summaries, set forth in Cathy H. Ahn, Longer Period for Commission Action sections A, B and C below, of the most on a Proposed Rule Change Amending Deputy Secretary. significant aspects of such statements. Rule 103B—NYSE Amex Equities To [FR Doc. 2011–8922 Filed 4–12–11; 8:45 am] A. Self-Regulatory Organization’s Modify the Application of the BILLING CODE 8011–01–P Statement of the Purpose of, and Exchange’s Designated Market Maker Statutory Basis for, the Proposed Rule Allocation Policy in the Event of a Change Merger Involving One or More Listed SECURITIES AND EXCHANGE Companies COMMISSION 1. Purpose

April 8, 2011. The purpose of the proposed rule [Release No. 34–64270; File No. SR–ISE– change is to establish a monthly fee cap 2011–13] On February 24, 2011, NYSE Amex per ISE member organization, subject to ‘‘ ’’ LLC ( Exchange ) filed with the Self-Regulatory Organizations; certain exclusions, across all products Securities and Exchange Commission International Securities Exchange, traded on ISE. The proposed fee cap ‘‘ ’’ ( Commission ), pursuant to Section LLC; Notice of Filing and Immediate shall apply to transactions executed in 19(b)(1) of the Securities Exchange Act Effectiveness of Proposed Rule a member’s proprietary account. The of 1934 (‘‘Act’’) 1 and Rule 19b–4 cap also would apply to crossing 2 Change To Adopt a Fee Cap and a thereunder, a proposed rule change to Service Fee transactions for the account of entities amend Rule 103B—NYSE Amex affiliated with a member. That is, the Equities to modify the application of the April 8, 2011. cap will apply to a member’s crossing Exchange’s Designated Market Maker Pursuant to Section 19(b)(1) of the transactions even if the member allocation policy in the event of a Securities Exchange Act of 1934 (the executes crosses in the account of an merger involving one or more listed affiliate, rather than the member’s own companies. The proposed rule change 3 See Securities Exchange Act Release No. 64040 account. This will provide members (March 4, 2011), 76 FR 13249. with the flexibility to effect transactions 12 17 CFR 200.30–3(a)(12). 4 15 U.S.C. 78s(b)(2). 1 15 U.S.C. 78s(b)(1). 5 15 U.S.C. 78s(b)(2)(A)(ii)(I). 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 6 17 CFR 200.30–3(a)(31). 2 17 CFR 240.19b–4.

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where it makes the most business sense addition to those transactions that were NASDAQ OMX PHLX, Inc. (‘‘PHLX’’).13 within their family of companies. included in reaching the fee cap. The The Exchange believes the proposed fee For example, a member engaged in proposed service fee, when charged for cap would create an incentive for trading activity on ISE may have an volume above the cap when no other members to continue to send order flow affiliate engaged in a market making transaction fees are collected, is being to the Exchange. capacity on another exchange, which instituted to defray the Exchange’s costs The Exchange has designated this may be a separate broker/dealer entity. of providing services to members, which proposal to be operative on April 1, A crossing transaction by that member include trade matching and processing, 2011. in which a customer order is facilitated post trade allocation, submission for 2. Statutory Basis against the proprietary trading interest clearing and customer service activities of the member’s affiliate would be The Exchange believes that its related to trading activity on the eligible for the proposed fee cap. On the proposal to amend its Schedule of Fees other hand, a crossing transaction by the Exchange. is consistent with Section 6(b) of the same member where a customer order is In calculating the proposed fee cap, Act 14 in general, and furthers the facilitated against the proprietary the Exchange proposes to exclude the objectives of Section 6(b)(4) of the Act 15 trading interest of an unaffiliated entity following: 6 (1) Any surcharge fee in particular, in that it is an equitable would not be eligible for the fee cap.3 charged by the Exchange on licensed allocation of reasonable fees and other Specifically, the Exchange proposes to products,7 (2) fees from Non-ISE Market charges among Exchange members and cap proprietary transaction fees in all Maker volume not related to an other persons using its facilities. The Exchange believes that adopting products traded on ISE, in the aggregate, affiliated member’s crossing activity, (3) the fee cap is reasonable because it will at $100,000 per month per member, the fee for responses to special orders 8 with certain exclusions which are noted potentially lower transaction fees for in all products, (4) the maker and taker members providing liquidity on the below. All proprietary transactions, fees charged by the Exchange for including non-ISE market maker Exchange. Members who reach the fee complex orders 9 for certain option cap during a month will not have to pay contracts that are part of a crossing classes,10 and (5) the taker fees charged transaction, are eligible towards the regular transaction fees and thus will be by the Exchange for regular orders 11 for proposed fee cap. Volume from regular able to lower their monthly fees. the Select Symbols. and complex orders, as well as The Exchange believes that the fee Facilitation Mechanism, Price The proposed fee cap is functionally cap is not unfairly discriminatory Improvement Mechanism, Solicited similar to a ‘‘Multiply-Listed Option Fee because all members, including non-ISE market makers are eligible to reach the Order Mechanism, Block Order Cap’’ in place at the CBOE 12 and a ‘‘Firm cap. Moreover, the transactional fees Mechanism and Qualified Contingent Related Equity Option Cap’’ in place at that apply to the cap are not focused on Cross (‘‘QCC’’) orders,4 will also count any particular type of trading or towards the fee cap. in the F range at OCC), Prop-cust (Member trading In addition to adopting a fee cap, ISE for its own account and clearing in the C range at member. Indeed, the cap covers all proposes to adopt a service fee of $0.01 OCC), BD-firm (Member trading on behalf of types of proprietary business members another registered broker/dealer clearing in the F conduct on the Exchange, including per side on all non-QCC transactions range at OCC), BD-cust (Member trading on behalf that are eligible for the fee cap. For QCC regular transactions, complex orders, as of another registered broker/dealer clearing in the well as all ‘‘special’’ transactions, such volume, the Exchange proposes to adopt C range at OCC), FarMM (Member trading on behalf a higher service fee of $0.05 per side, of another registered broker/dealer clearing in the as trades in the Facilitation Mechanism, recognizing that this is a premium M range at OCC). Price Improvement Mechanism, 6 Other exchanges currently employ exclusions to service that required substantial Solicited Order Mechanism, Block their fee cap programs. For example, at the Chicago Order Mechanism, and Qualified investment by the ISE to deliver to Board Options Exchange, Inc. (‘‘CBOE’’), Automated members. The proposed service fee shall Improvement Mechanism (‘‘AIM’’) execution fees do Contingent Crosses. The Exchange is apply once a member reaches the fee not count towards the fee cap employed by that applying the fee cap only to firm exchange. See CBOE Fees Schedule, Section 1 cap level and shall apply to every proprietary business, and not customer (Equity Options Fees). or market maker business, because the contract side included in and above the 7 The Exchange currently charges a surcharge that Exchange is specifically targeting this fee cap. A member who does not reach ranges between $0.02 per contract to $0.22 per the monthly fee cap will not be charged contract on the following licensed products: BKX, type of business as a competitive the proposed service fee. Additionally, MFX, MID, MSH, SML, UKX, RMN, RUI, RUT, response to similar fee caps other MVR, NDX, MNX, FUM, HSX, POW, TNY, WMX 16 the proposed service fee is not exchanges have adopted, and thus to and NXTQ. make it more attractive for members to calculated in reaching the fee cap. Once 8 Special orders are order types that involve a the fee cap is reached, the proposed crossing transaction or an auction, where a send such business to the Exchange. service fee shall apply to both broadcast is transmitted to Exchange members for The Exchange has adopted other potential participation and/or price improvement. incentive programs targeting other proprietary and other account 9 A Complex Order is defined in Exchange Rule 5 business areas: lower fees (or no fees) designations in all ISE products in 722(a)(1) as any order involving the simultaneous 17 purchase and/or sale of two or more different for customer orders; and tiered 3 Each member would be responsible for notifying options series in the same underlying security, for the Exchange of its affiliations so that fees and the same account, in a ratio that is equal to or 13 PHLX Firms are subject to a maximum fee of contracts of the member and its affiliates involved greater than one-to-three (.333) and less than or $75,000. See PHLX Fee Schedule, Section II (Equity in crossing transactions may be aggregated for equal to three-to-one (3.00) and for the purpose of Options Fees). purposes of the fee cap. executing a particular investment strategy. 14 15 U.S.C. 78f(b). 4 The Commission recently approved the QCC 10 The proposed exclusion applies to options 15 15 U.S.C. 78f(b)(4). order type. See Securities Exchange Act Release No. classes that are subject to Rebates and Fees for 16 See supra notes 12 and 13. 63955 (February 24, 2011) (SR–ISE–2010–73). The Adding and Removing Liquidity in Select Symbols 17 For example, the customer fee is $0.00 per Exchange filed a separate proposed rule change to (‘‘Select Symbols’’). contract for products other than Second Market adopt fees for QCC orders. See Securities Exchange 11 An order means a commitment to buy or sell Options, Singly Listed Indexes, Singly Listed ETFs Act Release No. 64112 (March 23, 2011) (SR–ISE– securities as defined in Exchange Rule 715. and FX Options. For Second Market Options, the 2011–14). 12 The CBOE fees are capped at $75,000. See customer fee is $0.05 per contract and for Singly 5 Other account designations include Prop-firm CBOE Fees Schedule, Section 1 (Equity Options Listed Options, Singly Listed ETFs and FX Options, (Member trading for its own account and clearing Fees). Continued

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pricing that reduces rates for market CBOE has a matched-unmatched fee Paper Comments makers based on the level of business that it applies.20 Both the Phlx and the • they bring to the Exchange.18 CBOE fees are in essence fees charged Send paper comments in triplicate The Exchange further believes the by those exchanges for services they to Elizabeth Murphy, Secretary, proposal to adopt the fee cap is provide to their members. Securities and Exchange Commission, equitable because it would uniformly For the reasons noted above, the 100 F Street, NE., Washington, DC apply to all members engaged in Exchange believes that the proposed 20549–1090. proprietary trading in option classes fees are fair, equitable and not unfairly All submissions should refer to File traded on the Exchange. As noted, ISE discriminatory. market makers currently receive the Number SR–ISE–2011–13. This file benefit of a fee reduction under a sliding B. Self-Regulatory Organization’s number should be included on the scale fee structure applicable to non- Statement on Burden on Competition subject line if e-mail is used. To help the Select Symbols. The proposed rule change does not Commission process and review your The Exchange believes that adopting impose any burden on competition that comments more efficiently, please use the service fee is reasonable because it is not necessary or appropriate in only one method. The Commission will will also potentially lower transaction furtherance of the purposes of the Act. post all comments on the Commissions fees for members. Members who reach Internet Web site (http://www.sec.gov/ the fee cap during a month will pay the C. Self-Regulatory Organization’s rules/sro.shtml). Copies of the service fee instead of the regular Statement on Comments on the submission, all subsequent transaction fees and thus will be able to Proposed Rule Change Received From amendments, all written statements Members, Participants or Others lower their monthly fees. The Exchange with respect to the proposed rule believes that charging a service fee is The Exchange has not solicited, and change that are filed with the also reasonable because it will allow the does not intend to solicit, comments on Commission, and all written Exchange to recoup the costs incurred this proposed rule change. The communications relating to the in providing certain services, which Exchange has not received any proposed rule change between the include trade matching and processing, unsolicited written comments from Commission and any person, other than post trade allocation, submission for members or other interested parties. those that may be withheld from the clearing and customer service activities related to trading activity on the III. Date of Effectiveness of the public in accordance with the Exchange. The Exchange also believes it Proposed Rule Change and Timing for provisions of 5 U.S.C. 552, will be is reasonable to charge a higher service Commission Action available for Web site viewing and fee for providing certain unique orders, The foregoing rule change has become printing in the Commission’s Public such as QCC orders, recognizing the effective pursuant to Section Reference Room. Copies of such filing unique efforts and costs associated with 19(b)(3)(A)(ii) of the Act.21 At any time also will be available for inspection and developing that product. The Exchange within 60 days of the filing of such copying at the principal office of the believes the proposed fee change will proposed rule change, the Commission ISE. All comments received will be attract additional order flow to the summarily may temporarily suspend posted without change; the Commission Exchange and thereby will benefit all such rule change if it appears to the does not edit personal identifying market participants. Commission that such action is information from submissions. You The Exchange believes the proposal to necessary or appropriate in the public should submit only information that adopt the service fee is equitable and interest, for the protection of investors, you wish to make available publicly. All not unfairly discriminatory because it or otherwise in furtherance of the submissions should refer to File would uniformly apply to all members purposes of the Act. If the Commission Number SR–ISE–2011–13 and should be engaged in proprietary trading. The takes such action, the Commission shall submitted by May 4, 2011. proposed fee is designed to give institute proceedings to determine members who trade a lot on the For the Commission, by the Division of whether the proposed rule should be Trading and Markets, pursuant to delegated Exchange a benefit by way of a lower approved or disapproved. transaction fee. authority.22 The Exchange believes the proposed IV. Solicitation of Comments Cathy Ahn, service fee change will benefit market Interested persons are invited to Deputy Secretary. participants by potentially lowering submit written data, views, and [FR Doc. 2011–8921 Filed 4–12–11; 8:45 am] their fees while allowing the Exchange arguments concerning the foregoing, BILLING CODE 8011–01–P to remain competitive with other including whether the proposed rule exchanges that offer similar fee cap change is consistent with the Act. programs. The Exchange notes that the Comments may be submitted by any of proposed service fee is similar to fees the following methods: other exchanges charge for providing certain services to its members. For Electronic Comments example, Phlx currently assesses a risk • Use the Commission’s Internet 19 management fee. Additionally, the comment form http://www.sec.gov/ rules/sro.shtml); or the customer fee is $0.18 per contract. The • Exchange also currently has an incentive plan in Send an E-mail to rule- place for certain specific FX Options which has its [email protected]. Please include File own pricing. See ISE Schedule of Fees. No. SR–ISE–2011–13 on the subject 18 The Exchange currently has a sliding scale fee line. structure that ranges from $0.01 per contract to $0.18 per contract depending on the level of volume a Member trades on the Exchange in a month. 20 See CBOE Fees Schedule—Duplicate Fees 19 See Phlx Fee Schedule, Section VI (Equity Related To Manual Data Entry (Keypunch) Errors. Options Fees). 21 15 U.S.C. 78s(b)(3)(A)(ii). 22 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE which the Commission should either proposed rule change should be COMMISSION approve or disapprove, or institute disapproved. The 45th day for this filing proceedings to determine whether to is April 22, 2011. [Release No. 34–64273; File No. SR–NYSE– The Commission is hereby extending 2011–09] disapprove, the proposed rule change File No. SR–NYSE–2011–09. the 45-day period for Commission Self-Regulatory Organizations; New For the Commission, by the Division of action on the proposed rule change. The York Stock Exchange LLC; Notice of Trading and Markets, pursuant to delegated Commission finds that it is appropriate Designation of a Longer Period for authority.6 to designate a longer period within Commission Action on a Proposed Cathy H. Ahn, which to take action on the proposed Rule Change Amending Exchange Deputy Secretary. rule change. In particular, the extension of time will ensure that the Commission Rule 103B To Modify the Application of [FR Doc. 2011–8920 Filed 4–12–11; 8:45 am] has sufficient time to consider and take the Exchange’s Designated Market BILLING CODE 8011–01–P Maker Allocation Policy in the Event of action on the Exchange’s proposal in a Merger Involving One or More Listed light of, among other things, the Companies SECURITIES AND EXCHANGE comments received on the proposal. Accordingly, pursuant to Section COMMISSION April 8, 2011. 19(b)(2)(A)(ii)(I) of the Act 6 and for the On February 24, 2011, New York [Release No. 34–64266; File No. SR–C2– reasons stated above, the Commission Stock Exchange LLC (‘‘Exchange’’) filed 2011–008] designates June 6, 2011, as the date by with the Securities and Exchange which the Commission should either Self-Regulatory Organizations; C2 Commission (‘‘Commission’’), pursuant approve or disapprove, or institute Options Exchange, Incorporated; to Section 19(b)(1) of the Securities proceedings to determine whether to Notice of Designation of a Longer Exchange Act of 1934 (‘‘Act’’) 1 and Rule disapprove, the proposed rule change Period for Commission Action on a 19b–4 thereunder,2 a proposed rule File No. SR–C2–2011–008. Proposed Rule Change To Allow the change to amend Exchange Rule 103B to Listing and Trading of a P.M.-Settled For the Commission, by the Division of modify the application of the S&P 500 Index Option Product Trading and Markets, pursuant to delegated Exchange’s Designated Market Maker authority.7 allocation policy in the event of a April 8, 2011. Cathy H. Ahn, merger involving one or more listed Deputy Secretary. I. Introduction companies. The proposed rule change [FR Doc. 2011–8918 Filed 4–12–11; 8:45 am] was published for comment in the On February 28, 2011, C2 Options BILLING CODE 8011–01–P Federal Register on March 10, 2011.3 Exchange, Incorporated (the ‘‘Exchange’’ Section 19(b)(2) of the Act 4 provides or ‘‘C2’’) filed with the Securities and that within 45 days of the publication of Exchange Commission (‘‘Commission’’), SECURITIES AND EXCHANGE notice of the filing of a proposed rule pursuant to Section 19(b)(1) of the COMMISSION change, or within such longer period up Securities Exchange Act of 1934 [Release No. 34–64225; File No. SR–FINRA– to 90 days as the Commission may 1 2 (‘‘Act’’) and Rule 19b–4 thereunder, a 2011–006] designate if it finds such longer period proposed rule change to permit the to be appropriate and publishes its listing and trading of P.M.-settled S&P Self-Regulatory Organizations; reasons for so finding or as to which the 500 Index options on C2. The proposed Financial Industry Regulatory self-regulatory organization consents, rule change was published for comment Authority, Inc.; Order Granting the Commission shall either approve the in the Federal Register on March 8, Approval of a Proposed Rule Change proposed rule change, disapprove the 2011.3 The Commission received two Relating To Motions in Arbitration proposed rule change, or institute comments on the proposal.4 proceedings to determine whether the Section 19(b)(2) of the Act 5 provides April 7, 2011. proposed rule change should be that within 45 days of the publication of I. Introduction disapproved. The 45th day for this filing notice of the filing of a proposed rule is April 24, 2011. change, or within such longer period up On February 4, 2011, the Financial The Commission is hereby extending to 90 days as the Commission may Industry Regulatory Authority, Inc. the 45-day period for Commission designate if it finds such longer period (‘‘FINRA’’) filed with the Securities and action on the proposed rule change. The to be appropriate and publishes its Exchange Commission (‘‘SEC’’ or Commission finds that it is appropriate reasons for so finding or as to which the ‘‘Commission’’), pursuant to Section to designate a longer period within 19(b)(1) of the Securities Exchange Act self-regulatory organization consents, 1 which to take action on the proposed of 1934 (‘‘Act’’), and Rule 19b–4 the Commission shall either approve the 2 rule change. In particular, the extension proposed rule change, disapprove the thereunder, a proposed rule change to of time will ensure that the Commission proposed rule change, or institute amend FINRA Rules 12206, 12503, and has sufficient time to consider and take proceedings to determine whether the 12504 of the Code of Arbitration action on the Exchange’s proposal. Procedure for Customer Disputes, and Accordingly, pursuant to Section 6 17 CFR 200.30–3(a)(31). Rules 13206, 13503, and 13504 of the 19(b)(2)(A)(ii)(I) of the Act 5 and for the 1 15 U.S.C. 78s(b)(1). Code of Arbitration Procedure for reasons stated above, the Commission 2 17 CFR 240.19b–4. Industry Disputes (collectively, designates June 8, 2011, as the date by 3 See Securities Exchange Act Release No. 64011 ‘‘Codes’’), to provide moving parties (March 2, 2011), 76 FR 12775 (‘‘Notice’’). with a five-day period to reply to 4 See letter from Randall Mayne, Blue Capital 1 responses to motions. The proposed rule 15 U.S.C. 78s(b)(1). Group, to Elizabeth M. Murphy, Secretary, 2 17 CFR 240.19b–4. Commission, dated March 18, 2011; letter from 3 See Securities Exchange Act Release No. 64039 Andrew Stevens, Legal Counsel, IMC Chicago, LLC, 6 15 U.S.C. 78s(b)(2)(A)(ii)(I). (March 4, 2011), 76 FR 13251. to Elizabeth M. Murphy, Secretary, Commission, 7 17 CFR 200.30–3(a)(31). 4 15 U.S.C. 78s(b)(2). dated March 24, 2011. 1 15 U.S.C. 78s(b)(1). 5 15 U.S.C. 78s(b)(2)(A)(ii)(I). 5 15 U.S.C. 78s(b)(2). 2 17 CFR 240.19b–4.

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change was published for comment in FINRA considered whether codifying have enough time to reply under the the Federal Register on February 22, a reply period might encourage proposed rule change, noting that pro se 2011.3 The Commission received three additional replies to responses to claimants would already be aware of the comment letters on the proposed rule motions, or cause significant delays in issues raised in a response, having change.4 FINRA responded to these the arbitration proceeding. FINRA drafted the initial motion, and that if comments in a letter dated April 1, believes that a five-day period for pro se claimants need additional time to 2011.5 This order approves the replies gives moving parties sufficient reply to a response, the Director may proposed rule change. time to react to responses to motions extend the deadline for good cause without causing significant delays to pursuant to FINRA Rule 12207(c).12 II. Description of Proposal proceedings. Currently, FINRA Rules This commenter also suggested that pro The Codes specify time periods for a 12512 and 13512 (Subpoenas) provide se claimants receive additional guidance party to respond to a motion,6 including moving parties with a 10-day period in regarding their procedural rights, a motion to dismiss.7 They do not which to reply to opposing parties’ including those not expressly codified expressly provide time periods for the objections to motions. FINRA has not in a rule, such as the ability to file a sur- party that made the original motion (the experienced any increase in replies reply.13 In response, FINRA indicated ‘‘moving party’’) to reply to a response, related to subpoenas because of these that sur-replies and additional guidance which happens on occasion. FINRA’s rules and the 10-day reply period has regarding sur-replies are outside the practice has been to forward the reply not caused significant delays. scope of the current rulemaking,14 to the arbitrators, even when staff Further, on June 21, 2010, FINRA noting that it did not wish to encourage already have sent the motion and revised its practice relating to responses additional filings by addressing sur- response to the arbitrators. Since the to motions and published a Notice to replies in the Codes at this time.15 Codes do not prescribe a time period for Parties on its website stating that Finally, the commenter asked that replying to responses to motions, there moving parties have five calendar days FINRA amend the rules to include have been instances where arbitrators from receipt of a response to a motion express language limiting the scope of reviewed the motion papers and even to submit a reply to the response.8 After motion replies to those issues and facts ruled on a motion before receiving a the five-day period, FINRA forwards to previously raised in the motion and reply, causing confusion and wasting the panel at the same time the motion, response.16 FINRA responded that it time. any response to the motion, and any does not intend to amend the proposal FINRA proposed to amend Rules reply. If FINRA receives a reply after the in response to this comment, as it 12206 and 13206 (Time Limits), Rules five-day period expires, staff forwards believes that arbitrators are in the best 12503 and 13503 (Motions), and Rules the reply to the panel upon its receipt. position to determine the scope of 12504 and 13504 (Motions to Dismiss), However, FINRA staff does not delay motions and replies thereto and would to provide a moving party with a five- sending the motion, response to the address any such concerns directly with day period to reply to a response to a motion, and reply to the panel after the the parties.17 motion. The proposed amendments five-day period expires, and the panel would codify FINRA’s practice relating may issue a decision upon receipt of IV. Discussion and Commission to replies to responses to motions and those documents. Findings make it transparent. The proposal Based on FINRA’s experience with The Commission has carefully would provide parties with an the subpoena rules and its revised reviewed the proposed rule change, the opportunity to brief fully the issues in practice relating to replies to responses, comments received, and FINRA’s dispute, and ensure that arbitrators have FINRA does not expect the proposed response to the comments, and finds all of the motion papers before issuing five-day period to result in undue that the proposed rule change is a final decision on the motion. delays. consistent with the requirements of the Act and the rules and regulations 3 III. Discussion of Comment Letters See Exchange Act Release No. 63910 (February thereunder applicable to a national 15, 2011), 76 FR 9840 (February 22, 2010) One commenter asked FINRA to securities association.18 In particular, (‘‘Notice’’). consider amending the subpoena rules 4 See letter from William A. Jacobson, Esq., the Commission finds that the proposed to provide for a five-day period to reply Associate Clinical Professor and Director, Cornell rule change is consistent with Section to responses to motions in order to Securities Law Clinic, and Negisa Balluku, Cornell 15A(b)(6) of the Act,19 which, among Law School, dated March 15, 2011 (‘‘Cornell maintain consistency in the Codes’ Letter’’); letter from Lisa A. Catalano, Esq., Director timeframes.9 FINRA stated that as it is other things, requires that FINRA rules and Associate Professor of Clinical Legal Education, not amending the subpoena rules in the be designed to prevent fraudulent and Christine Lazaro, Esq., Supervising Attorney, Clair manipulative acts and practices, to S. Seu, Student Intern, and Stephen Chou, Student proposed rule change, the Cornell Letter Intern, St. John’s University School of Law is outside the scope of the proposal. promote just and equitable principles of Securities Arbitration Clinic, dated March 15, 2011 However, FINRA did express its trade, and, in general, to protect (‘‘St. John’s Letter’’); and letter received by FINRA investors and the public interest. More from David M. Foster, Esq. dated March 21, 2011, intention to consider the suggestion which addressed issues beyond the scope of the made in the Cornell Letter for possible specifically, the Commission finds that proposed rule change. future rulemaking.10 the proposed rule change codifies 5 See letter from Margo A. Hassan, Assistant Chief One commenter raised a concern that Counsel, FINRA, to Elizabeth M. Murphy, 12 the proposed five-day period may not FINRA Response. Secretary, Commission, dated April 1, 2011 13 St. John’s Letter. (‘‘FINRA Response’’). provide pro se claimants with adequate 14 Telephone conversation with Margo Hassan of 6 11 Rules 12503(b) and 13503(b) (Responding to time to prepare their replies. FINRA FINRA on April 6, 2011. Motions) provide, generally, that parties have 10 responded that pro se claimants would 15 FINRA Response. days from the receipt of a written motion to respond 16 to the motion. St. John’s Letter. 8 17 7 Rules 12206(b) and 13206(b) (Dismissal under See http://www.finra.org/ArbitrationMediation/ FINRA Response. Rule) provide that parties have 30 days to respond Parties/ArbitrationProcess/NoticesToParties/ 18 In approving this proposed rule change, the to motions. Rules 12504(a) and 13504(a) (Motions P121652. Commission has considered the proposed rule’s to Dismiss Prior to Conclusion of Case in Chief) 9 Cornell Letter. impact on efficiency, competition, and capital provide that parties have 45 days to respond to 10 FINRA Response. formation. See 15 U.S.C. 78c(f). motions. 11 St. John’s Letter. 19 15 U.S.C. 78o–3(b)(6).

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existing practice and helps to promote (Suitability), as approved in SR–FINRA– 2012, and has filed it as a ‘‘non- a fair and efficient process for the 2010–039, until July 9, 2012. controversial’’ rule change that is resolution of claims. The text of the proposed rule change effective upon filing. is available on FINRA’s Web site at V. Conclusion http://www.finra.org, at the principal 2. Statutory Basis It is therefore ordered, pursuant to office of FINRA and at the FINRA believes that the proposed rule Section 19(b)(2) of the Act,20 that the Commission’s Public Reference Room. change is consistent with the provisions of Section 15A(b)(6) of the Act,6 which proposed rule change (SR–FINRA– II. Self-Regulatory Organization’s requires, among other things, that 2011–006), be, and hereby is, approved. Statement of the Purpose of, and FINRA rules must be designed to For the Commission, by the Division of Statutory Basis for, the Proposed Rule Trading and Markets, pursuant to delegated Change prevent fraudulent and manipulative authority.21 acts and practices, to promote just and In its filing with the Commission, Cathy H. Ahn, equitable principles of trade, and, in FINRA included statements concerning Deputy Secretary. general, to protect investors and the the purpose of and basis for the public interest. The proposed rule [FR Doc. 2011–8896 Filed 4–12–11; 8:45 am] proposed rule change and discussed any change furthers these purposes because BILLING CODE 8011–01–P comments it received on the proposed it will allow firms to better prepare rule change. The text of these statements procedures and systems and better may be examined at the places specified educate associated persons to comply SECURITIES AND EXCHANGE in Item IV below. FINRA has prepared COMMISSION with the requirements of these summaries, set forth in sections A, B, important rules. and C below, of the most significant [Release No. 34–64260; File No. SR–FINRA– aspects of such statements. B. Self-Regulatory Organization’s 2011–016] Statement on Burden on Competition A. Self-Regulatory Organization’s Self-Regulatory Organizations; Statement of the Purpose of, and FINRA does not believe that the Financial Industry Regulatory Statutory Basis for, the Proposed Rule proposed rule change will result in any Authority, Inc.; Notice of Filing and Change burden on competition that is not Immediate Effectiveness of Proposed necessary or appropriate in furtherance Rule Change To Delay the 1. Purpose of the purposes of the Act. Implementation date of FINRA Rule On November 17, 2010, the SEC C. Self-Regulatory Organization’s approved FINRA’s proposal to adopt 2090 (Know Your Customer) and Statement on Comments on the rules governing know-your-customer FINRA Rule 2111 (Suitability) Proposed Rule Change Received From and suitability obligations 4 for the Members, Participants, or Others April 8, 2011. consolidated FINRA rulebook.5 On Pursuant to Section 19(b)(1) of the January 10, 2011, FINRA issued Written comments were neither Securities Exchange Act of 1934 Regulatory Notice 11–02, which solicited nor received. (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 provided guidance regarding the new III. Date of Effectiveness of the notice is hereby given that on April 7, rules and announced an implementation Proposed Rule Change and Timing for 2011, Financial Industry Regulatory date of October 7, 2011. Following SEC Commission Action Authority, Inc. (‘‘FINRA’’) filed with the approval of the rules and publication of Securities and Exchange Commission the Regulatory Notice, numerous firms Because the foregoing proposed rule (‘‘SEC’’ or ‘‘Commission’’) the proposed requested that the approved rules’ change does not: (i) Significantly affect rule change as described in Items I and implementation date be delayed to the protection of investors or the public II below, which Items have been allow firms additional time to determine interest; (ii) impose any significant substantially prepared by FINRA. the types of systems and procedural burden on competition; and (iii) become FINRA has designated the proposed rule changes they need to make, implement operative for 30 days from the date on change as constituting a ‘‘non- those changes, and educate associated which it was filed, or such shorter time controversial’’ rule change under persons and supervisors regarding as the Commission may designate, it has paragraph (f)(6) of Rule 19b–4 under the compliance with the rules. FINRA is become effective pursuant to Section Act,3 which renders the proposal filing this rule change to move the 19(b)(3)(A) of the Act 7 and Rule 19b– effective upon receipt of this filing by implementation date for Rules 2090 and 4(f)(6) thereunder.8 the Commission. The Commission is 2111 from October 7, 2011, to July 9, A proposed rule change filed under publishing this notice to solicit Rule 19b–4(f)(6) 9 normally may not comments on the proposed rule change 4 See Securities Exchange Act Release No. 63325 become operative prior to 30 days after from interested persons. (November 17, 2010), 75 FR 71479 (November 23, the date of filing. However, Rule 19b– 2010) (Order Approving File No. SR–FINRA–2010– 4(f)(6)(iii) 10 permits the Commission to I. Self-Regulatory Organization’s 039). 5 The current FINRA rulebook consists of (1) Statement of the Terms of Substance of 6 15 U.S.C. 78o–3(b)(6). FINRA rules; (2) NASD rules; and (3) rules the Proposed Rule Change 7 incorporated from NYSE (‘‘Incorporated NYSE 15 U.S.C. 78s(b)(3)(A). FINRA is proposing a rule change to rules’’) (together, the NASD Rules, and Incorporated 8 17 CFR 240.19b–4(f)(6). 9 delay the implementation date for NYSE Rules are referred to as the ‘‘Transitional 17 CFR 240.19b–4(f)(6). Rulebook’’). While the NASD rules generally apply 10 17 CFR 240.19b–4(f)(6)(iii). Among other FINRA Rule 2090 (Know Your to all FINRA member firms, the Incorporated NYSE things, Rule 19b–4(f)(6)(iii) requires that a self- Customer) and FINRA Rule 2111 rules apply only to those members of FINRA that regulatory organization submit to the Commission are also members of the NYSE (‘‘Dual Members’’). written notice of its intent to file the proposed rule The FINRA rules apply to all FINRA member, change, along with a brief description and text of 20 15 U.S.C. 78s(b)(2). unless such rules have a more limited application the proposed rule change, at least five business days 21 17 CFR 200.30–3(a)(12). by their terms. For more information about the prior to the date of filing of the proposed rule 1 15 U.S.C. 78s(b)(1). rulebook consolidation process, see Information change, or such shorter time as designated by the 2 17 CFR 240.19b–4. Notice, March 12, 2008 (Rulebook Consolidation Commission. The Commission notes that FINRA 3 17 CFR 240.19b–4(f)(6). Process). has satisfied the pre-filing notice requirement.

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designate a shorter time if such action Comments may be submitted by any of SECURITIES AND EXCHANGE is consistent with the protection of the following methods: COMMISSION investors and the public interest. Electronic Comments [Release No. 34–64259; File No. SR– Because FINRA is delaying the NASDAQ–2010–134] implementation of Rules 2090 and 2111 • Use the Commission’s Internet only, FINRA requests that the comment form (http://www.sec.gov/ Self-Regulatory Organizations; The Commission waive the 30-day operative rules/sro.shtml); or NASDAQ Stock Market LLC; Notice of delay so that this proposed rule change • Send an e-mail to rule- Designation of Longer Time Period for may become operative upon filing. Commission Action on Proceedings To [email protected]. Please include File SR–FINRA–2010–039 would amend Determine Whether To Approve or Number SR–FINRA–2011–016 on the and convert existing NYSE and NASD Disapprove Proposed Rule Change To subject line. know your customer and suitability Adopt Additional Criteria for Listing rules into the consolidated FINRA Paper Comments Commodity Stockpiling Companies rulebook 11 and, to the extent That Have Indicated That Their implementation of SR–FINRA–2010– • Send paper comments in triplicate Business Plan Is To Buy and Hold 039 is postponed, FINRA members to Elizabeth M. Murphy, Secretary, Commodities remain subject to those existing NYSE Securities and Exchange Commission, and NASD know-your-customer and 100 F Street, NE., Washington, DC April 8, 2011. suitability obligations. Further, the 20549–1090. On October 15, 2010, The NASDAQ delay in the implementation date will Stock Market LLC (‘‘Nasdaq’’ or All submissions should refer to File ‘‘Exchange’’) filed with the Securities allow firms additional time to better Number SR–FINRA–2011–016. This file prepare procedures and systems and and Exchange Commission number should be included on the (‘‘Commission’’), pursuant to Section better educate associated persons and subject line if e-mail is used. To help the supervisors to comply with the 19(b)(1) of the Securities Exchange Act Commission process and review your 1 requirements of new FINRA Rules 2090 of 1934 (‘‘Act’’), and Rule 19b–4 comments more efficiently, please use 2 and 2111. For these reasons, the thereunder, a proposed rule change to only one method. The Commission will adopt additional criteria for listing Commission believes it is consistent post all comments on the Commission’s with the protection of investors and the commodity stockpiling companies Internet Web site (http://www.sec.gov/ ‘‘ ’’ public interest to waive the 30-day ( CSCs ) that have indicated that their rules/sro.shtml). Copies of the business plan is to buy and hold operative delay, and hereby grants such submission, all subsequent 12 commodities. The proposed rule change waiver. amendments, all written statements At any time within 60 days of the was published for comment in the with respect to the proposed rule 3 filing of the proposed rule change, the Federal Register on November 3, 2010. change that are filed with the The Commission received no comments Commission summarily may Commission, and all written on the proposal. The Commission temporarily suspend such rule change if communications relating to the subsequently extended the time period it appears to the Commission that such proposed rule change between the in which to either approve the proposed action is necessary or appropriate in the Commission and any person, other than rule change, disapprove the proposed public interest, for the protection of those that may be withheld from the rule change, or to institute proceedings investors, or otherwise in furtherance of public in accordance with the to determine whether to disapprove the the purposes of the Act. If the provisions of 5 U.S.C. 552, will be proposed rule change, to February 1, Commission takes such action, the available for Web site viewing and 2011.4 The Commission received one Commission shall institute proceedings printing in the Commission’s Public comment letter on the proposal.5 On to determine whether the proposed rule Reference Room, 100 F Street, NE., January 31, 2011, the Commission should be approved or disapproved. Washington, DC 20549, on official issued an order instituting proceedings IV. Solicitation of Comments business days between the hours of 10 to determine whether to disapprove the a.m. and 3 p.m. Copies of such filing proposed rule change.6 Interested persons are invited to also will be available for inspection and Section 19(b)(2) of the Act 7 provides submit written data, views and copying at the principal office of that not later than 180 days after the arguments concerning the foregoing, FINRA. All comments received will be date of publication of notice of the filing including whether the proposed rule posted without change; the Commission of a proposed rule change, the change is consistent with the Act. does not edit personal identifying Commission shall issue an order information from submissions. You approving or disapproving the proposed 11 The current FINRA rulebook consists of (1) rule change. Section 19(b)(2) of the Act 8 FINRA rules; (2) NASD rules; and (3) rules should submit only information that incorporated from NYSE (‘‘Incorporated NYSE you wish to make available publicly. All further provides that the Commission rules’’) (together, the NASD Rules, and Incorporated submissions should refer to File may extend the period for issuance of NYSE Rules are referred to as the ‘‘Transitional Number SR–FINRA–2011–016 and Rulebook’’). While the NASD rules generally apply 1 15 U.S.C. 78s(b)(1). to all FINRA member firms, the Incorporated NYSE should be submitted on or before May 2 17 CFR 240.19b–4. rules apply only to those members of FINRA that 4, 2011. 3 ‘‘ ’’ See Securities Exchange Act Release No. 63207 are also members of the NYSE ( Dual Members ). For the Commission, by the Division of The FINRA rules apply to all FINRA members, (October 28, 2010), 75 FR 67788. 4 unless such rules have a more limited application Trading and Markets, pursuant to delegated See Securities Exchange Act Release No. 63508 by their terms. For more information about the authority.13 (December 9, 2010), 75 FR 78300 (December 15, 2010). rulebook consolidation process, see Information Cathy H. Ahn, Notice, March 12, 2008 (Rulebook Consolidation 5 See Letter from Edward H. Smith, Jr. to Florence Process). Deputy Secretary. E. Harmon, Deputy Secretary, Commission, dated 12 For the purposes only of waiving the operative [FR Doc. 2011–8873 Filed 4–12–11; 8:45 am] January 18, 2011. 6 See Securities Exchange Act Release No. 63804 date of this proposal, the Commission has BILLING CODE 8011–01–P considered the proposed rule’s impact on (January 31, 2011), 76 FR 6506 (February 4, 2011). efficiency, competition, and capital formation. See 7 15 U.S.C. 78s(b)(2)(B)(ii)(I). 15 U.S.C. 78c(f). 13 17 CFR 200.30–3(a)(12). 8 15 U.S.C. 78s(b)(2)(B)(ii)(II).

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the order approving or disapproving the and Exchange Commission respect to those quotes/orders.3 proposed rule change by not more than (‘‘Commission’’) the proposed rule Effective April 1, 2011, NASDAQ will 60 days if the Commission determines change as described in Items I, II, and eliminate this rebate provision. As that a longer period is appropriate and III below, which Items have been NASDAQ noted when it introduced this publishes the reasons for such prepared by NASDAQ. The Commission rebate provision in January 2011,4 determination, or the self-regulatory is publishing this notice to solicit NASDAQ believes that transparent organization that filed the proposed rule comments on the proposed rule change markets should be encouraged wherever change consents to the longer period. from interested persons. possible, but NASDAQ does offer The Commission is extending the 180- members the option of providing day time period for the issuance of an I. Self-Regulatory Organization’s liquidity through non-displayed quotes/ order approving or disapproving the Statement of the Terms of the Substance orders in order to allow it to compete proposed rule change for an additional of the Proposed Rule Change better with alternative trading systems 9 60 days. The Commission finds that it NASDAQ proposes to modify pricing that operate as dark pools. Accordingly, is appropriate to designate a longer for NASDAQ members using the it was NASDAQ’s expectation that the period within which to issue an order NASDAQ Market Center. NASDAQ will rebate tier might encourage some approving or disapproving the proposed implement the proposed change on members that use dark pools extensively rule change so that the Commission has April 1, 2011. The text of the proposed to make greater use of non-displayed sufficient time to consider the rule change is available at http:// liquidity on NASDAQ. Because such a Exchange’s proposal and whether it is nasdaq.cchwallstreet.com/, at response did not occur, NASDAQ has consistent with the Act. The proposal NASDAQ’s principal office, and at the decided to eliminate the tier. NASDAQ would establish, for the first time, Commission’s Public Reference Room. notes that the tier’s elimination will not standards for listing securities of impact any members, because there are companies whose business plan is to II. Self-Regulatory Organization’s no members that currently qualify for buy and hold commodities. Statement of the Purpose of, and the tier that do not also qualify for the Accordingly, pursuant to Section Statutory Basis for, the Proposed Rule same rebate for non-displayed quotes/ 19(b)(2) of the Act,10 the Commission Change orders (and a higher rebate for displayed designates July 1, 2011 as the date by quotes/orders) under another volume- which the Commission shall issue an In its filing with the Commission, based pricing tier. order either approving or disapproving NASDAQ included statements Second, NASDAQ is introducing a the proposed rule change (File Number concerning the purpose of and basis for new rebate tier for members that are SR–NASDAQ–2010–134). the proposed rule change and discussed active in both the NASDAQ Market any comments it received on the For the Commission, by the Division of Center and the NASDAQ Options proposed rule change. The text of these Market. Currently, a member is eligible Trading and Markets, pursuant to delegated statements may be examined at the authority.11 to receive an enhanced rebate of $0.0029 places specified in Item IV below. per share executed for displayed quotes/ Cathy H. Ahn, NASDAQ has prepared summaries, set Deputy Secretary. orders and of $0.0015 per share forth in Sections A, B, and C below, of executed for non-displayed quotes/ [FR Doc. 2011–8872 Filed 4–12–11; 8:45 am] the most significant aspects of such orders if it achieves certain specified BILLING CODE 8011–01–P statements. levels of activity in both markets. The A. Self-Regulatory Organization’s required levels of monthly activity are SECURITIES AND EXCHANGE Statement of the Purpose of, and an average daily volume of more than 10 COMMISSION Statutory Basis for, the Proposed Rule million shares of liquidity provided Change through the NASDAQ Market Center [Release No. 34–64246; File No. SR– and an average daily volume of more NASDAQ–2011–048] 1. Purpose than 130,000 options contracts accessed or provided through the NASDAQ Self-Regulatory Organizations; The NASDAQ is amending Rule 7018 to Options Market. In each case, the NASDAQ Stock Market LLC; Notice of make modifications to its pricing member may achieve the required schedule for execution of quotes/orders Filing and Immediate Effectiveness of volume levels through one or more of its Proposed Rule Change To Modify Fees through the NASDAQ Market Center of market participant identifiers (‘‘MPIDs’’). for Members Using the NASDAQ securities priced at $1 or more. Under While retaining this tier,5 NASDAQ is Market Center the pricing schedule, NASDAQ offers a proposing to add an additional tier for credit to liquidity providers, with the a market participant with (i) shares of April 7, 2011. size of the credit varying based on a Pursuant to Section 19(b)(1) of the liquidity provided through the range of parameters specified in the fee NASDAQ Market Center in all securities Securities Exchange Act of 1934 schedule. The lowest liquidity provider 1 2 during the month equal to 1% or more (‘‘Act’’), and Rule 19b–4 thereunder, rebate is $0.0020 per share executed for notice is hereby given that on April 1, of the average total consolidated volume displayed quotes/orders and $0.0010 reported to all consolidated transaction 2011, The NASDAQ Stock Market LLC per share executed for non-displayed (‘‘NASDAQ’’) filed with the Securities quotes/orders. One means by which 3 The rebate for displayed quotes/orders for such members may currently receive a higher members is the basic rate of $0.0020 per share 9 The proposed rule change was published for executed, unless the member otherwise qualifies for notice and comment in the Federal Register on liquidity rebate is focused on the use of non-displayed quotes/orders: members a more favorable rebate with respect to its displayed November 3, 2010. See supra note 2. The 180th date quotes/orders. from publication in the Federal Register is May 2, providing 3 million shares or more of 4 Securities Exchange Act Release No. 63648 2011 and an additional 60-days from that date liquidity through one or more MPID (January 5, 2011), 76 FR 2178 (January 12, 2011) would extend the time period to July 1, 2011. (SR–NASDAQ–2011–003). 10 using non-displayed quotes/orders 15 U.S.C. 78s(b)(2). 5 NASDAQ is, however, modifying the wording of 11 17 CFR 200.30–3(a)(31). receive a rebate of $0.0015 per share executed, rather than the basic rebate of the existing tier in Rule 7018 to improve its clarity. 1 15 U.S.C. 78s(b)(1). The changes do not result in any substantive 2 17 CFR 240.19b–4. $0.0010 per share executed, with changes to the applicability of the tier.

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reporting plans by all exchanges and continue to be set at reasonable levels. Accordingly, NASDAQ believes that the trade reporting facilities during the Depending on their levels of liquidity new tier is not unreasonably month, and (ii) an average daily volume provision using displayed and/or non- discriminatory, because NASDAQ during the month of more than 300,000 displayed quotes/orders, members are already provides alternative means to contracts of liquidity accessed or eligible to receive a rebate of $0.0015 achieve the same rebate level without provided through the Nasdaq Options per share executed for non-displayed use of the NASDAQ Options Market. Market. In each case, the member may quotes/orders, as well as rebates for NASDAQ also believes that the new tier achieve the required volume levels displayed quotes/orders that are higher is reasonable and equitable because it through one or more of its MPIDs. A than the base rate of $0.0020 per share will provide members with an member reaching these volume levels executed. alternative method to earn the highest would receive a liquidity provider With respect to its pricing change for rebate, thereby potentially resulting in rebate of $0.00295 per share executed members active on both the NASDAQ reduced fees for a wider range of market for displayed liquidity, and $0.0015 per Market Center and the NASDAQ participants. share executed for non-displayed Options Market, NASDAQ has noted in liquidity. These rebate levels are equal its prior filings with regard to the NASDAQ further notes that it to the rebate levels currently available to existing rebate tier focused on such operates in a highly competitive market members that provide high levels of members that the tier is responsive to in which market participants can liquidity through the NASDAQ Market the convergence of trading in which readily favor competing venues if they Center but that do not trade options members simultaneously trade different deem fee levels at a particular venue to contracts in volume through the asset classes within a single strategy.9 be excessive. In such an environment, NASDAQ Options Market.6 NASDAQ also notes that cash equities NASDAQ must continually adjust its and options markets are linked, with fees to remain competitive with other 2. Statutory Basis liquidity and trading patterns on one exchanges and with alternative trading NASDAQ believes that the proposed market affecting those on the other. systems that are exempted from rule change is consistent with the Accordingly, pricing incentives that compliance with the statutory standards provisions of Section 6 of the Act,7 in encourage market participant activity in applicable to exchanges. In the case of general, and with Section 6(b)(4) of the both markets recognize that activity in the fee changes effected by this filing, (i) Act,8 in particular, in that it provides for the options markets also supports price the elimination of the enhanced rebate the equitable allocation of reasonable discovery and liquidity provision in the for non-displayed liquidity will impact dues, fees and other charges among NASDAQ Market Center. no members, since those members that members and issuers and other persons Because the rebates available through qualify for the tier also currently qualify using any facility or system which the new tier are equal to the highest to receive the same rebate for non- NASDAQ operates or controls. All rebates otherwise available to market displayed quotes/orders (and a higher similarly situated members are subject participants, members seeking to qualify rebate for displayed quotes/orders) to the same fee structure, and access to for the new tier are required to maintain through other pricing tiers, and (ii) the NASDAQ is offered on fair and non- fairly high levels of activity on the new options tier will widen discriminatory terms. With respect to NASDAQ Market Center and the opportunities for market participants to the elimination of the favorable rebate NASDAQ Options Market. NASDAQ earn the highest rebate and thereby tier for non-displayed quotes/orders, notes, however, that the new tier is not reduce their fees. NASDAQ believes that the change is the only means of qualifying for the equitable in that there are no members rebate levels associated with the new B. Self-Regulatory Organization’s that currently qualify for the tier that do tier, and that the other means do not Statement on Burden on Competition not also qualify for the same rebate for require any activity on the NASDAQ NASDAQ does not believe that the non-displayed quotes/orders (and a Options Market. Specifically, any proposed rule change will result in any higher rebate for displayed quotes/ member that provides the levels of burden on competition that is not orders) under another volume-based liquidity on the NASDAQ Market Center necessary or appropriate in furtherance pricing tier; accordingly, its elimination required under the new tier would of the purposes of the Act, as amended. will not impact the fees paid by any already qualify for the same rebate Because the market for order execution members. Moreover, NASDAQ believes ($0.00295 per share for displayed and routing is extremely competitive, that its liquidity provider rebates liquidity and $0.0015 per share for non- members may readily opt to disfavor displayed liquidity) under existing tiers NASDAQ’s execution services if they 6 Specifically, a member qualifies for the same focused solely on volume of liquidity rebate if it has an average daily volume through the provision, as long as the liquidity was believe that alternatives offer them NASDAQ Market Center in all securities during the better value. For this reason and the month of: (i) More than 95 million shares of provided through a single MPID. Under the new tier, however, a member that reasons discussed in connection with liquidity provided, if average total consolidated the statutory basis for the proposed rule volume reported to all consolidated transaction could not reach the NASDAQ Stock reporting plans by all exchanges and trade reporting Market volume levels required to earn change, NASDAQ does not believe that facilities is more than 10 billion shares per day the highest rebate through a single MPID the proposed changes will impair the during the month; (ii) more than 85 million shares ability of members or competing order of liquidity provided, if average total consolidated could be eligible for the same rebate volume is between 9,000,000,001 and 10 billion level if it was able to attain high volume execution venues to maintain their shares per day during the month; (iii) more than 75 levels on the NASDAQ Stock Market competitive standing in the financial million shares of liquidity provided, if average total markets. consolidated volume is between 8,000,000,001 and through multiple MPIDs and also 9 billion shares per day during the month; and (iv) achieved required levels of activity C. Self-Regulatory Organization’s more than 65 million shares of liquidity provided, through the NASDAQ Options Market. Statement on Comments on the if average total consolidated volume is 8 billion or Proposed Rule Change Received from fewer shares per day during the month. In each 9 Securities Exchange Act Release No. 64003 case, however, the member is required to achieve (March 2, 2011), 76 FR 12784 (March 8, 2011) (SR– Members, Participants, or Others the required level through a single MPID. NASDAQ–2011–028); Securities Exchange Act 7 15 U.S.C. 78f. Release No. 59879 (May 6, 2009), 74 FR 22619 (May Written comments were neither 8 15 U.S.C. 78f(b)(4). 13, 2009) (SR–NASDAQ–2009–041). solicited nor received.

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III. Date of Effectiveness of the printing in the Commission’s Public office of the Exchange, and at the Proposed Rule Change and Timing for Reference Room on official business Commission’s Public Reference Room. Commission Action days between the hours of 10 a.m. and II. Self-Regulatory Organization’s 3 p.m. Copies of such filing also will be The foregoing rule change has become Statement of the Purpose of, and available for inspection and copying at effective pursuant to Section Statutory Basis for, the Proposed Rule the principal offices of the Exchange. 19(b)(3)(A)(ii) of the Act.10 At any time Change within 60 days of the filing of the All comments received will be posted without change; the Commission does In its filing with the Commission, the proposed rule change, the Commission Exchange included statements summarily may temporarily suspend not edit personal identifying information from submissions. You concerning the purpose of and basis for such rule change if it appears to the the proposed rule change and discussed Commission that such action is should submit only information that you wish to make available publicly. All any comments it received on the necessary or appropriate in the public proposed rule change. The text of these interest, for the protection of investors, submissions should refer to File Number SR–NASDAQ–2011–048, and statements may be examined at the or otherwise in furtherance of the places specified in Item IV below. The purposes of the Act. If the Commission should be submitted on or before May 4, 2011. Exchange has prepared summaries, set takes such action, the Commission shall forth in sections A, B, and C below, of For the Commission, by the Division of institute proceedings to determine the most significant parts of such whether the proposed rule should be Trading and Markets, pursuant to delegated 11 statements. approved or disapproved. authority. Cathy H. Ahn, A. Self-Regulatory Organization’s IV. Solicitation of Comments Deputy Secretary. Statement of the Purpose of, and Interested persons are invited to [FR Doc. 2011–8871 Filed 4–12–11; 8:45 am] Statutory Basis for, the Proposed Rule submit written data, views, and BILLING CODE 8011–01–P Change arguments concerning the foregoing, 1. Purpose including whether the proposed rule change is consistent with the Act. SECURITIES AND EXCHANGE With this rule change, the Exchange is Comments may be submitted by any of COMMISSION proposing to extend the pilot program the following methods: currently in effect regarding clearly [Release No. 34–64242; File No. SR–NSX– erroneous executions under NSX Rule Electronic Comments 2011–05] 11.19. Currently, unless otherwise • Use the Commission’s Internet extended or approved permanently, this Self-Regulatory Organizations; comment form (http://www.sec.gov/ pilot program will expire on April 11, National Stock Exchange, Inc.; Notice rules/sro.shtml); or 2011. The instant rule filing proposes to of Filing and Immediate Effectiveness • Send an e-mail to rule- extend the pilot program until the of Proposed Rule Change To Amend [email protected]. Please include File earlier of August 11, 2011 or the date on Its Rules To Extend Pilot Program Number SR–NASDAQ–2011–048 on the which the limit up/limit down Regarding Clearly Erroneous subject line. mechanism to address extraordinary Executions market volatility, if adopted, applies to Paper Comments April 7, 2011. the Circuit Breaker Securities as defined • Send paper comments in triplicate Pursuant to Section 19(b)(1) of the in Commentary .05 of Rule 11.20. to Elizabeth M. Murphy, Secretary, Securities Exchange Act of 1934 (the NSX Rule 11.19 (Clearly Erroneous Securities and Exchange Commission, ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 Executions) was approved by the 100 F Street, NE., Washington, DC notice is hereby given that on April 6, Securities and Exchange Commission 20549–1090. 2011, National Stock Exchange, Inc. (the ‘‘Commission’’) on September 10, All submissions should refer to File filed with the Securities and Exchange 2010 on a pilot basis to end on Number SR–NASDAQ–2011–048. This Commission (‘‘Commission’’) the December 10, 2010.3 The pilot program file number should be included on the proposed rule change, as described in end date was subsequently extended subject line if e-mail is used. Items I and II below, which Items have until April 11, 2011.4 Similar rule To help the Commission process and been prepared by the Exchange. The changes were adopted by other markets review your comments more efficiently, Commission is publishing this notice to in the national market system in a please use only one method. The solicit comment on the proposed rule coordinated manner. During the pilot Commission will post all comments on change from interested persons. period, the Exchange, in conjunction the Commission’s Internet Web site with the Commission and other markets, (http://www.sec.gov/rules/sro.shtml). I. Self-Regulatory Organization’s has continued to assess the effectiveness Copies of the submission, all subsequent Statement of the Terms of Substance of of the pilot program. The Exchange, in amendments, all written statements the Proposed Rule Change consultation with other markets and the with respect to the proposed rule National Stock Exchange, Inc. Commission, has determined that the change that are filed with the (‘‘NSX®’’ or ‘‘Exchange’’) is proposing to duration of this pilot program should be Commission, and all written amend its rules to extend a certain pilot extended until August 11, 2011 or to communications relating to the program regarding clearly erroneous coincide, if applicable, with the earlier proposed rule change between the executions. implementation date of the limit up/ Commission and any person, other than The text of the proposed rule change limit down mechanism. Accordingly, those that may be withheld from the is available on the Exchange’s Web site public in accordance with the at http://www.nsx.com, at the principal 3 See Securities Exchange Act Release No. 62886 (September 10, 2010), 75 FR 56613 (September 16, provisions of 5 U.S.C. 552, will be 2010) (SR–NSX–2010–07). available for Web site viewing and 11 17 CFR 200.30–3(a)(12). 4 See Securities Exchange Act Release No. 63484 1 15 U.S.C. 78s(b)(1). (December 9, 2010), 75 FR 78330 (December 15, 10 15 U.S.C. 78s(b)(3)(a)(ii). 2 17 CFR 240.19b–4 . 2010) (SR–NSX–2010–16).

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pursuant to the instant rule filing, the (f)(6)(iii) thereunder.8 The Exchange has subject line if e-mail is used. To help the expiration date of the pilot program asked the Commission to waive the 30- Commission process and review your referenced in the first two sentences of day operative delay so that the proposal comments more efficiently, please use Rule 11.19 is proposed to be changed may become operative immediately only one method. The Commission will from ‘‘April 11, 2011’’ to the earlier of upon filing. The Commission believes post all comments on the Commission’s August 11, 2011 or the date on which that waiving the 30-day operative delay Internet Web site (http://www.sec.gov/ the limit up/limit down mechanism, if is consistent with the protection of rules/sro.shtml). Copies of the adopted, applies to the Circuit Breaker investors and the public interest submission, all subsequent Securities. because such waiver will allow the pilot amendments, all written statements program to continue uninterrupted and with respect to the proposed rule 2. Statutory Basis help ensure uniformity among the change that are filed with the The Exchange believes that the national securities exchanges and Commission, and all written proposed rule change is consistent with FINRA with respect to the treatment of communications relating to the the provisions of Section 6(b) and clearly erroneous transactions.9 proposed rule change between the Section 11A of the Act,5 in general, and Accordingly, the Commission waives Commission and any person, other than Section 6(b)(5) of the Act,6 in particular, the 30-day operative delay requirement those that may be withheld from the in that it is designed, among other and designates the proposed rule change public in accordance with the things, to promote clarity, transparency as operative upon filing with the provisions of 5 U.S.C. 552, will be and full disclosure, in so doing, to Commission. available for Web site viewing and prevent fraudulent and manipulative At any time within 60 days of the printing in the Commission’s Public acts and practices, to promote just and filing of the proposed rule change, the Reference Room, 100 F Street, NE., equitable principles of trade, to remove Commission summarily may Washington, DC 20549, on official impediments to and perfect the temporarily suspend such rule change if business days between the hours of 10 mechanism of a free and open market it appears to the Commission that such a.m. and 3 p.m. Copies of such filing and a national market system, and, in action is necessary or appropriate in the also will be available for inspection and general, to maintain fair and orderly public interest, for the protection of copying at the principal office of the markets and protect investors and the investors, or otherwise in furtherance of Exchange. All comments received will public interest. Moreover, the proposed the purposes of the Act. be posted without change; the Commission does not edit personal rule change is not discriminatory in that IV. Solicitation of Comments it uniformly applies to all ETP Holders. identifying information from The Exchange believes that the Interested persons are invited to submissions. You should submit only extension of the pilot program will submit written data, views, and information that you wish to make publicly available. All submissions promote uniformity among markets with arguments concerning the foregoing, should refer to File Number SR–NSX– respect to clearly erroneous executions. including whether the proposed rule change is consistent with the Act. 2011–05 and should be submitted on or B. Self-Regulatory Organization’s Comments may be submitted by any of before May 4, 2011. Statement on Burden on Competition the following methods: For the Commission, by the Division of The Exchange does not believe that Trading and Markets, pursuant to delegated Electronic Comments authority.10 the proposed rule change will impose • Use the Commission’s Internet Cathy H. Ahn, any inappropriate burden on comment form (http://www.sec.gov/ competition. Deputy Secretary. rules/sro.shtml); or [FR Doc. 2011–8865 Filed 4–12–11; 8:45 am] • C. Self-Regulatory Organization’s Send an e-mail to rule- BILLING CODE 8011–01–P Statement on Comments on the [email protected]. Please include File Proposed Rule Change Received From Number SR–NSX–2011–05 on the Members, Participants, or Others subject line. SECURITIES AND EXCHANGE COMMISSION The Exchange has neither solicited Paper Comments nor received written comments on the • Send paper comments in triplicate [Release No. 34–64258; File No. SR–ISE– proposed rule change. to Elizabeth M. Murphy, Secretary, 2011–23] III. Date of Effectiveness of the Securities and Exchange Commission, Self-Regulatory Organizations; Proposed Rule Change and Timing for 100 F Street, NE., Washington, DC International Securities Exchange, Commission Action 20549–1090. LLC; Notice of Filing and Immediate All submissions should refer to File Effectiveness of Proposed Rule Because the foregoing proposed rule Number SR–NSX–2011–05. This file Change To Expand the $2.50 Strike change does not: (i) Significantly affect number should be included on the Price Program the protection of investors or the public interest; (ii) impose any significant 8 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule April 8, 2011. burden on competition; and (iii) become 19b–4(f)(6)(iii) requires that a self-regulatory Pursuant to Section 19(b)(1) of the operative for 30 days from the date on organization submit to the Commission written Securities Exchange Act of 1934 notice of its intent to file the proposed rule change, (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 which it was filed, or such shorter time along with a brief description and text of the as the Commission may designate, it has proposed rule change, at least five business days notice is hereby given that, on April 6, become effective pursuant to Section prior to the filing of the proposed rule change, or 2011, the International Securities 19(b)(3)(A) of the Act 7 and Rule 19b–4 such shorter time as designated by the Commission. Exchange, LLC (the ‘‘Exchange’’ or the The Commission notes that the Exchange has ‘‘ISE’’) filed with the Securities and satisfied this requirement. 5 15 U.S.C. 78f(b) and 15 U.S.C. 78k–1, 9 For purposes only of waiving the 30-day respectively. operative delay, the Commission has considered the 10 17 CFR 200.30–3(a)(12). 6 15 U.S.C. 78f(b)(5). proposed rule’s impact on efficiency, competition, 1 15 U.S.C. 78s(b)(1). 7 15 U.S.C. 78s(b)(3)(A). and capital formation. See 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4.

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Exchange Commission (‘‘Commission’’) permit the listing of options with $2.50 instead of the 85 strike. If the 85 strike the proposed rule change as described strike price intervals for options with call were trading at $2.35, the 82.50 in Items I and II below, which Items strike prices between $50 and $100, strike call would trade at approximately have been prepared by the Exchange. provided the $2.50 strike price intervals $3.30. By selling the 82.50 strike call at The Exchange has filed the proposal as are no more than $10 from the closing $3.30 against an existing stock position, a ‘‘non-controversial’’ proposed rule price of the underlying stock in the the investor could yield a 4.07% return 6 change pursuant to Section primary market. Additionally, ISE over a two month period or an 19(b)(3)(A)(iii) of the Act 3 and Rule proposes to specify that it may select up annualized 24.40% return. Therefore, an 4 19b–4(f)(6) thereunder. The to sixty (60) option classes on additional choice of a $2.50 strike individual stocks for which the intervals Commission is publishing this notice to interval could afford varying yields to of strike prices will be $2.50. Currently, solicit comments on the proposed rule the investor. change from interested persons. ISE Rule 504(g) permits the listing of options with $2.50 strike price intervals ISE believes that the Program has to I. Self-Regulatory Organization’s with strike prices between $50 and $75. date created additional trading Statement of the Terms of Substance of Specifically, ISE proposes to amend the opportunities for investors, thereby the Proposed Rule Change current text of ISE Rule 504(g) to expand benefiting the marketplace. The The Exchange proposes to amend ISE the Program. existence of $2.50 strike prices with Rule 504 to expand the $2.50 Strike For example, consider a hypothetical strike intervals above $75 affords Price program. The text of the proposed where Caterpillar, Inc. (‘‘CAT’’) was investors the ability to more closely rule change is available on the trading at $81. With approximately one tailor investment strategies to the Exchange’s Web site http:// month remaining until expiration, and precise movement of the underlying www.ise.com, at the principal office of with a front month at-the-money put security and meet their investment, the Exchange, and at the Commission’s option (the 80 strike) trading at trading and risk management approximately $1.30, the investor would Public Reference Room. requirements. be able to purchase a $77.50 strike put II. Self-Regulatory Organization’s at an estimated $0.60 per contract. ISE is also proposing to specify that Statement of the Purpose of, and Today, the next available strike of a one it may select up to 60 option classes on Statutory Basis for, the Proposed Rule month put option is the 75 strike. While individual stocks for which the intervals Change the 75 strike put would certainly trade of strike prices will be $2.50. ISE has In its filing with the Commission, the at a lesser price than the 80 strike put,7 participated in the industry wide $2.50 Exchange included statements the protection offered would only take Strike Price Program since ISE’s concerning the purpose of, and basis for, effect with a 7.40% decline in the inception in 2000. Currently, the the proposed rule change and discussed market as oppose to a 4.30% decline in options exchanges may collectively any comments it received on the the market. The $77.50 strike put would select up to 200 options classes on proposed rule change. The text of these provide the investor an additional individual stocks for which the intervals statements may be examined at the choice to hedge exposure (the of strike prices will be $2.50. In places specified in Item IV below. The opportunity to hedge with a reduced addition, each options exchange is self-regulatory organization has outlay) and thereby minimize risk if permitted to list options with $2.50 there were a decline in the stock price prepared summaries, set forth in strike price intervals on any option class of CAT. Sections A, B and C below, of the most that another options exchange selects significant aspects of such statements. Another example would be if an investor desired to sell call options to under its program. A. Self-Regulatory Organization’s hedge the exposure of an underlying The industry wide collection of 200 Statement of the Purpose of, and stock position and enhance yield. options classes has not been expanded Statutory Basis for, the Proposed Rule Consider a hypothetical where CAT was since 1998, although increasingly more Change trading at $81 and the second month companies have completed initial 1. Purpose (two months remaining) of a recently public offerings from 1998 through out of-the-money call option (the 85 2010. Additionally, significantly more The purpose of this proposed rule strike) was trading at approximately options classes are trading in 2011 as change is to expand the current $2.50 $2.35. If the investor were to sell the 85 Strike Price Program (‘‘Program’’) 5 to compared to 1998. The Exchange strike call against an existing stock proposes to specify that ISE may select position, the investor could yield a 3 up to 60 options classes to remain 15 U.S.C. 78s(b)(3)(A). return of approximately 2.90% over a 4 competitive with other exchanges and to 17 CFR 240.19b–4(f)(6). two month period or an annualized 5 The $2.50 Strike Price Program existed among offer investors additional investment return of 17.4%. By providing an the options exchanges when ISE began operations choices. ISE believes that offering in 2000. Initially adopted in 1995 as a pilot additional $2.50 strike interval above program, the pilot $2.50 Strike Price Program $75, the investor would have the additional options classes would benefit allowed options exchanges to list options with opportunity to sell the 82.50 strike investors. $2.50 strike price intervals for options trading at strike prices greater than $25 but less than $50 on Furthermore, ISE does not believe that a total of up to 100 option classes. See Securities and SR–Phlx–98–26). The Exchange lists options this proposal would have a negative Exchange Act Release No. 35993 (July 19, 1995), 60 with $2.50 strike price intervals on those classes impact on the marketplace. ISE would FR 38073 (July 25, 1995) (approving File Nos. SR– selected by the other options exchanges and does Phlx–95–08, SR–Amex–95–12, SR–PSE–95–07, SR– not select any class for inclusion in the $2.50 Strike compare this proposal with the $1 CBOE–95–19, and SR–NYSE–95–12). In 1998, the Price Program. See Securities Exchange Act Release Strike Price expansion, wherein ISE, pilot program was permanently approved and No. 52960 (December 15, 2005), 70 FR 76090 among several options exchanges, (December 22, 2005) (SR–ISE–2005–59). expanded to allow the options exchanges to select expanded its $1 Strike Price Program up to 200 option classes for the $2.50 Strike Price 6 The term ‘‘primary market’’ is defined in ISE Program. See Securities Exchange Act Release No. Rule 100(a)(37) as the principal market in which an from 55 individual stocks to 150 40662 (November 12, 1998), 63 FR 64297 underlying security is traded. individual stocks on which an option (November 19, 1998) (approving File Nos. SR– 7 The 75 strike put would trade at $0.30 in this series may be listed at $1 strike price Amex–98–21, SR–CBOE–98–29, SR–PCX–98–31, example.

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intervals.8 ISE believes that this expansion of the $2.50 Strike Price Commission designates the proposal proposed rule change that would, in Program will generate additional quote operative upon filing.14 part, result in an increase to the 200 traffic, ISE does not believe that this At any time within 60 days of the options classes in the industry wide increased traffic will become filing of the proposed rule change, the Program, is less than the $1 Strike Price unmanageable since the proposal is Commission summarily may Program increase among several limited to a fixed number of classes. temporarily suspend such rule change if exchanges and therefore would have Further, ISE does not believe that the it appears to the Commission that such less impact than that program, which proposal will result in a material action is necessary or appropriate in the has not had any negative impact on the proliferation of additional series public interest, for the protection of market in terms of proliferation of quote because it is limited to a fixed number investors, or otherwise in furtherance of volume or fragmentation. ISE believes of classes and ISE does not believe that the purposes of the Act. that the effect of the proposed the additional price points will result in IV. Solicitation of Comments expansion on the marketplace would fractured liquidity. not result in a material proliferation of Interested persons are invited to B. Self-Regulatory Organization’s quote volume or concerns with submit written data, views, and Statement on Burden on Competition fragmentation. arguments concerning the foregoing, With regard to the impact of this The proposed rule change does not including whether the proposed rule proposal on system capacity, ISE has impose any burden on competition that change is consistent with the Act. analyzed its capacity and represents that is not necessary or appropriate in Comments may be submitted by any of it and the Options Price Reporting furtherance of the purposes of the Act. the following methods: Authority have the necessary system C. Self-Regulatory Organization’s Electronic Comments capacity to handle the potential Statement on Comments on the • Use the Commission’s Internet additional traffic associated with the Proposed Rule Change Received From comment form (http://www.sec.gov/ listing and trading of additional classes Members, Participants, or Others rules/sro.shtml); or on individual stocks in the $2.50 Strike • Send an e-mail to rule- Price Program. The Exchange has not solicited, and does not intend to solicit, comments on [email protected]. Please include File 2. Statutory Basis this proposed rule change. The Number SR–ISE–2011–23 on the subject line. The Exchange believes that its Exchange has not received any proposal is consistent with Section 6(b) unsolicited written comments from Paper Comments of the Act 9 in general, and furthers the members or other interested parties. • Send paper comments in triplicate objectives of Section 6(b)(5) of the Act 10 III. Date of Effectiveness of the to Elizabeth M. Murphy, Secretary, in particular, in that it is designed to Proposed Rule Change and Timing for Securities and Exchange Commission, promote just and equitable principles of Commission Action 100 F Street, NE., Washington, DC trade, to remove impediments to and 20549–1090. Because the foregoing proposed rule perfect the mechanism of a free and All submissions should refer to File open market and a national market change does not significantly affect the protection of investors or the public Number SR–ISE–2011–23. This file system, and, in general to protect number should be included on the investors and the public interest. ISE interest, does not impose any significant burden on competition, and, by its subject line if e-mail is used. To help the believes that the effect of the proposed Commission process and review your expansion on the marketplace would terms, does not become operative for 30 days from the date on which it was comments more efficiently, please use not result in a material proliferation of only one method. The Commission will quote volume or concerns with filed, or such shorter time as the Commission may designate, it has post all comments on the Commission’s fragmentation. In addition, ISE believes Internet Web site (http://www.sec.gov/ that it has the necessary system capacity become effective pursuant to Section 11 rules/sro.shtml). Copies of the to handle the potential additional traffic 19(b)(3)(A) of the Act and Rule 19b– 4 (f)(6) thereunder.12 submission, all subsequent associated with listing and trading of amendments, all written statements the additional classes. The Exchange has requested that the Commission waive the 30-day operative with respect to the proposed rule Rather, ISE believes the $2.50 Strike change that are filed with the Price Program proposal would provide delay. The Commission believes that waiver of the operative delay is Commission, and all written the investing public and other market communications relating to the participants increased opportunities to consistent with the protection of investors and the public interest proposed rule change between the better manage their risk exposure. Commission and any person, other than Accordingly, ISE believes that the because the proposal is substantially similar to that of another exchange that those that may be withheld from the proposal to expand the Program to allow public in accordance with the the listing of options with $2.50 strike has been approved by the Commission.13 Therefore, the provisions of 5 U.S.C. 552, will be price intervals for options with strike available for Web site viewing and prices between $50 and $100 should 11 15 U.S.C. 78s(b)(3)(A). printing in the Commission’s Public further benefit investors and the market 12 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Reference Room, 100 F Street, NE., by providing greater trading 4(f)(6)(iii) requires the Exchange to give the Washington, DC 20549, on official opportunities for those underlying Commission written notice of the Exchange’s intent business days between the hours of 10 stocks that have low volatility and thus to file the proposed rule change, along with a brief description and text of the proposed rule change, a.m. and 3 p.m. Copies of the filing also trade in a narrow range. While at least five business days prior to the date of filing of the proposed rule change, or such shorter time Phlx–2011–15) (order approving expansion of $2.50 8 See Exchange Act Release No. 62442 (July 2, as designated by the Commission. The Commission Strike Price Program). 2010), 75 FR 39597 (July 9, 2010) (SR–ISE–2010– has waived the five-day prefiling requirement in 14 For purposes only of waiving the 30-day 64). this case. operative delay, the Commission has considered the 9 15 U.S.C. 78f(b). 13 See Securities Exchange Act Release No. 64157 proposed rule’s impact on efficiency, competition, 10 15 U.S.C. 78f(b)(5). (March 31, 2011), 76 FR 18817 (April 5, 2011) (SR– and capital formation. See 15 U.S.C. 78c(f).

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will be available for inspection and by which such rule operates from the The extension proposed herein would copying at the principal office of the current scheduled expiration date of allow the pilot to continue to operate Exchange. All comments received will April 11, 2011, until the earlier of without interruption while the be posted without change; the August 11, 2011 or the date on which Exchange, other national securities Commission does not edit personal a limit up/limit down mechanism to exchanges and the Commission further identifying information from address extraordinary market volatility, assess the effect of the pilot on the submissions. You should submit only if adopted, applies. The text of the marketplace or whether other initiatives information that you wish to make proposed rule change is available at the should be adopted in lieu of the current available publicly. All submissions Exchange, the Commission’s Public pilot. should refer to File Number SR–ISE– Reference Room, and http:// 2. Statutory Basis 2011–23 and should be submitted on or www.nyse.com. before May 4, 2011. II. Self-Regulatory Organization’s The Exchange believes that its For the Commission, by the Division of Statement of the Purpose of, and proposal is consistent with Section 6(b) Trading and Markets, pursuant to delegated Statutory Basis for, the Proposed Rule of the Securities Exchange Act of 1934 authority.15 6 Change (the ‘‘Act’’), in general, and furthers the Cathy H. Ahn, objectives of Section 6(b)(5) of the Act,7 Deputy Secretary. In its filing with the Commission, the in particular, in that it is designed to [FR Doc. 2011–8856 Filed 4–12–11; 8:45 am] self-regulatory organization included prevent fraudulent and manipulative statements concerning the purpose of, BILLING CODE 8011–01–P acts and practices, to promote just and and basis for, the proposed rule change equitable principles of trade, to remove and discussed any comments it received impediments to and perfect the SECURITIES AND EXCHANGE on the proposed rule change. The text mechanism of a free and open market COMMISSION of those statements may be examined at and a national market system, and, in the places specified in Item IV below. general, to protect investors and the [Release No. 34–64254; File No. SR–NYSE– The Exchange has prepared summaries, 2011–16] public interest. The Exchange believes set forth in sections A, B, and C below, that the change proposed herein meets Self-Regulatory Organizations; New of the most significant parts of such these requirements in that it promotes York Stock Exchange LLC; Notice of statements. uniformity across markets concerning Filing and Immediate Effectiveness of A. Self-Regulatory Organization’s decisions to pause trading in a security Proposed Rule Change Amending Statement of the Purpose of, and the when there are significant price NYSE Rule 80C, Trading Pauses in Statutory Basis for, the Proposed Rule movements. Additionally, extension of Individual Securities Due to Change the pilot until the earlier of August 11, Extraordinary Market Volatility, To 2011 or the date on which a limit up/ Extend the Effective Date of the Pilot 1. Purpose limit down mechanism to address Until the Earlier of August 11, 2011 or The Exchange proposes to amend extraordinary market volatility, if the Date on Which a Limit Up/Limit NYSE Rule 80C, which provides for adopted, applies would allow the pilot Down Mechanism To Address trading pauses in individual securities to continue to operate without Extraordinary Market Volatility, if due to extraordinary market volatility, interruption while the Exchange and the Adopted, Applies to extend the effective date of the pilot Commission further assess the effect of by which such rule operates from the the pilot on the marketplace or whether April 7, 2011. current scheduled expiration date of other initiatives should be adopted in Pursuant to Section 19(b)(1) 1 of the April 11, 2011,4 until the earlier of lieu of the current pilot. Securities Exchange Act of 1934 (the August 11, 2011 or the date on which ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 B. Self-Regulatory Organization’s a limit up/limit down mechanism to notice is hereby given that on April 6, Statement on Burden on Competition address extraordinary market volatility, 2011, New York Stock Exchange LLC if adopted, applies. The Exchange does not believe that (‘‘NYSE’’ or the ‘‘Exchange’’) filed with Rule 80C requires the Exchange to the proposed rule change will impose the Securities and Exchange pause trading in an individual security any burden on competition that is not Commission (the ‘‘Commission’’) the listed on the Exchange if the price proposed rule change as described in moves by 10% as compared to prices of Items I and II below, which Items have substantially similar form. See Securities Exchange that security in the preceding five- Act Release No. 62252 (June 10, 2010), 75 FR 34186 been prepared by the Exchange. The minute period during a trading day, (June 16, 2010) (File Nos. SR–BATS–2010–014; SR– Commission is publishing this notice to EDGA–2010–01; SR–EDGX–2010–01; SR–BX–2010– which period is defined as a ‘‘Trading solicit comments on the proposed rule 037; SR–ISE–2010–48; SR–NYSE–2010–39; SR– Pause.’’ The pilot was developed and change from interested persons. NYSEAmex–2010–46; SR–NYSEArca–2010–41; SR– implemented as a market-wide initiative NASDAQ–2010–061; SR–CHX–2010–10; SR–NSX– I. Self-Regulatory Organization’s by the Exchange and other national 2010–05; and SR–CBOE–2010–047) and Securities Exchange Act Release No. 62251 (June 10, 2010), 75 Statement of the Terms of Substance of securities exchanges in consultation FR 34183 (June 16, 2010) (SR–FINRA–2010–025). the Proposed Rule Change with the Commission staff and is See also Securities Exchange Act Release No. 62884 The Exchange proposes to amend currently applicable to all S&P 500 (September 10, 2010), 75 FR 56618 (September 16, Index securities, Russell 1000 Index 2010) (File Nos. SR–BATS–2010–018; SR–BX– NYSE Rule 80C, which provides for 2010–044; SR–CBOE–2010–065; SR–CHX–2010–14; trading pauses in individual securities securities, and specified exchange- SR–EDGA–2010–05; SR–EDGX–2010–05; SR–ISE– 5 due to extraordinary market volatility, traded products. 2010–66; SR–NASDAQ–2010–079; SR–NYSE– to extend the effective date of the pilot 2010–49; SR–NYSEAmex–2010–63; SR–NYSEArca– 4 See Securities Exchange Act Release No. 63500 2010–61; and SR–NSX–2010–08 and Securities (December 9, 2010), 75 FR 78309 (December 15, Exchange Act Release No. 62883 (September 10, 15 17 CFR 200.30–3(a)(12). 2010) (SR–NYSE–2010–81). 2010), 75 FR 56608 (September 16, 2010) (SR– 1 15 U.S.C.78s(b)(1). 5 The Exchange notes that the other national FINRA–2010–033). 2 15 U.S.C. 78a. securities exchanges and the Financial Industry 6 15 U.S.C. 78f(b). 3 17 CFR 240.19b–4 . Regulatory Authority have adopted the pilot in 7 15 U.S.C. 78f(b)(5).

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necessary or appropriate in furtherance the proposed rule change to be operative copying at the principal offices of the of the purposes of the Act. upon filing. Exchange. All comments received will At any time within 60 days of the be posted without change; the C. Self-Regulatory Organization’s filing of the proposed rule change, the Commission does not edit personal Statement on Comments on the Commission summarily may identifying information from Proposed Rule Change Received From temporarily suspend such rule change if submissions. You should submit only Members, Participants, or Others it appears to the Commission that such information that you wish to make action is necessary or appropriate in the No written comments were solicited available publicly. public interest, for the protection of or received with respect to the proposed All submissions should refer to File investors, or otherwise in furtherance of rule change. Number SR–NYSE–2011–16, and the purposes of the Act. If the should be submitted on or before May III. Date of Effectiveness of the Commission takes such action, the 4, 2011. Proposed Rule Change and Timing for Commission shall institute proceedings For the Commission, by the Division of Commission Action to determine whether the proposed rule change should be approved or Trading and Markets, pursuant to delegated authority.13 Because the foregoing proposed rule disapproved. change does not: (i) Significantly affect Cathy H. Ahn, the protection of investors or the public IV. Solicitation of Comments Deputy Secretary. interest; (ii) impose any significant Interested persons are invited to [FR Doc. 2011–8855 Filed 4–12–11; 8:45 am] burden on competition; and (iii) become submit written data, views, and BILLING CODE 8011–01–P operative for 30 days from the date on arguments concerning the foregoing, which it was filed, or such shorter time including whether the proposed rule as the Commission may designate if change, as amended, is consistent with SECURITIES AND EXCHANGE consistent with the protection of the Act. Comments may be submitted by COMMISSION investors and the public interest, it has any of the following methods: become effective pursuant to Section Electronic Comments [Release No. 34–64250; File No. SR–EDGX– 19(b)(3)(A) of the Act 8 and Rule 19b–4 2011–08] • (f)(6) thereunder.9 Use the Commission’s Internet comment form (http://www.sec.gov/ Self-Regulatory Organizations; EDGX A proposed rule change filed under rules/sro.shtml); or Exchange, Inc.; Notice of Filing and Rule 19b–4(f)(6) normally may not • Send an e-mail to rule- Immediate Effectiveness of Proposed become operative prior to 30 days after [email protected]. Please include File 10 Rule To Amend EDGX Rule 11.9 To the date of filing. However, Rule 19b– Number SR–NYSE–2011–16 on the 11 Introduce Additional Routing Options 4(f)(6) permits the Commission to subject line. to the Rule designate a shorter time if such action is consistent with the protection of Paper Comments April 7, 2011. investors and the public interest. The • Send paper comments in triplicate Pursuant to Section 19(b)(1) of the Exchange has requested that the to Elizabeth M. Murphy, Secretary, Securities Exchange Act of 1934 (the Commission waive the 30-day operative Securities and Exchange Commission, ‘‘Act’’),1 and Rule 19b–4 thereunder,2 delay. 100 F Street, NE., Washington, DC notice is hereby given that on April 1, The Commission has considered the 20549–1090. 2011, EDGX Exchange, Inc. (the Exchange’s request to waive the 30-day All submissions should refer to File ‘‘Exchange’’ or ‘‘EDGX’’) filed with the operative delay. The Commission Number SR–NYSE–2011–16. This file Securities and Exchange Commission believes that waiving the 30-day number should be included on the (‘‘Commission’’) the proposed rule operative delay is consistent with the subject line if e-mail is used. To help the change as described in Items I and II protection of investors and the public Commission process and review your below, which items have been prepared interest, as it will allow the pilot comments more efficiently, please use by the Exchange. The Commission is program to continue uninterrupted, only one method. The Commission will publishing this notice to solicit thereby avoiding the investor confusion post all comments on the Commission’s comments on the proposed rule change that could result from a temporary Internet Web site (http://www.sec.gov/ from interested persons. interruption in the pilot program.12 For rules/sro.shtml). Copies of the I. Self-Regulatory Organization’s this reason, the Commission designates submission, all subsequent amendments, all written statements Statement of the Terms of Substance of the Proposed Rule Change 8 15 U.S.C. 78s(b)(3)(A). with respect to the proposed rule 9 17 CFR 240.19b–4 (f)(6). When filing a proposed change that are filed with the The Exchange proposes to amend rule change pursuant to Rule 19b–4 (f)(6) under the Commission, and all written Rule 11.9 to introduce additional Act, an exchange is required to give the communications relating to the Commission written notice of its intent to file the routing options to the rule. The text of proposed rule change, along with a brief description proposed rule change between the the proposed rule change is attached as and text of the proposed rule change, at least five Commission and any person, other than Exhibit 5 and is available on the business days prior to the date of filing of the those that may be withheld from the Exchange’s Web site at http:// proposed rule change, or such shorter time as public in accordance with the designated by the Commission. The Commission www.directedge.com, at the Exchange’s notes that the Exchange has satisfied this provisions of 5 U.S.C. 552, will be principal office, on the Commission’s requirement. available for Web site viewing and Web site at http://www.sec.gov, and at 10 17 CFR 240.19b–4(f)(6)(iii). printing in the Commission’s Public the Public Reference Room of the 11 Id. Reference Room, 100 F Street, NE., Commission. 12 For the purposes only of waiving the operative Washington, DC 20549, on official delay of this proposal, the Commission has considered the proposed rule’s impact on business days between the hours of 10 13 17 CFR 200.30–3(a)(12). efficiency, competition, and capital formation. See a.m. and 3 p.m. Copies of such filing 1 15 U.S.C. 78s(b)(1). 15 U.S.C. 78c(f). also will be available for inspection and 2 17 CFR 240.19b–4.

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II. Self-Regulatory Organization’s destinations than does the ROUZ as the Commission may designate, it has Statement of the Purpose of, and routing strategy. become effective pursuant to Section Statutory Basis for, the Proposed Rule The Exchange also proposes to move 19(b)(3)(A) of the Act 4 and Rule 19b– Change the existing descriptions of ROUE, 4(f)(6)(iii) thereunder.5 In its filing with the Commission, the ROUT, and ROUX into Rule A proposed rule change filed under Exchange included statements 11.9(b)(3)(c)(i)–(iii), respectively. Rule 19b–4(f)(6) normally may not concerning the purpose of, and basis for, Formerly, the descriptions were in become operative prior to 30 days after the proposed rule change and discussed Rules 11.9(b)(3)(c) for ROUE, the date of filing.6 However, Rule 19b– any comments it received on the 11.9(b)(3)(h) for ROUT, and 11.9(b)(3)(i) 4(f)(6) 7 permits the Commission to proposed rule change. The text of these for ROUX. designate a shorter time if such action statements may be examined at the The Exchange proposes to make is consistent with the protection of places specified in Item IV below. The conforming changes to the rest of the investors and the public interest. The self-regulatory organization has rule to re-letter the sections accordingly. Exchange has requested that the prepared summaries, set forth in The Exchange believes that the Commission waive the 30-day operative Sections A, B and C below, of the most proposed introduction of these routing delay so that the proposal may become significant aspects of such statements. options, described above, will provide operative upon filing. The Exchange market participants with greater notes that waiver of this requirement A. Self-Regulatory Organization’s flexibility in routing orders, without will allow the Exchange to immediately Statement of the Purpose of, and having to develop their own offer Exchange users new routing Statutory Basis for, the Proposed Rule complicated routing strategies. strategies, and the inability to Change 2. Statutory Basis immediately offer the new routing 1. Purpose strategies would put the Exchange at a The Exchange believes that the competitive disadvantage. The The Exchange’s current list of routing proposed rule change is consistent with Commission believes that waiving the options are codified in Rule 11.9(b)(3). 3 Section 6(b)(5) of the Act, which 30-day operative delay is consistent In this filing, the Exchange proposes to requires the rules of an exchange to with the protection of investors and the amend Rule 11.9(b)(3) to add two new promote just and equitable principles of public interest because such waiver additional strategies. trade, to remove impediments to and In Rule 11.9(b)(3), the Exchange would allow the new routing strategies perfect the mechanism of a free and to become immediately available to describes that its system (‘‘System’’) open market and a national market provides a variety of routing options. Exchange users. For this reason, the system and, in general, to protect Commission designates the proposed Routing options may be combined with investors and the public interest. The all available order types and times-in- rule change to be operative upon filing proposed change to introduce the with the Commission.8 force, with the exception of order types routing options described above will and times-in-force whose terms are At any time within 60 days of the provide market participants with greater filing of the proposed rule change, the inconsistent with the terms of a flexibility in routing orders without particular routing option. The System Commission summarily may developing complicated order routing temporarily suspend such rule change if will consider the quotations only of strategies on their own. accessible markets. The term ‘‘System it appears to the Commission that such routing table’’ refers to the proprietary B. Self-Regulatory Organization’s action is necessary or appropriate in the process for determining the specific Statement on Burden on Competition public interest, for the protection of trading venues to which the System The proposed rule change does not investors, or otherwise in furtherance of routes orders and the order in which it impose any burden on competition that the purposes of the Act. routes them. The Exchange reserves the is not necessary or appropriate in IV. Solicitation of Comments right to maintain a different System furtherance of the purposes of the Act. routing table for different routing Interested persons are invited to options and to modify the System C. Self-Regulatory Organization’s submit written data, views, and routing table at any time without notice. Statement on Comments on the arguments concerning the foregoing, The new System routing options are Proposed Rule Change Received From including whether the proposed rule described in more detail below. Members, Participants, or Others change is consistent with the Act. The Exchange proposes to describe The Exchange has not solicited, and Comments may be submitted by any of the ROUQ routing strategy and add it to does not intend to solicit, comments on the following methods: Rule 11.9(b)(3)(c)(iv). ROUQ is a routing this proposed rule change. The Electronic Comments option under which an order checks the Exchange has not received any • System for available shares and then is unsolicited written comments from Use the Commission’s Internet sent to destinations on the System members or other interested parties. comment form (http://www.sec.gov/ routing table. rules/sro.shtml); or The Exchange proposes to describe III. Date of Effectiveness of the • Send an e-mail to rule- the ROUZ routing strategy and add it to Proposed Rule Change and Timing for [email protected]. Please include File Rule 11.9(b)(3)(c)(v). ROUZ is a routing Commission Action Number SR–EDGX–2011–08 on the option under which an order checks the Because the foregoing proposed rule subject line. System for available shares and then is change does not: (i) Significantly affect sent to destinations on the System the protection of investors or the public 4 15 U.S.C. 78s(b)(3)(A). routing table. interest; (ii) impose any significant 5 17 CFR 240.19b–4(f)(6)(iii). The differences between the latter two burden on competition; and (iii) become 6 17 CFR 240.19b–4(f)(6)(iii). strategies lies in the differences in the operative for 30 days from the date on 7 Id. 8 For the purposes only of waiving the 30-day System routing tables for the ROUQ/ which it was filed, or such shorter time operative delay, the Commission has considered the ROUZ strategies. The ROUQ routing proposed rule’s impact on efficiency, competition, strategy goes to fewer low cost 3 15 U.S.C. 78f(b)(5). and capital formation. See 15 U.S.C. 78c(f).

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Paper Comments SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s Statement of the Purpose of, and • COMMISSION Send paper comments in triplicate Statutory Basis for, the Proposed Rule to Elizabeth M. Murphy, Secretary, [Release No. 34–64230; File No. SR–EDGA– Change Securities and Exchange Commission, 2011–12] 100 F Street, NE., Washington, DC 1. Purpose 20549–1090. Self-Regulatory Organizations; EDGA The purpose of this filing is to extend All submissions should refer to File Exchange, Inc.; Notice of Filing and the effectiveness of the Exchange’s Number SR–EDGX–2011–08. This file Immediate Effectiveness of Proposed current rule applicable to Clearly number should be included on the Rule Change To Amend EDGA Rule Erroneous Executions, Rule 11.13. The rule, explained in further detail below, subject line if e-mail is used. To help the 11.13 To Extend the Operation of a was approved to operate under a pilot Commission process and review your Pilot program set to expire on December 10, comments more efficiently, please use April 7, 2011. 2010. Then, it was subsequently only one method. The Commission will Pursuant to Section 19(b)(1) of the extended by the Exchange to April 11, post all comments on the Commission’s 2011. The Exchange now proposes to Internet Web site (http://www.sec.gov/ Securities Exchange Act of 1934 (the 1 2 extend the pilot program to extend until rules/sro.shtml). Copies of the ‘‘Act’’), and Rule 19b–4 thereunder, notice is hereby given that on April 5, the earlier of August 11, 2011 or the submission, all subsequent date on which a limit up/limit down amendments, all written statements 2011, the EDGA Exchange, Inc. (the ‘‘Exchange’’ or the ‘‘EDGA’’) filed with mechanism to address extraordinary with respect to the proposed rule the Securities and Exchange market volatility, if adopted, applies. change that are filed with the Commission (‘‘Commission’’) the On September 10, 2010, the Commission, and all written proposed rule change as described in Commission approved, on a pilot basis, communications relating to the Items I and II below, which items have changes to EDGA Rule 11.13 to provide proposed rule change between the been prepared by the self-regulatory for uniform treatment: (1) Of clearly Commission and any person, other than organization. The Commission is erroneous execution reviews in multi- those that may be withheld from the publishing this notice to solicit stock events involving twenty or more public in accordance with the comments on the proposed rule change securities; and (2) in the event provisions of 5 U.S.C. 552, will be from interested persons. transactions occur that result in the available for Web site viewing and issuance of an individual stock trading printing in the Commission’s Public I. Self-Regulatory Organization’s pause by the primary market and Reference Room on official business Statement of the Terms of Substance of subsequent transactions that occur days between the hours of 10 a.m. and the Proposed Rule Change before the trading pause is in effect on the Exchange.3 The Exchange also 3 p.m. Copies of such filing also will be The Exchange proposes to amend available for inspection and copying at adopted additional changes to Rule EDGA Rule 11.13 to extend the 11.13 that reduced the ability of the the principal office of the Exchange. All operation of a pilot pursuant to the Rule comments received will be posted Exchange to deviate from the objective until the earlier of August 11, 2011 or standards set forth in Rule 11.13.4 The without change; the Commission does the date on which a limit up/limit down not edit personal identifying pilot was subsequently extended to mechanism to address extraordinary April 11, 2011.5 The Exchange believes information from submissions. You market volatility, if adopted, applies. should submit only information that the benefits to market participants from The text of the proposed rule change is the more objective clearly erroneous you wish to make available publicly. All available on the Exchange’s Web site at executions rule should be approved to submissions should refer to File http://www.directedge.com, at the continue on a pilot basis. Number SR–EDGX–2011–08 and should Exchange’s principal office, on the be submitted on or before May 4, 2011. Commission’s Web site at http:// 2. Statutory Basis For the Commission, by the Division of www.sec.gov, and at the Public The statutory basis for the proposed Trading and Markets, pursuant to delegated Reference Room of the Commission. rule change is Section 6(b)(5) of the authority.9 II. Self-Regulatory Organization’s Act,6 which requires the rules of an Cathy H. Ahn, Statement of the Purpose of, and exchange to promote just and equitable Deputy Secretary. Statutory Basis for, the Proposed Rule principles of trade, to remove [FR Doc. 2011–8850 Filed 4–12–11; 8:45 am] Change impediments to and perfect the mechanism of a free and open market BILLING CODE 8011–01–P In its filing with the Commission, the and a national market system and, in Exchange included statements general, to protect investors and the concerning the purpose of, and basis for, public interest. The Exchange believes the proposed rule change and discussed that the proposed rule meets these any comments it received on the requirements in that it promotes proposed rule change. The text of these transparency and uniformity across statements may be examined at the places specified in Item IV below. The 3 See Securities Exchange Act Release No. 62886 self-regulatory organization has (September 10, 2010), 75 FR prepared summaries, set forth in 56613 (September 16, 2010) (SR–EDGA–2010– Sections A, B and C below, of the most 03). 4 significant aspects of such statements. Id. 5 See Securities Exchange Act Release No. 63517 (December 10, 2010), 75 FR 78318 (December 15, 1 15 U.S.C. 78s(b)(1). 2010) (SR–EDGA–2010–24). 9 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. 6 15 U.S.C. 78f(b)(5).

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markets concerning review of Commission summarily may 2011–12 and should be submitted on or transactions as clearly erroneous. temporarily suspend such rule change if before May 4, 2011. it appears to the Commission that such B. Self-Regulatory Organization’s For the Commission, by the Division of action is necessary or appropriate in the Statement on Burden on Competition Trading and Markets, pursuant to delegated public interest, for the protection of authority.10 The proposed rule change does not investors, or otherwise in furtherance of impose any burden on competition that the purposes of the Act. Cathy H. Ahn, is not necessary or appropriate in Deputy Secretary. IV. Solicitation of Comments furtherance of the purposes of the Act. [FR Doc. 2011–8805 Filed 4–12–11; 8:45 am] Interested persons are invited to C. Self-Regulatory Organization’s BILLING CODE 8011–01–P submit written data, views, and Statement on Comments on the arguments concerning the foregoing, Proposed Rule Change Received From including whether the proposed rule Members, Participants or Others SECURITIES AND EXCHANGE change is consistent with the Act. COMMISSION The Exchange has not solicited, and Comments may be submitted by any of does not intend to solicit, comments on the following methods: this proposed rule change. The [Release No. 34–64243; File No. SR–CBOE– Exchange has not received any Electronic Comments 2011–038] unsolicited written comments from • Use the Commission’s Internet Self-Regulatory Organizations; members or other interested parties. comment form (http://www.sec.gov/ rules/sro.shtml); or Chicago Board Options Exchange, III. Date of Effectiveness of the • Send an e-mail to rule- Incorporated; Notice of Filing and Proposed Rule Change and Timing for [email protected]. Please include File Immediate Effectiveness of Proposed Commission Action Number SR–EDGA–2011–12 on the Rule Change Regarding Close of Because the foregoing proposed rule subject line. Trading Hours for Expiring End of change does not: (i) Significantly affect Week and End of Month Expirations the protection of investors or the public Paper Comments interest; (ii) impose any significant • Send paper comments in triplicate April 7, 2011. burden on competition; and (iii) become to Elizabeth M. Murphy, Secretary, Pursuant to Section 19(b)(1) of the operative for 30 days from the date on Securities and Exchange Commission, Securities Exchange Act of 1934 which it was filed, or such shorter time 100 F Street, NE., Washington, DC (‘‘Act’’),1 and Rule 19b–4 thereunder,2 as the Commission may designate, it has 20549–1090. notice is hereby given that on April 6, become effective pursuant to Section All submissions should refer to File 2011, the Chicago Board Options 7 19(b)(3)(A) of the Act and Rule 19b– Number SR–EDGA–2011–12. This file Exchange, Incorporated (‘‘Exchange’’ or 8 4(f)(6)(iii) thereunder. The Exchange number should be included on the ‘‘CBOE’’) filed with the Securities and has asked the Commission to waive the subject line if e-mail is used. To help the Exchange Commission (‘‘Commission’’) 30-day operative delay so that the Commission process and review your the proposed rule change as described proposal may become operative comments more efficiently, please use in Items I and II below, which Items immediately upon filing. The only one method. The Commission will have been prepared by the Exchange. Commission believes that waiving the post all comments on the Commission’s The Exchange filed the proposal as a 30-day operative delay is consistent Internet Web site (http://www.sec.gov/ ‘‘non-controversial’’ proposed rule with the protection of investors and the rules/sro.shtml). Copies of the public interest because such waiver will change pursuant to Section submission, all subsequent 3 allow the pilot program to continue 19(b)(3)(A)(iii) of the Act and Rule amendments, all written statements 4 uninterrupted and help ensure with respect to the proposed rule 19b–4(f)(6) thereunder. The uniformity among the national change that are filed with the Commission is publishing this notice to securities exchanges and FINRA with Commission, and all written solicit comments on the proposed rule respect to the treatment of clearly communications relating to the change from interested persons. 9 erroneous transactions. Accordingly, proposed rule change between the I. Self-Regulatory Organization’s the Commission waives the 30-day Commission and any person, other than Statement of the Terms of the Substance operative delay requirement and those that may be withheld from the of the Proposed Rule Change designates the proposed rule change as public in accordance with the operative upon filing with the provisions of 5 U.S.C. 552, will be CBOE proposes to amend Rule 24.9 to Commission. available for Web site viewing and change the close of trading hours from At any time within 60 days of the printing in the Commission’s Public 3:15 p.m. (Chicago time) to 3 p.m. filing of the proposed rule change, the Reference Room, 100 F Street, NE., (Chicago time) on the last day of trading Washington, DC 20549, on official 7 in expiring End-of-Week and End-of 15 U.S.C. 78s(b)(3)(A). business days between the hours of 10 8 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule Month Expirations. The text of the rule 19b–4(f)(6)(iii) requires that a self-regulatory a.m. and 3 p.m. Copies of such filing proposal is available on the Exchange’s organization submit to the Commission written also will be available for inspection and Web site (http://www.cboe.org/legal), at notice of its intent to file the proposed rule change, copying at the principal office of the the Exchange’s Office of the Secretary along with a brief description and text of the Exchange. All comments received will proposed rule change, at least five business days and at the Commission’s Public prior to the filing of the proposed rule change, or be posted without change; the Reference Room. such shorter time as designated by the Commission. Commission does not edit personal The Commission notes that the Exchange has identifying information from 10 satisfied this requirement. 17 CFR 200.30–3(a)(12). submissions. You should submit only 1 9 For purposes only of waiving the 30-day 15 U.S.C. 78s(b)(1). operative delay, the Commission has considered the information that you wish to make 2 17 CFR 240.19b–4. proposed rule’s impact on efficiency, competition, publicly available. All submissions 3 15 U.S.C. 78s(b)(3)(A)(iii). and capital formation. See 15 U.S.C. 78c(f). should refer to File Number SR–EDGA– 4 17 CFR 240.19b–4(f)(6).

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II. Self-Regulatory Organization’s soon after) when the equity markets C. Self-Regulatory Organization’s Statement of the Purpose of, and close. Despite the fact that the exercise Statement on Comments on the Statutory Basis for, the Proposed Rule settlement value is fixed at or soon after Proposed Rule Change Received From Change 3 p.m. (Chicago time), trading in Members, Participants, or Others In its filing with the Commission, the expiring EOWs and EOMs continues, No written comments were solicited Exchange included statements however, for an additional fifteen or received with respect to the proposed concerning the purpose of and basis for minutes until 3:15 p.m. (Chicago time) rule change. the proposed rule change and discussed and are not priced on corresponding any comments it received on the futures values, but rather the known III. Date of Effectiveness of the proposed rule change. The text of these cash value. At the same time, the prices Proposed Rule Change and Timing for statements may be examined at the of non-expiring EOW and EOM series Commission Action places specified in Item IV below. The continue to move and be priced in Because the foregoing proposed rule Exchange has prepared summaries, set response to changes in corresponding does not (i) significantly affect the forth in Sections A, B, and C below, of futures prices. protection of investors or the public the most significant aspects of such Because of the potential pricing interest; (ii) impose any significant statements. divergence that could occur between burden on competition; and (iii) become operative for 30 days from the date on A. Self-Regulatory Organization’s 3:00 and 3:15 pm on the final trading which it was filed, or such shorter time Statement of the Purpose of, and day in expiring EOWs and EOMs (e.g., as the Commission may designate if Statutory Basis for, the Proposed Rule switch from pricing off of futures to consistent with the protection of Change cash), the Exchange believes that, in order to mitigate potential investor investors and the public interest, 1. Purpose confusion, it is appropriate to cease provided that the self-regulatory The Exchange proposes to amend trading in expiring EOWs and EOMs at organization has given the Commission Rule 24.9 to change the close of trading 3 p.m. on the last day of trading. The written notice of its intent to file the hours from 3:15 p.m. (Chicago time) to proposed change to the close of trading proposed rule change at least five 3 p.m. (Chicago time) on the last day of hours will apply to all outstanding business days prior to the date of filing trading in expiring End-of-Week expiring EOW and EOM Expirations of the proposed rule change or such Expirations and End-of-Month shorter time as designated by the listed on or before the effective date of 11 Expirations. On September 14, 2010, the this proposal and to all EOWs and Commission, the proposed rule change has become effective pursuant to Securities and Exchange Commission EOMs listed thereafter under the EOW/ Section 19(b)(3)(A) of the Act 12 and (‘‘Commission’’) approved the EOM Pilot Program. implementation of a pilot program that Rule 19b–4(f)(6) thereunder.13 permits P.M.-settled options on broad- 2. Statutory Basis At any time within 60 days of the based indexes to expire on (a) any filing of such proposed rule change, the Friday of the month, other than the The Exchange believes the proposed Commission summarily may 8 third Friday-of-the-month (‘‘End-of- rule change is consistent with the Act temporarily suspend such rule change if Week Expirations’’ or ‘‘EOWs’’) and (b) and the rules and regulations it appears to the Commission that such the last trading day of the month (‘‘End- thereunder and, in particular, the action is necessary or appropriate in the 9 of-Month Expirations’’ or ‘‘EOMs’’).5 requirements of Section 6(b) of the Act. public interest, for the protection of EOWs and EOMs are treated the same Specifically, the Exchange believes the investors, or otherwise in furtherance of as traditional options on the same proposed rule change is consistent with the purposes of the Act. the Section 6(b)(5) 10 requirements that underlying index that expire on the IV. Solicitation of Comments Saturday following the third Friday of the rules of an exchange be designed to the month; provided, however, that promote just and equitable principles of Interested persons are invited to EOWs and EOMs are P.M.-settled.6 trade, to prevent fraudulent and submit written data, views, and EOWs and EOMs are subject to the same manipulative acts, to remove arguments concerning the foregoing, rules that currently govern the trading of impediments to and to perfect the including whether the proposed rule traditional index options, including mechanism for a free and open market change is consistent with the Act. sales practice rules, margin and a national market system, and, in Comments may be submitted by any of requirements, and floor trading general, to protect investors and the the following methods: procedures. Contract terms for EOWs public interest. Preventing continued Electronic Comments trading on a product after the exercise and EOMs are similar to regular index • options, with one general exception: settlement value has been fixed Use the Commission’s Internet The exercise settlement value is based eliminates potential confusion and comment form (http://www.sec.gov/ rules/sro.shtml); or on the index value derived from the thereby protects investors and the • closing prices of component stocks.7 public interest. Send an e-mail to rule- Generally, EOWs and EOMs are [email protected]. Please include File priced in the market based on B. Self-Regulatory Organization’s No. SR–CBOE–2011–038 on the subject corresponding futures values. On the Statement on Burden on Competition line. last day of trading, the closing prices of CBOE does not believe that the Paper Comments the component stocks (which are used proposed rule change will impose any • Send paper comments in triplicate to derive the exercise settlement value) burden on competition not necessary or are known at 3 p.m. (Chicago time) (or to Elizabeth M. Murphy, Secretary, appropriate in furtherance of the Securities and Exchange Commission, purposes of the Act. 5 See Securities Exchange Act Release No. 34– 100 F Street, NE., Washington, DC 62911 (September 14, 2010), 75 FR 57539 (September 21, 2010) (SR–CBOE–2009–075). 8 15 U.S.C. 78s(b)(1). 11 The Exchange has satisfied this requirement. 6 See CBOE Rule 24.9(e). 9 15 U.S.C. 78f(b). 12 15 U.S.C. 78s(b)(3)(A). 7 See supra note 5. 10 15 U.S.C. 78f(b)(5). 13 17 CFR 240.19b–4(f)(6).

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20549–1090. All submissions should and Exchange Commission of the Floor. Any Qualified Contingent refer to File No. SR–CBOE–2011–038. (‘‘Commission’’) the proposed rule Cross Order that does not have a This file number should be included on change as described in Items I and II corresponding record required by this the subject line if e-mail is used. To help below, which Items have been prepared subsection shall be deemed to have been the Commission process and review by the Exchange. The Commission is entered from on the Floor in violation of your comments more efficiently, please publishing this notice to solicit this Rule. use only one method. The Commission comments on the proposed rule change (3) A ‘‘qualified contingent trade’’ is a will post all comments on the from interested persons. Commission’s Internet Web site (http:// transaction consisting of two or more www.sec.gov/rules/sro.shtml). Copies of I. Self-Regulatory Organization’s component orders, executed as agent or the submission, all subsequent Statement of the Terms of Substance of principal, where: the Proposed Rule Change amendments, all written statements (a) At least one component is an NMS with respect to the proposed rule The Exchange proposes to amend Stock, as defined in Rule 600 of change that are filed with the PHLX Rule 1080 to establish a Qualified Regulation NMS under the Exchange Commission, and all written Contingent Cross Order (‘‘QCC Order’’) Act; communications relating to the for execution in the PHLX XL II System (b) All components are effected with proposed rule change between the (‘‘System’’ or ‘‘Exchange System’’). The a product or price contingency that Commission and any person, other than QCC Order will facilitate the execution those that may be withheld from the of stock/option Qualified Contingent either has been agreed to by all the public in accordance with the Trades that satisfy the requirements of respective counterparties or arranged provisions of 5 U.S.C. 552, will be the trade through exemption in for by a broker-dealer as principal or available for Web site viewing and connection with Rule 611(d) of agent; printing in the Commission’s Public Regulation NMS (‘‘QCT Trade (c) The execution of one component is Reference Room, 100 F Street, NE., Exemption’’).3 The text of the proposed contingent upon the execution of all Washington, DC 20549, on official rule change is below. Proposed new other components at or near the same business days between the hours of 10 language is italicized; proposed time; a.m. and 3 p.m. Copies of such filing deletions are in brackets. (d) The specific relationship between also will be available for inspection and * * * * * copying at the principal office of the the component orders (e.g., the spread CBOE. All comments received will be NASDAQ OMX PHLX Rules between the prices of the component orders) is determined by the time the posted without change; the Commission * * * * * does not edit personal identifying contingent order is placed; information from submissions. You Rule 1080. PHLX XL and XL II (e) The component orders bear a should submit only information that (a)–(n) No Change. derivative relationship to one another, you wish to make available publicly. All (o) Qualified Contingent Cross Order. represent different classes of shares of submissions should refer to File No. A Qualified Contingent Cross Order is the same issuer, or involve the securities SR–CBOE–2011–038 and should be comprised of an order to buy or sell at of participants in mergers or with submitted on or before May 4, 2011. least 1,000 contracts that is identified as intentions to merge that have been For the Commission, by the Division of being part of a qualified contingent announced or cancelled; and Trading and Markets, pursuant to delegated trade, as that term is defined in 14 (f) The transaction is fully hedged authority. subsection (3) below, coupled with a (without regard to any prior existing Cathy H. Ahn, contra-side order to buy or sell an equal Deputy Secretary. number of contracts. position) as a result of other components of the contingent trade. [FR Doc. 2011–8804 Filed 4–12–11; 8:45 am] (1) Qualified Contingent Cross Orders BILLING CODE 8011–01–P are immediately executed upon entry * * * * * into the System by an Order Entry Firm (b) Not applicable. provided that (i) no Customer Orders (c) Not applicable. SECURITIES AND EXCHANGE are at the same price on the Exchange’s COMMISSION limit order book and (ii) the price is at * * * * * [Release No. 34–64249; File No. SR–Phlx– or between the NBBO. II. Self-Regulatory Organization’s 2011–47] (a) Qualified Contingent Cross Orders Statement of the Purpose of, and will be automatically rejected if they Statutory Basis for, the Proposed Rule Self-Regulatory Organizations; Notice cannot be executed. Change of Filing and Immediate Effectiveness (b) Qualified Contingent Cross Orders of Proposed Rule Change by NASDAQ may only be entered in the regular In its filing with the Commission, the OMX PHLX LLC To Establish a trading increments applicable to the Exchange included statements Qualified Contingent Cross Order options class under Rule 1034. concerning the purpose of and basis for (2) Qualified Contingent Cross Orders April 7, 2011. the proposed rule change and discussed shall only be submitted electronically any comments it received on the Pursuant to Section 19(b)(1) of the from off the Floor to the PHLX System. proposed rule change. The text of these Securities Exchange Act of 1934 Order Entry Firms must maintain books ‘‘ ’’ 1 2 statements may be examined at the ( Act ) , and Rule 19b–4 thereunder, and records demonstrating that each places specified in Item IV below. The notice is hereby given that on April 1, Qualified Contingent Cross Order was 2011, NASDAQ OMX PHLX LLC routed to the Exchange System from off Exchange has prepared summaries, set (‘‘Exchange’’) filed with the Securities forth in sections A, B, and C below, of 3 See Securities Exchange Act Release No. 54389 the most significant aspects of such 14 17 CFR 200.30–3(a)(12). (August 31, 2006), 71 FR 52829 (September 7, statements. 1 15 U.S.C. 78s(b)(1). 2006); Securities Exchange Act Release No. 57620 2 17 CFR 240.19b–4. (April 4, 2008) 73 FR 19271 (April 9, 2008).

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A. Self-Regulatory Organization’s Thus, as modified, an ISE member effecting a result, the PHLX QCC Order proposed Statement of the Purpose of, and a trade pursuant to the NMS QCT Exemption herein satisfies all of the requirements Statutory Basis for, the Proposed Rule could cross the options leg of the trade on the Commission enumerated in the Change ISE as a QCC Order immediately upon entry, Approval Order. without exposure, only if there are no Under this proposal, the Exchange 1. Purpose Priority Customer orders on the Exchange’s limit order book at the same price and if the would only permit QCCs to be On February 24, 2011, the order: (i) Is for at least 1,000 contracts; (ii) submitted electronically from off the Commission issued an order approving meets the six requirements of the NMS QCT Floor through the Exchange System. In SR–ISE–2010–073, a proposal by the ISE Exemption; and (iii) is executed at a price at this regard, a Floor Broker located on to establish a Qualified Contingent or between the NBBO (‘‘Modified QCC the Floor of the Exchange would not be Cross (‘‘ISE QCC Proposal’’).4 The ISE Order’’). In the Notice, ISE stated that the allowed to enter QCCs into the System, QCC Proposal was controversial, modifications to the Original QCC Order (i.e., or otherwise effect them in open outcry. to prevent the execution of a QCC if there is attracting opposition from multiple a Priority Customer on its book and to We plan to file a separate proposed rule exchanges including PHLX. In its increase the minimum size of a QCC Order) change to address effecting QCCs in comment letter on the ISE QCC remove the appearance that such orders are open outcry on the Floor of the Proposal, PHLX asserted that the QCC trading ahead of Priority Customer orders or Exchange.11 Proposal deviated from ‘‘long-held that the QCC Order could be used to To provide a mechanism for the principles in the options market by disadvantage retail customers (citations Exchange to review for whether QCC 7 permitting the crossing of orders omitted). Orders have been entered from off of the without requiring prior exposure’’ and The Commission, having considered Floor, the Exchange proposes to adopt that the ISE QCC Proposal failed and addressed all arguments in favor proposed Rule 1080(o)(2). This adequately to protect customers with and in opposition to the QCC, has provision would require members to orders resting on the ISE limit order established binding precedent under maintain books and records book.5 which other exchanges can establish a demonstrating that each Qualified The Commission, in a thorough and QCC Order that is also consistent with Contingent Cross Order was routed to thoughtful decision, concluded that the the Act.8 the Exchange System from off of the QCC Proposal—including the lack of In keeping with that precedent, PHLX Floor. Any Qualified Contingent Cross prior order exposure—is consistent with hereby proposes to add PHLX Rule Order that does not have a the Act. With respect to order exposure, 1080(o) to establish a QCC Order based corresponding record required by this the Commission stated: on the precedent of ISE’s QCC Order. provision would be deemed to have Specifically, PHLX proposes to amend been entered from on the Floor in While the Commission believes that order Rule 1080 to provide that a PHLX Order exposure is generally beneficial to options violation of Rule 1080(o). markets in that it provides an incentive to Entry Firm effectuating a trade via the The Exchange’s proposal addresses options market makers to provide liquidity System pursuant to the Regulation NMS the mechanics of executing the stock and therefore plays an important role in Qualified Contingent Trade Exemption and options components of a net-price ensuring competition and price discovery in to Rule 611(a) (‘‘QCT Exemption’’) can transaction. The Exchange believes that the options markets, it also has recognized cross the options leg of the trade on it is necessary that it provide members that contingent trades can be ‘‘useful trading PHLX as a QCC Order immediately and their customers with the same tools for investors and other market upon entry and without order exposure trading capabilities available on other participants, particularly those who trade the if no Customer Orders 9 exist on the exchanges with respect to QCCs, securities of issuers involved in mergers, Exchange’s order book at the same price. including the change proposed herein, different classes of shares of the same issuer, As set forth in proposed Rule 1080(o), which would permit members to convertible securities, and equity derivatives the QCC Order must: (i) Be for at least such as options [italics added].’’ and that execute the options legs of their ‘‘[t]hose who engage in contingent trades can 1,000 contracts, (ii) meet the six customers’ large complex orders on the benefit the market as a whole by studying the requirements of Rule 1080(o)(3) which Exchange. relationships between the prices of such are modeled on the QCT Exemption, securities and executing contingent trades (iii) be executed at a price at or between 2. Statutory Basis when they believe such relationships are out the National Best Bid and Offer The Exchange believes that its of line with what they believe to be fair (‘‘NBBO’’); and (iv) be rejected if a proposal is consistent with Section 6(b) value.’’ As such, the Commission stated that Customer order is resting on the of the Act 12 in general, and furthers the transactions that meet the specified Exchange book at the same price.10 As objectives of Section 6(b)(5) 13 and requirements of the NMS QCT Exemption 6(b)(8) 14of the Act in particular, in that could be of benefit to the market as a whole, 7 Id. at p. 18. contributing to the efficient functioning of it is designed to promote just and 8 The Exchange has filed its proposed rule change equitable principles of trade, to remove the securities markets and the price pursuant to Rule 19b–4(f)(6). The Commission notes discovery process.6 that it has previously provided guidance regarding impediments to and perfect the the appropriate analysis for when a self-regulatory mechanism of a free and open market The Approval Order succinctly sets organization may submit a proposed rule change forth the material elements of ISE’s under Rule 19b–4(f)(6) for immediate effectiveness. option order, the options leg must be executed at Qualified Contingent Cross: See Securities Exchange Act Release No. 58092 the NBBO or better. The Commission has (July 3, 2008), 73 FR 40143 (July 11, 2008). previously approved crossing transactions with no 9 PHLX will reject QCC Orders that attempt to 4 The Commission notes that the order approving opportunity for price improvement. See, e.g., ISE execute when any Customer orders are resting on Rule 721(a) and Chicago Board Options Exchange the ISE QCC Proposal was published in the Federal the Exchange limit order book at the same price. ISE Register on March 2, 2011. See Securities Exchange Rule 6.74A, Interpretations and Policies .08. QCC Orders will be cancelled only when they 11 Act Release No. 63955 (February 24, 2011), 76 FR encounter resting orders of Priority Customers. The It is PHLX’s position that the Approval Order 11533 (‘‘Approval Order’’). Commission has previously approved the rejection contemplates the submission of QCC Orders from 5 See Letter, dated August 13, 2010, from Thomas of crossing transactions when there is a customer the Floor of the Exchange. Nothing in this filing Wittman, President, NASDAQ OMX PHLX to order on the book at the same price. See, e.g., ISE should be construed as being inconsistent with that Elizabeth Murphy, Secretary, U.S. Securities and Rule 721(a); and CBOE Rule 6.74A, Interpretations position. Exchange Commission. and Policies .08. 12 15 U.S.C. 78f(b). 6 Approval Order at p. 28 (citing to Reg NMS QCT 10 While the QCC would not provide exposure for 13 15 U.S.C. 78f(b)(5). Exemption). price improvement for the options leg of a stock- 14 15 U.S.C. 78f(b)(8).

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and a national market system, and, in protection of investors or the public Commission, and all written general to protect investors and the interest; (ii) impose any significant communications relating to the public interest and the rules of an burden on competition; and (iii) become proposed rule change between the exchange do not impose any burden on operative prior to 30 days from the date Commission and any person, other than competition not necessary or on which it was filed, or such shorter those that may be withheld from the appropriate in furtherance of the time as the Commission may designate, public in accordance with the purposes of the Act. In addition, the if consistent with the protection of provisions of 5 U.S.C. 552, will be proposed rule change is consistent with investors and the public interest, the available for Web site viewing and Section 11A(a)(1)(C) of the Act,15 in proposed rule change has become printing in the Commission’s Public which Congress found that it is in the effective pursuant to Section 19(b)(3)(A) Reference Room, 100 F Street, NE., public interest and appropriate for the of the Act 16 and Rule 19b–4(f)(6)(iii) Washington, DC 20549, on official protection of investors and the thereunder.17 business days between the hours of maintenance of fair and orderly markets At any time within 60 days of the 10 a.m. and 3 p.m. Copies of such filing to assure, among other things, the filing of such proposed rule change, the also will be available for inspection and economically efficient execution of Commission summarily may copying at the principal office of the securities transactions. temporarily suspend such rule change if Exchange. All comments received will The statutory basis for PHLX’s it appears to the Commission that such be posted without change; the proposed QCC Order is identical to the action is necessary or appropriate in the Commission does not edit personal Commission’s basis for finding that the public interest, for the protection of identifying information from ISE’s QCC Proposal is consistent with investors, or otherwise in furtherance of submissions. You should submit only the purposes of the Act. the Act ‘‘in that it would facilitate the information that you wish to make execution of qualified contingent trades, IV. Solicitation of Comments available publicly. All submissions for which the Commission found in the should refer to File No. SR–Phlx–2011– Original QCT Exemption to be of benefit Interested persons are invited to submit written data, views, and 47 and should be submitted on or before to the market as a whole, contributing May 4, 2011. to the efficient functioning of the arguments concerning the foregoing, securities markets and the price including whether the proposed rule For the Commission, by the Division of discovery process. The QCC Order change is consistent with the Act. Trading and Markets, pursuant to delegated 18 would provide assurance to parties to Comments may be submitted by any of authority. stock-option qualified contingent trades the following methods: Cathy H. Ahn, that their hedge would be maintained by Electronic Comments Deputy Secretary. allowing the options component to be • Use the Commission’s Internet [FR Doc. 2011–8803 Filed 4–12–11; 8:45 am] executed as a clean cross.’’ In addition, comment form (http://www.sec.gov/ BILLING CODE 8011–01–P like the ISE’s QCC Order, the rules/sro.shtml); or Exchange’s Modified QCC Order ‘‘is • Send an e-mail to rule- narrowly drawn to provide a limited [email protected]. Please include File SECURITIES AND EXCHANGE exception to the general principle of Number SR–Phlx–2011–47 on the COMMISSION exposure, and retains the general subject line. ’’ principle of customer priority. [Release No. 34–64244; File No. SR–Phlx- PHLX’s proposed QCC Order Paper Comments 2011–46] promotes the same Commission goals as • Send paper comments in triplicate or more effectively, and it is as or more to Elizabeth M. Murphy, Secretary, Self-Regulatory Organizations; Notice narrowly drawn than ISE’s QCC Order. Securities and Exchange Commission, of Filing of Proposed Rule Change by Accordingly, the Exchange believes that 100 F Street, NE., Washington, DC NASDAQ OMX PHLX LLC To Expand the proposed rule change must also be 20549–1090. the Number of Components in the consistent with the Act. All submissions should refer to File PHLX Gold/Silver SectorSM Known as B. Self-Regulatory Organization’s Number SR–Phlx–2011–47. This file XAUSM, on Which Options Are Listed Statement on Burden on Competition number should be included on the and Traded subject line if e-mail is used. To help the The Exchange does not believe that Commission process and review your April 7, 2011. the proposed rule change will result in comments more efficiently, please use Pursuant to Section 19(b)(1) of the any burden on competition that is not only one method. The Commission will necessary or appropriate in furtherance Securities Exchange Act of 1934 post all comments on the Commission’s 1 2 of the purposes of the Act, as amended. (‘‘Act’’) , and Rule 19b–4 thereunder, Internet Web site (http://www.sec.gov/ notice is hereby given that on March 31, C. Self-Regulatory Organization’s rules/sro.shtml). Copies of the 2011, NASDAQ OMX PHLX LLC (‘‘Phlx’’ Statement on Comments on the submission, all subsequent or ‘‘Exchange’’) filed with the Securities Proposed Rule Change Received From amendments, all written statements and Exchange Commission (‘‘SEC’’ or Members, Participants, or Others with respect to the proposed rule ‘‘Commission’’) the proposed rule change that are filed with the Written comments were neither change as described in Items I, II, and III, below, which Items have been solicited nor received. 16 15 U.S.C. 78s(b)(3)(A)(iii). prepared by the Exchange. The 17 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– III. Date of Effectiveness of the Commission is publishing this notice to Proposed Rule Change and Timing for 4(f)(6)(iii) requires the self-regulatory organization to submit to the Commission written notice of its solicit comments on the proposed rule Commission Action intent to file the proposed rule change, along with change from interested persons. Because the proposed rule change a brief description and text of the proposed rule change, at least five business days prior to the date does not (i) significantly affect the of filing of the proposed rule change, or such 18 17 CFR 200.30–3(a)(12). shorter time as designated by the Commission. The 1 15 U.S.C. 78s(b)(1). 15 15 U.S.C. 78k–1(a)(1)(C). Exchange has satisfied this requirement. 2 17 CFR 240.19b–4.

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I. Self-Regulatory Organization’s and will trade pursuant to similar Options Listing Standards’’).10 In the Statement of the Terms of Substance of contract specifications (updated 1994 generic index options filing, the the Proposed Rule Change regarding components and weighting Exchange also established generic 5 The Exchange is filing with the methodology). The only post-proposal continued listing standards in Rule SM Commission a proposal to expand the difference in XAU options is that 1009A(c) for narrow-based and broad- number of components in the PHLX they will overlay an Index with thirty based index options, which apply to Gold/Silver SectorSM (the ‘‘Index’’ or components where the current Index index options once they are listed ‘‘XAUSM’’), on which options are listed has sixteen components, and the Index pursuant to generic listing standards ‘‘ and traded, and the Index weighting will be modified capitalization- (the Index Options Maintenance Standards’’).11 Because the Index is P.M. methodology.3 No other changes are weighted where the current Index is settled, it does not meet the A.M. made to the Index or the options capitalization-weighted. settlement requirement of the Index thereon. Background Options Listing Standards.12 However, The text of the proposed rule change the index meets all of the applicable is available on the Exchange’s Web site The Gold/Silver Index is a P.M. Index Options Maintenance Standards. at http://nasdaqomxphlx.cchwallstreet. settled capitalization-weighted index In 1996, the Exchange received com/NASDAQOMXPHLX/Filings/, at composed of the stocks of widely held approval to apply to the Index all the the principal office of the Exchange, and U.S. listed companies involved in the Index Options Maintenance Standards at the Commission’s Public Reference gold/silver mining industry. Options on of Rule 1009A(c) except the requirement Room. the Index have an American style that an index option be designated as expiration and the settlement value is II. Self-Regulatory Organization’s A.M. settled per subsection (b)(1).13 based on the closing values of the Statement of the Purpose of, and Subsection (c) also requires, among component stocks on the day exercised, Statutory Basis for, the Proposed Rule other things, that the Index comply with or on the last trading day prior to Change the concentration requirements expiration.6 In its filing with the Commission, the specifically set forth in 1009A(b)(6) In 1983 XAUSM options were 14 Exchange included statements regarding the Gold/Silver Index. The approved for listing and trading on the concerning the purpose of and basis for Exchange as the first options on a 10 See Securities Exchange Act Release No. 34157 the proposed rule change and discussed narrow-based index; 7 XAUSM options (June 3, 1994), 59 FR 30062–01 (June 10, 1994) any comments it received on the have been listed and have traded (order approving File Nos. SR–Amex-92–35; SR– proposed rule change. The text of these CBOE–93–59; SR–NYSE–94–17; SR–PSE–94–07; continuously on the Exchange since statements may be examined at the and SR–Phlx-94–10) (the ‘‘generic index options December 19, 1983. filing’’). places specified in Item IV below. The 11 The generic listing standards in Rule 1009A Exchange has prepared summaries, set In 1994, the Exchange established pursuant to Rule 19b–4(e) of the Act, see Securities forth in sections A, B, and C below, of initial listing standards in Rule Exchange Act Release No. 40761 (December 8, the most significant aspects of such 1009A(b) and (d) for options on indexes 1998), 63 FR 70952 (December 22, 1998), are similar that were designed to allow the to those of other options exchanges such as, for statements. example, Chicago Board Options Exchange, Exchange to initially list and trade Incorporated; International Stock Exchange LLC; A. Self-Regulatory Organization’s 8 options on narrow-based indexes and and The NASDAQ Stock Market LLC. Statement of the Purpose of, and broad based indexes 9 pursuant to 12 Rule 1009A(b)(1) requires A.M. settlement. Statutory Basis for, the Proposed Rule generic listing standards (the ‘‘Index 13 See Securities Exchange Act Release No. 37334 Change (June 19, 1996), 61 FR 33162 (June 26, 1996) (SR– Phlx–96–03) (order approving use of modified Rule 5 SM 1. Purpose The contract specifications for XAU options 1009A(c) generic maintenance standards in respect are available at https://www.nasdaqtrader.com/ of options on the Index). The purpose of the proposal is to micro.aspx?id=phlxsectorscontractspecs. The maintenance provisions in subsection (c) of 6 expand to thirty the number of While the settlement value of a P.M. settled Rule 1009A state, in part, as applicable to XAUSM: SM components in the PHLX Gold/Silver index such as XAU is based on closing prices of (1) The conditions stated in subparagraphs (b)(1), SectorSM or XAUSM, on which options the component securities, the settlement value of (3), (6), (7), (8), (9), (10), (11) and (12), must A.M. settled securities is based on opening prices. are listed and traded, and change the continue to be satisfied, provided that the 7 See Securities Exchange Act Release No. 20437 conditions stated in subparagraph (b)(6) must be Index weighting methodology to (December 2, 1983), 48 FR 55229 (December 9, satisfied only as to the first day of January and July modified capitalization-weighted.4 No 1983) (order approving listing and trading options in each year; (2) The total number of component other changes are made to the Index or overlying the Gold/Silver Index and the Gaming/ securities in the index may not increase or decrease Hotel Index). 1 the options thereon. by more than 33 ⁄3% from the number of 8 A narrow-based index or industry index is SM component securities in the index at the time of its XAU options subsequent to this defined as: An index designed to be representative initial listing, and in no event may be less than nine proposal will be identical to XAUSM of a particular industry or a group of related component securities; (3) Trading volume of each options that are currently listed and industries. The term ‘‘narrow-based index’’ includes component security in the index must be at least trading except for the number of indices the constituents of which are all 500,000 shares for each of the last six months, headquartered within a single country. Rule except that for each of the lowest weighted components in the underlying Index; 1000A(b)(12). component securities in the index that in the Currently, in addition to Gold/Silver Index, other aggregate account for no more than 10% of the 3 PHLX Gold/Silver SectorSM may also be known narrow-based sector indexes on which options are weight of the index, trading volume must be at least as Gold/Silver Index. listed and traded on the Exchange include: KBW 400,000 shares for each of the last six months; (4) 4 The Exchange notes that changing the weighting Bank IndexSM (BKXSM); PHLX Housing SectorSM In a capitalization-weighted index, the lesser of the of the Index from capitalization-weighting to (HGXSM); PHLX Utility SectorSM (UTYSM); SIG five highest weighted component securities in the modified capitalization-weighting does not by itself Energy MLP IndexSM (SVOTM); SIG Oil Exploration index or the highest weighted component securities require a rule filing proposal because both & Production IndexTM (EPXSM); PHLX in the index that in the aggregate represent at least weighting methodologies are acceptable per the Semiconductor SectorSM (SOXSM); PHLX Oil 30% of the total number of stocks in the index each current generic index listing standards found in Service SectorSM (OSXSM); and NASDAQ Internet have had an average monthly trading volume of at Rule 1009A(b)(2). The weighting change is included IndexSM (QNETSM). least 1,000,000 shares over the past six months. in this proposal only in conjunction with increasing 9 A broad-based index or market index is defined 14 Id. Regarding concentration requirements, the number of Index components by more than the as: An index designed to be representative of a subsection (b)(6)(i) states that with respect to the amount indicated in Rule 1009A(c)(2), which stock market as a whole or of a range of companies Gold/Silver Index, no single component shall requires a rule filing proposal. in unrelated industries. Rule 1000A(b)(11). account for more than 35% of the weight of the

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Index meets all of the subsection (c) share weights, also known as the Index was 8% (Freeport-McMoRan Copper Index Options Maintenance Standards Shares, of each of the Index Securities & Gold Inc., Barrick Gold Corporation, (the A.M. settlement requirement is not (components) multiplied by each such Southern Copper Corporation, applicable to the Index) for continued security’s Last Sale Price, and divided Goldcorp Inc., Newmont Mining trading of options overlying the Index, by the divisor of the Index. The divisor Corporation), (b) the lowest weighting with one exception as noted below. serves the purpose of scaling such of a component was 0.27% The Gold/Silver Index composed of aggregate index value to a lower order (Endeavour Silver Corp.), (c) the mean sixteen companies continues to be a of magnitude which is more desirable weighting of the components was prime index that provides exposure to for reporting purposes. If trading in an 3.33%, (d) the median weighting of the dynamic gold/silver sector. When Index Security is halted on its primary the components was 3.06%, and (e) investors want information and listing market, the most recent Last Sale the total weighting of the top five investment opportunities specific to the Price for that security is used for all highest weighted components was gold/silver sector they most often turn index computations until trading on 40% (Freeport-McMoRan Copper & to the Index and the XAUSM options such market resumes. Likewise, the Gold Inc., Barrick Gold Corporation, traded thereon.15 The Index has served most recent Last Sale Price is used if Southern Copper Corporation, as a leading market indicator and trading in a security is halted on its Goldcorp Inc., Newmont Mining XAUSM options as a viable trading and primary listing market before the market Corporation); investing vehicle in respect of the gold/ is open. —Regarding component shares, (a) the silver sector.16 Recognizing the market- The modified capitalization-weighted most available shares of a component leading aspects of the Index, the methodology is expected to retain, in was 1.13 billion shares (Kinross Gold Exchange is proposing a rule change to general, the economic attributes of Corporation), (b) the least available increase to thirty the number of capitalization weighting, while shares of a component was 0.05 components in XAUSM 17 so that this providing enhanced diversification. To billion shares (Royal Gold, Inc.), (c) narrow-based index may even more accomplish this, NASDAQ OMX, which the mean available shares of the effectively represent this market sector. maintains the Index, rebalances the components was 0.33 billion shares, The Exchange submits that in the Index quarterly and adjusts the and (d) the median available shares of proposed expanded form the Index weighting of Index components. the components was 0.19 billion would continue to meet the relevant Index eligibility is limited to specific shares; Index Options Maintenance Standards security types only. The security types —Regarding the six-month average daily in subsection (c) of Rule 1009A for eligible for the Index include common volumes (‘‘ADVs’’) of the components, listing XAUSM options. Specifically, all stocks, ordinary shares, ADRs, shares of (a) the highest six-month ADV of a the applicable index maintenance beneficial interest or limited partnership component was 11.00 million shares requirements in subsection (c) interests and tracking stocks. Security (Freeport-McMoRan Copper & Gold, applicable to options on narrow-based types not included in the Index are Inc.), (b) the lowest six-month ADV of indexes would be met with one closed-end funds, convertible a component was 0.52 million shares exception. The singular exception is the debentures, exchange traded funds, (Royal Gold, Inc.), (c) the mean six- number of components. In particular, preferred stocks, rights, warrants, units month ADV of the components was subsection (c)(2) of Rule 1009 indicates and other derivative securities. 3.53 million shares, (d) the median that the total number of component As of December 31, 2010, the six-month ADVs of the components securities in the index may not increase following were characteristics of the was 2.20 million shares, (e) the or decrease by more than 331⁄3% from Index using a modified capitalization- average of six-month ADVs of the five the total number of securities in the weighting methodology: most heavily traded components was index at the time of its initial listing; —The total weighted capitalization of 8.99 million shares (Freeport- adding components to equal thirty is all components of the Index was McMoRan Copper & Gold Inc., Hecla outside the (c)(2) parameter, and is the $354.60 billion; Mining Company, Barrick Gold reason why the Exchange is making the —Regarding component capitalization, Corporation, Yamana Gold, Inc., current filing. (a) the highest weighted capitalization Silver Wheaton Corp.), and (f) 100% of a component was $56.55 billion of the components had a six-month Index Design and Index Composition (Freeport-McMoRan Copper & Gold ADV of at least 200,000; and Currently, the Index is calculated Inc.), (b) the lowest weighted —Regarding option eligibility, (a) using a capitalization-weighted index capitalization of a component was 100% of the components were options methodology. The value of the Index $0.44 billion (Endeavour Silver eligible, as measured by weighting, and equals the aggregate value of the Index Corp.), (c) the mean capitalization of (b) 100% of the components were the components was $11.82 billion, options eligible, as measured by Index and the three highest weighted components and number. shall not account for more than 65% of the weight (d) the median capitalization of the of the Index; and that if the Index fails to meet this Index Calculation and Index components was $5.11 billion; requirement, the Exchange shall reduce position Maintenance limits to 8000 contracts on the Monday following —Regarding component price per share, expiration of the farthest-out, then trading, non- (a) the highest price per share of a The Index is maintained by NASDAQ LEAP series. component was $120.09 (Freeport- OMX and index levels are calculated 15 Another currently available investment product McMoRan Copper & Gold Inc.), (b) the continuously, using the Last Sale Price that evaluates the gold sector (only) is the AMEX Gold BUGS Index. lowest price per share of a component for each component stock in the Index. 16 During 2010, XAUSM options traded an average was $6.94 (North American Palladium Index values are publicly disseminated of 55,432 contracts per month and traded as much Ltd.), (c) the mean price per share of at least every fifteen seconds throughout as 13,581 contracts in a day (January 5, 2010). As the components was $33.39, and (d) the trading day through a major market of December 31, 2010, there were 3,787 contracts the median price per share of the data vendor, namely NASDAQ OMX’s of open interest in XAUSM options. 17 A listing of the component securities in XAUSM components was $24.62; index dissemination service. The is available at https://indexes.nasdaqomx.com/ —Regarding component weightings, (a) Exchange expects that such weighting.aspx?IndexSymbol=XAU&menuIndex=0. the highest weighting of a component dissemination will continue through

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one or more (NASDAQ OMX-owned or In the event a class of index options Exchange will continue to list options unrelated) major market data vendors.18 listed on the Exchange fails to satisfy on XAUSM in up to three months from Appurtenant to review of the Index the maintenance listing standards, the the March, June, September, December for purposes of rebalancing, component Exchange shall not open for trading any cycle plus two additional near-term securities are evaluated by NASDAQ additional series of options of that class months (that is, as many as five months OMX. In the event that an Index unless such failure is determined by the at all times).28 The trading of XAUSM Security no longer meets the Continued Exchange not to be significant and the options will continue to be subject to Security Eligibility Criteria, it will be Commission concurs in that the same rules that govern the trading of replaced with a security that is not determination, or unless the continued all of the Exchange’s index options, currently in the Index that meets all of listing of that class of index options has including sales practice rules, margin the Initial Security Eligibility Criteria been approved by the Commission requirements, and trading rules. and additional criteria which follows. under Section 19(b)(2) of the Act.21 Securities eligible for inclusion will be The Exchange represents that, if the Surveillance and Capacity ranked ascending by market value, Index ceases to be maintained or current price and percentage price calculated, or if the Index values are not The Exchange represents that it has an change over the previous six months. disseminated at least every fifteen adequate surveillance program in place The security with the highest overall seconds by a widely available source, for options traded on the Index and ranking will be added to the Index the Exchange will promptly notify the intends to apply those same program provided that the Index then meets the Division of Trading and Markets of the procedures that it applies to the following criteria: No single Index Commission, and the Exchange will not Exchange’s current XAUSM options and Security is greater than 25% of the list any additional series for trading and other index options. Additionally, the weight of the Index and the top 3 Index will limit all transactions in such Exchange is a member of the Securities are not greater than 55% of options to closing transactions only for Intermarket Surveillance Group (‘‘ISG’’) the weight of the Index; no more than the purpose of maintaining a fair and under the Intermarket Surveillance 15% of the weight of the Index is orderly market and protecting investors. Group Agreement, dated June 20, 1994. composed of non-U.S. component Contract Specifications ISG members generally work together to securities that are not subject to The contract specifications for the coordinate surveillance and comprehensive surveillance investigative information sharing in the 19 proposed expanded Index options agreements. In the event that the stock and options markets. In addition, highest-ranking security does not permit (updated regarding components and weighting methodology) are, as the major futures exchanges are the Index to meet the above criteria, the affiliated members of the ISG, which next highest-ranking security will be previously noted, identical to the current narrow-based Index options that allows for the sharing of surveillance selected and the Index criteria will are currently listed and traded on the information for potential intermarket again be applied to determine eligibility. Exchange.22 Options on the Index are 29 The process will continue until a trading abuses. American style and P.M. cash-settled. qualifying replacement security is The Exchange represents that it has The Exchange’s trading hours for index selected.20 Component changes will be the necessary systems capacity to options (9:30 a.m. to 4 p.m. ET), will publicly announced. continue to support listing and trading apply to options on XAUSM.23 Exchange XAUSM options. rules that are applicable to the trading 18 Rule 1009A(b)(12) states that should an underlying index be maintained by a broker-dealer, of options on indexes will continue to 2. Statutory Basis however, the index must be calculated by a third apply to the trading of options on party who is not a broker-dealer, and the broker- XAUSM.24 The Exchange believes that its dealer will have to erect a ‘‘Chinese Wall’’ around The strike price intervals for XAUSM proposal is consistent with Section 6(b) its personnel who have access to information 30 concerning changes in and adjustments to the options contracts will remain the same of the Act in general, and furthers the index. as those currently in use: $2.50 or objectives of Section 6(b)(5) of the Act 31 19 See Rule 1009A(c), which refers to subsections greater if the strike price is less than in particular, in that it is designed to (b)(6) and (b)(9). $200.25 The minimum increment size prevent fraudulent and manipulative 20 Moreover, changes in the price and/or Index for series trading below $3 will remain Shares driven by corporate events such as stock acts and practices, to promote just and dividends, stock splits, and certain spin-offs and $0.05, and for series trading at or above equitable principles of trade, to foster 26 rights issuances will be adjusted on the ex-date. If $3 will remain $0.10. The Exchange’s cooperation and coordination with 27 the change in total shares outstanding arising from margin rules will be applicable. The persons engaged in facilitating other corporate actions is greater than or equal to transactions in securities, and to remove 10.0%, the change will be made as soon as might otherwise be caused by any such change. All practicable. Otherwise, if the change in total shares changes are announced in advance and will be impediments to and perfect the outstanding is less than 10%, then all such changes reflected in the Index prior to market open on the mechanisms of a free and open market are accumulated and made effective at one time on Index effective date. a quarterly basis after the close of trading on the and a national market system. The 21 15 U.S.C. 78s(b)(2). third Friday in each of March, June, September, and Exchange believes that the proposal to 22 December. See supra note 5. expand the XAUSM index will allow the 23 See Rule 101. In the case of a special cash dividend, a Exchange to seamlessly continue listing determination will be made on an individual basis 24 For trading rules applicable to trading index whether to make a change to the price of an Index options, see Rules 1000A et seq. For trading rules this premiere index and options thereon Security in accordance with its Index dividend applicable to trading options generally, see Rules in a manner that even more effectively policy. If it is determined that a change will be 1000 et seq. reflects the gold/silver sector. made, it will become effective on the ex-date and 25 See Rule 1101A(a). Rule 1101A generally advance notification will be made. indicates that strike price intervals for index 28 Ordinarily, whenever there is a change in Index options may be $5.00, $2.50 and $1.00. See Rule 1101A(b). Shares, a change in an Index Security, or a change 26 See Rule 1034(a). However, the rule indicates 29 A list of the current members and affiliate to the price of an Index Security due to spin-offs, that certain products (e.g. IWM options and Alpha members of ISG can be found at http:// rights issuances, or special cash dividends, the Index options) may trade at $0.01 minimum www.isgportal.org/isgportal/public/members.htm. divisor is adjusted to ensure that there is no increments. 30 15 U.S.C. 78f(b). discontinuity in the value of the Index, which 27 See Rule 721 et seq. 31 15 U.S.C. 78f(b)(5).

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B. Self-Regulatory Organization’s change that are filed with the publishing this notice to solicit Statement on Burden on Competition Commission, and all written comments on the rule change from The Exchange does not believe that communications relating to the interested parties. proposed rule change between the the proposed rule change will impose I. Self-Regulatory Organization’s any burden on competition not Commission and any person, other than those that may be withheld from the Statement of the Terms of Substance of necessary or appropriate in furtherance the Proposed Rule Change of the purposes of the Act. public in accordance with the provisions of 5 U.S.C. 552, will be The proposed rule change will C. Self-Regulatory Organization’s available for Web site viewing and provide legal certainty for the trading of Statement on Comments on the printing in the Commission’s Public futures on the CBOE Gold ETF Volatility Proposed Rule Change Received From Reference Room, 100 F Street, NE., Index (‘‘GVZ Index’’). Members, Participants, or Others Washington, DC 20549, on official II. Self-Regulatory Organization’s business days between the hours of 10 No written comments were either Statement of the Purpose of, and a.m. and 3 p.m. Copies of such filing solicited or received. Statutory Basis for, the Proposed Rule also will be available for inspection and III. Date of Effectiveness of the copying at the principal office of the Change Proposed Rule Change and Timing for Exchange. All comments received will In its filing with the Commission, Commission Action be posted without change; the OCC included statements concerning Within 45 days of the date of Commission does not edit personal the purpose of and basis for the publication of this notice in the Federal identifying information from proposed rule change and discussed any Register or within such longer period (i) submissions. You should submit only comments it received on the proposed as the Commission may designate up to information that you wish to make rule change. The text of these statements 90 days of such date if it finds such publicly available. All submissions may be examined at the places specified longer period to be appropriate and should refer to File Number SR–Phlx– in Item IV below. OCC has prepared publishes its reasons for so finding or 2011–46 and should be submitted on or summaries, set forth in sections (A), (B), (ii) as to which the Exchange consents, before May 4, 2011. and (C) below, of the most significant 4 the Commission shall: (a) By order For the Commission, by the Division of aspects of these statements. approve or disapprove such proposed Trading and Markets, pursuant to delegated (A) Self-Regulatory Organization’s authority.32 rule change, or (b) institute proceedings Statement of the Purpose of, and to determine whether the proposed rule Cathy H. Ahn, Statutory Basis for, the Proposed Rule change should be disapproved. Deputy Secretary. Change [FR Doc. 2011–8802 Filed 4–12–11; 8:45 am] IV. Solicitation of Comments The purpose of this proposed rule BILLING CODE 8011–01–P Interested persons are invited to change is to make clear that OCC will submit written data, views, and clear futures on the GVZ Index as arguments concerning the foregoing, SECURITIES AND EXCHANGE security futures. OCC is proposing to including whether the proposed rule COMMISSION add an interpretation to Article XII, change is consistent with the Act. Section 1 of OCC’s By-Laws. Comments may be submitted by any of [Release No. 34–64247; File No. SR–OCC– The GVZ Index is described by the 2011–04] the following methods: CBOE Futures Exchange, LLC (‘‘CFE’’) as an up-to-the-minute market estimate of Electronic Comments Self-Regulatory Organizations; The the expected volatility of SPDR Gold • Options Clearing Corporation; Notice Use the Commission’s Internet of Filing and Immediate Effectiveness Shares (‘‘GLD’’) calculated by using real- comment form (http://www.sec.gov/ of Proposed Rule Change To Provide time bid/ask quotes of Chicago Board rules/sro.shtml); or Legal Certainty for the Trading of Options Exchange, Incorporated listed • Send an e-mail to rule- 5 Futures on the CBOE Gold ETF GLD options. CFE states that the GVZ [email protected]. Please include File Volatility Index Index uses nearby and second nearby Number SR–Phlx–2011–46 on the options with at least 8 days left to subject line. April 7, 2011. expiration and then weights them to Paper Comments Pursuant to Section 19(b)(1) of the yield a constant, 30-day measure of the Securities Exchange Act of 1934 • expected (implied) volatility. Send paper comments in triplicate (‘‘Act’’),1 notice is hereby given that on In its capacity as a ‘‘derivatives to Elizabeth M. Murphy, Secretary, March 25, 2011, The Options Clearing clearing organization’’ registered as such Securities and Exchange Commission, Corporation (‘‘OCC’’) filed with the with the Commodity Futures Trading 100 F Street, NE., Washington, DC Securities and Exchange Commission Commission (‘‘CFTC’’), OCC is 20549–1090. (‘‘Commission’’) the proposed rule concurrently submitting this rule filing All submissions should refer to File change described in Items I, II, and III to the CFTC pursuant to the self- Number SR–Phlx–2011–46. This file below, which Items have been prepared certification procedures of CFTC number should be included on the primarily by OCC. OCC filed the Regulation 40.6. subject line if e-mail is used. To help the proposal pursuant to Section OCC believes that the proposed rule Commission process and review your 19(b)(3)(A)(i) of the Act 2 and Rule 19b– change and interpretation of OCC’s By- comments more efficiently, please use 4(f)(1) 3 thereunder so that the proposal Laws is consistent with the only one method. The Commission will was effective upon filing with the requirements of Section 17A of the Act 6 post all comments on the Commission’s Commission. The Commission is Internet Web site (http://www.sec.gov/ 4 The Commission has modified the text of the rules/sro.shtml). Copies of the 32 17 CFR 200.30–3(a)(12). summaries prepared by OCC. submission, all subsequent 1 15 U.S.C. 78s(b)(1). 5 Securities Exchange Act Release No. 34–64152 amendments, all written statements 2 15 U.S.C. 78s(b)(3)(A)(i). (March 30, 2011). with respect to the proposed rule 3 17 CFR 240.19b–4(f)(1). 6 15 U.S.C. 78q–1.

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and the rules and regulations Comments may be submitted by any of For the Commission by the Division of thereunder applicable to OCC because it the following methods: Trading and Markets, pursuant to delegated is designed to promote the prompt and authority.9 accurate clearance and settlement of Electronic Comments Cathy H. Ahn, Deputy Secretary. transactions in security futures, to foster • Use the Commission’s Internet cooperation and coordination with comment form (http://www.sec.gov/ [FR Doc. 2011–8801 Filed 4–12–11; 8:45 am] persons engaged in the clearance and rules/sro.shtml); or BILLING CODE 8011–01–P settlement of such transactions, to • remove impediments to and perfect the Send an e-mail to rule- mechanism of a national system for the [email protected]. Please include File SECURITIES AND EXCHANGE prompt and accurate clearance and Number SR–OCC–2011–04 on the COMMISSION settlement of such transactions, and, in subject line. [Release No. 34–64238; File No. SR– general, to protect investors and the Paper Comments NASDAQ–2011–043] public interest. It accomplishes this purpose by clarifying the jurisdiction • Send paper comments in triplicate Self-Regulatory Organizations; The under, and capacity in which, OCC to Elizabeth M. Murphy, Secretary, NASDAQ Stock Market LLC; Notice of clears futures on the GVZ Index. The Securities and Exchange Commission, Filing and Immediate Effectiveness of proposed rule change is not inconsistent 100 F Street, NE., Washington, DC Proposed Rule Change to Extend the with the By-Laws and Rules of OCC. 20549–1090. Pilot Period of Amendments to the Clearly Erroneous Rule (B) Self-Regulatory Organization’s All submissions should refer to File Statement on Burden on Competition Number SR–OCC–2011–04. This file April 7, 2011. OCC does not believe that the number should be included on the Pursuant to Section 19(b)(1) of the proposed rule change will have any subject line if e-mail is used. To help the Securities Exchange Act of 1934 ‘‘ ’’ 1 2 impact or impose any burden on Commission process and review your ( Act ), and Rule 19b–4 thereunder, competition. comments more efficiently, please use notice is hereby given that on March 31, 2011, The NASDAQ Stock Market LLC only one method. The Commission will (C) Self-Regulatory Organization’s (‘‘Exchange’’), filed with the Securities post all comments on the Commission’s Statement on Comments on the and Exchange Commission Proposed Rule Change Received From Internet Web site (http://www.sec.gov/ (‘‘Commission’’) the proposed rule Members, Participants, or Others rules/sro.shtml). Copies of the change as described in Items I and II submission, all subsequent below, which Items have been prepared Written comments relating to the amendments, all written statements by the Exchange. The Commission is proposed rule change have not been with respect to the proposed rule publishing this notice to solicit solicited or received. OCC will notify change that are filed with the comments on the proposed rule change the Commission of any written Commission, and all written from interested persons. comments received by OCC. communications relating to the I. Self-Regulatory Organization’s III. Date of Effectiveness of the proposed rule change between the Statement of the Terms of the Substance Proposed Rule Change and Timing for Commission and any person, other than of the Proposed Rule Change Commission Action those that may be withheld from the public in accordance with the The Exchange proposes to extend the The foregoing proposed rule change provisions of 5 U.S.C. 552, will be pilot period of recent amendments to has become effective upon filing available for Web site viewing and Rule 11890, concerning clearly pursuant to Section 19(b)(3)(A)(i) of the erroneous transactions, so that the pilot Act 7 and Rule 19b–4(f)(1) 8 thereunder printing in the Commission’s Public Reference Room, 100 F Street, NE., will now expire on the earlier of August because the proposed rule change 11, 2011 or the date on which a limit constitutes a stated policy, practice, or Washington, DC 20549, on official business days between the hours of 10 up/limit down mechanism to address interpretation with respect to the extraordinary market volatility, if a.m. and 3 p.m. Copies of such filings meaning, administration, or adopted, applies. enforcement of an existing rule. At any also will be available for inspection and The text of the proposed rule change time within 60 days of the filing of the copying at the principal office of OCC is below. Proposed new language is proposed rule change, the Commission and on OCC’s Web site at http:// italicized; proposed deletions are in summarily may temporarily suspend www.optionsclearing.com/components/ [brackets]. _ _ such rule change if it appears to the docs/legal/rules and bylaws/ * * * * * Commission that such action is sr_occ_11_04.pdf. necessary or appropriate in the public All comments received will be posted 11890. Clearly Erroneous Transactions interest, for the protection of investors, without change; the Commission does The provisions of paragraphs (C), or otherwise in furtherance of the not edit personal identifying (c)(1), (b)(i), and (b)(ii) of this Rule, as purposes of the Act. information from submissions. You amended on September 10, 2010, shall IV. Solicitation of Comments should submit only information that be in effect during a pilot period set to you wish to make available publicly. All end on the earlier of August 11, 2011 or Interested persons are invited to submissions should refer to File the date on which a limit up/limit down submit written data, views, and Number SR–OCC–2011–04 and should mechanism to address extraordinary arguments concerning the foregoing, be submitted on or before May 4, 2011. market volatility, if adopted, applies including whether the proposed rule [April 11, 2011]. If the pilot is not either change is consistent with the Act. extended or approved permanent by the

7 15 U.S.C. 78s(b)(3)(A)(i). 1 15 U.S.C. 78s(b)(1). 8 17 CFR 240.19b–4(f)(1). 9 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4.

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earlier of August 11, 2011 or the date on certainty to the process of breaking III. Date of Effectiveness of the which a limit up/limit down mechanism erroneous trades. The Exchange also Proposed Rule Change and Timing for to address extraordinary market believes that a four month extension of Commission Action volatility, if adopted, applies [April 11, the pilot is warranted so that it may 2011], the prior versions of paragraphs continue to monitor the effects of the Because the foregoing proposed rule (C), (c)(1), and (b) shall be in effect. pilot on the markets and investors, and change does not: (i) Significantly affect (a)–(f) No change. consider appropriate adjustments, as the protection of investors or the public * * * * * necessary. The Exchange notes, interest; (ii) impose any significant however, that the Exchanges are burden on competition; and (iii) become II. Self-Regulatory Organization’s developing a ‘‘limit up/limit down’’ operative for 30 days from the date on Statement of the Purpose of, and mechanism to reduce the negative which it was filed, or such shorter time Statutory Basis for, the Proposed Rule impacts of sudden, unanticipated price as the Commission may designate, it has Change movements in securities traded on the become effective pursuant to Section In its filing with the Commission, the Exchanges. Under such a mechanism, 19(b)(3)(A) of the Act 7 and Rule 19b– Exchange included statements trades in a security outside a price band 4(f)(6)(iii) thereunder.8 The Exchange concerning the purpose of and basis for would not be allowed, thus eliminating has asked the Commission to waive the the proposed rule change and discussed clearly erroneous transactions from 30-day operative delay so that the any comments it received on the occurring altogether. As such, the proposal may become operative proposed rule change. The text of these proposed extension may be shorter in immediately upon filing. The statements may be examined at the duration should the Exchange adopt a Commission believes that waiving the places specified in Item IV below. The limit up/limit down mechanism to 30-day operative delay is consistent Exchange has prepared summaries, set address extraordinary market volatility. with the protection of investors and the forth in Sections A, B, and C below, of Accordingly, the Exchange is filing to the most significant aspects of such further extend the pilot program until public interest because such waiver will statements. the earlier of August 11, 2011 or the allow the pilot program to continue date on which a limit up/limit down uninterrupted and help ensure A. Self-Regulatory Organization’s mechanism to address extraordinary uniformity among the national Statement of the Purpose of, and market volatility, if adopted, applies. securities exchanges and FINRA with Statutory Basis for, the Proposed Rule respect to the treatment of clearly Change 2. Statutory Basis erroneous transactions.9 Accordingly, 1. Purpose The statutory basis for the proposed the Commission waives the 30-day rule change is Section 6(b)(5) of the On September 10, 2010, the operative delay requirement and Securities Exchange Act of 1934 (the Commission approved, for a pilot period designates the proposed rule change as ‘‘Act’’),5 which requires the rules of an to end December 10, 2010, a proposed operative upon filing with the exchange to promote just and equitable rule change submitted by the Exchange, Commission. principles of trade, to remove together with related rule changes of the At any time within 60 days of the impediments to and perfect the BATS Exchange, Inc., NASDAQ OMX mechanism of a free and open market filing of the proposed rule change, the BX, Inc., Chicago Board Options and a national market system and, in Commission summarily may Exchange, Incorporated, Chicago Stock general, to protect investors and the temporarily suspend such rule change if Exchange, Inc., EDGA Exchange, Inc., public interest. The proposed rule it appears to the Commission that such EDGX Exchange, Inc., International change also is designed to support the action is necessary or appropriate in the Securities Exchange LLC, New York principles of Section 11A(a)(1) 6 of the public interest, for the protection of Stock Exchange LLC, NYSE Amex LLC, Act in that it seeks to assure fair investors, or otherwise in furtherance of NYSE Arca, Inc., and National Stock competition among brokers and dealers the purposes of the Act. Exchange, Inc., to amend certain of their and among exchange markets. The respective rules to set forth clearer IV. Solicitation of Comments Exchange believes that the proposed standards and curtail discretion with rule meets these requirements in that it respect to breaking erroneous trades.3 Interested persons are invited to promotes transparency and uniformity The changes were adopted to address submit written data, views, and across markets concerning decisions to concerns that the lack of clear arguments concerning the foregoing, break erroneous trades. guidelines for dealing with clearly including whether the proposed rule erroneous transactions may have added B. Self-Regulatory Organization’s change is consistent with the Act. to the confusion and uncertainty faced Statement on Burden on Competition Comments may be submitted by any of by investors on May 6, 2010. On The Exchange does not believe that the following methods: December 7, 2010, the Exchange filed an the proposed rule change will result in immediately effective filing to extend any burden on competition that is not 7 15 U.S.C. 78s(b)(3)(A). the existing pilot program for four necessary or appropriate in furtherance 8 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule 19b–4(f)(6)(iii) requires that a self-regulatory months, so that the pilot would expire of the purposes of the Act, as amended. on April 11, 2011.4 organization submit to the Commission written C. Self-Regulatory Organization’s notice of its intent to file the proposed rule change, The Exchange believes that the pilot along with a brief description and text of the program has been successful in Statement on Comments on the proposed rule change, at least five business days providing greater transparency and Proposed Rule Change Received From prior to the filing of the proposed rule change, or Members, Participants, or Others such shorter time as designated by the Commission. 3 Securities Exchange Act Release No. 62886 Written comments were neither The Commission notes that the Exchange has (September 10, 2010), 75 FR 56613 (September 16, satisfied this requirement. 2010). solicited nor received. 9 For purposes only of waiving the 30-day 4 Securities Exchange Act Release No. 63489; operative delay, the Commission has considered the (December 9, 2010), 75 FR 78281 (December 15, 5 15 U.S.C. 78f(b)(5). proposed rule’s impact on efficiency, competition, 2010). 6 15 U.S.C. 78k–1(a)(1). and capital formation. See 15 U.S.C. 78c(f).

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Electronic Comments SECURITIES AND EXCHANGE rule change. The text of these statements may be examined at the places specified • COMMISSION Use the Commission’s Internet in Item IV below. FINRA has prepared comment form (http://www.sec.gov/ [Release No. 34–64237; File No. SR–FINRA– 2011–014] summaries, set forth in sections A, B, rules/sro.shtml); or and C below, of the most significant • Send an e-mail to rule- Self-Regulatory Organizations; aspects of such statements. [email protected]. Please include File Financial Industry Regulatory A. Self-Regulatory Organization’s Number SR–NASDAQ–2011–043 on the Authority, Inc.; Notice of Filing and Statement of the Purpose of, and subject line. Immediate Effectiveness of Proposed Statutory Basis for, the Proposed Rule Rule Change to Extend the Pilot Period Change Paper Comments of Amendments to FINRA Rule 11892 1. Purpose • Send paper comments in triplicate Governing Clearly Erroneous to Elizabeth M. Murphy, Secretary, Transactions FINRA proposes to amend FINRA Rule 11892.02 to extend the effective Securities and Exchange Commission, April 7, 2011. date of the amendments set forth in File 100 F Street, NE., Washington, DC Pursuant to Section 19(b)(1) of the No. SR–FINRA–2010–032 (the ‘‘pilot’’), 20549–1090. Securities Exchange Act of 1934 which are currently scheduled to expire (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 All submissions should refer to File on April 11, 2011, until the earlier of notice is hereby given that on March 30, Number SR–NASDAQ–2011–043. This August 11, 2011 or the date on which 2011, Financial Industry Regulatory file number should be included on the a limit up/down mechanism to address Authority, Inc. (‘‘FINRA’’) filed with the subject line if e-mail is used. To help the extraordinary market volatility, if Securities and Exchange Commission Commission process and review your adopted, applies to the pilot securities. (‘‘SEC’’ or ‘‘Commission’’) the proposed The pilot was drafted in consultation comments more efficiently, please use rule change as described in Items I and only one method. The Commission will with other self-regulatory organizations II below, which Items have been (‘‘SROs’’) and Commission staff to post all comments on the Commission’s prepared by FINRA. FINRA has Internet Web site (http://www.sec.gov/ provide for uniform treatment: (1) Of designated the proposed rule change as clearly erroneous execution reviews in rules/sro.shtml). Copies of the constituting a ‘‘non-controversial’’ rule submission, all subsequent Multi-Stock Events involving twenty or change under paragraph (f)(6) of Rule more securities; and (2) in the event amendments, all written statements 19b–4 under the Act,3 which renders with respect to the proposed rule transactions occur that result in the the proposal effective upon receipt of issuance of an individual stock trading change that are filed with the this filing by the Commission. The pause by the primary listing market and Commission, and all written Commission is publishing this notice to subsequent transactions that occur communications relating to the solicit comments on the proposed rule before the trading pause is in effect for proposed rule change between the change from interested persons. transactions otherwise than on an Commission and any person, other than I. Self-Regulatory Organization’s exchange. FINRA also implemented those that may be withheld from the Statement of the Terms of Substance of additional changes to the Rule as part of public in accordance with the the Proposed Rule Change the pilot that reduce the ability of provisions of 5 U.S.C. 552, will be FINRA is proposing to amend FINRA FINRA to deviate from the objective available for Web site viewing and 4 Rule 11892 (Clearly Erroneous standards set forth in the Rule. printing in the Commission’s Public The extension proposed herein would Transactions in Exchange-Listed Reference Room, 100 F Street, NE., allow the pilot to continue to operate Securities) to extend the effective date Washington, DC 20549, on official without interruption while FINRA and of the pilot, which is currently business days between the hours of 10 the other SROs further assess whether scheduled to expire on April 11, 2011 the pilot should be adopted a.m. and 3 p.m. Copies of such filing until the earlier of August 11, 2011 or permanently or whether other initiatives also will be available for inspection and the date on which a limit up/down should be adopted in lieu of the current copying at the principal office of the mechanism to address extraordinary pilot. Exchange. All comments received will market volatility, if adopted, applies to be posted without change; the FINRA has filed the proposed rule the pilot securities. change for immediate effectiveness and Commission does not edit personal The text of the proposed rule change has requested that the SEC waive the identifying information from is available on FINRA’s Web site at requirement that the proposed rule submissions. You should submit only http://www.finra.org, at the principal change not become operative for 30 days information that you wish to make office of FINRA and at the after the date of the filing, such that the publicly available. All submissions Commission’s Public Reference Room. pilot can continue to operate without should refer to File Number SR– II. Self-Regulatory Organization’s interruption for the benefit of the NASDAQ–2011–043 and should be Statement of the Purpose of, and marketplace and the investing public. submitted on or before May 4, 2011. Statutory Basis for, the Proposed Rule 2. Statutory Basis For the Commission, by the Division of Change FINRA believes that the proposed rule Trading and Markets, pursuant to delegated In its filing with the Commission, 10 change is consistent with the provisions authority. FINRA included statements concerning of Section 15A(b)(6) of the Act,5 which Cathy H. Ahn, the purpose of and basis for the requires, among other things, that Deputy Secretary. proposed rule change and discussed any [FR Doc. 2011–8800 Filed 4–12–11; 8:45 am] comments it received on the proposed 4 See Securities Exchange Act Release No. 62885 BILLING CODE 8011–01–P (September 10, 2010), 75 FR 56641 (September 16, 1 15 U.S.C. 78s(b)(1). 2010) (Order Approving File No. SR–FINRA–2010– 2 17 CFR 240.19b–4. 032). 10 17 CFR 200.30–3(a)(12). 3 17 CFR 240.19b–4(f)(6). 5 15 U.S.C. 78o–3(b)(6).

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FINRA rules must be designed to clearly erroneous transactions.8 Washington, DC 20549, on official prevent fraudulent and manipulative Accordingly, the Commission waives business days between the hours of 10 acts and practices, to promote just and the 30-day operative delay requirement a.m. and 3 p.m. Copies of such filing equitable principles of trade and, in and designates the proposed rule change also will be available for inspection and general, to protect investors and the as operative upon filing with the copying at the principal office of public interest. FINRA believes that the Commission. FINRA. All comments received will be proposed rule change is consistent with At any time within 60 days of the posted without change; the Commission the clearly erroneous rules of other filing of the proposed rule change, the does not edit personal identifying SROs and will promote the goal of Commission summarily may information from submissions. You transparency and uniformity across temporarily suspend such rule change if should submit only information that markets concerning reviews of it appears to the Commission that such you wish to make publicly available. All potentially clearly erroneous executions action is necessary or appropriate in the submissions should refer to File in various contexts. Further, FINRA public interest, for the protection of Number SR–FINRA–2011–014 and believes that the proposed changes investors, or otherwise in furtherance of should be submitted on or before May enhance the objectivity of decisions the purposes of the Act. 4, 2011. made by FINRA with respect to clearly IV. Solicitation of Comments For the Commission, by the Division of erroneous executions. Trading and Markets, pursuant to delegated 9 B. Self-Regulatory Organization’s Interested persons are invited to authority. Statement on Burden on Competition submit written data, views, and Cathy H. Ahn, arguments concerning the foregoing, Deputy Secretary. FINRA does not believe that the including whether the proposed rule proposed rule change will result in any [FR Doc. 2011–8799 Filed 4–12–11; 8:45 am] change is consistent with the Act. BILLING CODE 8011–01–P burden on competition that is not Comments may be submitted by any of necessary or appropriate in furtherance the following methods: of the purposes of the Act. Electronic Comments SECURITIES AND EXCHANGE C. Self-Regulatory Organization’s COMMISSION • Statement on Comments on the Use the Commission’s Internet comment form (http://www.sec.gov/ [Release No. 34–64201, File No. SR–MSRB– Proposed Rule Change Received From 2011–04] Members, Participants, or Others rules/sro.shtml); or • Send an e-mail to rule- Self-Regulatory Organizations; Written comments were neither [email protected]. Please include File solicited nor received. Municipal Securities Rulemaking Number SR–FINRA–2011–014 on the Board; Order Granting Approval of III. Date of Effectiveness of the subject line. Proposed Rule Change To Amend the Proposed Rule Change and Timing for Paper Comments MSRB Short-Term Obligation Rate Commission Action Transparency (SHORT) Subscription • Send paper comments in triplicate Because the foregoing proposed rule Service to Elizabeth M. Murphy, Secretary, change does not: (i) Significantly affect Securities and Exchange Commission, April 6, 2011. the protection of investors or the public 100 F Street, NE., Washington, DC interest; (ii) impose any significant I. Introduction 20549–1090. burden on competition; and (iii) become All submissions should refer to File On February 10, 2011, the Municipal operative for 30 days from the date on ‘‘ ’’ Number SR–FINRA–2011–014. This file Securities Rulemaking Board ( MSRB ), which it was filed, or such shorter time filed with the Securities and Exchange number should be included on the as the Commission may designate, it has Commission (‘‘Commission’’), pursuant subject line if e-mail is used. To help the become effective pursuant to Section to Section 19(b)(1) of the Securities 6 Commission process and review your 19(b)(3)(A) of the Act and Rule 19b– Exchange Act of 1934 (‘‘Exchange Act’’),1 7 comments more efficiently, please use 4(f)(6)(iii) thereunder. FINRA has asked and Rule 19b–4 thereunder,2 a proposed only one method. The Commission will the Commission to waive the 30-day rule change to amend the MSRB’s Short- post all comments on the Commission’s operative delay so that the proposal may term Obligation Rate Transparency Internet Web site (http://www.sec.gov/ become operative immediately upon subscription service to provide rules/sro.shtml). Copies of the filing. The Commission believes that subscribers with additional information submission, all subsequent waiving the 30-day operative delay is as well as documents. The proposed consistent with the protection of amendments, all written statements rule change was published for comment investors and the public interest with respect to the proposed rule in the Federal Register on March 2, because such waiver will allow the pilot change that are filed with the 2011.3 The Commission received no program to continue uninterrupted and Commission, and all written comment letters about the proposed rule help ensure uniformity among the communications relating to the change. This order approves the national securities exchanges and proposed rule change between the proposed rule change. FINRA with respect to the treatment of Commission and any person, other than those that may be withheld from the II. Description of the Proposed Rule 6 15 U.S.C. 78s(b)(3)(A). public in accordance with the Change 7 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule provisions of 5 U.S.C. 552, will be The Short-term Obligation Rate 19b–4(f)(6)(iii) requires that a self-regulatory available for Web site viewing and Transparency (‘‘SHORT’’) System is a organization submit to the Commission written printing in the Commission’s Public notice of its intent to file the proposed rule change, along with a brief description and text of the Reference Room, 100 F Street, NE., 9 17 CFR 200.30–3(a)(12). proposed rule change, at least five business days 1 15 U.S.C. 78s(b)(1). prior to the filing of the proposed rule change, or 8 For purposes only of waiving the 30-day 2 17 CFR 240.19b–4. such shorter time as designated by the Commission. operative delay, the Commission has considered the 3 See Securities Exchange Act Release No. 63950 The Commission notes that FINRA has satisfied this proposed rule’s impact on efficiency, competition, (February 23, 2011), 76 FR 11547 (the requirement. and capital formation. See 15 U.S.C. 78c(f). ‘‘Commission’s Notice’’).

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facility of the MSRB for the collection requires, among other things, that the MSRB–2011–04), be, and it hereby is, and dissemination of information about MSRB’s rules shall approved. securities bearing interest at short-term be designed to prevent fraudulent and For the Commission, by the Division of rates. Rule G–34(c), on variable rate manipulative acts and practices, to promote Trading and Markets, pursuant to delegated security market information, currently just and equitable principles of trade, to authority.8 requires certain dealers to report to the foster cooperation and coordination with Cathy H. Ahn, SHORT System interest rates and persons engaged in regulating, clearing, Deputy Secretary. settling, processing information with respect descriptive information about Auction [FR Doc. 2011–8798 Filed 4–12–11; 8:45 am] ‘‘ ’’ to, and facilitating transactions in municipal Rate Securities ( ARS ) and Variable BILLING CODE 8011–01–P Rate Demand Obligations (‘‘VRDOs’’). securities and municipal financial products, to remove impediments to and perfect the All reported information is mechanism of a free and open market in disseminated from the SHORT System municipal securities and municipal financial SECURITIES AND EXCHANGE to subscribers pursuant to the MSRB products, and, in general, to protect COMMISSION SHORT subscription service 4 and is investors, municipal entities, obligated [Release No. 34–64245; File No. SR–CBOE– posted to the MSRB’s Electronic persons, and the public interest. 2011–026] Municipal Market Access (‘‘EMMA’’) The Commission believes that the Web portal pursuant to the EMMA proposed rule change is consistent with Self-Regulatory Organizations; short-term obligation rate transparency the Exchange Act in that the Chicago Board Options Exchange, service. amendments to the SHORT subscription Incorporated; Notice of Filing of a On August 20, 2010, the Commission service would serve as an additional Proposed Rule Change To Trade approved changes to Rule G–34(c) that mechanism by which the MSRB works Options on Individual Stock Based will increase the information dealers are toward removing impediments to and Volatility Indexes and Certain required to report to the SHORT System. helping to perfect the mechanisms of a Exchange-Traded Fund Based This rule change will add to the SHORT free and open market in municipal Volatility Indexes System documents that define auction securities. The subscription service April 7, 2011. procedures and interest rate setting would make the additional information mechanisms for ARS and liquidity Pursuant to Section 19(b)(1) of the and documents collected by the SHORT Securities Exchange Act of 1934 (the facilities for VDROs, information about System available to market participants orders submitted for an ARS auction, ‘‘Act’’),1 and Rule 19b–4 thereunder,2 for re-dissemination and for use in notice is hereby given that on March 29, and additional information about creating value-added products and 5 2011, the Chicago Board Options VRDOs. To provide subscribers with services. Such re-dissemination and access to these additional items of Exchange, Incorporated (‘‘Exchange’’ or third-party use would provide market ‘‘CBOE’’) filed with the Securities and information and documents, the participants, including investors and the proposed rule change would amend the Exchange Commission (the general public, additional avenues for ‘‘Commission’’) the proposed rule SHORT subscription service to include obtaining the information collected by the additional information and change as described in Items I and II the SHORT System and would make below, which Items have been prepared documents as well as an ARS ‘‘bid to additional tools available for making cover’’ ratio that would be computed by by the Exchange. The Commission is well-informed investment decisions. publishing this notice to solicit the SHORT System. A more complete Broad access to the information and description of the proposal is contained comments on the proposed rule change documents collected by the SHORT from interested persons. in the Commission’s Notice. System, in addition to the public access The MSRB has requested an effective through the EMMA Web portal, should I. Self-Regulatory Organization’s date for the proposed rule change of further assist in preventing fraudulent Statement of the Terms of Substance of May 16, 2011. and manipulative acts and practices by the Proposed Rule Change III. Discussion and Commission improving the opportunity for public CBOE proposes to amend its rules to Findings investors to access material information list and trade options on individual about Auction Rate Securities and stock based volatility indexes and The Commission has carefully Variable Rate Demand Obligations. considered the proposed rule change certain exchange-traded fund based The Commission further believes that volatility indexes. CBOE will list a total and finds that the proposed rule change broader re-dissemination and third- is consistent with the requirements of of 40 combined individual stock and party use of the information and exchange-traded fund based volatility the Exchange Act and the rules and documents collected by the SHORT regulations thereunder applicable to the indexes. These are in addition to System should promote a more fair and options on the CBOE Gold ETF MSRB 6 and, in particular, the efficient municipal securities market in Volatility Index (‘‘GVZ’’), which has requirements of Section 15B(b)(2)(C) of which transactions are effected on the already been approved for trading by the the Exchange Act 7 and the rules and basis of material information available Commission. Such volatility index regulations thereunder. Section to all parties to such transactions, which options must be based on an individual 15B(b)(2)(C) of the Exchange Act should allow for fairer pricing of stock option or exchange-traded fund transactions based on a more complete option that already trades on CBOE. The 4 The SHORT subscription service became effective September 30, 2010. See Securities understanding of the terms of the proposed options will be cash-settled Exchange Act Release No. 34–62993, September 24, securities (including any changes and will have European-style exercise. 2010 (File No. SR–MSRB–2010–06). thereto). The text of the rule proposal is available 5 See Securities Exchange Act Release No. 62755, The proposed rule change will on the Exchange’s Web site (http:// August 20, 2010 (File No. SR–MSRB–2010–02). become effective on May 16, 2011, as www.cboe.org/legal), at the Exchange’s 6 In approving this proposed rule change, the requested by the MSRB. Commission notes that it has considered the proposed rule’s impact on efficiency, competition It is therefore ordered, pursuant to 8 17 CFR 200.30–3(a)(12). and capital formation. 15 U.S.C. 78c(f). Section 19(b)(2) of the Exchange Act, 1 15 U.S.C. 78s(b)(1). 7 15 U.S.C. 78o–4(b)(2)(C). that the proposed rule change (SR– 2 17 CFR 240.19b–4.

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Office of the Secretary and at the Exchange now wants to add volatility Traded Fund Based Volatility Index Commission’s Public Reference Room. index options based on individual stock options). Vol Index levels will be options that are very actively traded and calculated by CBOE and disseminated at II. Self-Regulatory Organization’s on certain ETF options. This proposal 15-second intervals to major market data Statement of the Purpose of, and would permit the Exchange to trade a vendors. Statutory Basis for, the Proposed Rule Vol Index using any ETF option Change Options Trading currently trading and eligible for In its filing with the Commission, the options trading under Interpretations Vol Index options will be quoted in self-regulatory organization included and Policies .06 and .07 to Rule 5.3 index points and fractions and one statements concerning the purpose of other than those ETFs specifically point will equal $100. The minimum and basis for the proposed rule change identified in Interpretation and Policy tick size for series trading below $3 will and discussed any comments it received .06(iv). CBOE will continue to trade be 0.05 ($5.00) and above $3 will be on the proposed rule change. The text GVZ options under the prior approval 0.10 ($10).00). Initially, the Exchange of those statements may be examined at issued by the Commission. The will list in-, at- and out-of-the-money the places specified in Item IV below. calculation of any Vol Index will use the strike prices and the procedures for The Exchange has prepared summaries, same methodology, as described below, adding additional series are provided in set forth in sections A, B, and C below, as is currently used for CBOE Volatility Rule 5.5.7 Dollar strikes (or greater) will of the most significant parts of such Index (‘‘VIX’’) and GVZ options. be permitted for Vol Index options statements. where the strike price is $200 or less Index Design and Calculation and $5 or greater where the strike price A. Self-Regulatory Organization’s The calculation of a Vol Index will be is greater than $200. Statement of the Purpose of, and the based on the VIX and GVZ methodology Transactions in Vol Index options Statutory Basis for, the Proposed Rule applied to options on the individual may be effected on the Exchange Change stock or exchange-traded fund that is between the hours of 8:30 a.m. Chicago 1. Purpose the subject of the particular Vol Index. time and 3:15 p.m. (Chicago time), except (for Exchange-Trade Fund Based The purpose of this proposed rule A Vol Index is an up-to-the-minute market estimate of the expected Volatility Index options) if the closing change is to permit the Exchange to list volatility of the underlying individual time for traditional options on the and trade cash-settled, European-style stock or exchange-traded fund exchange-traded fund is earlier than options on individual stock-based calculated by using real-time bid/ask 3:15 p.m. (Chicago time), the earlier volatility indexes and select exchange- quotes of CBOE listed options on the closing time shall apply. The Exchange traded fund based volatility indexes underlying instruments. A Vol Index is proposing to permit different closing (collectively, ‘‘Vol Indexes’’). CBOE uses nearby and second nearby options times for Exchange-Traded Fund Based proposes to list a total of 40 combined with at least 8 days left to expiration Volatility Index options because the Vol Indexes. Initially, CBOE proposes to and then weights them to yield a trading hours for traditional options on list options on Vol Indexes comprised of constant, 30-day measure of the ETFs vary. options on the following individual expected (implied) volatility.5 stocks: Apple Computer, Amazon, IBM, For each contract month, CBOE will Exercise and Settlement Google, and Goldman Sachs. In determine the at-the-money strike price. The proposed options will typically addition, CBOE will list Vol Indexes The Exchange will then select the at- expire on the Wednesday that is 30 days comprised of options on the following the-money and out-of-the money series prior to the third Friday of the calendar exchange-traded funds (‘‘ETFs’’): The US with non-zero bid prices and determine month immediately following the Oil Fund, LP (‘‘USO’’), the iShares MSCI the midpoint of the bid-ask quote for expiration month (the expiration date of Emerging Markets Index Fund (‘‘EEM’’), each of these series. The midpoint quote the options used in the calculation of the iShares FTSE China 25 Index Fund of each series is then weighted so that the index). If the third Friday of the (‘‘FXI’’), the iShares MSCI Brazil Index the further away that series is from the calendar month immediately following Fund (‘‘EWZ’’), the Market Vectors Gold at-the-money strike, the less weight that the expiring month is a CBOE holiday, Miners ETF (‘‘GDX’’), and the Energy is accorded to the quote. Then, to the expiration date will be 30 days prior Select Sector SPDR ETF (‘‘XLE’’). These compute the index level, CBOE will to the CBOE business day immediately are in addition to options on the CBOE calculate a volatility measure for the preceding that Friday. For example, Gold ETF Volatility Index (‘‘GVZ’’), nearby options and then for the second November 2011 Vol Index options which has already been approved for nearby options. This is done using the would expire on Wednesday, November 3 trading by the Commission. From time weighted mid-point of the prevailing 16, 2011, exactly 30 days prior to the to time, CBOE will announce the bid-ask quotes for all included option third Friday of the calendar month remaining Vol Indexes options it will series with the same expiration date. immediately following the expiring trade. These volatility measures are then month. In addition to GVZ, CBOE currently interpolated to arrive at a single, Trading in the expiring contract has approval to trade options on other constant 30-day measure of volatility.6 month will normally cease at 3:00 pm volatility indexes that measure the CBOE will compute values for Vol (Chicago time) (or at 3:15 p.m. (Chicago volatility of broad-based indexes.4 The Index underlying option series on a real- time basis throughout each trading day, 7 See Rule 5.5(c). ‘‘Additional series of options of 3 See Securities Exchange Act Release No. 62139 from 8:30 a.m. until 3 p.m. (Chicago the same class may be opened for trading on the (May 19, 2010) 75 FR 29597 (May 26, 2010) (order time) (or until 3:15 p.m. (Chicago time) Exchange when the Exchange deems it necessary to approving proposal to list and trade GVZ options maintain an orderly market, to meet customer on the CBOE). as applicable for certain Exchange- demand or when the market price of the underlying 4 See Rule 24.9(a)(4) which identifies, inter alia, * * * moves substantially from the initial exercise CBOE Volatility Index, CBOE Nasdaq 100 Volatility 5 See proposed new definitions of ‘‘Exchange- price or prices.’’ For purposes of this rule, ‘‘market Index, CBOE Dow Jones Industrial Average Traded Fund and Individual Stock Based Volatility price’’ shall mean the implied forward level based Volatility Index and CBOE Russell 2000 Volatility Index’’ set forth in Rule 24.1(bb). on any corresponding futures price or the Index as A.M.-settled index options eligible for 6 CBOE will be the reporting authority for any Vol calculated forward value of the respective Vol options trading on CBOE. Index. index.

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time) as applicable for Exchange-Traded limits for FLEX Vol Index Options will effect transactions necessary to obtain a Fund Based Volatility Index options) on be equal to the position limits for Non- qualified portfolio concurrent with or at the business day immediately preceding FLEX Options on the same Vol Index. or about the same time as the execution the expiration date.8 Exercise will result Similarly, the Exchange is proposing of the exempt options positions, of a net in delivery of cash on the business day that the exercise limits for FLEX Vol long or short position in Equity-Based following expiration. Vol Index options Index Options will be equivalent to the Volatility Index futures contracts or in will be A.M.-settled.9 The exercise position limits established pursuant to options on Vol Index futures contracts, settlement value will be determined by Rule 24.4. The proposed position and or long or short positions in Vol Index a Special Opening Quotations (‘‘SOQ’’) exercise limits for FLEX Vol Index options, for which the underlying Vol of a Vol Index calculated from the Options are consistent with the Index is included in the same margin or sequence of opening prices of a single treatment of position and exercise limits cross-margin product group cleared at strip of options expiring 30 days after for Flex GVZ and other Flex Index the Clearing Corporation as the Vol the settlement date. The opening price Options. The Exchange is also Index option class to which the hedge for any series in which there are is no proposing to amend subparagraph (4) to exemption applies. To remain qualified, trade shall be the average of that Rules 24A.7(d) and 24B.7(d) to provide a portfolio must at all times meet these options’ bid price and ask price as that as long as the options positions standards notwithstanding trading determined at the opening of trading.10 remain open, positions in FLEX Vol activity. The exercise-settlement amount will Index Options that expire on the same • The exemption applies to positions be equal to the difference between the day as Non-FLEX Vol Index Options, as in Vol Index options dealt in on the exercise-settlement value and the determined pursuant to Rule 24.9(a)(5), Exchange and is applicable to the exercise price of the option, multiplied shall be aggregated with positions in unhedged value of the qualified by $100. When the last trading day is Non-FLEX Vol Index Options and shall portfolio. The unhedged value will be moved because of a CBOE holiday, the be subject to the position limits set forth determined as follows: (1) The values of last trading day for expiring options will in Rules 4.11, 24.4, 24.4A and 24.4B, the net long or short positions of all be the day immediately preceding the and the exercise limits set forth in Rules qualifying products in the portfolio are last regularly-scheduled trading day. 4.12 and 24.5. totaled; (2) for positions in excess of the The Exchange is proposing to standard limit, the underlying market Position and Exercise Limits establish a Vol Index Hedge Exemption, value (a) of any economically equivalent For regular options trading, the which would be in addition to the opposite side of the market calls and Exchange is proposing to establish standard limit and other exemptions puts in broad-based index options, and position limits for Vol Index options at available under Exchange rules, (b) of any opposite side of the market 50,000 contracts on either side of the interpretations and policies. The positions in Vol Index futures, options market and no more than 30,000 Exchange proposes to establish the on Vol Index futures, and any contracts in the nearest expiration following procedures and criteria which economically equivalent opposite side month. CBOE believes that a 50,000 must be satisfied to qualify for a Vol of the market positions, assuming no contract position limit is appropriate Index hedge exemption: other hedges for these contracts exist, is • due to the fact that the options which The account in which the exempt subtracted from the qualified portfolio; are the underlying components for a Vol option positions are held (‘‘hedge and (3) the market value of the resulting Index are among the most actively exemption account’’) has received prior unhedged portfolio is equated to the traded option classes currently listed. In Exchange approval for the hedge appropriate number of exempt contracts determining compliance with these exemption specifying the maximum as follows—the unhedged qualified proposed position limits, Vol Index number of contracts which may be portfolio is divided by the options will not be aggregated with the exempt under the proposed new correspondent closing index value and underlying exchange-traded fund or Interpretation. The hedge exemption the quotient is then divided by the individual stock options. Exercise limits account has provided all information index multiplier or 100. will be the equivalent to the proposed required on Exchange-approved forms • Only the following qualified position limits.11 Vol Index options will and has kept such information current. hedging transactions and positions will be subject to the same reporting Exchange approval may be granted on be eligible for purposes of hedging a requirements triggered for other options the basis of verbal representations, in qualified portfolio (i.e. futures and dealt in on the Exchange. which event the hedge exemption options) pursuant to the proposed new For FLEX options trading, the account shall within two (2) business Interpretation .01: Exchange is proposing that the position days or such other time period Æ Long put(s) used to hedge the designated by the Department of Market holdings of a qualified portfolio; 8 See proposed amendment to Rule 24.6, Days Regulation furnish the Department of Æ Long call(s) used to hedge a short and Hours of Business. Market Regulation with appropriate position in a qualified portfolio; 9 See proposed amendment to Rule 24.9(a)(4) forms and documentation substantiating Æ Short call(s) used to hedge the (adding Exchange-traded fund volatility indexes the basis for the exemption. The hedge holdings of a qualified portfolio; and and Individual stock volatility indexes to the list of Æ A.M.-settled index options approved for trading on exemption account may apply from time Short put(s) used to hedge a short the Exchange). to time for an increase in the maximum position in a qualified portfolio. 10 See proposed amendment to Rule 24.9(a)(5) number of contracts exempt from the • The following strategies may be (revising rule to make ‘‘Volatility Index’’ options position limits. effected only in conjunction with a generic for purposes of this provision, which sets • A hedge exemption account that is qualified stock portfolio: forth the method of determining the day that the Æ exercise settlement value is calculated and of not carried by a CBOE member A short call position accompanied determining the expiration date and the last trading organization must be carried by a by long put(s), where the short call(s) day for CBOE Volatility Index Options). The member of a self-regulatory organization expires with the long put(s), and the Exchange is also proposing to make technical participating in the Intermarket strike price of the short call(s) equals or changes to this rule provision as well. 11 Surveillance Group. exceeds the strike price of the long See proposed amendment to rule 24.5 and • proposed new Interpretations and Policy .04 to rule The hedge exemption account put(s) (a ‘‘collar’’). Neither side of the 24.5. maintains a qualified portfolio, or will collar transaction can be in-the-money

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at the time the position is established. The Exchange hereby designates Vol investors and the public interest. The For purposes of determining compliance Index options as eligible for trading as Exchange believes that the introduction with Rules 4.11 and proposed Rule Flexible Exchange Options as provided of Vol Index options will attract order 24.4C, a collar position will be treated for in Chapters XXIVA (Flexible flow to the Exchange, increase the as one (1) contract; Exchange Options) and XXIVB (FLEX variety of listed options to investors, Æ A long put position coupled with a Hybrid Trading System). The Exchange and provide a valuable hedging tool to short put position overlying the same notes that Vol Index FLEX Options will investors. Vol Index and having an equivalent only expire on business days that non- B. Self-Regulatory Organization’s underlying aggregate index value, where FLEX options on Vol Indexes expire. Statement on Burden on Competition the short put(s) expires with the long This is because the term ‘‘exercise put(s), and the strike price of the long settlement value’’ in Rules 24A.4(b)(3) CBOE does not believe that the put(s) exceeds the strike price of the and 24B.4(b)(3), Special Terms for FLEX proposed rule change will impose any short put(s) (a ‘‘debit put spread Index Options, has the same meaning burden on competition not necessary or position’’); and set forth in Rule 24.9(5). As is described appropriate in furtherance of the Æ A short call position accompanied earlier, the Exchange is proposing to purposes of the Act. by a debit put spread position, where amend Rule 24.9(a)(5) to provide that C. Self-Regulatory Organization’s the short call(s) expires with the puts the exercise settlement value of Vol Statement on Comments on the and the strike price of the short call(s) Index options for all purposes under Proposed Rule Change Received From equals or exceeds the strike price of the CBOE Rules will be calculated as the Members, Participants, or Others long put(s). Neither side of the short Wednesday that is thirty days prior to call, long put transaction can be in-the- the third Friday of the calendar month No written comments were solicited money at the time the position is immediately following the month in or received with respect to the proposed established. For purposes of which a Vol Index options expire. rule change. determining compliance with Rules 4.11 Capacity III. Date of Effectiveness of the and proposed Rule 24.4C, the short call Proposed Rule Change and Timing for and long put positions will be treated as CBOE has analyzed its capacity and Commission Action one (1) contract. represents that it believes the Exchange • The hedge exemption account shall: and the Options Price Reporting Within 45 days of the date of Æ Liquidate and establish options, Authority have the necessary systems publication of this notice in the Federal their equivalent or other qualified capacity to handle the additional traffic Register or within such longer period portfolio products in an orderly fashion; associated with the listing of new series up to 90 days (i) as the Commission may not initiate or liquidate positions in a that would result from the introduction designate if it finds such longer period manner calculated to cause of Vol Index options. to be appropriate and publishes its unreasonable price fluctuations or reasons for so finding or (ii) as to which unwarranted price changes. Surveillance the self-regulatory organization Æ Liquidate any options prior to or The Exchange will use the same consents, the Commission will: contemporaneously with a decrease in surveillance procedures currently (A) By order approve or disapprove the hedged value of the qualified utilized for each of the Exchange’s other the proposed rule change, or portfolio which options would thereby index options to monitor trading in Vol (B) Institute proceedings to determine be rendered excessive. Index options. The Exchange further whether the proposed rule change Æ Promptly notify the Exchange of represents that these surveillance should be disapproved. any material change in the qualified procedures shall be adequate to monitor IV. Solicitation of Comments portfolio which materially affects the trading in options on these volatility unhedged value of the qualified indexes. For surveillance purposes, the Interested persons are invited to portfolio. Exchange will have complete access to submit written data, views, and • If an exemption is granted, it will be information regarding trading activity in arguments concerning the foregoing, effective at the time the decision is the pertinent underlying securities. including whether the proposed rule communicated. Retroactive exemptions change is consistent with the Act. will not be granted. 2. Statutory Basis Comments may be submitted by any of The Exchange believes the proposed the following methods: Exchange Rules Applicable rule change is consistent with the Act 12 Electronic Comments Except as modified herein, the rules and the rules and regulations • in Chapters I through XIX, XXIV, thereunder and, in particular, the Use the Commission’s Internet XXIVA, and XXIVB will equally apply requirements of Section 6(b) of the comment form (http://www.sec.gov/ to Vol Index options. 13 rules/sro.shtml); or Act. Specifically, the Exchange • The Exchange is proposing that the believes the proposed rule change is Send an e-mail to rule- margin requirements for Vol Index consistent with the Section 6(b)(5) 14 [email protected]. Please include File options be set at the same levels that requirements that the rules of an Number SR–CBOE–2011–026 on the apply to equity options under Exchange exchange be designed to promote just subject line. Rule 12.3. Margin of up to 100% of the and equitable principles of trade, to Paper Comments current market value of the option, plus prevent fraudulent and manipulative • 20% of the underlying volatility index acts, to remove impediments to and to Send paper comments in triplicate value must be deposited and perfect the mechanism for a free and to Elizabeth M. Murphy, Secretary, maintained. The pertinent provisions of open market and a national market Securities and Exchange Commission, Rule 12.3, Margin Requirements, have system, and, in general, to protect 100 F Street, NE., Washington, DC been amended to reflect these proposed 20549–1090. revisions. Additional margin may be 12 15 U.S.C. 78s(b)(1). All submissions should refer to File required pursuant to Exchange Rule 13 15 U.S.C. 78f(b). Number SR–CBOE–2011–026. This file 12.10. 14 15 U.S.C. 78f(b)(5). number should be included on the

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subject line if e-mail is used. To help the change as described in Items I and II with position limits. Section (d) of Rule Commission process and review your below, which Items have been prepared 1001A, however, predates options on comments more efficiently, please use by the Exchange. The Exchange filed the Alpha Indexes and was not changed in only one method. The Commission will proposal as a ‘‘non-controversial’’ that filing. It provides that index option post all comments on the Commission’s proposed rule change pursuant to contracts shall not be aggregated with Internet Web site (http://www.sec.gov/ Section 19(b)(3)(A)(iii) of the Act 3 and option contracts on any stocks whose rules/sro.shtml). Copies of the Rule 19b–4(f)(6) thereunder. The prices are the basis for calculation of the submission, all subsequent Commission is publishing this notice to index. This proposed rule change will amendments, all written statements solicit comments on the proposed rule add an exception to section (d) so that with respect to the proposed rule change from interested persons. it is clear on the face of that section that change that are filed with the I. Self-Regulatory Organization’s it is inapplicable to options on Alpha Commission, and all written Statement of the Terms of Substance of Indexes which are separately and communications relating to the the Proposed Rule Change specifically dealt with in Section (f). proposed rule change between the Commission and any person, other than The Exchange proposes to amend 2. Statutory Basis those that may be withheld from the section (d) of Exchange Rule 1001A, The Exchange believes that its public in accordance with the Position Limits, to make a proposal is consistent with Section 6(b) provisions of 5 U.S.C. 552, will be nonsubstantive clarification that that of the Act in general, and furthers the available for Web site viewing and section is inapplicable to options on objectives of Section 6(b)(5) of the Act 5 printing in the Commission’s Public Alpha Indexes. The text of the proposed in particular, in that it is designed to Reference Room, 100 F Street, NE., rule change is available on the promote just and equitable principles of Washington, DC 20549, on official Exchange’s Web site at http:// trade, to remove impediments to and business days between the hours of 10 www.nasdaqtrader.com/ perfect the mechanism of a free and a.m. and 3 p.m. Copies of such filing micro.aspx?id=PHLXRulefilings, at the open market and a national market also will be available for inspection and principal office of the Exchange, and at system, and, in general to protect copying at the principal office of the the Commission’s Public Reference investors and the public interest, by Exchange. All comments received will Room. conforming section (d) of Rule 1001A to be posted without change; the II. Self-Regulatory Organization’s section (f) of that rule, clarifying the Commission does not edit personal Statement of the Purpose of, and applicability of the rule for investors. identifying information from Statutory Basis for, the Proposed Rule B. Self-Regulatory Organization’s submissions. You should submit only Change information that you wish to make Statement on Burden on Competition publicly available. All submissions In its filing with the Commission, the The Exchange does not believe that should refer to File Number SR–CBOE– self-regulatory organization included the proposed rule change will impose 2011–026 and should be submitted on statements concerning the purpose of, any burden on competition not or before May 4, 2011. and basis for, the proposed rule change necessary or appropriate in furtherance and discussed any comments it received For the Commission, by the Division of of the purposes of the Act. on the proposed rule change. The text Trading and Markets, pursuant to delegated C. Self-Regulatory Organization’s authority.15 of those statements may be examined at the places specified in Item IV below. Statement on Comments on the Cathy H. Ahn, Proposed Rule Change Received From Deputy Secretary. The Exchange has prepared summaries, set forth in sections A, B, and C below, Members, Participants, or Others [FR Doc. 2011–8793 Filed 4–12–11; 8:45 am] of the most significant parts of such No written comments were either BILLING CODE 8011–01–P statements. solicited or received. A. Self-Regulatory Organization’s III. Date of Effectiveness of the SECURITIES AND EXCHANGE Statement of the Purpose of, and the Proposed Rule Change and Timing for COMMISSION Statutory Basis for, the Proposed Rule Commission Action [Release No. 34–64248; File No. SR–Phlx– Change The foregoing rule change has become 2011–49] 1. Purpose effective pursuant to Section 19(b)(3)(A) of the Act 6 and Rule 19b–4(f)(6) Self-Regulatory Organizations; Notice The purpose of the proposed rule change is to amend section (d) of Rule thereunder because the proposal does of Filing and Immediate Effectiveness not: (i) Significantly affect the of Proposed Rule Change by NASDAQ 1001A to make clear that it does not apply to options on Alpha Indexes. On protection of investors or the public OMX PHLX LLC To Amend Phlx Rule interest; (ii) impose any significant 1001A, Position Limits February 7, 2011, the Commission approved the Exchange’s proposed rule burden on competition; and (iii) by its April 7, 2011. change to list and trade options on terms, become operative for 30 days from the date on which it was filed, or Pursuant to Section 19(b)(1) of the certain Alpha Indexes.4 The proposed such shorter time as the Commission Securities Exchange Act of 1934 (the rule change included new section (f) of 1 2 may designate if consistent with the ‘‘Act’’) and Rule 19b–4 thereunder, Rule 1001A, which provides in part that protection of investors and the public notice is hereby given that, on April 6, positions in Alpha Index options will be interest.7 2011, NASDAQ OMX PHLX LLC (‘‘Phlx’’ aggregated with positions in equity or the ‘‘Exchange’’) filed with the options on the underlying securities for 5 15 U.S.C. 78f(b)(5). Securities and Exchange Commission purposes of determining compliance (‘‘Commission’’) the proposed rule 6 15 U.S.C. 78s(b)(3)(A). 7 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 3 15 U.S.C. 78s(b)(3)(A)(iii). 4(f)(6)(iii) requires the Exchange to give the 15 17 CFR 200.30–3(a)(12). 4 See Securities Exchange Act Release No. 63860 Commission written notice of the Exchange’s intent 1 15 U.S.C. 78s(b)(1). (February 7, 2011), 76 FR 7888 (February 11, 2011) to file the proposed rule change along with a brief 2 17 CFR 240.19b–4. SR–Phlx–2010–176. description and text of the proposed rule change,

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The Exchange has requested that the submission, all subsequent comments on the proposed rule change Commission waive the 30-day operative amendments, all written statements from interested persons. delay period, stating that no substantive with respect to the proposed rule I. Self-Regulatory Organization’s change is intended to be made in this change that are filed with the Statement of the Terms of the Substance proposed rule change and that investors Commission, and all written of the Proposed Rule Change will benefit from the increased certainty communications relating to the of having the clarification of Rule 1001A proposed rule change between the The Exchange proposes to extend the become operative without delay. The Commission and any person, other than pilot period of recent amendments to Commission believes that, because the those that may be withheld from the Rule 3312, concerning clearly erroneous proposed rule change clarifies the public in accordance with the transactions, so that the pilot will now Exchange’s rules and changes no provisions of 5 U.S.C. 552, will be expire on the earlier of August 11, 2011 provision substantively, it is consistent available for Web site viewing and or the date on which a limit up/limit with the protection of investors and the printing in the Commission’s Public down mechanism to address public interest to waive the 30-day Reference Room, 100 F Street, NE., extraordinary market volatility, if operative delay and hereby designates Washington, DC 20549, on official adopted, applies. the proposal as operative upon filing.8 business days between the hours of 10 The text of the proposed rule change At any time within 60 days of the a.m. and 3 p.m. Copies of the filing also is below. Proposed new language is filing of the proposed rule change, the will be available for inspection and italicized; proposed deletions are in Commission summarily may copying at the principal office of the [brackets]. temporarily suspend such rule change if Exchange. All comments received will * * * * * it appears to the Commission that such be posted without change; the Rule 3312. Clearly Erroneous action is necessary or appropriate in the Commission does not edit personal Transactions public interest, for the protection of identifying information from investors, or otherwise in furtherance of submissions. You should submit only The provisions of paragraphs (a)(2)(C), the purposes of the Act. information that you wish to make (b), and (c)(1) of this Rule, as amended available publicly. All submissions by SR–Phlx–2010–125, shall be in effect IV. Solicitation of Comments should refer to File Number SR–2011– during a pilot period set to end on the Interested persons are invited to 49 and should be submitted on or before earlier of August 11, 2011 or the date on submit written data, views, and May 4, 2011. which a limit up/limit down mechanism arguments concerning the foregoing, to address extraordinary market For the Commission, by the Division of including whether the proposed rule Trading and Markets, pursuant to delegated volatility, if adopted, applies [April 11, change is consistent with the Act. authority.9 2011]. If the pilot is not either extended Comments may be submitted by any of Cathy H. Ahn, or approved permanent by the earlier of the following methods: August 11, 2011 or the date on which Deputy Secretary. a limit up/limit down mechanism to Electronic Comments [FR Doc. 2011–8832 Filed 4–12–11; 8:45 am] address extraordinary market volatility, • Use the Commission’s Internet BILLING CODE 8011–01–P if adopted, applies [April 11, 2011], the comment form (http://www.sec.gov/ prior versions of paragraphs (a)(2)(C), rules/sro.shtml); or (b), and (c)(1) shall be in effect. SECURITIES AND EXCHANGE • Send an e-mail to rule- (a)–(f) No change. COMMISSION [email protected]. Please include File * * * * * Number SR–Phlx–2011–49 on the subject line. [Release No. 34–64239; File No. SR–Phlx– II. Self-Regulatory Organization’s 2011–45] Statement of the Purpose of, and Paper Comments Statutory Basis for, the Proposed Rule • Send paper comments in triplicate Self-Regulatory Organizations; Change NASDAQ OMX PHLX LLC; Notice of to Elizabeth M. Murphy, Secretary, In its filing with the Commission, the Securities and Exchange Commission, Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange included statements 100 F Street, NE., Washington, DC concerning the purpose of and basis for 20549–1090. Pilot Period of Amendments to the Clearly Erroneous Rule the proposed rule change and discussed All submissions should refer to File any comments it received on the Number SR–Phlx–2011–49. This file April 7, 2011. proposed rule change. The text of these number should be included on the statements may be examined at the Pursuant to Section 19(b)(1) of the subject line if e-mail is used. To help the places specified in Item IV below. The Securities Exchange Act of 1934 Commission process and review your Exchange has prepared summaries, set (‘‘Act’’),1 and Rule 19b–4 thereunder,2 comments more efficiently, please use forth in Sections A, B, and C below, of notice is hereby given that on March 31, only one method. The Commission will the most significant aspects of such post all comments on the Commission’s 2011, NASDAQ OMX PHLX LLC ‘‘ ’’ statements. Internet Web site (http://www.sec.gov/ ( Exchange ), filed with the Securities rules/sro.shtml). Copies of the and Exchange Commission A. Self-Regulatory Organization’s (‘‘Commission’’) the proposed rule Statement of the Purpose of, and at least five business days prior to the date of filing change as described in Items I and II Statutory Basis for, the Proposed Rule of the proposed rule change, or such shorter time below, which Items have been prepared Change as designated by the Commission. The Exchange by the Exchange. The Commission is 1. Purpose has satisfied the pre-filing requirement. publishing this notice to solicit 8 For purposes only of waiving the operative On September 10, 2010, the delay for this proposal, the Commission has considered the proposed rule’s impact on 9 17 CFR 200.30–3(a)(12). Commission approved, for a pilot period efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). to end December 10, 2010, a proposed 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4 . rule change submitted by the BATS

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Exchange, Inc., NASDAQ OMX BX, Inc., mechanism to address extraordinary proposal may become operative Chicago Board Options Exchange, market volatility, if adopted, applies. immediately upon filing. The Incorporated, Chicago Stock Exchange, Commission believes that waiving the 2. Statutory Basis Inc., EDGA Exchange, Inc., EDGX 30-day operative delay is consistent Exchange, Inc., International Securities The statutory basis for the proposed with the protection of investors and the Exchange LLC, The NASDAQ Stock rule change is Section 6(b)(5) of the public interest because such waiver will Market LLC, New York Stock Exchange Securities Exchange Act of 1934 (the allow the pilot program to continue LLC, NYSE Amex LLC, NYSE Arca, Inc., ‘‘Act’’),6 which requires the rules of an uninterrupted and help ensure and National Stock Exchange, Inc. exchange to promote just and equitable uniformity among the national (collectively, the ‘‘Exchanges’’), to principles of trade, to remove securities exchanges and FINRA with amend certain of their respective rules impediments to and perfect the respect to the treatment of clearly to set forth clearer standards and curtail mechanism of a free and open market erroneous transactions.10 Accordingly, discretion with respect to breaking and a national market system and, in the Commission waives the 30-day erroneous trades.3 The changes were general, to protect investors and the operative delay requirement and adopted to address concerns that the public interest. The proposed rule designates the proposed rule change as lack of clear guidelines for dealing with change also is designed to support the operative upon filing with the clearly erroneous transactions may have principles of Section 11A(a)(1) 7 of the Commission. added to the confusion and uncertainty Act in that it seeks to assure fair At any time within 60 days of the faced by investors on May 6, 2010. In competition among brokers and dealers filing of the proposed rule change, the connection with its resumption of and among exchange markets. The Commission summarily may trading of NMS Stocks through PSX, the Exchange believes that the proposed temporarily suspend such rule change if Exchange amended Rule 3312 to rule meets these requirements in that it it appears to the Commission that such conform it to the newly-adopted promotes transparency and uniformity action is necessary or appropriate in the changes to the Exchanges’ clearly across markets concerning decisions to public interest, for the protection of erroneous rules, so that it could break erroneous trades. investors, or otherwise in furtherance of participate in the pilot program.4 On the purposes of the Act. December 7, 2010, the Exchange filed an B. Self-Regulatory Organization’s immediately effective filing to extend Statement on Burden on Competition IV. Solicitation of Comments the existing pilot program for four The Exchange does not believe that Interested persons are invited to months, so that the pilot would expire the proposed rule change will result in submit written data, views, and on April 11, 2011.5 any burden on competition that is not arguments concerning the foregoing, The Exchange believes that the pilot necessary or appropriate in furtherance including whether the proposed rule program has been successful in of the purposes of the Act, as amended. change is consistent with the Act. providing greater transparency and C. Self-Regulatory Organization’s Comments may be submitted by any of certainty to the process of breaking Statement on Comments on the the following methods: erroneous trades. The Exchange also Proposed Rule Change Received From believes that a four month extension of Electronic Comments Members, Participants, or Others the pilot is warranted so that it may • Use the Commission’s Internet continue to monitor the effects of the Written comments were neither comment form (http://www.sec.gov/ pilot on the markets and investors, and solicited nor received. rules/sro.shtml); or consider appropriate adjustments, as III. Date of Effectiveness of the • Send an e-mail to rule- necessary. The Exchange notes, Proposed Rule Change and Timing for [email protected]. Please include File however, that the Exchanges are Commission Action Number SR–Phlx–2011–45 on the developing a ‘‘limit up/limit down’’ subject line. mechanism to reduce the negative Because the foregoing proposed rule impacts of sudden, unanticipated price change does not: (i) Significantly affect Paper Comments movements in securities traded on the the protection of investors or the public • Send paper comments in triplicate Exchanges. Under such a mechanism, interest; (ii) impose any significant to Elizabeth M. Murphy, Secretary, trades in a security outside a price band burden on competition; and (iii) become Securities and Exchange Commission, would not be allowed, thus eliminating operative for 30 days from the date on 100 F Street, NE., Washington, DC clearly erroneous transactions from which it was filed, or such shorter time 20549–1090. occurring altogether. As such, the as the Commission may designate, it has become effective pursuant to Section All submissions should refer to File proposed extension may be shorter in Number SR–Phlx–2011–45. This file 19(b)(3)(A) of the Act 8 and Rule 19b– duration should the Exchange adopt a number should be included on the 4(f)(6)(iii) thereunder.9 The Exchange limit up/limit down mechanism to subject line if e-mail is used. To help the has asked the Commission to waive the address extraordinary market volatility. Commission process and review your 30-day operative delay so that the Accordingly, the Exchange is filing to comments more efficiently, please use further extend the pilot program until only one method. The Commission will the earlier of August 11, 2011 or the 6 15 U.S.C. 78f(b)(5). 7 post all comments on the Commission’s date on which a limit up/limit down 15 U.S.C. 78k–1(a)(1). 8 15 U.S.C. 78s(b)(3)(A). Internet Web site (http://www.sec.gov/ 9 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule rules/sro.shtml). Copies of the 3 Securities Exchange Act Release No. 62886 19b–4(f)(6)(iii) requires that a self- regulatory submission, all subsequent (September 10, 2010), 75 FR 56613 (September 16, organization submit to the Commission written amendments, all written statements 2010). notice of its intent to file the proposed rule change, 4 Securities Exchange Act Release No. 63023 along with a brief description and text of the with respect to the proposed rule (September 30, 2010), 75 FR 61802 (October 6, proposed rule change, at least five business days 2010). prior to the filing of the proposed rule change, or 10 For purposes only of waiving the 30-day 5 Securities Exchange Act Release No. 63491 such shorter time as designated by the Commission. operative delay, the Commission has considered the (December 9, 2010), 75 FR 78297 (December 15, The Commission notes that the Exchange has proposed rule’s impact on efficiency, competition, 2010). satisfied this requirement. and capital formation. See 15 U.S.C. 78c(f).

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change that are filed with the I. Self-Regulatory Organization’s 11.17 that reduced the ability of the Commission, and all written Statement of the Terms of Substance of Exchange to deviate from the objective communications relating to the the Proposed Rule Change standards set forth in Rule 11.17.4 The proposed rule change between the The Exchange is filing with the Exchange believes the benefits to market Commission and any person, other than Commission a proposal to extend a pilot participants from the more objective those that may be withheld from the program previously approved by the clearly erroneous executions rule should be approved to continue on a public in accordance with the Commission related to Rule 11.17, pilot basis. provisions of 5 U.S.C. 552, will be entitled ‘‘Clearly Erroneous Executions.’’ available for website viewing and The text of the proposed rule change is 2. Statutory Basis printing in the Commission’s Public available at the Exchange’s Web site at Reference Room, 100 F Street, NE., The Exchange believes that its http://www.batstrading.com, at the proposal is consistent with the Washington, DC 20549, on official principal office of the Exchange, and at business days between the hours of 10 requirements of the Act and the rules the Commission’s Public Reference and regulations thereunder that are a.m. and 3 p.m. Copies of such filing Room. also will be available for inspection and applicable to a national securities exchange, and, in particular, with the copying at the principal office of the II. Self-Regulatory Organization’s requirements of Section 6(b) of the Act.5 Exchange. All comments received will Statement of the Purpose of, and In particular, the proposal is consistent be posted without change; the Statutory Basis for, the Proposed Rule with Section 6(b)(5) of the Act,6 because Commission does not edit personal Change it would promote just and equitable identifying information from In its filing with the Commission, the principles of trade, remove submissions. You should submit only Exchange included statements impediments to, and perfect the information that you wish to make concerning the purpose of, and basis for, mechanism of, a free and open market publicly available. All submissions the proposed rule change and discussed and a national market system. The should refer to File Number SR–Phlx– any comments it received on the Exchange believes that the pilot 2011–45 and should be submitted on or proposed rule change. The text of those program promotes just and equitable before May 4, 2011. statements may be examined at the principles of trade in that it promotes For the Commission, by the Division of places specified in Item IV below. The transparency and uniformity across Trading and Markets, pursuant to delegated Exchange has prepared summaries, set markets concerning review of authority.11 forth in Sections A, B, and C below, of transactions as clearly erroneous. the most significant parts of such Cathy H. Ahn, statements. B. Self-Regulatory Organization’s Deputy Secretary. Statement on Burden on Competition A. Self-Regulatory Organization’s [FR Doc. 2011–8831 Filed 4–12–11; 8:45 am] The Exchange does not believe that Statement of the Purpose of, and the BILLING CODE 8011–01–P the proposed rule change imposes any Statutory Basis for, the Proposed Rule burden on competition. Change C. Self-Regulatory Organization’s SECURITIES AND EXCHANGE 1. Purpose COMMISSION Statement on Comments on the The purpose of this filing is to extend Proposed Rule Change Received From the effectiveness of the Exchange’s Members, Participants, or Others [Release No. 34–64235; File No. SR–BATS– current rule applicable to Clearly 2011–010] The Exchange has neither solicited Erroneous Executions, Rule 11.17. The nor received written comments on the rule, explained in further detail below, Self-Regulatory Organizations; BATS proposed rule change. was approved to operate under a pilot Exchange, Inc.; Notice of Filing and program set to expire on April 11, 2011. III. Date of Effectiveness of the Immediate Effectiveness of a Proposed The Exchange proposes to extend the Proposed Rule Change and Timing for Rule Change To Extend Pilot Program pilot program to the earlier of August Commission Action Related to Clearly Erroneous 11, 2011 or the date on which a limit Execution Reviews Because the foregoing proposed rule up/limit down mechanism to address change does not: (i) Significantly affect April 7, 2011. extraordinary market volatility, if the protection of investors or the public adopted, applies. interest; (ii) impose any significant Pursuant to Section 19(b)(1) of the On September 10, 2010, the Securities Exchange Act of 1934 (the burden on competition; and (iii) become 1 2 Commission approved, on a pilot basis, operative for 30 days from the date on ‘‘Act’’), and Rule 19b–4 thereunder, changes to BATS Rule 11.17 to provide notice is hereby given that on April 1, which it was filed, or such shorter time for uniform treatment: (1) Of clearly as the Commission may designate, it has 2011, BATS Exchange, Inc. (the erroneous execution reviews in multi- ‘‘Exchange’’ or ‘‘BATS’’) filed with the become effective pursuant to Section stock events involving twenty or more 7 Securities and Exchange Commission 19(b)(3)(A) of the Act and Rule 19b– securities; and (2) in the event 4(f)(6)(iii) thereunder.8 The Exchange (‘‘Commission’’) the proposed rule transactions occur that result in the change as described in Items I and II issuance of an individual stock trading 4 Id. below, which Items have been prepared pause by the primary market and 5 15 U.S.C. 78f(b). by the Exchange. The Commission is subsequent transactions that occur 6 15 U.S.C. 78f(b)(5). publishing this notice to solicit before the trading pause is in effect on 7 15 U.S.C. 78s(b)(3)(A). comments on the proposed rule change the Exchange.3 The Exchange also 8 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule from interested persons. 19b–4(f)(6)(iii) requires that a self-regulatory adopted additional changes to Rule organization submit to the Commission written notice of its intent to file the proposed rule change, 11 17 CFR 200.30–3(a)(12). 3 Securities Exchange Act Release No. 62886 along with a brief description and text of the 1 15 U.S.C. 78s(b)(1). (September 10, 2010), 75 FR 56613 (September 16, proposed rule change, at least five business days 2 17 CFR 240.19b–4. 2010) (SR–BATS–2010–016). Continued

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has asked the Commission to waive the Internet Web site (http://www.sec.gov/ 4(f)(6) 3 which is effective upon filing 30-day operative delay so that the rules/sro.shtml). Copies of the with the Commission. proposal may become operative submission, all subsequent I. Self-Regulatory Organization’s immediately upon filing. The amendments, all written statements Statement of the Terms of Substance of Commission believes that waiving the with respect to the proposed rule the Proposed Rule Change 30-day operative delay is consistent change that are filed with the with the protection of investors and the Commission, and all written CHX proposes to amend its rules to public interest because such waiver will communications relating to the extend the pilot program relating to allow the pilot program to continue proposed rule change between the clearly erroneous transactions. The text uninterrupted and help ensure Commission and any person, other than of this proposed rule change is available uniformity among the national those that may be withheld from the on the Exchange’s Web site at (http:// securities exchanges and FINRA with public in accordance with the www.chx.com) and in the Commission’s respect to the treatment of clearly provisions of 5 U.S.C. 552, will be Public Reference Room. erroneous transactions.9 Accordingly, available for website viewing and II. Self-Regulatory Organization’s the Commission waives the 30-day printing in the Commission’s Public Statement of the Purpose of, and operative delay requirement and Reference Room, 100 F Street, NE., Statutory Basis for, the Proposed Rule designates the proposed rule change as Washington, DC 20549, on official Change operative upon filing with the business days between the hours of 10 In its filing with the Commission, the Commission. a.m. and 3 p.m. Copies of such filing CHX included statements concerning At any time within 60 days of the also will be available for inspection and the purpose of and basis for the filing of the proposed rule change, the copying at the principal office of the proposed rule changes and discussed Commission summarily may Exchange. All comments received will any comments it received regarding the temporarily suspend such rule change if be posted without change; the proposal. The text of these statements it appears to the Commission that such Commission does not edit personal may be examined at the places specified action is necessary or appropriate in the identifying information from in Item IV below. The CHX has prepared public interest, for the protection of submissions. You should submit only summaries, set forth in sections A, B investors, or otherwise in furtherance of information that you wish to make and C below, of the most significant the purposes of the Act. publicly available. All submissions should refer to File Number SR–BATS– aspects of such statements. IV. Solicitation of Comments 2011–010 and should be submitted on A. Self-Regulatory Organization’s Interested persons are invited to or before May 4, 2011. Statement of the Purpose of, and submit written data, views, and For the Commission, by the Division of Statutory Basis for, the Proposed Rule arguments concerning the foregoing, Trading and Markets, pursuant to delegated Changes including whether the proposed rule authority.10 1. Purpose change is consistent with the Act. Cathy H. Ahn, Comments may be submitted by any of Deputy Secretary. In September, 2010, CHX obtained the following methods: [FR Doc. 2011–8829 Filed 4–12–11; 8:45 am] Commission approval of a filing amending its rules relating to clearly BILLING CODE 8011–01–P Electronic Comments erroneous transactions on a pilot basis • Use the Commission’s Internet until December 10, 2010.4 This program comment form (http://www.sec.gov/ SECURITIES AND EXCHANGE was subsequently extended until April rules/sro.shtml); or COMMISSION 11, 2011.5 The proposed rule change • Send an e-mail to rule- merely extends the duration of the pilot [email protected]. Please include File [Release No. 34–64228; File No. SR–CHX– program to the earlier of August 11, Number SR–BATS–2011–010 on the 2011–06] 2011 or the date on which a limit up/ subject line. Self-Regulatory Organizations; limit down mechanism to address extraordinary market volatility, if Paper Comments Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness adopted, applies. Extending the pilot in • Send paper comments in triplicate of Proposed Rule Change To Extend this manner will allow it to continue to Elizabeth M. Murphy, Secretary, the Pilot Program Relating to Clearly until the limit up/limit down Securities and Exchange Commission, Erroneous Transactions mechanism to address extraordinary 100 F Street, NE., Washington, DC market volatility is adopted. 20549–1090. April 7, 2011. 2. Statutory Basis All submissions should refer to File Pursuant to Section 19(b)(1) of the Number SR–BATS–2011–010. This file Securities Exchange Act of 1934 Approval of the rule change proposed number should be included on the (‘‘Act’’) 1, and Rule 19b–4 2 thereunder, in this submission is consistent with the subject line if e-mail is used. To help the notice is hereby given that on April 5, requirements of the Act and the rules Commission process and review your 2010, the Chicago Stock Exchange, Inc. and regulations thereunder that are comments more efficiently, please use (‘‘CHX’’ or the ‘‘Exchange’’) filed with the applicable to a national securities only one method. The Commission will Securities and Exchange Commission exchange, and, in particular, with the post all comments on the Commission’s (‘‘Commission’’) the proposed rule requirements of Section 6(b) of the Act.6 change as described in Items I and II prior to the filing of the proposed rule change, or below, which Items have been prepared 3 17 CFR 240.19b–4(f)(6). such shorter time as designated by the Commission. by the CHX. CHX has filed this proposal 4 See Securities Exchange Act Release No. 34– The Commission notes that the Exchange has pursuant to Exchange Act Rule 19b– 62886 (September 10, 2010), 75 FR 56613 satisfied this requirement. September 16, 2010) approving SR–CHX–2010–13. 9 For purposes only of waiving the 30-day 5 See Securities Exchange Act Release No. 34– operative delay, the Commission has considered the 10 17 CFR 200.30–3(a)(12). 63487 (December 9, 2010), 75 FR 78279 December proposed rule’s impact on efficiency, competition, 1 15 U.S.C. 78s(b)(1). 15, 2010). and capital formation. See 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4. 6 15 U.S.C. 78f(b).

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In particular, the proposed change is has asked the Commission to waive the post all comments on the Commission’s consistent with Section 6(b)(5) of the 30-day operative delay so that the Internet Web site (http://www.sec.gov/ Act,7 because it would promote just and proposal may become operative rules/sro.shtml). Copies of the equitable principles of trade, remove immediately upon filing. The submission, all subsequent impediments to, and perfect the Commission believes that waiving the amendments, all written statements mechanism of, a free and open market 30-day operative delay is consistent with respect to the proposed rule and a national market system, and, in with the protection of investors and the change that are filed with the general, protect investors and the public public interest because such waiver will Commission, and all written interest. The proposed rule change is allow the pilot program to continue communications relating to the also designed to support the principles uninterrupted and help ensure proposed rule change between the of Section 11A(a)(1) 8 of the Act in that uniformity among the national Commission and any person, other than it seeks to assure fair competition securities exchanges and FINRA with those that may be withheld from the among brokers and dealers and among respect to the treatment of clearly public in accordance with the exchange markets. The Exchange erroneous transactions.11 Accordingly, provisions of 5 U.S.C. 552, will be believes that the proposed rule meets the Commission waives the 30-day available for Web site viewing and these requirements in that it promotes operative delay requirement and printing in the Commission’s Public transparency and uniformity across designates the proposed rule change as Reference Room, 100 F Street, NE., markets concerning reviews of operative upon filing with the Washington, DC 20549, on official potentially clearly erroneous executions Commission. business days between the hours of 10 in various contexts, including reviews At any time within 60 days of the a.m. and 3 p.m. Copies of such filing in the context of a Multi-Stock Event filing of the proposed rule change, the also will be available for inspection and involving twenty or more securities and Commission summarily may copying at the principal office of the reviews resulting from a Trigger Trade temporarily suspend such rule change if Exchange. All comments received will and any executions occurring it appears to the Commission that such be posted without change; the immediately after a Trigger Trade but action is necessary or appropriate in the Commission does not edit personal before a trading pause is in effect on the public interest, for the protection of identifying information from Exchange. Further, the Exchange investors, or otherwise in furtherance of submissions. You should submit only believes that the proposed changes the purposes of the Act. information that you wish to make enhance the objectivity of decisions publicly available. All submissions IV. Solicitation of Comments made by the Exchange with respect to should refer to File Number SR–CHX– clearly erroneous executions. Interested persons are invited to 2011–06 and should be submitted on or submit written data, views, and before May 4, 2011. B. Self-Regulatory Organization’s arguments concerning the foregoing, For the Commission, by the Division of Statement of Burden on Competition including whether the proposed rule Trading and Markets, pursuant to delegated The Exchange does not believe that change is consistent with the Act. authority.12 the proposed rule change will impose Comments may be submitted by any of Cathy H. Ahn, any burden on competition that is not the following methods: Deputy Secretary. necessary or appropriate in furtherance Electronic Comments [FR Doc. 2011–8792 Filed 4–12–11; 8:45 am] of the purposes of the Act. BILLING CODE 8011–01–P • Use the Commission’s Internet C. Self-Regulatory Organization’s comment form (http://www.sec.gov/ Statement on Comments Regarding the rules/sro.shtml); or Proposed Rule Changes Received From SECURITIES AND EXCHANGE • Send an e-mail to rule- COMMISSION Members, Participants or Others [email protected]. Please include File No written comments were either Number SR–CHX–2011–06 on the [Release No. 34–64217; File No. SR–CBOE– 2011–030] solicited or received. subject line. III. Date of Effectiveness of the Paper Comments Self-Regulatory Organizations; Proposed Rule Changes and Timing for Chicago Board Options Exchange, • Send paper comments in triplicate Commission Action Incorporated; Notice of Filing and to Elizabeth M. Murphy, Secretary, Immediate Effectiveness of Proposed Because the foregoing proposed rule Securities and Exchange Commission, Rule Change Relating to PAR Official change does not: (i) Significantly affect 100 F Street, NE., Washington, DC Fees the protection of investors or the public 20549–1090. interest; (ii) impose any significant All submissions should refer to File April 6, 2011. burden on competition; and (iii) become Number SR–CHX–2011–06. This file Pursuant to Section 19(b)(1) of the operative for 30 days from the date on number should be included on the Securities Exchange Act of 1934 (the which it was filed, or such shorter time subject line if e-mail is used. To help the ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 as the Commission may designate, it has Commission process and review your notice is hereby given that, on March become effective pursuant to Section comments more efficiently, please use 30, 2011, Chicago Board Options 9 19(b)(3)(A) of the Act and Rule 19b– only one method. The Commission will Exchange, Incorporated (‘‘CBOE’’ or the 4(f)(6)(iii) thereunder.10 The Exchange ‘‘Exchange’’) filed with the Securities proposed rule change, at least five business days and Exchange Commission 7 15 U.S.C. 78f(b)(5). prior to the filing of the proposed rule change, or (‘‘Commission’’) the proposed rule 8 15 U.S.C. 78k–1(a)(1). such shorter time as designated by the Commission. change as described in Items I, II, and 9 15 U.S.C. 78s(b)(3)(A). The Commission notes that the Exchange has III below, which Items have been 10 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule satisfied this requirement. 19b–4(f)(6)(iii) requires that a self-regulatory 11 For purposes only of waiving the 30-day organization submit to the Commission written operative delay, the Commission has considered the 12 17 CFR 200.30–3(a)(12). notice of its intent to file the proposed rule change, proposed rule’s impact on efficiency, competition, 1 15 U.S.C. 78s(b)(1). along with a brief description and text of the and capital formation. See 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4.

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prepared by CBOE. The Commission is and C below, of the most significant Official services as a supplementary publishing this notice to solicit aspects of such statements. means of execution for incidental comments on the proposed rule change A. Self-Regulatory Organization’s orders. CBOE believes that, after further from interested persons. Statement of the Purpose of, and consideration, the existing fee structure I. Self-Regulatory Organization’s Statutory Basis for, the Proposed Rule does not allocate these fees currently to Statement of the Terms of Substance of Change take into consideration the amount that the Proposed Rule Change Trading Permit Holders rely on PAR 1. Purpose Officials such that those Trading Permit Chicago Board Options Exchange, CBOE is proposing to amend its Fees Holders that incidentally use PAR Incorporated (‘‘CBOE’’ or ‘‘Exchange’’) Schedule effective April 1, 2011 to Officials are assessed the same fee as proposes to amend its Fees Schedule to establish volume threshold tiers for the Trading Permit Holders that routinely establish volume threshold tiers for the assessment of PAR Official Fees in all conduct their business through PAR assessment of PAR Official Fees based PAR Official Classes 3 other than Officials and rely heavily on PAR on the percentage of volume that is Volatility Index Options.4 CBOE Officials for the execution of orders. effected by a PAR Official on behalf of amended its Fees Schedule to establish CBOE is proposing to amend the Fees an order originating firm or, as 5 PAR Official Fees in January 2011. Schedule to establish volume threshold applicable, an executing firm. The These fees apply to all orders executed tiers for the assessment of the PAR proposed volume thresholds will apply by a PAR Official,6 except for customer Official Fees in all PAR Official Classes in all options classes that have a PAR orders (‘‘C’’ origin code) that are not except Volatility Index Options. Official available to execute orders directly routed to the trading floor (an (‘‘PAR Official Classes’’), except order that is directly routed to the Specifically, CBOE is proposing to Volatility Index Options. The text of the trading floor is directed to a PAR assess PAR Official Fees based on the proposed rule change is available on the Official for manual handling by use of percentage of an order originating firm’s Exchange’s Web site (http:// a field on the order ticket). In classes or, as applicable, an executing firm’s www.cboe.org/legal), at the Exchange’s other than Volatility Index Options, total monthly volume that is effected by Office of the Secretary and at the such orders are currently charged $.02 a PAR Official during a calendar month. Commission’s Public Reference Room. per contract and, like floor brokerage The percentage will be calculated on a fees, a discounted rate of $.01 per monthly basis by dividing the number II. Self-Regulatory Organization’s of contracts executed by PAR Officials Statement of the Purpose of, and contract applies for crossed orders. These fees help to offset the Exchange’s on behalf of an order originating firm or Statutory Basis for, the Proposed Rule executing firm (as applicable) by the Change costs of providing PAR Official services (e.g., salaries, etc). CBOE believes that total number of contracts executed in In its filing with the Commission, the proposed tier structure will more open outcry (by or on behalf of an order CBOE included statements concerning equitably and appropriately assess the originating firm or, as applicable, an the purpose of and basis for the PAR Official Fees to those Trading executing firm) in PAR Official Classes. proposed rule change and discussed any Permit Holders that rely more heavily Contracts in Volatility Index Options comments it received on the proposed on PAR Officials to conduct their floor shall be excluded from this calculation. rule change. The text of these statements brokerage business. Reliance on PAR The following sets forth the tier levels may be examined at the places specified Officials as the primary means of and specific fees that would be assessed in Item IV below. CBOE has prepared execution is inconsistent with the to orders that are subject to PAR Official summaries, set forth in sections A, B, Exchange’s intent to provide PAR Fees:

% Monthly volume Crossed Tier level executed Standard orders through orders (per side) PAR official

1 ...... 0–24.99 N/A N/A 2 ...... 25–49.99 $.02 $.01 3 ...... 50–74.99 .03 .015 4 ...... 75–100 .04 .02

For example, a Floor Broker Trading a PAR Official on behalf of the Floor outcry) volume in PAR Official Classes Permit Holder would be assessed $.02 Broker during a calendar month if is executed by a PAR Official (Tier 2). for all standard (non-cross) orders and 25.5% of the Floor Broker Trading The PAR Official Fees compensate $.01 for all crossed orders executed by Permit Holder’s total monthly (open CBOE for providing overflow services to

3 Currently, CBOE does not have a PAR Official 2011–022. See Securities Exchange Act Release No. PAR workstation in a Designated Primary Market- available to execute orders in the OEF, OEX, SPX 64070 (March 11, 2011), 76 FR 15025 (March 18, Maker trading crowd with respect to the classes of and XEO options classes. 2011) (SR–CBOE–2011–022). options assigned to him/her; (ii) when applicable, 4 CBOE amended its Fees Schedule in March 5 See Securities Exchange Act Release No. 67301 maintaining the book with respect to the classes of 2011 to establish distinct PAR Official Fees for (January 11, 2011), 76 FR 2934 (January 18, 2011) options assigned to him/her; and (iii) effecting Volatility Index Options to eliminate the disparity proper executions of orders placed with him/her. between Floor Brokerage Fees and PAR Official (SR–CBOE–2010–116). Fees assessed in Volatility Index Options. CBOE 6 A PAR Official is an Exchange employee or The PAR Official may not be affiliated with any will continue to assess the PAR Official Fees in independent contractor whom the Exchange may Trading Permit Holder that is approved to act as a Volatility Index Options established in SR–CBOE– designate as being responsible for (i) operating the Market-Maker. See CBOE Rule 7.12.

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order originating firms or, as applicable, Broker Trading Permits to adequately CBOE believes that the proposed executing firms, particularly Floor staff its business is subject to a cost of implementation of volume threshold Brokers,7 when they do not have $60,000 per month for Trading Permit tiers is appropriate and establishes an personnel available to act as agent. Fees (totaling $720,000 per year). By objective standard for the equitable Some Trading Permit Holders or TPH comparison, a Trading Permit Holder assessment of the PAR Official Fees. organizations obtain only one or two that routes the majority of its orders to Floor Broker Trading Permits, making it PAR Officials for execution and 2. Statutory Basis unlikely that, regardless of business maintains one Trading Permit is subject The Exchange believes the proposed level, they could cover all locations on to a $6,000 per month Trading Permit rule change is consistent with Section the Exchange and thus rely on CBOE Fee ($72,000 annually). The existing 6(b) of the Securities Exchange Act of personnel as part of the Floor Broker’s PAR Official Fee structure that imposes 1934 (‘‘Act’’), 9 in general, and furthers daily, ongoing business operations. a flat per contract fee does not provide the objectives of Section 6(b)(4) 10 of the CBOE is proposing to establish volume an incentive for firms to adequately staff Act in particular, in that it is designed threshold tiers to reduce or eliminate their business as each Trading Permit to provide for the equitable allocation of PAR Official Fees for those order Holder is currently assessed the same reasonable dues, fees, and other charges originating firms or executing firms that PAR Official Fees. among its trading permit holders and maintain sufficient staff to manage their As provided above, PAR Officials are other persons using its facilities. The floor brokerage operations and thus, do intended to provide overflow services to Exchange believes the proposed change not rely heavily on CBOE personnel to Trading Permit Holders. CBOE never is equitable, reasonable and not unfairly execute their orders. CBOE believes that intended PAR Officials to serve as the discriminatory, in that, in general, PAR those firms that rely heavily on PAR primary means of execution for order Official Fees are intended to help the Officials to conduct their floor brokerage originating firms or executing firms. Exchange recover its costs of providing business, such that PAR Officials Heavy reliance on PAR Officials PAR Official services to Trading Permit execute more than an incidental number subjects the Exchange to the additional Holders and the proposed change is of orders on their behalf, may obtain a expense and undue strain of providing intended to reasonably allocate such minimum number of Trading Permits to the additional staffing of PAR Officials. costs to order originating firms and access the floor. Thus, these firms CBOE believes that this proposal will executing firms based on the amount of ‘‘ ’’ subsidize their floor brokerage level the playing field between those business they conduct through PAR operations at CBOE’s expense in that Trading Permit Holders that rely Officials. Specifically, the proposed fee PAR Officials are either contractors paid incidentally on PAR Officials and those tier structure is equitable in that all by CBOE or CBOE employees. Under the Trading Permit Holders that rely heavily order originating firms or, as applicable, on PAR Officials by basing the PAR current proposal, Trading Permit executing firms, are assessed the same Official Fees on an order originating Holders that routinely rely on PAR fees at each tier level for orders firm’s or, as applicable, an executing Officials to execute their orders will be executed by a PAR Official. Further, the firm’s overall reliance on a PAR Official subject to higher PAR Official Fees as proposed fee structure is not unfairly to conduct their business. Trading CBOE is, in effect, subsidizing their discriminatory because the tiers are Permit Holders that adequately staff floor brokerage operations and going based on the percentage of activity their business operations and rely beyond the Exchange’s intent to provide executed by a PAR Official. Each firm incidentally on PAR Officials are PAR Official services as a has the ability to route fewer orders to incurring higher costs to retain a supplementary means of execution for a PAR Official, such that they are not sufficient number of Trading Permits overflow orders. subject to higher PAR Official Fees. An additional consideration when and should not be subject to the same evaluating the equitability of the amount for PAR Official Fees incurred B. Self-Regulatory Organization’s proposed tier structure is the cost of by a Trading Permit Holder that relies Statement on Burden on Competition each Trading Permit. For example, Floor disproportionately on PAR Officials to Broker Trading Permit Holders are conduct its floor brokerage business CBOE does not believe that the subject to a $6,000 per month Trading because it does not maintain an proposed rule change will impose any Permit Fee.8 A Floor Broker Trading adequate number of Trading Permits to burden on competition that is not Permit Holder that requires ten Floor conduct its floor brokerage business and necessary or appropriate in furtherance further, is not subject to the cost of the of purposes of the Act. 7 CBOE Rule 6.70 provides: ‘‘A Floor Broker is an additional Trading Permits required to C. Self-Regulatory Organization’s individual (either a Trading Permit Holder or a adequately staff its business. Statement on Comments on the nominee of a TPH organization) who is registered Based on the data generated for with the Exchange for the purpose, while on the Proposed Rule Change Received From Exchange floor, of accepting and executing orders January 2011, approximately 40% of Members, Participants, or Others received from Trading Permit Holders or from CBOE Floor Broker Trading Permit registered broker-dealers. A Floor Broker shall not Holders would fall under Tier 1 and No written comments were solicited accept an order from any other source unless he is would no longer be subject to PAR or received with respect to the proposed the nominee of a TPH organization approved to Official Fees. In addition, approximately rule change. transact business with the public in accordance with Rule 9.1. In the event the organization is one-third of the Floor Broker Trading III. Date of Effectiveness of the approved pursuant to Rule 9.1, a Floor Broker who Permit Holders fall under Tier 4, having Proposed Rule Change and Timing for is the nominee of such organization may then a PAR Official execute more than 75% Commission Action accept orders directly from public customers where of the Trading Permit Holder’s total (i) the organization clears and carries the customer account or (ii) the organization has entered into an monthly volume executed in open The foregoing rule change has become agreement with the public customer to execute outcry in PAR Official Classes. The effective pursuant to Section 19(b)(3)(A) orders on its behalf. Among the requirements a proposed volume threshold tiers of the Act 11 and subparagraph (f)(2) of Floor Broker must meet in order to register pursuant apportion the higher cost to those Floor to Rule 9.1 is the successful completion of an examination for the purpose of demonstrating an Broker Trading Permit Holders that rely 9 15 U.S.C. 78f(b). adequate knowledge of the securities business.’’ heavily on PAR Officials to conduct 10 15 U.S.C. 78f(b)(4). 8 See CBOE Fees Schedule, Section 10. their daily business. For these reasons, 11 15 U.S.C. 78s(b)(3)(A).

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Rule 19b–4 12 thereunder. At any time identifying information from www.cboe.org/Legal), at the Exchange’s within 60 days of the filing of the submissions. You should submit only Office of the Secretary and at the proposed rule change, the Commission information that you wish to make Commission’s Public Reference Room. summarily may temporarily suspend available publicly. All submissions II. Self-Regulatory Organization’s such rule change if it appears to the should refer to File Number SR–CBOE– Statement of the Purpose of, and Commission that such action is 2011–030 and should be submitted on Statutory Basis for, the Proposed Rule necessary or appropriate in the public or before May 4, 2011. Change interest, for the protection of investors, For the Commission, by the Division of or otherwise in furtherance of the Trading and Markets, pursuant to delegated In its filing with the Commission, the purposes of the Act. authority.13 Exchange included statements Cathy H. Ahn, concerning the purpose of and basis for IV. Solicitation of Comments the proposed rule change and discussed Deputy Secretary. Interested persons are invited to any comments it received on the submit written data, views, and [FR Doc. 2011–8791 Filed 4–12–11; 8:45 am] proposed rule change. The text of those arguments concerning the foregoing, BILLING CODE 8011–01–P statements may be examined at the including whether the proposed rule places specified in Item IV below. The change is consistent with the Act. SECURITIES AND EXCHANGE Exchange has prepared summaries, set Comments may be submitted by any of COMMISSION forth in sections A, B, and C below, of the following methods: the most significant parts of such [Release No. 34–64227; File No. SR–CBOE– statements. Electronic Comments 2011–032] • Use the Commission’s Internet A. Self-Regulatory Organization’s comment form (http://www.sec.gov/ Self-Regulatory Organizations; Statement of the Purpose of, and the rules/sro.shtml); or Chicago Board Options Exchange, Statutory Basis for, the Proposed Rule • Send an e-mail to rule- Incorporated; Notice of Filing and Change Immediate Effectiveness of Proposed [email protected]. Please include File 1. Purpose Number SR–CBOE–2011–030 on the Rule Change Related to the Extension subject line. of a CBSX Clearly Erroneous Policy Certain amendments to Rule 52.4, Pilot Program Clearly Erroneous Policy, were approved Paper Comments by the Commission on September 10, • Send paper comments in triplicate April 7, 2011. 2010 on a pilot basis. The pilot is to Elizabeth M. Murphy, Secretary, Pursuant to Section 19(b)(1) of the currently set to expire on April 11, Securities and Exchange Commission, Securities Exchange Act of 1934 (the 2011.5 The clearly erroneous policy 100 F Street, NE., Washington, DC ‘‘Act’’),1 and Rule 19b–4 thereunder,2 changes were developed in consultation 20549–1090. notice is hereby given that on March 31, with other markets and the Commission 2011, the Chicago Board Options All submissions should refer to File staff to provide for uniform treatment: ‘‘ ’’ Number SR–CBOE–2011–030. This file Exchange, Incorporated ( Exchange or (i) Of clearly erroneous execution ‘‘ ’’ number should be included on the CBOE ) filed with the Securities and reviews in Multi-Stock Events involving subject line if e-mail is used. To help the Exchange Commission (the twenty or more securities; and (ii) in the ‘‘ ’’ Commission process and review your Commission ) the proposed rule event transactions occur that result in comments more efficiently, please use change as described in Items I and II the issuance of an individual stock only one method. The Commission will below, which Items have been prepared trading pause by the primary market post all comments on the Commission’s by the Exchange. The Exchange has and subsequent transactions that occur Internet Web site (http://www.sec.gov/ designated the proposal as a ‘‘non- before the trading pause is in effect on rules/sro.shtml). Copies of the controversial’’ proposed rule change the Exchange. Additional changes were submission, all subsequent pursuant to Section 19(b)(3)(A)(iii) of also made to Rule 52.4 that reduce the the Act 3 and Rule 19b–4(f)(6) ability of the Exchange to deviate from amendments, all written statements 4 with respect to the proposed rule thereunder. The Commission is the objective standards set forth in the change that are filed with the publishing this notice to solicit Rule. As the duration of the pilot Commission, and all written comments on the proposed rule change expires on April 11, 2011, the Exchange communications relating to the from interested persons. is proposing to extend the effectiveness proposed rule change between the I. Self-Regulatory Organization’s of the clearly erroneous policy changes Commission and any person, other than Statement of the Terms of Substance of to Rule 52.4 through the earlier of those that may be withheld from the the Proposed Rule Change August 11, 2011 or the date on which public in accordance with the a limit up-limit down mechanism to The Exchange proposes to extend a address extraordinary market volatility, provisions of 5 U.S.C. 552, will be clearly erroneous policy pilot program available for Web site viewing and if adopted, applies to the Circuit Breaker pertaining to the CBOE Stock Exchange Stocks as defined in Rule 6.3C, printing in the Commission’s Public (‘‘CBSX’’, the CBOE’s stock trading Reference Room, 100 F Street, NE., Individual Stock Trading Pause Due to facility). This rule change simply seeks Extraordinary Market Volatility.6 Washington, DC 20549, on official to extend the pilot. No other changes to business days between the hours of 10 the pilot are being proposed. The text of 5 a.m. and 3 p.m. Copies of the filing also Securities Exchange Act Release Nos. 62886 the proposed rule change is available on (September 10, 2010), 75 FR 56613 (September 16, will be available for inspection and the Exchange’s Web site (http:// 2010) (SR–CBOE–2010–056) (approval order copying at the principal office of the establishing pilot through December 10, 2010) and 63485 (December 9, 2010), 75 FR 78278 (December Exchange. All comments received will 13 17 CFR 200.30–3(a)(12). 15, 2010) (SR–CBOE–2010–113) (extension of pilot be posted without change; the 1 15 U.S.C. 78s(b)(1). through April 11, 2011). Commission does not edit personal 2 17 CFR 240.19b–4. 6 ‘‘Circuit Breaker Stocks’’ means the stocks 3 15 U.S.C. 78s(b)(3)(A)(iii). included in the S&P 500 Index, the Russell 1000 12 17 CFR 240.19b–4(f)(2). 4 17 CFR 240.19b–4(f)(6). Index, as well as a pilot list of Exchange Traded

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2. Statutory Basis 30-day operative delay is consistent proposed rule change between the Extension of the pilot period will with the protection of investors and the Commission and any person, other than allow the Exchange to continue to public interest because such waiver will those that may be withheld from the operate the pilot on an uninterrupted allow the pilot program to continue public in accordance with the basis. Accordingly, CBOE believes the uninterrupted and help ensure provisions of 5 U.S.C. 552, will be proposed rule change is consistent with uniformity among the national available for Web site viewing and the Act 7 and the rules and regulations securities exchanges and FINRA with printing in the Commission’s Public under the Act applicable to a national respect to the treatment of clearly Reference Room, 100 F Street, NE., 12 securities exchange and, in particular, erroneous transactions. Accordingly, Washington, DC 20549, on official the requirements of Section 6(b) of the the Commission waives the 30-day business days between the hours of 10 Act.8 Specifically, the Exchange operative delay requirement and a.m. and 3 p.m. Copies of such filing believes the proposed rule change is designates the proposed rule change as also will be available for inspection and operative upon filing with the consistent with the Section 6(b)(5) 9 copying at the principal office of the Commission. requirements that the rules of an Exchange. All comments received will exchange be designed to promote just At any time within 60 days of the filing of the proposed rule change, the be posted without change; the and equitable principles of trade, to Commission does not edit personal prevent fraudulent and manipulative Commission summarily may temporarily suspend such rule change if identifying information from acts and, in general, to protect investors submissions. You should submit only and the public interest. it appears to the Commission that such action is necessary or appropriate in the information that you wish to make B. Self-Regulatory Organization’s public interest, for the protection of publicly available. All submissions Statement on Burden on Competition investors, or otherwise in furtherance of should refer to File Number SR–CBOE– CBOE does not believe that the the purposes of the Act. 2011–032 and should be submitted on or before May 4, 2011. proposed rule change will impose any IV. Solicitation of Comments burden on competition that is not For the Commission, by the Division of necessary or appropriate in furtherance Interested persons are invited to Trading and Markets, pursuant to delegated of the purposes of the Act. submit written data, views, and authority.13 arguments concerning the foregoing, Cathy H. Ahn, C. Self-Regulatory Organization’s including whether the proposed rule Statement on Comments on the change is consistent with the Act. Deputy Secretary. Proposed Rule Change Received From Comments may be submitted by any of [FR Doc. 2011–8790 Filed 4–12–11; 8:45 am] Members, Participants, or Others the following methods: BILLING CODE 8011–01–P The Exchange neither solicited nor Electronic Comments received comments on the proposal. • Use the Commission’s Internet SECURITIES AND EXCHANGE III. Date of Effectiveness of the comment form (http://www.sec.gov/ COMMISSION Proposed Rule Change and Timing for rules/sro.shtml); or Commission Action • Send an e-mail to rule- [Release No. 34–64252; File No. SR–EDGA– Because the foregoing proposed rule [email protected]. Please include File 2011–09] change does not: (i) Significantly affect Number SR–CBOE–2011–032 on the the protection of investors or the public subject line. Self-Regulatory Organizations; EDGA interest; (ii) impose any significant Paper Comments Exchange, Inc.; Notice of Filing and burden on competition; and (iii) become Immediate Effectiveness of Proposed • operative for 30 days from the date on Send paper comments in triplicate Rule To Amend EDGA Rule 11.9 To which it was filed, or such shorter time to Elizabeth M. Murphy, Secretary, Introduce Additional Routing Options as the Commission may designate, it has Securities and Exchange Commission, to the Rule become effective pursuant to Section 100 F Street, NE., Washington, DC 19(b)(3)(A) of the Act 10 and Rule 19b– 20549–1090. April 7, 2011. 4(f)(6)(iii) thereunder.11 The Exchange All submissions should refer to File Pursuant to Section 19(b)(1) of the has asked the Commission to waive the Number SR–CBOE–2011–032. This file Securities Exchange Act of 1934 (the 30-day operative delay so that the number should be included on the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 proposal may become operative subject line if e-mail is used. To help the notice is hereby given that on April 1, immediately upon filing. The Commission process and review your 2011, the EDGA Exchange, Inc. (the Commission believes that waiving the comments more efficiently, please use ‘‘Exchange’’ or the ‘‘EDGA’’) filed with only one method. The Commission will Products. See Interpretation and Policy .03 to Rule post all comments on the Commission’s the Securities and Exchange 6.3C. Internet Web site (http://www.sec.gov/ Commission (‘‘Commission’’) the 7 15 U.S.C. 78a et seq. rules/sro.shtml). Copies of the proposed rule change as described in 8 15 U.S.C. 78(f)(b). Items I and II below, which items have 9 submission, all subsequent 15 U.S.C. 78(f)(b)(5). been prepared by the self-regulatory 10 15 U.S.C. 78s(b)(3)(A). amendments, all written statements 11 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule with respect to the proposed rule organization. The Commission is 19b–4(f)(6)(iii) requires that a self-regulatory change that are filed with the publishing this notice to solicit organization submit to the Commission written Commission, and all written comments on the proposed rule change notice of its intent to file the proposed rule change, from interested persons. along with a brief description and text of the communications relating to the proposed rule change, at least five business days prior to the filing of the proposed rule change, or 12 For purposes only of waiving the 30-day 13 17 CFR 200.30–3(a)(12). such shorter time as designated by the Commission. operative delay, the Commission has considered the The Commission notes that the Exchange has proposed rule’s impact on efficiency, competition, 1 15 U.S.C. 78s(b)(1). satisfied this requirement. and capital formation. See 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4.

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I. Self-Regulatory Organization’s the System for available shares, then is proposed change to introduce the Statement of the Terms of Substance of sent to destinations on the System routing options described above will the Proposed Rule Change routing table and then to EDGX provide market participants with greater The Exchange proposes to amend Exchange, Inc. (‘‘EDGX’’) as an flexibility in routing orders without Rule 11.9 to introduce additional immediate or cancel (IOC) Mid-Point developing complicated order routing routing options to the rule. The text of Match (‘‘MPM’’)order.3 If there is no strategies on their own. liquidity at EDGX to execute at the the proposed rule change is attached as B. Self-Regulatory Organization’s midpoint, the order is subsequently Exhibit 5 and is available on the Statement on Burden on Competition Exchange’s Web site at http:// cancelled. www.directedge.com, at the Exchange’s The Exchange proposes to describe The proposed rule change does not principal office, on the Commission’s the ROUQ routing strategy and add it to impose any burden on competition that Web site at http://www.sec.gov, and at Rule 11.9(b)(3)(c)(iv). ROUQ is a routing is not necessary or appropriate in the Public Reference Room of the option under which an order checks the furtherance of the purposes of the Act. Commission. System for available shares and then is C. Self-Regulatory Organization’s sent to destinations on the System Statement on Comments on the II. Self-Regulatory Organization’s routing table. Statement of the Purpose of, and Proposed Rule Change Received From The Exchange proposes to describe Members, Participants, or Others Statutory Basis for, the Proposed Rule the ROUZ routing strategy and add it to Change Rule 11.9(b)(3)(c)(v). ROUZ is a routing The Exchange has not solicited, and In its filing with the Commission, the option under which an order checks the does not intend to solicit, comments on Exchange included statements System for available shares and then is this proposed rule change. The concerning the purpose of, and basis for, sent to destinations on the System Exchange has not received any the proposed rule change and discussed routing table. unsolicited written comments from any comments it received on the The differences between the latter two members or other interested parties. proposed rule change. The text of these strategies lies in the differences in the III. Date of Effectiveness of the statements may be examined at the System routing tables for the ROUQ/ Proposed Rule Change and Timing for places specified in Item IV below. The ROUZ strategies. The ROUQ routing Commission Action self-regulatory organization has strategy goes to fewer low cost Because the foregoing proposed rule prepared summaries, set forth in destinations than does the ROUZ change does not: (i) Significantly affect Sections A, B and C below, of the most routing strategy. the protection of investors or the public significant aspects of such statements. The Exchange also proposes to move the existing descriptions of ROUE, interest; (ii) impose any significant A. Self-Regulatory Organization’s ROUT, and ROUX into Rule burden on competition; and (iii) become Statement of the Purpose of, and 11.9(b)(3)(c)(i)–(iii), respectively. operative for 30 days from the date on Statutory Basis for, the Proposed Rule Formerly, the descriptions were in which it was filed, or such shorter time Change Rules 11.9(b)(3)(c) for ROUE, as the Commission may designate, it has 11.9(b)(3)(h) for ROUT, and 11.9(b)(3)(i) become effective pursuant to Section 1. Purpose 5 for ROUX. 19(b)(3)(A) of the Act and Rule 19b–4 The Exchange’s current list of routing 6 The Exchange proposes to make (f)(6)(iii) thereunder. options are codified in Rule 11.9(b)(3). conforming changes to the rest of the A proposed rule change filed under In this filing, the Exchange proposes to rule to re-letter the sections accordingly. Rule 19b–4 (f)(6) normally may not amend Rule 11.9(b)(3) to add three new The Exchange believes that the become operative prior to 30 days after additional strategies. 7 proposed introduction of these routing the date of filing. However, Rule 19b– In Rule 11.9(b)(3), the Exchange 8 options, described above, will provide 4(f)(6) permits the Commission to describes that its system (‘‘System’’) designate a shorter time if such action provides a variety of routing options. market participants with greater flexibility in routing orders, without is consistent with the protection of Routing options may be combined with investors and the public interest. The all available order types and times-in- having to develop their own complicated routing strategies. Exchange has requested that the force, with the exception of order types Commission waive the 30-day operative and times-in-force whose terms are 2. Statutory Basis delay so that the proposal may become inconsistent with the terms of a The Exchange believes that the operative upon filing. The Exchange particular routing option. The System proposed rule change is consistent with notes that waiver of this requirement will consider the quotations only of Section 6(b)(5) of the Act’’,4 which will allow the Exchange to immediately accessible markets. The term ‘‘System requires the rules of an exchange to offer Exchange users new routing routing table’’ refers to the proprietary promote just and equitable principles of strategies, and the inability to process for determining the specific trade, to remove impediments to and immediately offer the new routing trading venues to which the System perfect the mechanism of a free and strategies would put the Exchange at a routes orders and the order in which it open market and a national market competitive disadvantage. The routes them. The Exchange reserves the system and, in general, to protect Commission believes that waiving the right to maintain a different System investors and the public interest. The 30-day operative delay is consistent routing table for different routing with the protection of investors and the options and to modify the System 3 EDGX Rule 11.5(c)(7) defines a Mid-Point Match public interest because such waiver routing table at any time without notice. (MPM) order as an order with an instruction to would allow the new routing strategies The new System routing options are execute it at the midpoint of the NBBO. A MPM to become immediately available to described in more detail below. order may be a Day Order, Fill-or-Kill Order, or IOC The Exchange proposes to describe Order. The Exchange notes that members can send in a MPM order directly to EDGX without routing 5 15 U.S.C. 78s(b)(3)(A). the ICMT routing strategy and add it to through the EDGA platform as an ICMT routing 6 17 CFR 240.19b–4(f)(6)(iii). Rule 11.9(b)(3)(r). ICMT is a routing option. 7 17 CFR 240.19b–4(f)(6)(iii). strategy under which an order checks 4 15 U.S.C. 78f(b)(5). 8 Id.

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Exchange users. For this reason, the available for inspection and copying at Primary Counties: Dane, Dodge, Grant, Commission designates the proposed the principal office of the Exchange. All Iowa, Kenosha, Lafayette, rule change to be operative upon filing comments received will be posted Milwaukee, Racine, Walworth, with the Commission.9 without change; the Commission does Washington. At any time within 60 days of the not edit personal identifying The Interest Rates are: filing of the proposed rule change, the information from submissions. You Commission summarily may should submit only information that Percent temporarily suspend such rule change if you wish to make available publicly. All it appears to the Commission that such submissions should refer to File For Physical Damage: action is necessary or appropriate in the Number SR–EDGA–2011–09 and should Non-Profit Organizations With public interest, for the protection of be submitted on or before May 4, 2011. Credit Available Elsewhere: 3.250 Non-Profit Organizations investors, or otherwise in furtherance of For the Commission, by the Division of the purposes of the Act. Without Credit Available Trading and Markets, pursuant to delegated Elsewhere: ...... 3.000 10 IV. Solicitation of Comments authority. For Economic Injury: Cathy H. Ahn, Non-Profit Organizations Interested persons are invited to Deputy Secretary. Without Credit Available submit written data, views, and [FR Doc. 2011–8851 Filed 4–12–11; 8:45 am] Elsewhere: ...... 3.000 arguments concerning the foregoing, including whether the proposed rule BILLING CODE 8011–01–P The number assigned to this disaster change is consistent with the Act. for physical damage is 12524B and for Comments may be submitted by any of economic injury is 12525B. SMALL BUSINESS ADMINISTRATION the following methods: (Catalog of Federal Domestic Assistance Electronic Comments [Disaster Declaration #12524 and #12525] Numbers 59002 and 59008) • Use the Commission’s Internet Wisconsin Disaster #WI–00029 James E. Rivera, comment form (http://www.sec.gov/ Associate Administrator for Disaster rules/sro.shtml); or AGENCY: U.S. Small Business Assistance. • Send an e-mail to rule- Administration. [FR Doc. 2011–8774 Filed 4–12–11; 8:45 am] [email protected]. Please include File ACTION: Notice. BILLING CODE 8025–01–P Number SR–EDGA–2011–09 on the subject line. SUMMARY: This is a Notice of the Presidential declaration of a major SMALL BUSINESS ADMINISTRATION Paper Comments disaster for Public Assistance Only for • Send paper comments in triplicate the State of Wisconsin (FEMA–1966– Intermediary Lending Pilot Program to Elizabeth M. Murphy, Secretary, DR), dated 04/05/2011. Meeting Securities and Exchange Commission, Incident: Severe Winter Storm and AGENCY: U.S. Small Business 100 F Street, NE., Washington, DC Snowstorm. Administration (SBA). 20549–1090. Incident Period: 01/31/2011 through ACTION: Notice of open meetings. All submissions should refer to File 02/03/2011. Number SR–EDGA–2011–09. This file Effective Date: 04/05/2011. SUMMARY: The SBA is issuing this notice number should be included on the Physical Loan Application Deadline to announce the locations, dates, times, subject line if e-mail is used. To help the Date: 06/06/2011. and agendas for public meetings Commission process and review your Economic Injury (EIDL) Loan regarding the Intermediary Lending comments more efficiently, please use Application Deadline Date: 01/05/2012. Pilot (ILP) program established by the only one method. The Commission will ADDRESSES: Submit completed loan Small Business Jobs Act of 2010. The post all comments on the Commission’s applications to: U.S. Small Business meetings will be open to the public. Internet Web site (http://www.sec.gov/ Administration, Processing and DATES: The meeting dates and times are: rules/sro.shtml). Copies of the Disbursement Center, 14925 Kingsport 1. April 27, 2011, 9 a.m. to 11 a.m., submission, all subsequent Road, Fort Worth, TX 76155. San Francisco, CA. amendments, all written statements FOR FURTHER INFORMATION CONTACT: 2. May 5, 2011, 9 a.m. to 11 a.m., with respect to the proposed rule Alan Escobar, Office of Disaster Washington, DC. change that are filed with the Assistance, U.S. Small Business ADDRESSES: The meeting locations are: Commission, and all written Administration, 409 3rd Street, SW., 1. San Francisco—SBA San Francisco communications relating to the Suite 6050, Washington, DC 20416. District Office (Entrepreneur Center), proposed rule change between the SUPPLEMENTARY INFORMATION: Notice is 455 Market Street, Suite 600, San Commission and any person, other than hereby given that as a result of the Francisco, CA 94105–2420. those that may be withheld from the President’s major disaster declaration on 2. Washington, DC—SBA Washington public in accordance with the 04/05/2011, Private Non-Profit Metropolitan Area District Office provisions of 5 U.S.C. 552, will be organizations that provide essential (Conference Room), 740 15th Street, available for Web site viewing and services of governmental nature may file NW., Suite 300, Washington, DC 20005. printing in the Commission’s Public disaster loan applications at the address SUPPLEMENTARY INFORMATION: The SBA Reference Room on official business listed above or other locally announced is holding open meetings to discuss the days between the hours of 10 a.m. and locations. ILP program established in the Small 3 p.m. Copies of such filing also will be The following areas have been Business Jobs Act of 2010 (Pub. L. 111– determined to be adversely affected by 240). The ILP program is a three-year 9 For the purposes only of waiving the 30-day pilot program in which SBA will make operative delay, the Commission has considered the the disaster: proposed rule’s impact on efficiency, competition, direct loans of up to $1 million at an and capital formation. See 15 U.S.C. 78c(f). 10 17 CFR 200.30–3(a)(12). interest rate of 1 percent to up to 20

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nonprofit lending intermediaries each SUPPLEMENTARY INFORMATION: Section The United States Government is year, subject to availability of funds. 36(f) of the Arms Export Control Act prepared to license the export of these Intermediaries will then use the ILP mandates that notifications to the items having taken into account loan funds to make loans of up to Congress pursuant to sections 36(c) and political, military, economic, human $200,000 to startup, newly established, 36(d) must be published in the Federal rights and arms control considerations. or growing small business concerns. Register when they are transmitted to More detailed information is SBA regulations implementing the ILP Congress or as soon thereafter as contained in the formal certification program were published in the Federal practicable. which, though unclassified, contains Register on April 1, 2011 (76 FR 18007). business information submitted to the March 09, 2011 (Transmittal Number The purpose of these meetings is to Department of State by the applicant, DDTC 10–116) provide general information to potential publication of which could cause applicants on the requirements of the The Honorable John A. Boehner, competitive harm to the United States ILP program and the application and Speaker of the House of Representatives. firm concerned. selection process to become an ILP Dear Mr. Speaker: Pursuant to Section Sincerely, Intermediary. SBA will not discuss 36(c) of the Arms Export Control Act, I Miguel E. Rodriguez specific applications at these meetings. am transmitting, herewith, certification Acting Assistant Secretary, Legislative The ILP program meetings are open to of a proposed amendment to a technical Affairs the public; however, seating is limited, assistance agreement for the export of so advance notice of attendance is defense articles, to include technical March 18, 2011 (Transmittal Number requested. To register for an ILP data, and defense services in the amount DDTC 10–135) program public meeting, please contact: of $50,000,000 or more. The Honorable John A. Boehner, 1. San Francisco—Steve Bangs, (415) The transaction contained in the Speaker of the House of Representatives. 744–6792, fax (415) 744–6812, or e-mail attached certification involves the Dear Mr. Speaker: Pursuant to [email protected] (please make sure the export of defense articles, to include Sections 36(c) & 36(d) of the Arms subject line reads ILP). technical data, and defense services for Export Control Act, I am transmitting, 2. Washington, DC—Joanne Steiger, the support of an Airborne Intelligence herewith, certification of a proposed (202) 272–0348, fax (202) 481–5929, or and Surveillance System (AISS) for the amendment to a manufacturing license e-mail [email protected] (please Finland Ministry of Defense (MOD) agreement for the manufacture of make sure the subject line reads ILP). acting through its Finnish Air Force significant military equipment abroad Reasonable accommodation for Materiel Command Organization and the export of defense articles or individuals with disabilities will be (FINAFMC). defense services abroad in the amount provided to those who request The United States Government is of $50,000,000 or more. assistance at least two weeks in prepared to license the export of these The transaction contained in the advance. If you are unable to attend the items having taken into account attached certification involves the meeting in person, you may participate political, military, economic, human transfer of defense articles, to include by telephone by calling (866) 740–1260 rights and arms control considerations. technical data, and defense services to and using access code 3702102. More detailed information is support the development and contained in the formal certification Grady B. Hedgespeth, production of the Evolved Sea Sparrow which, though unclassified, contains Missile. Director, Office of Financial Assistance. business information submitted to the The United States Government is [FR Doc. 2011–8776 Filed 4–12–11; 8:45 am] Department of State by the applicant, prepared to license the export of these BILLING CODE 8025–01–P publication of which could cause items having taken into account competitive harm to the United States political, military, economic, human firm concerned. rights and arms control considerations. DEPARTMENT OF STATE Sincerely, More detailed information is [Public Notice: 7416] Miguel E. Rodriguez contained in the formal certification Acting Assistant Secretary Legislative which, though unclassified, contains Bureau of Political-Military Affairs: Affairs business information submitted to the Directorate of Defense Trade Controls; Department of State by the applicant, Notifications to the Congress of March 10, 2011 (Transmittal Number publication of which could cause Proposed Commercial Export Licenses DDTC 10–133) competitive harm to the United States The Honorable John A. Boehner, firm concerned. SUMMARY: Notice is hereby given that the Department of State has forwarded Speaker of the House of Representatives. Sincerely, the attached Notifications of Proposed Dear Mr. Speaker: Pursuant to Section Miguel E. Rodriguez Export Licenses to the Congress on the 36(c) of the Arms Export Control Act, I Acting Assistant Secretary, Legislative dates indicated on the attachments am transmitting, herewith, certification Affairs pursuant to sections 36(c) and 36(d) and of a proposed technical assistance agreement to include the export of March 11, 2011 (Transmittal Number in compliance with section 36(f) of the DDTC 10–137) Arms Export Control Act (22 U.S.C. defense articles, to include technical 2776). data, and defense services in the amount The Honorable John A. Boehner, of $50,000,000 or more. Speaker of the House of Representatives. DATES: Effective Date: As shown on each The transaction contained in the Dear Mr. Speaker: Pursuant to of the 9 letters. attached certification involves the Sections 36(c) and 36(d) of the Arms FOR FURTHER INFORMATION CONTACT: Mr. transfer of defense articles, to include Export Control Act, I am transmitting, Robert S. Kovac, Managing Director, technical data, and defense services to herewith, certification of a proposed Directorate of Defense Trade Controls, support the design, manufacture and manufacturing license agreement for the Bureau of Political-Military Affairs, delivery of the SATMEX 8 Commercial manufacture of significant military Department of State (202) 663–2861. Communication Satellite to Mexico. equipment abroad and the export of

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defense articles, including technical March 28, 2011 (Transmittal Number which, though unclassified, contains data, or defense services abroad in the DDTC 10–140) business information submitted to the amount of $100,000,000 or more. The Honorable John A. Boehner, Department of State by the applicant, The transaction contained in the Speaker of the House of Representatives. publication of which could cause attached certification involves the Dear Mr. Speaker: Pursuant to competitive harm to the United States export of defense articles, including Sections 36(c) and 36(d) of the Arms firm concerned. technical data, and defense services to Export Control Act, I am transmitting, Sincerely, Japan for the manufacture and support herewith, certification of a proposed Miguel E. Rodriguez of the KD2R–5 Aerial Target System manufacturing license agreement for the Acting Assistant Secretary, Legislative Program for the Japanese Ministry of manufacture of significant military Affairs Defense. equipment abroad and the export of March 14, 2011 (Transmittal Number The United States Government is defense articles, including technical DDTC 10–144) prepared to license the export of these data, or defense services abroad in the items having taken into account amount of $100,000,000 or more. The Honorable John A. Boehner, political, military, economic, human The transaction contained in the Speaker of the House of Representatives. rights and arms control considerations. attached certification involves the Dear Mr. Speaker: Pursuant to Section More detailed information is export of defense articles, including 36(d) of the Arms Export Control Act, I contained in the formal certification technical data, and defense services to am transmitting, herewith, certification which, though unclassified, contains Japan for the manufacture of T700–IHI– of a proposed manufacturing license business information submitted to the 701C engine components for end use in agreement for the manufacture of major Department of State by the applicant, AH–64D helicopters owned by the defense equipment abroad. publication of which could cause Japanese Ministry of Defense. The transaction contained in the competitive harm to the United States The United States Government is attached certification involves the firm concerned. prepared to license the export of these transfer of defense articles, to include Sincerely, items having taken into account technical data, and defense services to Miguel E. Rodriguez political, military, economic, human the Commonwealth of Australia for the Acting Assistant Secretary, Legislative rights and arms control considerations. manufacture, assembly, testing, Affairs More detailed information is qualification, maintenance and repair of contained in the formal certification military aiming lasers, infrared March 09, 2011 (Transmittal Number which, though unclassified, contains illuminators, and associated military DDTC 10–139) business information submitted to the electronics for end use by the The Honorable John A. Boehner, Department of State by the applicant, governments of Australia and New Speaker of the House of Representatives. publication of which could cause Zealand. Dear Mr. Speaker: Pursuant to Section competitive harm to the United States The United States Government is 36(c) of the Arms Export Control Act, I firm concerned. prepared to license the export of these am transmitting, herewith, certification Sincerely, items having taken into account of a proposed license for the export of Miguel E. Rodriguez political, military, economic, human defense articles that are controlled Acting Assistant Secretary, Legislative rights and arms control considerations. under Category I of the United States Affairs More detailed information is Munitions List sold commercially under contained in the formal certification contract in the amount of $1,000,000 or March 14, 2011 (Transmittal Number which, though unclassified, contains more. DDTC 10–143) business information submitted to the The transaction contained in the The Honorable John A. Boehner, Department of State by the applicant, attached certification involves the Speaker of the House of Representatives. publication of which could cause permanent export of defense articles, Dear Mr. Speaker: Pursuant to Section competitive harm to the United States including technical data, and defense 36(c) of the Arms Export Control Act, I firm concerned. services related to sale of various am transmitting, herewith, certification Sincerely, Revolvers and Pistols with accessories of a proposed technical assistance Miguel E. Rodriguez and spare parts to Smith & Wesson agreement to include the export of Acting Assistant Secretary, Legislative Distributing, Inc. in Belgium, in defense articles, to include technical Affairs furtherance of a distribution agreement. data, and defense services in the amount The United States Government is of $50,000,000 or more. March 15, 2011 (Transmittal Number prepared to license the export of these The transaction contained in the DDTC 10–145) items having taken into account attached certification involves the The Honorable John A. Boehner, political, military, economic, human export of defense articles, including Speaker of the House of Representatives. rights and arms control considerations. technical data, and defense services to Dear Mr. Speaker: Pursuant to Section More detailed information is Singapore related to the sale of one 36(c) of the Arms Export Control Act, I contained in the formal certification G550 aircraft modified with a military am transmitting, herewith, certification which, though unclassified, contains TACAN beacon system and an AN/ of a proposed amendment to a technical business information submitted to the ARC–210 VHF/UHF radio for end use assistance agreement for the export of Department of State by the applicant, by the government of Singapore. defense articles, including technical publication of which could cause The United States Government is data, and defense services in the amount competitive harm to the United States prepared to license the export of these of $50,000,000 or more. firm concerned. items having taken into account The transaction contained in the Sincerely, political, military, economic, human attached certification involves the Miguel E. Rodriguez rights and arms control considerations. export of defense articles, to include Acting Assistant Secretary, Legislative More detailed information is technical data, and defense services to Affairs contained in the formal certification support the AVDS–1790 Engine

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Improvement Program and depot level Paul W. Manning, Attorney-Adviser, Dated: April 6, 2011. maintenance training for the HMPT 500 Office of the Legal Adviser, U.S. Ann Stock, Transmissions currently installed in Department of State (telephone: 202– Assistant Secretary, Bureau of Educational Ministry of Defense of Israel combat 632–6469). The mailing address is U.S. and Cultural Affairs, Department of State. vehicles. The United States Government Department of State, SA–5, L/PD, Fifth [FR Doc. 2011–8904 Filed 4–12–11; 8:45 am] is prepared to license the export of these Floor (Suite 5H03), Washington, DC BILLING CODE 4710–05–P items having taken into account 20522–0505. political, military, economic, human Dated: April 6, 2011. rights and arms control considerations. SUSQUEHANNA RIVER BASIN More detailed information is Ann Stock, COMMISSION contained in the formal certification Assistant Secretary, Bureau of Educational which, though unclassified, contains and Cultural Affairs, Department of State. Projects Approved or Rescinded for business information submitted to the [FR Doc. 2011–8909 Filed 4–12–11; 8:45 am] Consumptive Uses of Water Department of State by the applicant, BILLING CODE 4710–05–P publication of which could cause AGENCY: Susquehanna River Basin competitive harm to the United States Commission. firm concerned. DEPARTMENT OF STATE ACTION: Notice. Sincerely, SUMMARY: This notice lists the projects Miguel E. Rodriguez [Public Notice: 7413] Acting Assistant Secretary, Legislative approved or rescinded by rule by the Affairs Susquehanna River Basin Commission Culturally Significant Objects Imported during the period set forth in DATES. Dated: April 4, 2011. for Exhibition Determinations: DATES: January 1, 2011, through ‘‘Ancestors of the Lake: Art From Lake Robert S. Kovac, February 28, 2011. Managing Director, Directorate of Defense Sentani and Humboldt Bay’’ ADDRESSES: Trade Controls, Department of State. Susquehanna River Basin Commission, 1721 North Front Street, [FR Doc. 2011–8952 Filed 4–12–11; 8:45 am] SUMMARY: Notice is hereby given of the Harrisburg, PA 17102–2391. BILLING CODE 4710–25–P following determinations: Pursuant to the authority vested in me by the Act of FOR FURTHER INFORMATION CONTACT: October 19, 1965 (79 Stat. 985; 22 U.S.C. Richard A. Cairo, General Counsel, DEPARTMENT OF STATE 2459), Executive Order 12047 of March telephone: (717) 238–0423, ext. 306; fax: (717) 238–2436; e-mail: [email protected] [Public Notice: 7414] 27, 1978, the Foreign Affairs Reform and Restructuring Act of 1998 (112 Stat. or Stephanie L. Richardson, Secretary to Culturally Significant Object Imported 2681, et seq.; 22 U.S.C. 6501 note, et the Commission, telephone: (717) 238– for Exhibition Determinations: ‘‘The seq.), Delegation of Authority No. 234 of 0423, ext. 304; fax: (717) 238–2436; e-mail: [email protected]. Regular Capitoline Venus’’ October 1, 1999, and Delegation of mail inquiries may be sent to the above Authority No. 236–3 of August 28, 2000, SUMMARY: Notice is hereby given of the address. I hereby determine that the objects to be following determinations: Pursuant to SUPPLEMENTARY INFORMATION: included in the exhibition ‘‘Ancestors of This the authority vested in me by the Act of notice lists the projects, described the Lake: Art from Lake Sentani and October 19, 1965 (79 Stat. 985; 22 U.S.C. below, receiving approval or rescission Humboldt Bay,’’ imported from abroad 2459), Executive Order 12047 of March for the consumptive use of water for temporary exhibition within the 27, 1978, the Foreign Affairs Reform and pursuant to the Commission’s approval Restructuring Act of 1998 (112 Stat. United States, are of cultural by rule process set forth in 18 CFR 2681, et seq.; 22 U.S.C. 6501 note, et significance. The objects are imported 806.22(f) for the time period specified seq.), Delegation of Authority No. 234 of pursuant to loan agreements with the above: October 1, 1999, and Delegation of foreign owners or custodians. I also Authority No. 236–3 of August 28, 2000, determine that the exhibition or display Approvals by Rule Issued Under 18 I hereby determine that the object to be of the exhibit objects at The Menil CFR 806.22(f) included in the exhibition ‘‘The Collection, Houston, Texas, from on or 1. EQT Production Company, Pad ID: Capitoline Venus,’’ imported from about May 6, 2011, until on or about Bearer, ABR–201101001, Susquehanna abroad for temporary exhibition within August 28, 2011, and at possible and Elder Townships, Cambria County, the United States, is of cultural additional exhibitions or venues yet to Pa.; Consumptive Use of up to 3.000 significance. The object is imported be determined, is in the national mgd; Approval Date: January 4, 2011. pursuant to a loan agreement with the interest. I have ordered that Public 2. Chesapeake Appalachia, LLC, Pad foreign owner or custodian. I also Notice of these Determinations be ID: Wasyl, ABR–201101002, Ulster determine that the exhibition or display published in the Federal Register. Township, Bradford County, Pa.; of the exhibit object at the National Consumptive Use of up to 7.500 mgd; Gallery of Art, Washington, DC, from on FOR FURTHER INFORMATION CONTACT: For Approval Date: January 10, 2011. or about June 8, 2011, until on or about further information, including a list of 3. Chesapeake Appalachia, LLC, Pad September 5, 2011, and at possible the exhibit objects, contact Paul W. ID: Rocks, ABR–201101003, Overton additional exhibitions or venues yet to Manning, Attorney-Adviser, Office of Township, Bradford County, Pa.; be determined, is in the national the Legal Adviser, U.S. Department of Consumptive Use of up to 7.500 mgd; interest. I have ordered that Public State (telephone: 202–632–6469). The Approval Date: January 10, 2011. Notice of these Determinations be mailing address is U.S. Department of 4. Ultra Resources, Inc., Pad ID: published in the Federal Register. State, SA–5, L/PD, Fifth Floor (Suite Granger 850, ABR–201101004, Gaines FOR FURTHER INFORMATION CONTACT: For 5H03), Washington, DC 20522–0505. Township, Tioga County, Pa.; further information, including a Consumptive Use of up to 4.990 mgd; description of the exhibit object, contact Approval Date: January 10, 2011.

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5. Chesapeake Appalachia, LLC, Pad 18. Seneca Resources Corporation, Township, Bradford County, Pa.; ID: Meng, ABR–201101005, Albany Pad ID: DCNR Tract 001 Pad F, ABR– Consumptive Use of up to 7.500 mgd; Township, Bradford County, Pa.; 201101018, Sweden Township, Potter Approval Date: January 31, 2011. Consumptive Use of up to 7.500 mgd; County, Pa.; Consumptive Use of up to 31. Chesapeake Appalachia, LLC, Pad Approval Date: January 11, 2011. 4.000 mgd; Approval Date: January 20, ID: Cuthbertson, ABR–201102001, 6. Chesapeake Appalachia, LLC, Pad 2011. Wilmot Township, Bradford County, ID: Gunn, ABR–201101006, Rome 19. Talisman Energy USA Inc., Pad Pa.; Consumptive Use of up to 7.500 Township, Bradford County, Pa.; ID: 05 178 Peck Hill Farm, ABR– mgd; Approval Date: February 3, 2011. Consumptive Use of up to 7.500 mgd; 201101019, Windham Township, 32. Seneca Resources Corporation, Approval Date: January 12, 2011. Bradford County, Pa.; Consumptive Use Pad ID: DCNR 100 Pad D, ABR– 7. SWEPI, LP, Pad ID: Knowlton 303, of up to 6.000 mgd; Approval Date: 201102002, McIntyre Township, ABR–201101007, Charleston Township, January 20, 2011. Lycoming County, Pa.; Consumptive Tioga County, Pa.; Consumptive Use of 20. Chief Oil & Gas LLC, Pad ID: Use of up to 4.000 mgd; Approval Date: up to 4.000 mgd; Approval Date: Smithmyer Drilling Pad #1, ABR– February 4, 2011. January 13, 2011. 201101020, Clearfield Township, 33. Seneca Resources Corporation, 8. SWEPI, LP, Pad ID: Stratton 885, Cambria County, Pa.; Consumptive Use Pad ID: DCNR 001 Pad G, ABR– ABR–201101008, Farmington of up to 2.000 mgd; Approval Date: 201102003, Sweden Township, Potter Township, Tioga County, Pa.; January 21, 2011. County, Pa.; Consumptive Use of up to Consumptive Use of up to 4.000 mgd; 21. Chesapeake Appalachia, LLC, Pad 4.000 mgd; Approval Date: February 7, Approval Date: January 13, 2011. ID: DJ, ABR–201101021, Wysox 2011. 9. SWEPI, LP, Pad ID: Bielski 628, Township, Bradford County, Pa.; 34. Chesapeake Appalachia, LLC, Pad ABR–201101009, Richmond Township, Consumptive Use of up to 7.500 mgd; ID: Taffe, ABR–201102004, Wilmot Tioga County, Pa.; Consumptive Use of Approval Date: January 21, 2011. Township, Bradford County, Pa.; up to 4.000 mgd; Approval Date: 22. Chesapeake Appalachia, LLC, Pad Consumptive Use of up to 7.500 mgd; January 13, 2011. ID: VRGC, ABR–201101022, Wilmot Approval Date: February 7, 2011. 10. SWEPI, LP, Pad ID: Violet Bieser Township, Bradford County, Pa.; 35. Chesapeake Appalachia, LLC, Pad Revoc Liv Tr 833, ABR–201101010, Consumptive Use of up to 7.500 mgd; ID: Jokah, ABR–201102005, Windham Chatham Township, Tioga County, Pa.; Approval Date: January 21, 2011. Township, Wyoming County, Pa.; 23. Chief Oil & Gas LLC, Pad ID: Consumptive Use of up to 4.000 mgd; Consumptive Use of up to 7.500 mgd; Andrus Drilling Pad #1, ABR– Approval Date: January 14, 2011. Approval Date: February 7, 2011. 201101023, Granville Township, 11. SWEPI, LP, Pad ID: Baker 1105, 36. Chesapeake Appalachia, LLC, Pad Bradford County, Pa.; Consumptive Use ABR–201101011, Deerfield Township, ID: Harnish, ABR–201102006, of up to 2.000 mgd; Approval Date: Tioga County, Pa.; Consumptive Use of Sheshequin Township, Bradford January 21, 2011. up to 4.000 mgd; Approval Date: County, Pa.; Consumptive Use of up to 24. EXCO Resources (PA), LLC, Pad January 14, 2011. 7.500 mgd; Approval Date: February 8, ID: Hake Pad 53, ABR–201101024, 2011. 12. Chesapeake Appalachia, LLC, Pad Morris Township, Clearfield County, ID: Beech Flats, ABR–201101012, West Pa.; Consumptive Use of up to 8.000 37. Seneca Resources Corporation, Branch and Potter Townships, Potter mgd; Approval Date: January 26, 2011. Pad ID: DCNR 100 Pad C, ABR– County, Pa.; Consumptive Use of up to 25. Chesapeake Appalachia, LLC, Pad 201102007, Cogan House Township, 7.500 mgd; Approval Date: January 14, ID: Bustin Homestead, ABR–201101025, Lycoming County, Pa.; Consumptive 2011. Sheshequin Township, Bradford Use of up to 4.000 mgd; Approval Date: 13. Chesapeake Appalachia, LLC, Pad County, Pa.; Consumptive Use of up to February 8, 2011. ID: Aukema, ABR–201101013, 7.500 mgd; Approval Date: January 26, 38. Talisman Energy USA Inc., Pad Meshoppen Township, Wyoming 2011. ID: 05 081 Uhouse D, ABR–201102008, County, Pa.; Consumptive Use of up to 26. Chesapeake Appalachia, LLC, Pad Orwell Township, Bradford County, Pa.; 7.500 mgd; Approval Date: January 14, ID: Joyce Road, ABR–201101026, Rome Consumptive Use of up to 6.000 mgd; 2011. Township, Bradford County, Pa.; Approval Date: February 8, 2011. 14. Chief Oil & Gas LLC, Pad ID: Consumptive Use of up to 7.500 mgd; 39. Talisman Energy USA Inc., Pad Dacheux Drilling Pad #1, ABR– Approval Date: January 26, 2011. ID: 05 181 Peck Hill Farm, ABR– 201101014, Cherry Township, Sullivan 27. Enerplus Resources (USA) 201102009, Windham Township, County, Pa.; Consumptive Use of up to Corporation, Pad ID: Winner 1, ABR– Bradford County, Pa.; Consumptive Use 2.000 mgd; Approval Date: January 20, 201101027, West Keating Township, of up to 6.000 mgd; Approval Date: 2011. Clinton County, Pa.; Consumptive Use February 10, 2011. 15. Chesapeake Appalachia, LLC, Pad of up to 4.000 mgd; Approval Date: 40. SWEPI, LP, Pad ID: MY TB INV ID: Fausto, ABR–201101015, Litchfield January 26, 2011. LLC 891, ABR–201102010, Deerfield Township, Bradford County, Pa.; 28. Chesapeake Appalachia, LLC, Pad Township, Tioga County, Pa.; Consumptive Use of up to 7.500 mgd; ID: Beeman, ABR–201101028, Litchfield Consumptive Use of up to 4.000 mgd; Approval Date: January 20, 2011. Township, Bradford County, Pa.; Approval Date: February 10, 2011. 16. Chesapeake Appalachia, LLC, Pad Consumptive Use of up to 7.500 mgd; 41. Chesapeake Appalachia, LLC, Pad ID: Bo, ABR–201101016, Tuscarora Approval Date: January 28, 2011. ID: Corl, ABR–201102011, Colley Township, Bradford County, Pa.; 29. Southwestern Energy Production Township, Sullivan County, Pa.; Consumptive Use of up to 7.500 mgd; Company, Pad ID: Longacre Pad, ABR– Consumptive Use of up to 7.500 mgd; Approval Date: January 20, 2011. 201101029, Jackson Township, Approval Date: February 10, 2011. 17. Chesapeake Appalachia, LLC, Pad Susquehanna County, Pa.; Consumptive 42. Chesapeake Appalachia, LLC, Pad ID: Struble, ABR–201101017, Litchfield Use of up to 4.990 mgd; Approval Date: ID: Rinker, ABR–201102012, Elkland Township, Bradford County, Pa.; January 28, 2011. Township, Sullivan County, Pa.; Consumptive Use of up to 7.500 mgd; 30. Chesapeake Appalachia, LLC, Pad Consumptive Use of up to 7.500 mgd; Approval Date: January 20, 2011. ID: Walker, ABR–201101030, Wilmot Approval Date: February 11, 2011.

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43. SWEPI, LP, Pad ID: Smith 606, Township, Bradford County, Pa.; Consumptive Use of up to 1.000 mgd; ABR–201102013, Duncan Township, Consumptive Use of up to 7.500 mgd; Rescinded Date: February 16, 2011. Tioga County, Pa.; Consumptive Use of Approval Date: February 17, 2011. 2. EnCana Oil & Gas (USA), Inc., Pad up to 4.000 mgd; Approval Date: 57. Cabot Oil & Gas Corporation, Pad ID: Lansberry Perry 1V, ABR–20100227, February 16, 2011. ID: KrisuleviczV P1, ABR–201102027, Lehman Township, Luzerne County, 44. SWEPI, LP, Pad ID: Kuhl 529, Auburn Township, Susquehanna Pa.; Consumptive Use of up to 1.000 ABR–201102014, Richmond Township, County, Pa.; Consumptive Use of up to mgd; Rescinded Date: February 16, Tioga County, Pa.; Consumptive Use of 3.575 mgd; Approval Date: February 23, 2011. up to 4.000 mgd; Approval Date: 2011. 3. EnCana Oil & Gas (USA), Inc., Pad February 16, 2011. 58. Southwestern Energy Production ID: 4P, ABR–201011016, Lake 45. SWEPI, LP, Pad ID: Stanley 1106, Company, Pad ID: Sheldon Pad, ABR– Township, Luzerne County, Pa.; ABR–201102015, Osceola Township, 201102028, Jackson Township, Consumptive Use of up to 1.200 mgd; Tioga County, Pa.; Consumptive Use of Susquehanna County, Pa.; Consumptive Rescinded Date: February 16, 2011. up to 4.000 mgd; Approval Date: Use of up to 4.990 mgd; Approval Date: 4. EnCana Oil & Gas (USA), Inc., Pad February 16, 2011. February 23, 2011. ID: Kent North, ABR–201011038, 46. SWEPI, LP, Pad ID: Cole 495, 59. Pennsylvania General Energy Fairmount Township, Luzerne County, ABR–201102016, Richmond Township, Company, LLC, Pad ID: Pine Hill Pad C Pa.; Consumptive Use of up to 1.200 Tioga County, Pa.; Consumptive Use of Wharton, ABR–201102029, Wharton mgd; Rescinded Date: February 16, up to 4.000 mgd; Approval Date: Township, Potter County, Pa.; 2011. February 16, 2011. Consumptive Use of up to 3.000 mgd; 5. EnCana Oil & Gas (USA), Inc., Pad 47. SWEPI, LP, Pad ID: Bowers 838, Approval Date: February 23, 2011. ID: Kent South, ABR–201011039, ABR–201102017, Chatham Township, 60. Chief Oil & Gas LLC, Pad ID: Fairmount Township, Luzerne County, Tioga County, Pa.; Consumptive Use of American Asphalt Drilling Pad #1, Pa.; Consumptive Use of up to 1.200 up to 4.000 mgd; Approval Date: ABR–201102030, Eaton Township, mgd; Rescinded Date: February 16, February 16, 2011. Wyoming County, Pa.; Consumptive Use 2011. 48. SWEPI, LP, Pad ID: Boroch 477, of up to 2.000 mgd; Approval Date: 6. Chief Oil & Gas, LLC, Pad ID: ABR–201102018, Charleston Township, February 24, 2011. Vollers Drilling Pad #1, ABR–2011005, Tioga County, Pa.; Consumptive Use of 61. Seneca Resources Corporation, Elkland Township, Sullivan County, up to 4.000 mgd; Approval Date: Pad ID: Covington Pad M, ABR– Pa.; Consumptive Use of up to 2.000 February 16, 2011. 201102031, Covington Township, Tioga mgd; Rescinded Date: February 16, 49. SWEPI, LP, Pad ID: Fenton 473, County, Pa.; Consumptive Use of up to 2011. ABR–201102019, Charleston Township, 4.000 mgd; Approval Date: February 25, 7. Eastern Shore Natural Gas Tioga County, Pa.; Consumptive Use of 2011. Company, Mainline Extension up to 4.000 mgd; Approval Date: 62. Chief Oil & Gas LLC, Pad ID: Interconnect Project, ABR–201007001, February 16, 2011. Garrison Drilling Pad #1, ABR– Salisbury Township and West Sadsbury 50. Talisman Energy USA Inc., Pad 201102032, Lemon Township, Wyoming Township, Lancaster County and ID: 05 100 Dewing R, ABR–201102020, County, Pa.; Consumptive Use of up to Chester County, Pa.; Consumptive Use Warren Township, Bradford County, 2.000 mgd; Approval Date: February 25, of up to 0.300 mgd; Rescinded Date: Pa.; Consumptive Use of up to 6.000 2011. February 28, 2011. mgd; Approval Date: February 17, 2011. 63. Williams Production Appalachia 51. Carrizo Marcellus, LLC, Pad ID: LLC, Pad ID: Knapik Well Pad, ABR– Authority: Pub. L. 91–575, 84 Stat. 1509 et seq., 18 CFR Parts 806, 807, and 808. Yarasavage Well Pad, ABR–201102021, 201102033, Liberty Township, Washington Township, Wyoming Susquehanna County, Pa.; Consumptive Dated: April 5, 2011. County, Pa.; Consumptive Use of up to Use of up to 4.000 mgd; Approval Date: Stephanie L. Richardson, 2.100 mgd; Approval Date: February 17, February 28, 2011. Secretary to the Commission. 2011. 64. Williams Production Appalachia [FR Doc. 2011–8957 Filed 4–12–11; 8:45 am] 52. Southwestern Energy Production LLC, Pad ID: Hayes Well Pad, ABR– BILLING CODE 7040–01–P Company, Pad ID: Gerfin Pad, ABR– 201102034, Silver Lake Township, 201102022, Lenox Township, Susquehanna County, Pa.; Consumptive Susquehanna County, Pa.; Consumptive Use of up to 4.000 mgd; Approval Date: DEPARTMENT OF TRANSPORTATION Use of up to 4.990 mgd; Approval Date: February 28, 2011. February 17, 2011. 65. Williams Production Appalachia Office of the Secretary 53. EQT Production Company, Pad LLC, Pad ID: Herman Well Pad, ABR– ID: Doe, ABR–201102023, Shippen 201102035, Franklin Township, [Docket No. DOT–OST–2011–0057] Township, Cameron County, Pa.; Susquehanna County, Pa.; Consumptive Agency Information Collection Consumptive Use of up to 3.000 mgd; Use of up to 4.000 mgd; Approval Date: Activities: Requests for Comments; Approval Date: February 17, 2011. February 28, 2011. Clearance of a Renewed Approval of 54. EQT Production Company, Pad 66. Southwestern Energy Production Information Collection(s): Procedures ID: Whippoorwill, ABR–201102024, Company, Pad ID: Demento Pad, ABR– for Transportation Workplace Drug and Shippen Township, Cameron County, 201102036, Stevens Township, Bradford Alcohol Testing Programs Pa.; Consumptive Use of up to 3.000 County, Pa.; Consumptive Use of up to mgd; Approval Date: February 17, 2011. 4.990 mgd; Approval Date: February 28, AGENCY: Office of the Secretary (OST), 55. Chesapeake Appalachia, LLC, Pad 2011. DOT. ID: Lantz, ABR–201102025, Sheshequin Rescinded Approval by Rule Issued ACTION: Notice and request for Township, Bradford County, Pa.; comments. Consumptive Use of up to 7.500 mgd; Under 18 CFR 806.22(f) Approval Date: February 17, 2011. 1. EnCana Oil & Gas (USA), Inc., Pad SUMMARY: The Department of 56. Chesapeake Appalachia, LLC, Pad ID: Farrell 1H, ABR–20100218, Lake Transportation (DOT) invites public ID: Herr, ABR–201102026, Sheshequin Township, Luzerne County, Pa.; comments about our intention to request

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the Office of Management and Budget Form Numbers: DOT F 1385; DOT F comments in the request for OMB’s (OMB) approval to renew an 1380. clearance of this information collection. information collection. The collection Type of Review: Clearance of a Authority: The Paperwork Reduction Act involves Transportation Drug and renewal of an information collection. of 1995; 44 U.S.C. chapter 35, as amended; Alcohol Testing. The information to be Background: Under the Omnibus and 49 CFR 1:48. collected will be used to document tests Transportation Employee Testing Act of Issued in Washington, DC, on April 7, conducted and actions taken to ensure 1991, DOT is required to implement a 2011. safety in the workplace and/or is drug and alcohol testing program in Patricia Lawton, necessary because under the Omnibus various transportation-related DOT PRA Clearance Officer. Transportation Employee Testing Act of industries. This specific requirement is 1991, DOT is required to implement a elaborated in 49 CFR part 40, [FR Doc. 2011–9005 Filed 4–12–11; 8:45 am] drug and alcohol testing program in Procedures for Transportation BILLING CODE 4910–9X–P various transportation-related Workplace Drug and Alcohol Testing industries. DOT is required to publish Programs. This request for a renewal of DEPARTMENT OF TRANSPORTATION this notice in the Federal Register in the information collection for the accordance with the Paperwork program includes 43 burden items Office of the Secretary Reduction Act of 1995, Public Law among which are the U.S. Department of 104–13. Transportation Alcohol Testing Form Aviation Proceedings, Agreements DATES: Comments to this notice must be (ATF) [DOT F 1380] and the DOT Drug Filed the Week Ending March 26, 2011 received by June 13, 2011. and Alcohol Testing Management Information System (MIS) Data The following Agreements were filed ADDRESSES: You may submit comments with the Department of Transportation by any of the following methods: Collection Form [DOT F 1385]. The ATF includes the employee’s name, the type under the Sections 412 and 414 of the • Web Site: http:// of test taken, the date of the test, and the Federal Aviation Act, as amended (49 www.regulations.gov. Follow the name of the employer. Custody and U.S.C. 1382 and 1384) and procedures instructions for submitting comments control is essential to the basic purpose governing proceedings to enforce these on the DOT electronic docket site. of the alcohol testing program. Data on provisions. Answers may be filed within • Federal eRulemaking Portal: http:// each test conducted, including test 21 days after the filing of the www.regulations.gov. Follow the results, are necessary to document tests application. instructions for submitting comments. Docket Number: DOT–OST–2011– conducted and actions taken to ensure • Fax: 1–202–493–2251. 0063. safety in the workplace. • Mail or Hand Delivery: Docket Date Filed: March 23, 2011. The MIS form includes employer Management Facility, U.S. Department Parties: Members of the International specific drug and alcohol testing of Transportation, 1200 New Jersey Air Transport Association. information such as the reason for the Avenue, SE., West Building, Room Subject: (a) TC3 (except within/to/ test and the cumulative number of W12–140, Washington, DC 20590, from South West Pacific, between Korea positive, negative and refusal test between 9 a.m. and 5 p.m., Monday (Rep. of). Malaysia and Guam, Northern results. The MIS data is used by each of through Friday, except on Federal Mariana Islands), Flex Fares the affected DOT Agencies (i.e., Federal holidays. Resolutions, Beijing, 11–12 May 2010, Aviation Administration, Federal (Memo 1389). Instructions: You must include the Transit Administration, Federal agency name and docket number [DOT– TC3 (except within/to/from South Railroad Administration, Federal Motor West Pacific, between Korea, (Rep. of). OST–2011–0057] of this notice at the Carrier Safety Administration, and the beginning of your comment. Note that Malaysia and Guam, Northern, Mariana Pipeline and Hazardous Materials Safety Islands), Flex Fares Resolutions, all comments received will be posted Administration) and the United States without change to http:// Minutes (Memo 1390). Coast Guard when calculating their TC3 (except within/to/from South www.regulations.gov including any random testing rates. West Pacific, between Korea (Rep. of). personal information provided. Please Respondents: The information will be Malaysia and Guam, Northern Mariana see the Privacy Act section of this used by transportation employers, Islands), Flex Fares Resolutions, Beijing, document. Department representatives, and a 11–12 May 2010. Docket: You may view the public variety of service agents. Estimated total Technical Correction docket through the Internet at http:// number of respondents is 2,620,309. www.regulations.gov or in person at the Frequency: The information will be (Memo 1391) Docket Management System office at the collected annually. above address. TC3 (except within/to/from South Estimated Total Number Burden West Pacific, between Korea (Rep. of). FOR FURTHER INFORMATION CONTACT: Hours: 584,841. Malaysia and Guam, Northern Mariana Bohdan Baczara, Office of Drug and Public Comments Invited: You are Islands), Flex Fares Tables, Beijing, Alcohol Policy and Compliance, Office asked to comment on any aspect of this 11–12 May 2010. of the Secretary, U.S. Department of information collection, including (a) Transportation, 1200 New Jersey Whether the proposed collection of (Memo 1412) Avenue, SE., Room W62–300, information is necessary for DOT’s (b) TC3 Flex Fares between Japan, Washington, DC 20590; 202–366–3784 performance; (b) the accuracy of the Korea and South West Pacific within (voice), 202–366–3897 (fax), or estimated burden; (c) ways for the DOT South West Pacific, between South [email protected] (e-mail). to enhance the quality, utility and Asian Subcontinent, South East Asia SUPPLEMENTARY INFORMATION: clarity of the information collection; and and South West Pacific. OMB Control Number: 2105–0529. (d) ways that the burden could be TC3 (except within/to/from South Title: Procedures for Transportation minimized without reducing the quality West Pacific, between Korea (Rep. of). Workplace Drug and Alcohol Testing of the collected information. The agency Malaysia and Guam, Northern Mariana Programs. will summarize and/or include your Islands), Mail Vote 671.

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(Memo 1422) Malaysia and USA Flex Fares of this notice nor the inclusion or Intended effective date: 1 April 2011 Resolutions Geneva, 12–13 April 2010 omission of information in the summary and 1 June 2011. (Memo 0517). is intended to affect the legal status of Docket Number: DOT–OST–2011– (b) TC31 North and Central Pacific the petition or its final disposition. 0064. between Korea (Rep. of), Malaysia and DATES: Comments on this petition must Date Filed: March 23, 2011. USA. Mail Vote 668—Resolution 111nn identify the petition docket number and Parties: Members of the International Flex Fares Package (Memo 0529). must be received on or before May 3, Air Transport Association. Intended Effective Date: 1 April 2011. 2011. Subject: (a) TC3 between Korea (Rep. Docket Number: DOT–OST–2011– ADDRESSES: You may send comments of). Malaysia and Guam, Northern 0055. identified by Docket Number FAA– Mariana Islands, Flex Fares Resolutions, Date Filed: March 18, 2011. 2010–1018 using any of the following MV639. Parties: Members of the International methods: Air Transport Association. • (Memo 1393) Government-wide rulemaking Web Subject: (a) TC123 North, Mid, South site: Go to http://www.regulations.gov (b) TC3 Flex Fares between Korea Atlantic (except between USA and and follow the instructions for sending (Rep. of). Malaysia and Guam, Northern Korea (Rep. of), Malaysia) Flex Fares your comments electronically. Mariana Islands, Mail Vote 672. Package—Resolutions (Memo 0472). • Mail: Send comments to the Docket (Memo 1423) TC123 North, Mid, South Atlantic Management Facility; U.S. Department (except between USA and Korea (Rep. of Transportation, 1200 New Jersey Intended effective date: 1 April 2011. of), Malaysia) Minutes (Memo 0474). Avenue, SE., West Building Ground Renee V. Wright, (b) TC123 North, Mid, South Atlantic Floor, Room W12–140, Washington, DC Program Manager, Docket Operations, (except between USA and Korea (Rep. 20590. Federal Register Liaison. of), Malaysia). • Fax: Fax comments to the Docket [FR Doc. 2011–8694 Filed 4–12–11; 8:45 am] Mail Vote 669 Resolution 111 at Flex Management Facility at 202–493–2251. Fares Package (Memo 0481). • BILLING CODE 4910–9X–P Hand Delivery: Bring comments to Intended Effective Date: 1 April 2011. the Docket Management Facility in Docket Number: DOT–OST–2011– Room W12–140 of the West Building DEPARTMENT OF TRANSPORTATION 0056. Ground Floor at 1200 New Jersey Date Filed: March 18, 2011. Avenue, SE., Washington, DC, between Office of the Secretary Parties: Members of the International 9 a.m. and 5 p.m., Monday through Air Transport Association. Friday, except Federal holidays. Aviation Proceedings, Agreements Subject: (a) TC123 North Atlantic Privacy: We will post all comments Filed the Week Ending March 19, 2011 Between USA and Korea (Rep. of), we receive, without change, to http:// The following Agreements were filed Malaysia Flex Fares Resolutions (Memo www.regulations.gov, including any with the Department of Transportation 0473). personal information you provide. under the sections 412 and 414 of the (b) TC123 North Atlantic Between Using the search function of our docket Federal Aviation Act, as amended (49 USA and Korea (Rep. of), Malaysia Mail web site, anyone can find and read the U.S.C. 1382 and 1384) and procedures Vote 670. comments received into any of our governing proceedings to enforce these Resolution 111 at Flex Fares Package dockets, including the name of the provisions. Answers may be filed within (Memo 0482). individual sending the comment (or 21 days after the filing of the Intended Effective Date: 1 April 2011. signing the comment for an association, application. business, labor union, etc.). You may Renee V. Wright, review DOT’s complete Privacy Act Docket Number: DOT–OST–2011– Program Manager, Docket Operations, Statement in the Federal Register 0053. Federal Register Liaison. published on April 11, 2000 (65 FR Date Filed: March 18, 2011. [FR Doc. 2011–8695 Filed 4–12–11; 8:45 am] Parties: Members of the International 19477–78). BILLING CODE 4910–9X–P Docket: To read background Air Transport Association. documents or comments received, go to Subject: TC31 North & Central Pacific http://www.regulations.gov at any time (except between Korea (Rep. of), DEPARTMENT OF TRANSPORTATION or to the Docket Management Facility in Malaysia and USA) Flex Fares Room W12–140 of the West Building Resolutions Geneva, 12–13 April 2010 Federal Aviation Administration Ground Floor at 1200 New Jersey (Memo 0516). [Summary Notice No. PE–2011–16] (a) TC31 North & Central Pacific Avenue, SE., Washington, DC, between (except between USA and Korea (Rep. 9 a.m. and 5 p.m., Monday through Petition for Exemption; Summary of Friday, except Federal holidays. of), Malaysia) Minutes (Memo 518). Petition Received (b) TC31 North and Central Pacific FOR FURTHER INFORMATION CONTACT: (except between Korea (Rep. of), AGENCY: Federal Aviation Frances Shaver, ARM–200, (202) 267– Malaysia and USA) Mail Vote 667— Administration (FAA), DOT. 4059, FAA, Office of Rulemaking, 800 Resolution 111nn Flex Fares Package ACTION: Notice of petition for exemption Independence Ave., SW., Washington, (Memo 0528). received. DC 20591. This notice is published Intended Effective Date: 1 April 2011. pursuant to 14 CFR 11.85. Docket Number: DOT–OST–2011– SUMMARY: This notice contains a Issued in Washington, DC, on April 8, 0054. summary of a petition seeking relief 2011. Date Filed: March 18, 2011. from specified requirements of 14 CFR. Pamela Hamilton-Powell, Parties: Members of the International The purpose of this notice is to improve Director, Office of Rulemaking. Air Transport Association. the public’s awareness of, and Subject: (a) TC31 North & Central participation in, this aspect of FAA’s Petition For Exemption Pacific Between Korea (Rep. of), regulatory activities. Neither publication Docket No.: FAA–2010–1018.

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Petitioner: NetJets Aviation, Inc. within its existing east-west corridor Populations and Low Income Section of 14 CFR Affected: § 43.3(g). along SE Tacoma Street and construct a Populations. Description of Relief Sought: NetJets new interchange with Oregon 43 on the (Catalog of Federal Domestic Assistance requests relief from the requirements of west end. The actions by the Federal Program Number 20.205, Highway Planning § 43.3(g) to allow its pilots that are agencies, and the laws under which and Construction. The regulations properly trained and qualified under an such actions were taken, are described implementing Executive Order 12372 approved training program, to perform in the Final Environmental Impact regarding intergovernmental consultation on supervised updates of navigational Statement (FEIS) for the project, Federal programs and activities apply to this software databases of installed flight approved on July 26, 2010, in the program.) management systems. FHWA Record of Decision (ROD) issued Authority: 23 U.S.C. 139(l)(1). [FR Doc. 2011–8857 Filed 4–12–11; 8:45 am] September 30, 2010, and in other Issued on: April 5, 2011. documents in the FHWA project files. BILLING CODE 4910–13–P Jeff Graham, The FEIS, ROD, and other project records are available by contacting the Operations Engineer, Salem, Oregon. DEPARTMENT OF TRANSPORTATION FHWA or the Oregon Department of [FR Doc. 2011–8835 Filed 4–12–11; 8:45 am] Transportation at the addresses BILLING CODE 4910–22–P Federal Highway Administration provided above. The FHWA FEIS and ROD can be viewed and downloaded Notice of Final Federal Agency Actions from the project Web site at http:// DEPARTMENT OF TRANSPORTATION on the Sellwood Bridge Project, SE www.sellwoodbridge.org or viewed at Tacoma Street and Oregon Highway Federal Motor Carrier Safety public libraries in the project area. Administration 43, Multnomah County, OR This notice applies to all Federal agency final actions taken after the AGENCY: Federal Highway [Docket No FMCSA–2011–0097] Administration (FHWA), Department of issuance date of the FHWA Federal Transportation. Register notice described above. The Pilot Program on NAFTA Long-Haul ACTION: Notice of limitation on claims laws under which actions were taken Trucking Provisions for judicial review of actions by FHWA include, but are not limited to: and other Federal agencies. 1. General: National Environmental AGENCY: Federal Motor Carrier Safety Policy Act (NEPA) [42 U.S.C. 4321– Administration (FMCSA), DOT. SUMMARY: This notice announces actions 4351]; Federal-Aid Highway Act ACTION: Notice; request for public taken by the FHWA and other Federal (FAHA) [23 U.S.C. 109 and 23 U.S.C. comment. agencies that are final within the 128]. meaning of 23 U.S.C. 139(l)(1). The 2. Air: Clean Air Act (CAA) [42 U.S.C. SUMMARY: The Federal Motor Carrier actions relate to a proposed highway 7401–7671(q)]. Safety Administration (FMCSA) project, Sellwood Bridge, SE Tacoma 3. Land: Section 4(f) of the announces its proposal for the initiation Street and Oregon 43, in Multnomah Department of Transportation Act of of a United States-Mexico cross-border County, Oregon. This action grants 1966 (4f) [49 U.S.C. 303]. long-haul trucking pilot program to test approval for the project. 4. Wildlife: Endangered Species Act and demonstrate the ability of Mexico- (ESA) [16 U.S.C. 1531–1544 and Section DATES: By this notice, the FHWA is based motor carriers to operate safely in advising the public of final agency 1536]; Fish and Wildlife Coordination the United States beyond the actions subject to 23 U.S.C. 139(l)(1). A Act [16 U.S.C. 661–667(d)]; Migratory municipalities and commercial zones claim seeking judicial review of the Bird Treaty Act (MBTA) [16 U.S.C. 703– along the United States-Mexico border. Federal agency actions that are covered 712]. The pilot program is part of FMCSA’s 5. Historic and Cultural Resources: by this notice will be barred unless the implementation of the North American Section 106 of the National Historic claim is filed on or before October 11, Free Trade Agreement (NAFTA) cross- Preservation Act of 1966, as amended 2011. If the Federal law that authorizes border long-haul trucking provisions. (106) [16 U.S.C. 470(f) et seq.]; judicial review of a claim provides a This pilot program would allow Mexico- Archeological Resources Protection Act time period of less than 180 days for domiciled motor carriers to operate of 1977 (ARPA) [16 U.S.C. 470(aa)– filing such claim, then that shorter time throughout the United States for up to 470(ll)]; Archeological and Historic period still applies. 3 years. U.S.-domiciled motor carriers Preservation Act (AHPA) [16 U.S.C. would be granted reciprocal rights to FOR FURTHER INFORMATION CONTACT: Jeff 469–469(c)]. Graham, Operations Engineer, Federal operate in Mexico for the same period. 6. Social and Economic: Civil Rights Participating Mexican carriers and Highway Administration, 530 Center Act of 1964 (Civil Rights) [42 U.S.C. Street, NE., Suite 100, Salem, Oregon drivers would be required to comply 2000(d)–2000(d)(1)]. with all applicable U.S. laws and 97301; (503) 399–5749; 7. Wetlands and Water Resources: regulations, including those concerned [email protected]. The FHWA Clean Water Act (Section 404, Section with motor carrier safety, customs, Oregon Division’s Office’s normal 401, Section 319) [33 U.S.C. 1251– immigration, vehicle registration and business hours are 7:30 a.m. to 4:15 p.m. 1377]; Rivers and Harbors Act of 1899 taxation, and fuel taxation. The safety of (Pacific time). (RHA) [33 U.S.C. 401–406]; Wetlands the participating carriers would be SUPPLEMENTARY INFORMATION: Notice is Mitigation (Sections 103 and 133) [23 tracked closely by FMCSA with input hereby given that the FHWA and other U.S.C. 103(b)(6)(M) and 133(b)(11)]. Federal agencies have taken final agency 8. Executive Orders: E.O. 11990 from a Federal Advisory Committee. actions subject to 23 U.S.C. 139(l)(1) by Protection of Wetlands; E.O. 11988 DATES: Comments must be received on issuing licenses, permits, and approvals Floodplain Management; E.O. 11514 or before May 13, 2011. for the following highway project in the Protection and Enhancement of ADDRESSES: You may submit comments State of Oregon: Sellwood Bridge Project Environmental Quality; E.O. 12898, identified by Docket Number FMCSA– in Multnomah County, Oregon. The Federal Actions to Address 2011–0097 using any one of the project will replace the existing bridge Environmental Justice in Minority following methods:

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• Federal eRulemaking Portal: http:// SUPPLEMENTARY INFORMATION: Act to review or process applications www.regulations.gov. Follow the online from Mexico-domiciled motor carriers Legal Basis instructions for submitting comments. to operate beyond limited commercial • Fax: 1–202–493–2251. Section 6901(a) of the U.S. Troop zones along the United States-Mexico • Mail: Docket Management Facility, Readiness, Veterans’ Care, Katrina border until certain preconditions and (M–30), U.S. Department of Recovery, and Iraq Accountability safety requirements were met. The terms Transportation (DOT), 1200 New Jersey Appropriations Act, 2007 [Pub. L. 110– of section 350 have been reenacted in Avenue, SE., West Building, Ground 28, 121 Stat. 112, 183, May 25, 2007] each subsequent DOT appropriations Floor, Room 12–140, Washington, DC provides that before DOT may obligate act. Section 350 required FMCSA to 20590–0001. or expend any funds to grant authority perform a pre-authorization safety audit • Hand Delivery: Same as mail for Mexico-domiciled trucks to engage (PASA) of any Mexico-domiciled carrier address above, between 9 a.m. and in cross-border long-haul operations, before that carrier is allowed to engage 5 p.m., ET, Monday through Friday, DOT must first test granting such in long-haul operations in the United except Federal holidays. The telephone authority through a pilot program that States. Vehicles the carrier will operate number is 202–366–9329. meets the standards of 49 U.S.C. beyond the commercial zones of the To avoid duplication, please use only 31135(c). In accordance with 49 U.S.C. United States-Mexico border that do not one of these four methods. All 31315(c), the Secretary of already have a Commercial Vehicle submissions must include the Agency Transportation has general authority to Safety Alliance (CVSA) decal would be ‘‘ name and docket number for this notice. have safety measures that are designed required to be inspected, and any to achieve a level of safety that is See the ‘‘Public Participation’’ heading vehicle that did not display a decal equivalent to, or greater than, the level below for instructions on submitting would be required to pass an inspection of safety that would otherwise be comments and additional information. at the border port of entry before being achieved * * *.’’ Note that all comments received, allowed to proceed. DOT was also In a pilot program, DOT collects directed to give a distinctive including any personal information specific data for evaluating alternatives identification number to each Mexico- provided, will be posted without change to the regulations or innovative domiciled carrier that would operate to http://www.regulations.gov. Please approaches to safety while ensuring that ‘‘ ’’ beyond the border commercial zones to see the Privacy Act heading below. the goals of the regulations are satisfied. assist inspectors in enforcing motor Docket: For access to the docket to A pilot program may not last more than carrier safety regulations. Additionally, read background documents or 3 years, and the number of participants every driver that will operate in the comments received, go to http:// in a pilot program must be large enough United States must have a valid www.regulations.gov at any time or to to ensure statistically valid findings. Room W12–140 on the ground floor of Pilot programs must include an commercial driver’s license issued by the DOT Headquarters Building at 1200 oversight plan to ensure that Mexico. Section 350 also required New Jersey Avenue, SE., Washington, participants comply with the terms and DOT’s Office of the Inspector General DC, between 9 a.m. and 5 p.m., ET, conditions of participation, and (OIG) to conduct a comprehensive Monday through Friday, except Federal procedures to protect the health and review of the adequacy of inspection holidays. safety of study participants and the capacity, information infrastructure, Privacy Act: Anyone is able to search general public. A pilot program may be enforcement capability and other the electronic form of all comments initiated only after DOT publishes a specific factors relevant to safe received into any of our dockets by the detailed description of it in the Federal operations by Mexico-domiciled name of the individual submitting the Register and provides an opportunity carriers, and required the Secretary of comment (or signing the comment, if for public comment. This notice and Transportation to address the OIG’s submitted on behalf of an association, request for public comment complies findings and certify that the opening of business, labor union, etc.). You may with this requirement. While, a pilot the border poses no safety risk. The OIG review DOT’s Privacy Act System of program may provide temporary was also directed to conduct similar Records Notice for the DOT Federal regulatory relief from one or more reviews at least annually thereafter. A Docket Management System published regulations to a person or class of number of the section 350 requirements in the Federal Register on January 17, persons subject to the regulations, or a were addressed by FMCSA in 2008 (73 FR 3316), or you may visit person or class of persons who intends rulemakings published on March 19, http://edocket.access.gpo.gov/2008/pdf/ to engage in an activity that would be 2002 (67 FR 12653, 67 FR 12702, 67 FR E8–785.pdf. subject to the regulations, in this pilot 12758, 67 FR 12776) and on May 13, Public Participation: The http:// program DOT does not propose to 2002 (67 FR 31978). www.regulations.gov Web site is exempt or relieve Mexico-domiciled Section 136 of the Transportation, generally available 24 hours each day, motor carriers from any safety Housing and Urban Development, and 365 days each year. You can get regulation. Mexico-domiciled motor Related Agencies Appropriations Act, electronic submission and retrieval help carriers participating in the program 2009 [Division I of the Omnibus and guidelines under the ‘‘help’’ section will be required to comply with the Appropriations Act, 2009, Pub. L., 111– of the http://www.regulations.gov Web existing motor carrier safety regulatory 8, 123 Stat. 524, 932, March 11, 2009] site. Comments received after the regime plus certain additional prohibited DOT from expending funds comment closing date will be included requirements associated with made available in that Act to establish, in the docket, and will be considered to acceptance into and participation in the implement or continue a cross-border the extent practicable. program. motor carrier pilot program to allow FOR FURTHER INFORMATION CONTACT: Section 350 of the Department of Mexican-domiciled motor carriers to Marcelo Perez, Federal Motor Carrier Transportation and Related Agencies operate beyond the border commercial Safety Administration, 1200 New Jersey Appropriations Act, 2002 [Pub. L. 107– zones. The Transportation, Housing and Avenue, SE., Washington, DC 20590– 87, 115 Stat. 833, 864, December 18, Urban Development, and Related 0001. Telephone (512) 916–5440, ext 2001] (section 350) prohibited FMCSA Agencies Appropriations Act, 2010 228; e-mail [email protected]. from using funds made available in that [Division A of the Consolidated

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Appropriations Act, 2010, Pub. L. 111– United States. As a result of complaints up to an amount commensurate with the 117, 123 Stat. 3034, December 16, 2009] that U.S. motor carriers were not loss of business resulting from the lack did not bar DOT or FMCSA from using allowed the same access to Mexican and of U.S. compliance. The Panel noted funds on a cross-border long-haul Canadian markets that carriers from that the United States could establish a program, but, pursuant to section 135 those nations enjoyed in this country, safety oversight regime to ensure the (123 Stat. at 3053) did continue the the Bus Regulatory Reform Act of 1982 safety of Mexican carriers entering the requirements of section 350. FMCSA imposed a moratorium on the issuance United States, but that the safety continues to operate under the terms of new operating authority to motor oversight regime could not be and conditions in its fiscal year 2010 carriers domiciled, or owned or discriminatory and must be justified by appropriations act, as extended under controlled by persons domiciled in safety data. various short-term continuing Canada or Mexico. While the After the Administration announced resolutions. disagreement with Canada was quickly its intent to resume the process for Section 6901 of the U.S. Troop resolved, the issue of trucking opening the border in 2001, Congress Readiness, Veterans’ Care, Katrina reciprocity with Mexico was not. included section 350 in the Department Recovery, and Iraq Accountability Currently, most Mexican carriers are of Transportation and Related Agencies Appropriations Act, 2007 also provides allowed to operate only within the Appropriations Act, 2002, as discussed that simultaneous and comparable border commercial zones extending up in the ‘‘Legal Basis’’ section above. authority to operate within Mexico must to 25 miles into the United States. Every In November 2002, former Secretary be made available to U.S. carriers. year Mexico-domiciled commercial of Transportation Norman Mineta Further, before the required pilot motor vehicles (CMVs) cross into the certified, as required by section program may begin, the Department’s United States about 4.5 million times. 350(c)(2), that authorizing Mexico- OIG must submit a report to Congress Mexico granted reciprocal authority to domiciled motor carrier operations verifying that DOT has complied with 10 U.S.-domiciled motor carriers to beyond the border commercial zones the requirements of section 350(a), and operate throughout Mexico during the does not pose an unacceptable safety DOT must take any actions that are time of FMCSA’s previous risk to the American public. Later that necessary to address issues raised by the demonstration project conducted month, the President modified the OIG and must detail those actions in a between September 2007 and March moratorium to permit Mexico-domiciled report to Congress. Section 6901 also 2009. Four of these motor carriers motor carriers to provide cross-border directed the OIG to submit an interim continue to operate in Mexico. cargo and scheduled passenger report to Congress 6 months after the Trucking issues at the United States- transportation beyond the border initiation of a cross-border long-haul Mexico border were not fully addressed commercial zones. (Memorandum of Mexican trucking pilot program and a until NAFTA was negotiated in the November 27, 2002, for the Secretary of final report after the pilot program is early 1990s. NAFTA required the Transportation, ‘‘Determination under completed. The statute further specified United States to incrementally lift the the Interstate Commerce Commission that the report address the program’s moratorium on licensing Mexico- Termination Act of 1995,’’ 67 FR 71795, adequacy as a test of safety. Also as a domiciled motor carriers to operate December 2, 2002). The Secretary’s precondition to beginning the pilot beyond the commercial zones. On certification was made in response to program, section 6901 requires that DOT January 1, 1994, the President modified the June 25, 2002, DOT OIG report on provide an opportunity for public the moratorium and the ICC began the implementation of safety comment by publishing in the Federal accepting applications from Mexico- requirements at the United States- Register information on the PASA’s domiciled passenger carriers to conduct Mexico border. In a January 2005 conducted. DOT must also publish for international charter and tour bus follow-up report, the OIG concluded comment the standards that will be used operations in the United States. On that FMCSA had sufficient staff, to evaluate the pilot program, as well as December 13, 1995, the ICC published a facilities, equipment, and procedures in a list of Federal motor carrier safety rule and a revised application form for place to substantially meet the eight laws and regulations, including the processing of Mexico-domiciled section 350 requirements that the OIG commercial driver’s license property carrier applications (Form OP– was required to review. The above requirements, for which the Secretary of 1(MX)) (60 FR 63981). The ICC rules reports are available in the docket to Transportation will accept compliance anticipated the implementation of the this notice. with corresponding Mexican law or second phase of NAFTA, providing Former Secretary of Transportation regulation as the equivalent to Mexican motor carriers of property with Mary E. Peters and Mexico’s former compliance with the U.S. law or access to California, Arizona, New Secretaria de Comunicaciones y regulation including an analysis of how Mexico and Texas, and the third phase, Transportes (SCT) Luis Te´llez Kuenzler the corresponding United States and providing access throughout the United announced a demonstration project to Mexican laws and regulations differ. States. However, at the end of 1995, the implement certain trucking provisions Further discussion of relevant U.S. and United States announced an indefinite of NAFTA on February 23, 2007. The Mexican safety laws and regulations is delay in opening the border to long-haul demonstration project was initiated on provided in the section of this notice Mexican CMVs. September 6, 2007, after the DOT entitled ‘‘List of Federal Motor Carrier In 1998, Mexico filed a claim against complied with a number of conditions Safety Laws and Regulations for Which the United States, claiming that the imposed by section 6901 of the U.S. FMCSA Will Accept Compliance with a United States’ refusal to grant authority Troop Readiness, Veterans’ Care, Corresponding Mexican Law or to Mexican trucking companies Katrina Recovery, and Iraq Regulation.’’ constituted a breach of the obligations Accountability Act, 2007, as discussed in the NAFTA. On February 6, 2001, the further in the ‘‘Legal Basis’’ section Background Arbitration Panel issued its final report above. The demonstration project was Before 1982, Mexico- and Canada- and ruled in Mexico’s favor, concluding initially expected to last 1 year (see 72 domiciled motor carriers could apply to that the United States was in breach of FR 23883, May 1, 2007). On August 6, the Interstate Commerce Commission its obligations, and Mexico could 2008, FMCSA announced that the (ICC) for authority to operate within the impose tariffs on U.S. exports to Mexico demonstration project was being

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extended from 1 year to the full 3 years Reports.htm. Additionally, DOT formed Staged pilot program. The Mexico- allowed by section 31315(c)(2)(A) of a team to draft principles that would domiciled motor carriers that participate title 49 United States Code (73 FR guide the creation of the draft in this pilot program would proceed 45796) after Secretaries Peters and legislation. through a series of stages prior to Te´llez exchanged letters on the The President signed the DOT Fiscal issuance of a permanent operating extension. Year (FY) 2010 Appropriations Act authority. Stage 1 would begin when the On March 11, 2009, President Obama December 16, 2009. As mentioned motor carrier is issued a provisional signed into law the Omnibus previously in the ‘‘Legal Basis’’ section, operating authority. The motor carrier’s Appropriations Act, 2009. Section 136 unlike the previous year’s vehicles and drivers would be inspected of the Transportation, Housing and appropriations, this Act did not prohibit each time they enter the United States Urban Development, and Related the use of fiscal year 2010 funds on a for at least 3 months. This initial 3- Agencies Appropriations Act, 2009 cross border long-haul program. month period may be extended if the (Division I, title I of the Omnibus However, it continues the requirements motor carrier does not receive at least Appropriations Act, 2009) provides that: of section 350 and section 6901 of three vehicle inspections. FMCSA [N]one of the funds appropriated or Public Law 110–28. FMCSA continues would also conduct an evaluation of the otherwise made available under this Act may to operate under the terms and motor carrier’s performance during be used, directly or indirectly, to establish, conditions in its FY 2010 appropriations Stage 1. This evaluation is described implement, continue, promote, or in any way act, as extended under various short- more fully later in this notice. permit a cross-border motor carrier pilot term continuing resolutions. After a minimum of 3 months of program to allow Mexican-domiciled motor On April 12, 2010, Secretary LaHood operations in Stage 1, Mexico-domiciled carriers to operate beyond the commercial met with Mexico’s former Secretary of carriers may be permitted to proceed to zones along the international border between Communications and Transport, Juan Stage 2 of the pilot program after the United States and Mexico, including Molinar Horcasitas, and announced a continuing, in whole or in part, any such FMCSA completes an evaluation of each program that was initiated prior to the date plan to establish a working group to carrier’s performance in Stage 1. During of the enactment of this Act. consider the next steps in implementing Stage 2, the motor carrier’s vehicles a cross-border trucking program. On would be inspected at a rate comparable (123 Stat. at 932). May 19, 2010, President Obama and to other Mexico-domiciled motor In accordance with section 136, Mexico’s President Felipe Calderon carriers that cross the United States- FMCSA terminated the cross-border Hinojosa issued a joint statement Mexico border. The motor carrier’s demonstration project that began on acknowledging that safe, efficient, safety data would be monitored to September 6, 2007. The Agency ceased secure, and compatible transportation is assure the motor carrier is operating in processing applications by prospective a prerequisite for mutual economic a safe manner. The motor carrier would project participants and took other growth. They committed to continue continue to operate under a provisional necessary steps to comply with the their countries’ cooperation in system operating authority. Within 18 months provision. (74 FR 11628, March 18, planning, operational coordination, and after a Mexico-domiciled motor carrier 2009). technical cooperation in key modes of is issued provisional operating On March 19, 2009, Mexico transportation. authority, FMCSA would conduct a announced that it was exercising its On January 6, 2011, Secretary LaHood compliance review on the motor carrier. rights under the 2001 NAFTA shared with Congress and the If the motor carrier obtains a satisfactory Arbitration Panel decision to impose Government of Mexico an initial safety rating, has no pending retaliatory tariffs for the failure to allow concept document for a cross-border enforcement or safety improvement Mexico-domiciled carriers to provide long-haul Mexican trucking pilot actions, and has operated under its long-haul service into the United States. program that prioritizes safety, while provisional operating authority for at The tariffs affect approximately 90 U.S. satisfying the U.S.’ international least 18 months, the provisional export commodities at an estimated obligations. Also, on the same day, the operating authority will become annual cost of $2.4 billion. The Department posted the concept permanent, moving the carrier into President directed DOT to work with documents on its Web site for public Stage 3. If the motor carrier obtains a the Office of the U.S. Trade viewing. See http://www.dot.gov/affairs/ less than satisfactory safety rating, Representative and the Department of 2011/dot0111.html. The initial concept FMCSA would take action as required State, along with leaders in Congress document was the starting point for by 49 CFR part 385 to suspend and/or and Mexican officials, to propose renewed negotiations with Mexico. revoke the motor carrier’s operating legislation creating a new cross-border Discussions with the Government of authority. trucking project, to address the Mexico commenced on January 18, Stage 3 of the pilot program would legitimate safety concerns of Congress 2011. The preliminary agreement begin for each motor carrier upon eceipt while fulfilling our obligations under between DOT and the Secretariat of of permanent operating authority. The NAFTA. Secretary of Transportation Communications and Transport is motor carrier must continue to operate Ray LaHood met with numerous reflected in the program description and in accordance with the Federal Motor members of Congress to gather their details provided below. Carrier Safety Regulations (FMCSRs) input. FMCSA tasked the Motor Carrier On March 3, 2011, President Obama and the requirements set forth in this Safety Advisory Committee (MCSAC) met with Mexico’s President Calderon notice. with providing advice and guidance on and announced that there is a clear path Reciprocity with Mexico. Consistent essential elements that the Agency forward to resolving the trucking with section 6901(a)(3) of Public law should consider when drafting proposed between the United States and Mexico. 110–28, FMCSA will not grant operating legislation to permit Mexico-domiciled authority to Mexico-domiciled motor trucks beyond the commercial zones Pilot Program Description carriers to operate beyond the U.S. along the United States-Mexico border. Duration. As specified in section municipalities and commercial zones The MCSAC final report on this tasking 31315(c)(2)(A) of title 49, United States along the United States-Mexico border is available on FMCSA’s MCSAC Web Code, the scheduled life of this pilot unless the Government of Mexico page at http://mcsac.fmcsa.dot.gov/ program will not exceed 3 years. simultaneously permits comparable

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authority to be granted to U.S.- concerning entry of foreign-based engine conforms to the EPA regulations domiciled motor carriers to transport trucks, buses, and taxicabs in applicable to 1998 or later. international cargo in Mexico. international traffic) and 8 CFR Federal Motor Vehicle Safety Previous Demonstration Program 214.2(b)(4)(i)(E)(1) (U.S. Department of Standard (FMVSS). Any vehicle used by Participants. A Mexico-domiciled motor Homeland Security (DHS) regulations a motor carrier in this pilot program carrier that participated in the 2007– concerning cabotage. (See further must display a FMVSS certification 2009 demonstration project and discussion below under the section label or Canadian Motor Vehicle Safety operated under provisional operating entitled ‘‘Point-to-Point Transportation Standard (CMVSS) certification label authority in that pilot would receive Prohibited.’’). affixed by the original vehicle credit for the amount of time it operated Security Screening. FMCSA would manufacturer at the time the vehicle under authority in calculating the 18 submit information on the applicant was built. Alternatively, a motor carrier month provisional operating authority motor carriers and their drivers may use a vehicle manufactured for use period. designated for long-haul operations in in Mexico that does not possess an Hazardous Materials and Passenger the pilot program to DHS for security FMVSS or CMVSS label, if the vehicle Transportation. Consistent with section screening. Motor carriers and/or drivers is of model year 1996 or newer and it 6901(d) of Public Law 110–28, operating that fail DHS’s security screening would is equipped with all the safety authority granted under the pilot not be eligible for participation in the equipment and features required by the program excludes the transportation of pilot program. Reasons a motor carrier FMVSSs in effect on the date of placardable quantities of hazardous or driver may not pass DHS security manufacture, such as automatic slack materials and passengers. Hazardous screening may include: Providing false adjusters and antilock braking systems materials means any material that has or incomplete information; conviction (ABS) if applicable. Information been designated as hazardous under 49 of any criminal offense or pending available to FMCSA from the Truck U.S.C. 5103 and is required to be criminal charges or outstanding Manufacturers Association (TMA) placarded under subpart F of 49 CFR warrants; violation of any customs, indicates that most trucks manufactured part 172. immigration or agriculture regulations in Mexico since 1993 were built to the Drivers and Vehicles. Mexico- or laws; the carrier or driver is the FMVSSs, even if they were not domiciled motor carriers participating subject of an ongoing investigation by specifically certified as such. (70 FR in the pilot program would designate any Federal, State or local law 50273) A copy of TMA’s letter that the vehicles and drivers they wish to enforcement agency; the motor carrier or provided this information is available in use in the pilot program. All designated driver is inadmissible to the United the docket for this notice. vehicles and drivers must be approved Electronic Monitoring Device. FMCSA States under immigration regulations, by FMCSA prior to the participating would equip each vehicle approved for including applicants with approved motor carrier using the vehicles or use by Mexico-domiciled motor carriers waivers of inadmissibility or parole drivers for transportation beyond the in this pilot program with an electronic documentation; DHS is not satisfied commercial zones along the United monitoring device such as a global concerning the motor carrier’s or States-Mexico border. The requirements positioning system and/or electronic on for FMCSA approval of drivers and driver’s low-risk status; DHS cannot board recording device. As part of vehicles are described in this notice. determine an applicant’s criminal, participating in this pilot program, the License Checks.—In compliance with residence or employment history; or the device must be operational on the section 350(a)(3), FMCSA will ensure motor carrier or driver is subject to vehicle throughout the duration of the that at least 50 percent of participating National Security Entry Exit pilot program. drivers’ licenses are checked when Registration System or other special General Qualifications of Drivers. A crossing the border. This may be registration programs. driver may not participate in this pilot accomplished during Level I, II or III Liability Insurance. Mexico-domiciled program unless the driver can read and inspections. motor carriers participating in the pilot speak the English language sufficiently International Cargo. The operating program must maintain a certificate of to understand highway traffic signs and authority granted under this pilot insurance or surety bond on file with signals in the English language, to program would authorize the motor FMCSA, as prescribed in 49 CFR respond to official inquiries, and to carrier to transport international cargo 387.313, throughout the pilot program. make entries on reports and records in the United States. As specified in 49 The insurance or surety bond must be required by FMCSA. CFR 365.501(b), Mexico-domiciled underwritten by a U.S. insurance or Environmental Review. FMCSA will carriers participating in the pilot surety bond company. prepare an Environmental Assessment program may not provide point-to-point Commercial Vehicle Safety Alliance (EA) for this pilot program prior to its transportation services, including Safety (CVSA) Decal. The motor carrier commencement and seek comments on express delivery services, within the must maintain a valid CVSA decal on the draft EA in accordance with the United States for goods other than each vehicle it enrolls in this pilot National Environmental Policy Act, as international cargo. Therefore, a carrier program in accordance with 49 CFR amended (42 U.S.C. 4321 et seq.). that would provide point-to-point 365.511. Measures To Protect the Health and transportation services in the United Emission Control Label. Any vehicle Safety of the Public. The FMCSA has States would be operating beyond the with a diesel engine to be used by a developed an extensive oversight scope of its operating authority and motor carrier in this pilot program must system to protect the health and safety would be in violation of 49 CFR have an emission control label as of the public and FMCSA will apply it 392.9a(a). Additionally, participating described in 40 CFR 86.007–35 that to Mexico-domiciled motor carriers. motor carriers must comply with indicates the engine conforms to the These measures are outlined in 49 CFR regulations prohibiting the U.S. Environmental Protection Agency parts 350–396 and include providing transportation of domestic cargo (EPA) regulations applicable to 1998 or grants to States for commercial vehicle (cabotage) including, but not limited to, later. Alternatively, the motor carrier enforcement activities, regulations 19 CFR 123.14 (U.S. Customs and may present documentation from the outlining the application procedures, Border Protection regulations engine manufacturer indicating the regulations explaining how FMCSA will

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assess safety ratings and civil penalties www.fmcsa.dot.gov/forms/print/r-l- 5. Verify records of periodic vehicle as well as amounts of possible civil forms.htm. inspections, as required by 49 CFR part penalties, insurance requirements, drug FMCSA would compare the 396. and alcohol testing requirements, information and certifications provided 6. Verify that each driver the carrier commercial driver’s license (CDL) in the application with information intends to assign to operate under the requirements, general operating maintained in databases of the pilot program meets the requirements of requirements, driver qualification governments of Mexico and the United 49 CFR parts 383 and 391. This would requirements, vehicle parts and States. The appropriate fee must be include confirmation of the validity of maintenance requirements, and hours- submitted, as applicable. each driver’s Licencia Federal de of-service requirements. These FMCSA developed special rules that Conductor (LF) through the Mexican requirements apply to Mexico- govern Mexico-domiciled motor carriers driver license information system and a domiciled carriers operating in this pilot during the application process and for check of the Mexican State licensing program, just as they do to any several years after receiving OP–1(MX) records and the Commercial Driver’s commercial motor vehicle, driver, or operating authority. They are codified in License Information System (CDLIS) for carrier operating in the United States. 49 CFR 365.501 through 365.511. These violations, suspensions, etc. The description below focuses on the rules impose requirements on Mexico- 7. Review of available data concerning main features of FMCSA’s system to domiciled motor carriers in addition to safety history and other information protect the health and safety of the those imposed on U.S.-domiciled motor necessary to determine familiarity with public that are unique to this pilot carriers seeking operating authority. and preparedness to comply with the program, but is not intended to imply Pre-Authorization Safety Audit FMCSRs and Federal Hazardous that all regulations outlined above do Materials Regulations that apply to the A Mexico-domiciled carrier must not apply at all times. transportation of non-placardable satisfactorily complete the FMCSA- Other Federal and State Laws and hazardous materials. administered PASA required under Regulations. Mexico-domiciled motor 8. Evaluate safety inspection, FMCSA regulations before it is granted carriers participating in the pilot maintenance, and repair facilities or provisional authority to operate in the program are required to comply with all management systems, including United States beyond the border applicable Federal and State laws and verification of records of periodic commercial zones. The PASA is a regulations including, but not limited vehicle inspections. review of the carrier’s safety to, vehicle size and weight, 9. Inspect each vehicle the carrier management systems including written environmental, tax, and vehicle intends to operate under the pilot procedures and records to validate the registration requirements. program unless the vehicle has received accuracy of the information and and displays a current CVSA decal. Process for Applying for OP–1(MX) certifications provided in the Operating Authority application. The PASA will determine 10. Interview carrier officials to whether the carrier has established and review safety management controls and The process for applying for exercises the basic safety management evaluate any written safety oversight participation in the pilot program begins controls necessary to ensure safe policies and practices. with a 28-page application that gathers operations. The carrier would not be 11. Obtain any other information specific information about the carrier, granted provisional operating authority required by the FMCSA to complete the its affiliations, its insurance, its safety if FMCSA determines that its safety PASA. programs, and its compliance with U.S. management controls are inadequate, Applicant carriers would designate laws. In addition to providing general using the standards in Appendix A to and identify drivers and vehicles that information, the carrier must complete subpart E of 49 CFR part 365. Vehicles will perform cross-border long-haul up to 35 safety and compliance 1 designated for cross-border long-haul operations in the pilot program. certifications and provide information operations within the United States FMCSA would verify driver regarding its systems for monitoring would be inspected; if the vehicle qualifications, including confirming the hours of service and crashes and passes the inspection, a CVSA decal validity of the driver’s LF and review complying with DOT drug and alcohol would be affixed by the inspector. any Federal and State driver license testing requirements. Each PASA would be conducted in history for traffic violations that would To participate in the pilot program, a accordance with 49 CFR part 365. The disqualify the driver for operations in Mexico-domiciled motor carrier must, carrier would be denied provisional the United States. FMCSA would also pursuant to existing regulations, submit operating authority if FMCSA cannot: conduct an English Language (1) Form OP–1(MX), ‘‘Application to 1. Verify available performance data Proficiency assessment of each Register Mexican Carriers for Motor and safety management programs. participating driver to ensure Carrier Authority to Operate Beyond 2. Verify the existence of a controlled compliance with 49 CFR 391.11(b)(2). U.S. Municipalities and Commercial substances and alcohol testing program The assessment would be conducted Zones on the U.S.-Mexico Border’’; (2) consistent with 49 CFR part 40. FMCSA orally, in English, and would include a Form MCS–150, the ‘‘Motor Carrier would ensure that the carrier has test on knowledge of U.S. traffic signs. Identification Report’’; and (3) information on collection sites and At the time of the PASA, FMCSA will notification of the means used to laboratories it intends to use. inspect participating vehicles to designate agents for service of legal 3. Verify a system of compliance with determine whether they: process, either by submitting Form hours-of-service rules in 49 CFR part a. Comply with the FMVSSs; and BOC–3, ‘‘Designation of Agents—Motor 395, including recordkeeping and Carriers, Brokers and Freight retention. 1 Carriers’ selection of specific vehicles to Forwarders,’’ or a letter stating that the 4. Verify the carrier has the ability to participate is limited to the new program only. applicant will use a process agent obtain financial responsibility as Once the new program ends, carriers will not have required by 49 CFR part 387, including the option of selecting specific vehicles. Instead, all service that will submit Form BOC–3 vehicles that may enter the United States for electronically. The forms are available the ability to obtain insurance in the carriers with OP–1 authority will be required to on the Internet at http:// United States. comply with all FMCSRs.

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b. Display an EPA emission control pilot program would not be consistent Point-to-Point Transportation label indicating the engine conforms to with the goals and objectives of the Prohibited the EPA regulations applicable to 1998 pilot, in which case the pilot may be Mexico-domiciled motor carriers are or later. Alternatively, the Mexico- terminated earlier. also subject to DHS and DOT cabotage domiciled motor carrier can present Provisional or permanent operating requirements and are prohibited from documents from the engine authority may be suspended or revoked providing domestic point-to-point manufacturer indicating the engine at any time during the pilot program if transportation while operating in the conforms to the EPA regulations FMCSA determines that the carrier has United States. Vehicles and drivers applicable to 1998 or later. violating the prohibition on domestic FMCSA will also obtain the following failed to comply with the terms and point-to-point transportation will be information but will not consider the conditions of the pilot program or if the placed out of service under the DOT information in its evaluation of the carrier’s safety performance does not regulations and may be subject to civil motor carrier for entry into the program: meet the standards established in 49 a. Whether environmental post- CFR part 385. Operating authority may penalties. DHS may also prohibit the treatment equipment or other emissions- also be suspended or revoked if the driver from entering the United States in related equipment has been installed on motor carrier is found to have the future. FMCSA, in coordination any vehicle designated for participating transported passengers or placardable with the International Association of in the pilot program; and quantities of hazardous materials in the Chiefs of Police (IACP), developed and b. The primary ports of entry the United States, or is operating beyond is providing training to State and local applicant Mexico-domiciled motor the scope of its operating authority. law enforcement agencies on the carrier intends to use. (There is no cabotage requirements. Operating in the United States Under restriction on which ports of entry the Monitoring, Oversight and Enforcement carrier may use during the program. OP–1(MX) Provisional Operating This information would be used to Authority FMCSA would monitor the allocate FMCSA resources.) operational safety of all Mexico- Mexico-domiciled motor carriers with domiciled motor carriers participating Issuance of Operating Authority provisional operating authority are in the pilot program. To accomplish subject to the enhanced safety If a carrier successfully completes the this, FMCSA would work closely with PASA and FMCSA approves its monitoring program of 49 CFR part 385, State CMV safety agencies, the lead application, the Agency will publish a subpart B, and would be monitored on Motor Carrier Safety Assistance Program summary of the application as a an on-going basis. Carriers committing agencies, IACP, CVSA, DHS, and others. provisional grant of authority in the any violations specified in 49 CFR Field monitoring would include FMCSA Register, at http://li- 385.105(a) and identified through inspections of vehicles, verification of public.fmcsa.dot.gov/LIVIEW/ roadside inspections, or other means, compliance with the terms of the motor pkg_html.prc_limain. In addition, may be subject to a compliance review, carrier’s operating authority, driver FMCSA will publish comprehensive required to submit documentation of license checks, crash reporting, and data and information on the PASAs corrective action, and/or subject to initiation of enforcement actions, when conducted of Mexico-domiciled motor enforcement action. appropriate. Monitoring and oversight of carriers carriers that are granted authority to Permanent Operating Authority operate beyond the commercial zones and drivers participating in the pilot on the U.S. Mexico border. However, no Mexico-domiciled carriers that program would vary depending on the carrier would be authorized to conduct receive a satisfactory rating after a experience and safety record of the any cross-border long-haul compliance review, complete at least 18 carrier. Stage 1 of the program would transportation until it has made the months of operation, and have no require the motor carrier’s participating insurance filings required by 49 CFR pending enforcement or safety trucks and drivers to be inspected every 365.507(e)(1) and designated a process improvement actions, are eligible for time a vehicle crosses the border agent as required by 49 CFR permanent authority in the pilot northbound. Stage 1 vehicles must 365.503(a)(3). Additionally, no Mexico- program. To maintain permanent display current CVSA decals. Carriers would progress to Stage 2 domiciled motor carrier will be authority, carriers must comply with all only after FMCSA evaluates the authorized to operate beyond the FMCSRs and continue to renew the performance of the carrier during Stage commercial zones of the United States- CVSA safety decal every 90 days for 3 1. A carrier will be permitted to progress Mexico border until this notice-and- years. During the duration of the pilot to Stage 2 in the pilot program if comment procedure is completed. program, carriers must update driver FMCSA determines that the carrier has Upon granting provisional operating and vehicle records with FMCSA. Any out-of-service rates that are at or below authority, FMCSA will assign a unique additional vehicles or drivers the motor USDOT Number, including an ‘‘X’’ the U.S. national averages and its Safety carrier wishes to include in the pilot Management System (SMS) scores for suffix, which identifies the CMVs program must be approved by FMCSA authorized to operate beyond the trucks operating in the pilot program are before the carrier may use the driver or below the FMCSA threshold levels. municipalities and commercial zones on vehicle for long-haul transportation. the United States-Mexico border. Once a motor carrier is in Stage 2, Mexico-domiciled carriers that inspections at the border crossings Termination of the Pilot Program participate are eligible to convert their would be at a rate similar to that of The pilot program would operate for permanent authority granted during the other Mexico-domiciled motor carriers up to 3 years from the date FMCSA pilot program to standard permanent that cross the United States-Mexico grants the first provisional certificate, authority, similar to U.S.-domiciled border. Stage 2 vehicles still must unless the Agency collects sufficient carriers, upon the completion of the display current CVSA decals. data to draw statistically valid pilot program. FMCSA intends this to be After the motor carrier successfully conclusions before 3 years elapse or if an administrative process that would completes a compliance review and it is determined the continuation of the occur once the pilot program ends. receives a satisfactory rating within 18

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months of beginning cross-border long- FMCSA will also monitor the any violations from the driver’s record haul operations, and completes 18 insurance filings of participating in the United States, the driver’s months of operation with provisional carriers to ensure that there are no Mexican federal record, and the driver’s operating authority, the motor carrier lapses in coverage. Mexican State record to determine if the driver would be disqualified from would be granted permanent authority. List of Federal Motor Carrier Safety driving under the standards set forth in The vehicles and drivers would be Laws and Regulations for Which 49 CFR 383.51. Therefore, FMCSA is not inspected at the border crossings at the FMCSA Will Accept Compliance With a relying solely on Mexico’s same rate as commercial zone carriers. Corresponding Mexican Law or disqualification standards, but is CMVs operating in the United States Regulation must display current CVSA decals for 3 imposing its own standards in addition years from the date the carrier is granted The Secretary of Transportation will to any disqualifications that may be permanent operating authority. accept only three areas of Mexican taken by the Mexican government. All participating long-haul vehicles regulations as being equivalent to U.S. Second, the Secretary of must have a FMCSA-issued electronic regulations. The first area is the set of Transportation will also consider that monitoring device installed and regulations governing Mexican physical examinations conducted by activated at all times. These devices Commercial Driver’s Licenses (CDL). Mexican doctors and drug testing would allow FMCSA to monitor The United States’ acceptance of a specimens collected by Mexican compliance with pilot program Mexican LF dates back to November 21, medical collection facilities are requirements, including hours of service 1991, when the Federal Highway equivalent to the process for requirements and domestic point-to- Administrator determined that the examinations conducted, and test point transportation prohibitions. Mexican CDLs are equivalent to the specimens collected, in the United standards of the U.S. regulations and Monitoring would also include States. In Mexico, in order to obtain the entered into a Memorandum of electronic data collection and analysis. LF a driver must meet the requirements Understanding (MOU) with Mexico. established by the Ley de Caminos, Data collected as a result of field FMCSA is in the process of updating monitoring and other activities would Puentes y Autotransporte Federal this MOU.2 As part of this process, on be entered into FMCSA databases and (LCPAF or Roads, Bridges and Federal February 17, 2011, representatives from made available for public review on Motor Carrier Transportation Act) FMCSA, CVSA and the American FMCSA’s Web site. The data would be Article 36, and Reglamento de Association of Motor Vehicle tracked and analyzed to identify Autotransporte Federal y Servicios Administrators visited a Mexican driver potential compliance and safety issues. Auxiliares (RAFSA, or Federal Motor license facility, medical qualification Carrier Transportation Act) Article 89, Appropriate action would be taken to facility, and test and inspection which states that a Mexican driver must resolve identified compliance and safety location. During these site visits FMCSA pass the medical examination required issues. This could include suspension, and its partner organizations observed by Mexico’s Transport and revocation of operating authority, or the Mexico to have rigorous requirements Communications Ministry (SCT), initiation of other enforcement action for knowledge and skills testing that are Directorship General of Protection and against a motor carrier or driver. similar to those in the United States. In Prevention Medicine in Transportation FMCSA will conduct ongoing addition, Mexico requires that all new (DGPMPT). This is the same medical monitoring to determine if the pilot commercial drivers undergo training exam performed on applicants in all program is having adverse effects on prior to testing and requires additional modes of transportation (airline pilots, motor carrier safety. retraining each time the license is merchant mariners, and locomotive Enforcement is a key component of renewed. In contrast, U.S. regulations operators). The medical examination the monitoring and oversight effort. do not currently require any specific may be completed by government FMCSA is providing ongoing training training prior to testing for, or renewal doctors or certified private physicians. and guidance to Federal and State of, a U.S. CDL. FMCSA examined the Mexican auditors, inspectors and investigators to Mexico will disqualify a driver’s LF medical fitness for duty requirements ensure the adequacy of their knowledge for safety infractions or testing positive and has found that the Mexican and understanding of the pilot program for the use of drugs. Because Mexico’s physical qualification regulations are and the procedures for taking disqualification standards are not more prescriptive, detailed, and stricter enforcement actions against carriers or identical to U.S. standards, FMCSA has than those in the United States. For drivers participating in the pilot. developed a system to monitor the example, Mexican regulations address To ensure carrier compliance with performance of Mexico-licensed drivers body mass index, cancers and tumors, operating authority limitations, while operating in the United States and skin and appendages, psychiatric and including the prohibition of domestic to disqualify these drivers if they incur psychological disorders, and have point-to-point transportation of cargo in violations that would result in a U.S. specific standards for evaluation of the the United States, FMCSA and IACP driver’s license being suspended. In ear, nose and throat and the developed and implemented a training addition, the United States has access to genitourinary system. These are all areas program that provides State and local traffic violation data for violations that for which the United States has no officials detailed information on occur in Mexico and are associated with regulatory standards. The only notable cabotage regulations and enforcement the Mexican LF. Finally, FMCSA would difference involves vision. Mexico only procedures. require that any driver designated by a requires red color vision while the FMCSA would require roadside Mexico-domiciled carrier for long-haul United States requires a color vision test enforcement officers to follow DHS transportation provide the United States for at least red, green, and yellow. guidance concerning the enforcement of with a copy of the driving record for any FMCSA believes that, taken as a whole, DHS cabotage regulations. This material Mexican State driver’s license he or she Mexico’s medical regulations are is incorporated into the CVSA North may also hold. FMCSA would combine comparable to those in the United American Standard Inspection Course States, and provide a level of safety at and previously provided to roadside 2 FMCSA notes it is also updating a similar MOU least equivalent to the U.S. regulations. enforcement officers. with Canada. FMCSA also notes that Mexico’s

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medical examinations are performed including chain of custody Samples collected in Mexico would be almost exclusively by physicians at requirements, and U.S. collection forms tested at laboratories located in the Mexican government facilities, and to ensure the integrity of the sample. United States that are certified by the when performed by private doctors, DOT has translated its drug testing Department of Health and Human those doctors are specifically approved collection forms into Spanish as part of Services under its National Laboratory by the SCT. this MOU. Although most Mexican Certification Program. Third, controlled substances testing in carriers that participated in the previous Mexico is conducted by personnel from pilot program sent its drivers to U.S. Table 1 below outlines the specific SCT. DOT and SCT have implemented collection facilities, the Secretary of U.S. and Mexican regulations in the a MOU, under which Mexico has agreed Transportation would accept a drug test three areas where the Mexican to collect drug testing specimens using using a specimen collected in Mexico regulations or processes are being U.S. specimen collection procedures, using our forms and procedures. accepted as meeting U.S. requirements.

TABLE 1

Description United States Mexico

Drug and Alcohol Testing Procedures—Ran- • 49 CFR part 382 ...... • Reglamento del Servicio de Medicina dom Testing.. Preventiva del Transporte. • Requires random drug testing by motor car- rier at a 50 percent rate. • Government conducts random drug testing at terminals, ports of entry, and specific areas along corridors. Drug and Alcohol Testing Procedures—Collec- • 49 CFR part 40 ...... • Reglamento del Servicio de Medicina tion of Samples. Preventiva del Transporte. • Collection procedures outlined and detailed • DGPMPT–IT–02–01; DGPMPT–PE–02–F– description of the custody. 01. • DGPMPT–PE–02. • DGPMPT–IT–02–01 thru 08. • Collection procedures have been ISO cer- tified. • The United States and Mexico have a Memorandum of Understanding that Mexico will, when collecting samples to satisfy U.S. drug testing regulations, use U.S. collection procedures and forms. These forms have been translated into Spanish and provided to Mexico. Drug and Alcohol Testing Procedures—Labora- • 49 CFR part 40 ...... • Reglamento del Servicio de Medicina tory Testing. Preventiva del Transporte. • Laboratories approved by the U.S. Depart- • DGPMPT–PE–01–IE–01. ment of Health and Human Services. • Regulations and procedures are equivalent to U.S. standards. • Laboratory is not certified due to lack of proper equipment and other procedural re- quirements. Commercial Driver’s License—Issuance ...... • 49 CFR part 383 ...... • Ley de Caminos, Puentes y Autotransporte Federal. • Outlines the knowledge, skills and testing • Articlos 89 y 90, Reglamento de procedures required to obtain a commercial Autotransportes Federal y Servicio driver’s license. Auxilares. • Driver must provide proof of medical quali- fication, proof of address, and training (both skills and knowledge). • Must be renewed every 5 years (every 3 years for hazardous material category). Commercial Driver’s License— Training ...... • 49 CFR part 380 ...... • Articulo 36, 37, y 57 Ley de Caminos, Puentes y Autotransporte Federal. • Outlines special training requirements for • Articlos 89 y 90, Reglamento de longer combination vehicle drivers on basic Autotransportes Federal y Servicio operation, safe operating practices, ad- Auxilares. vanced operations and non-driving activities • Programa Minimo de Capacitacion para training and an orientation. Conductores del Servicios de Autotransporte Federal y Transporte Privado, Para Referendo de Carga General (Tractorcamion Quinta Rueda y Camion Utitario).

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TABLE 1—Continued

Description United States Mexico

• Outlines special training requirements for • Outlines 41 hours of training requirements entry level drivers on driver qualifications, (theory) for new drivers transporting general hours of service, driver wellness, and whis- cargo on General Introduction to Driving, tleblower protection training. Road Safety Education, Defensive Driving, Vehicle Operations, Preventive Mainte- nance and Emergency Repair, Latest Regu- lations, plus 100 hours of practical driving (behind the wheel), Practical Defensive driving (8 hours) and practical emergency repair (6 hours). • Outlines 58 (theory and practical) hours of continued training for returning drivers transporting general cargo on General Intro- duction, Health and Safety, Road Safety Education, Human Relations, Family and Lifestyle, Latest Rules and Technological Advances. • Outlines 16 hours of continuing education for drivers with a licencia federal de con- ductor. Commercial Driver’s License—Disqualifications • 49 CFR part 383 ...... • Ley de Caminos, Puentes y Autotransporte Federal. • Outlines CDL disqualifications for major and • Reglamento del Servicio de Medicina serious traffic violations. Preventiva del Transporte. • Provides for the disqualification of drivers for major and serious traffic violations. • License can be canceled by a judge. • License can be canceled for three speeding violations in a one year period. • License can be canceled for leaving the scene of an accident without notifying the closest authority or abandoning the vehicle. • License can be canceled for altering the li- cense. • License can be canceled for failing a drug test. • License cannot be obtained after failing a drug test without proof of success completion of a rehabilitation program. • License can be suspended for failing to pro- vide accurate information on application. • Cancellation is valid for 10 years—cannot obtain a license for 10 years. Medical Standards ...... • 49 CFR part 391 ...... • Reglamento del Servicio de Medicina Preventiva del Transporte. • US—Requires a comprehensive physical • Requires a comprehensive physical and and psychological examination. psychological examination. • Medical examination is currently separate • Medical examination is a pre-requisite to from the CDL issuance process. obtaining an LF. • Medical examination may be required while the driver is ‘‘in operation’’ (on duty) to de- termine if the driver is still qualified to drive.

Information and Reporting States traveled by program participants. telephone. This group, composed of FMCSA is committed to transparency FMCSA would also publish in the DOT and SCT employees, would during this pilot program. As a result, Federal Register comprehensive data discuss any issues that arise for carriers the Agency would be maintaining data and information on PASAs conducted of either country, as they participate in on the pilot program on its Web site at on Mexico-domiciled carriers that are the pilot program, and recommend http://www.fmcsa.dot.gov. FMCSA granted authority to operate beyond the changes as needed. would use this site to post current border commercial zones. FMCSA is also establishing an information about the pilot program The Department and Mexico’s SCT oversight and monitoring mechanism by including, but not limited to, PASAs, would establish a monitoring group to utilizing a Federal advisory committee. the carriers participating, the vehicles supervise the implementation of the This committee would be made up of approved for cross-border long-haul pilot program and to find solutions to stakeholders and will be a transportation, the results of roadside issues affecting the operational subcommittee of the MCSAC. The inspections for each carrier, and the performance of the pilot. The group monitoring group’s objective is to number of trips into the United States would generally convene monthly in review the implementation of the pilot beyond the commercial zones and the person, by video conference or by program and recommend solutions to

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issues affecting the operational for each metric, the Agency would test percentage point differences in any performance of the pilot program. the ‘‘null hypothesis’’ that Mexico- violation rate. For many metrics, The Department would be providing domiciled carriers that may take future however, fewer inspections will be reports to Congress regarding this pilot advantage of NAFTA’s cross-border required to achieve the same level of program on an annual basis. These long-haul provisions will perform as statistical power. This stems from the reports will be posted on FMCSA’s Web well or better than the average carrier fact that for a violation rate, which is a site. Additionally, at the conclusion of domiciled in the United States. Based proportion, the precision of the sample the pilot program the Department would on the data during the pilot program, estimate depends on the value of the report to Congress the findings, FMCSA will either reject this null violation rate itself. Violation rates conclusions, and recommendations of hypothesis (i.e., conclude that the calculated from the study that are at or the program. Mexico-domiciled carriers interested in close to 50% will have the lowest level Additionally, the Department’s OIG and qualified to receive long-haul of precision, and rates that are larger or will be completing reviews of the pilot operating authority in the United States smaller than 50% will have higher program within 6 months of its start and will perform worse than the average levels of precision. For example, the within 6 months of its completion. U.S.-domiciled carrier), or will conclude average vehicle out-of-service rate for These reports would be posted on the that the data collected do not allow one U.S. carriers is approximately 20%. As Web site. to reject this null hypothesis. a result, a two percentage point The degree to which differences in Program Evaluation difference in the vehicle out-of-service safety performance can be detected rates between the two populations can The objective of the pilot program is between the two populations depends, be detected with a sample size of to collect and evaluate data on the safety in part, on the total number of approximately 2,800 inspections. This performance of Mexico-domiciled inspections performed on the carriers carriers interested in and qualified to same sample size of 2,800 inspections participating in the pilot program. The will also allow the Agency to detect a take advantage of the cross-border long- Agency seeks to detect statistically haul provisions of NAFTA. This study two percentage point difference in the significant differences in the violation driver out-of-service rates (which is is to be completed to satisfy the rates between the two populations when requirement in the Agency’s pilot currently approximately 5% for U.S. such differences are two percentage carriers). program authority that requires ‘‘[a] points in magnitude or greater, at a level specific data collection and safety of 90 percent confidence (see discussion Target Number of Carriers analysis plan that identifies a method of below under the section heading ‘‘Target comparison.’’ (49 U.S.C. 31315(c)(2)(B)). Number of Inspections’’). Differences FMCSA anticipates that carriers Safety performance would be measured less than two percentage points in participating in the pilot program will primarily in terms of violations assessed magnitude between the two populations perform, on average, one long-haul at the roadside, as a result of inspections would not be considered meaningful by border crossing per week per truck, and conducted at traditional weigh stations, the Agency. will have, on average, two trucks ports of entry, or during traffic participating in the pilot program. Based enforcement activities. From these data, Target Number of Inspections on these characteristics, and an assumed violation rates would be calculated for A sample size of 4,100 roadside attrition rate of 25% after 18 months of participating carriers, measuring the inspections performed on pilot program participation in the pilot program, the percentage of inspections having a participants will allow the Agency to Agency calculates that a total of 46 particular type of violation. These detect differences in violation rates of carriers participating in the program violations rates include overall vehicle two percentage points or greater at the will be sufficient to achieve a target of and driver out-of-service rates, as well 90% level of confidence. This 4,100 inspections within 3 years. A total as other violation rates pertaining to confidence level can be interpreted as of 31 participating carriers will be specific requirements of the FMCSRs. follows: for each metric being sufficient for achieving a target of 2,800 Many of these violation rates would compared, there is a less than or equal inspections. However, if participating capture information currently captured to 10% chance of concluding from the carriers have fewer average crossings in the Agency’s Compliance, Safety, study that there is at least a two per week or fewer vehicles enrolled in Accountability program metrics. percentage point difference in the the pilot program, more carriers would Using the performance metrics violation rates between the two be needed to achieve the desired target described above, and up to 3 years of populations when, in fact, there is not; level of inspections. Conversely, if data collected during the pilot program, or not concluding from the study that participating carriers have more statistical tests would be performed to there is at least a two percentage point crossings per week, or more vehicles compare the safety performance of the difference when, in fact, there is. We enrolled, fewer carriers would be Mexico-domiciled carriers participating also note that a 90% confidence level is needed. Table 2 below provides in the pilot program with the overall a commonly used level of confidence for estimates for the number of carriers performance of carriers domiciled in the statistical studies. needed to participate in the pilot, in United States. Specifically, using This sample size of 4,100 inspections order to achieve an inspection target of commonly accepted statistical practices will allow the Agency to detect two 4,100 inspections within 3 years:

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TABLE 2—NUMBER OF PILOT PROGRAM CARRIERS REQUIRED TO ACHIEVE A TARGET OF 4,100 INSPECTIONS, BY VEHICLES ENROLLED PER CARRIER AND CROSSINGS PER WEEK PER CARRIER

Average number of carrier Average Number Enrolled Vehicles crossings per week 0.5 1 2 3

1 ...... 182 91 46 30 2 ...... 91 46 ...... 3 ...... 61 30 ...... 4 ...... 46 ...... 5 ...... 36 ......

The Agency recognizes that the so, based on experience to date, such a Independent Data stipulated number of carriers needed for level of participation is not anticipated. this analysis is lower than the target In the 2007 demonstration project, for FMCSA plans to conduct an sample size originally cited for the example, there were 775 initial independent analysis of data collected previous demonstration project. A lower applicants, of which only 29, or 4%, from the 4 currently active Mexican carriers with ‘‘grandfathered,’’ pre-1982 number of carriers will be needed in completed all of the required paperwork operating authority in the United States, this program for two reasons. First, the and passed the required vetting process. the 501 Mexican-owned carriers with target sample size stipulated for the Based on this data, one might set an current operating authority as a result of earlier demonstration project was based upper limit on the total number of being domiciled in the United States, on an effort to estimate differences in Mexico-domiciled carriers both capable and the 1336 Mexico-domiciled private crash rates between U.S. carriers and of and interested in taking advantage of and exempt motor carriers that received program participants. Sample size the NAFTA cross-border long-haul a certificate of registration to operate requirements for estimating differences provision at 316 carriers (.04 × 7,900). in crash rates are difficult to determine beyond the commercial zones between because the exposure (i.e., vehicle miles Representativeness of Data from the 1988 and 2002. A separate analysis of traveled) for the program participants, Pilot Study these carriers’ safety performance would be conducted to supplement the as well as the variability in this If this pilot program demonstrates that exposure, is unknown. Moreover, analysis of the carriers operating under Mexico-domiciled carriers are as safe as the pilot program. crashes are, in fact, rare events, and it the average U.S. domiciled carrier, is not likely that many, if any, will be FMCSA would expect to use the same Request for Comments recorded during this current effort. For application and screening process for these reasons, the current study focuses FMCSA requests public comment post-pilot program Mexico-domiciled on measuring safety performance from all interested persons on the pilot carriers seeking long haul authority. primarily in terms of violation rates. program outlined in this notice. The Thus, carriers participating in the pilot When estimating violation rates, the Agency intends the pilot program to be program would be representative of sampling unit is an inspection, rather the means of validating its safety carriers seeking and receiving such than a carrier. The number of required oversight regime for a cross-border long- authority in the future. carriers stipulated herein is merely an haul trucking program. estimate of the number of carriers It has also been argued that using All comments received before the needed to achieve the target level of roadside inspection data to compare close of business on the comment inspections. carriers domiciled in the United States closing date indicated at the beginning It is also noted that this pilot program with Mexico-domiciled carriers of this notice will be considered and would run for up to 3 years, rather than participating in the pilot program is not will be available for examination in the the one and a half year duration of the valid because inspections performed on docket at the location listed under the demonstration project. As a result, it is U.S. carriers are targeted. That is, address section of this notice. anticipated that there may be more data inspectors often use recommendations Comments received after the comment collected from the participating carriers. generated from computer software, or closing date will be filed in the public The Agency does not know how many perform a cursory visual inspection of docket and will be considered to the Mexico-domiciled carriers are interested the vehicle, to determine which vehicles extent practicable. In addition to late in taking advantage of the cross-border to inspect. Hence these roadside comments, FMCSA will also continue to long-haul provisions of NAFTA and inspections are not truly random, and file, in the public docket, relevant capable of satisfactorily completing a violation rates (such as out-of-service information that becomes available after PASA and security screening. Currently, rates) generated from such data are the comment closing date. Interested there are approximately 6,900 Mexican biased. Studies completed more than 15 persons should continue to examine the carriers operating strictly within the years ago suggested that this bias in U.S. public docket for new material. border commercial zones as well as carrier out-of-service rates is minimal. Section 6901(b)(2)(B) of the U.S. approximately 1,000 U.S.-wned To assess if such a bias currently exists, Troop Readiness, Veterans’ Care, ‘‘certificate’’ carriers domiciled in and to determine its extent, the Agency Katrina recovery, and Iraq Mexico and having limited operating would concurrently conduct a study of Accountability Appropriations Act, authority in the United States. Although U.S. carrier violation rates, using 2007, provides that FMCSA must it is conceivable that a large number of inspection data collected on a random request public comment on five specific these carriers would be interested in basis from U.S. carriers for a 2-week aspects of the pilot program. For the taking advantage of the NAFTA cross period during the course of the pilot convenience of the reader, these items border provisions, and qualified to do program. are listed below. A complete copy of

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section 6901 is included in the docket Mississippi River flood wall on the east Transportation Board, 395 E Street, SW., for this notice. to U.S. Interstate 55 on the west, in St. Washington, DC 20423–0001; and (2) 1. Comprehensive data and Louis, Mo. The lines traverse U.S. Postal Paul A. Cunningham, Harkins information on the pre-authorization Service Zip Code 63118. MRS intends to Cunningham LLP, 1700 K Street, NW., safety audits conducted before and after discontinue service over its lines but Suite 400, Washington, DC 20006–3804. the date of enactment of this Act of does not intend, at this point, to remove Replies to the petition are due on or motor carriers domiciled in Mexico that the trackage or rail assets comprising the before May 3, 2011. are granted authority to operate beyond lines. Persons seeking further information the United States municipalities and According to MRS, the lines do not concerning discontinuance procedures commercial zones on the United States- contain any Federally granted rights-of- may contact the Board’s Office of Public Mexico border; way. Any documentation in MRS’s Assistance, Governmental Affairs, and 2. Specific measures to be required to possession will be made available Compliance at (202) 245–0230 or refer protect the health and safety of the promptly to those requesting it. to the full abandonment and public, including enforcement measures MRS asserts that, because its petition discontinuance regulations at 49 CFR and penalties for noncompliance; seeks discontinuance covering MRS’s part 1152. Questions concerning 3. Specific measures to be required to entire rail system and because MRS has environmental issues may be directed to ensure compliance with section no corporate affiliate that will continue the Board’s Office of Environmental 391.11(b)(2) of title 49, CFR, concerning substantially similar rail operations or a Analysis (OEA) at (202) 245–0305. FMCSA’s English language proficiency corporate parent that will realize Assistance for the hearing impaired is requirement, and section 365.501(b) of substantial financial benefits over and available through the Federal title 49, CFR, concerning FMCSA’s above relief from the burden of deficit Information Relay Service (FIRS) at 1– prohibition against Mexico-domiciled operations by its subsidiary railroad, 800–877–8339. drivers engaging in the transportation of labor protective conditions should not Board decisions and notices are domestic freight within the U.S.; be imposed. MRS requests that the available on our Web site at http:// 4. Specific standards to be used to Board follow its established practice www.stb.dot.gov. evaluate the pilot program and compare regarding labor conditions in entire any change in the level of motor carrier system discontinuances. The United Decided: April 8, 2011. safety as a result of the pilot program; Transportation Union, the Brotherhood By the Board, Rachel D. Campbell, and of Maintenance of Way Employes Director, Office of Proceedings. 5. A list of Federal motor carrier Division-International Brotherhood of Andrea Pope-Matheson, safety laws and regulations, including Teamsters, and the International Clearance Clerk. the commercial driver’s license Association of Machinists and [FR Doc. 2011–8863 Filed 4–12–11; 8:45 am] requirements, for which the Secretary of Aerospace Workers have filed separate BILLING CODE 4915–01–P Transportation will accept compliance statements or comments in opposition with a corresponding Mexican law or to the petition, asserting that affected regulation as the equivalent to employees are entitled to labor DEPARTMENT OF THE TREASURY compliance with the United States law protection. The Board will consider and or regulation, including for each law or address comments on the petition, Departmental Offices; Debt regulation an analysis as to how the including comments regarding labor Management Advisory Committee corresponding United States and protection, in its final decision on the Meeting Mexican laws and regulations differ. merits. By issuance of this notice, the Board Notice is hereby given, pursuant to 5 Issued on: April 8, 2011. U.S.C. App. 2, § 10(a)(2), that a meeting Anne S. Ferro, is instituting an exemption proceeding pursuant to 49 U.S.C. 10502(b). A final will be held at the Hay-Adams Hotel, Administrator. decision will be issued by July 12, 2011. 16th Street and Pennsylvania Avenue, [FR Doc. 2011–8846 Filed 4–8–11; 2:00 pm] Because this is a discontinuance NW., Washington, DC, on May 3, 2011 BILLING CODE 4910–EX–P proceeding and not an abandonment, at 11:30 a.m. of the following debt OFAs to purchase the line for continued management advisory committee: rail service are not appropriate. Any Treasury Borrowing Advisory DEPARTMENT OF TRANSPORTATION offer of financial assistance (OFA) under Committee of The Securities Industry and Financial Markets Association. Surface Transportation Board 49 CFR 1152.27(b)(2) to subsidize continued rail service will be due no The agenda for the meeting provides [Docket No. AB–1075X] later than 10 days after service of a for a charge by the Secretary of the decision granting the petition for Treasury or his designate that the Manufacturers Railway Company— exemption. Each offer must be Committee discuss particular issues and Discontinuance Exemption—in St. accompanied by a $1,500 filing fee. See conduct at working session. Following Louis County, MO 49 CFR 1002.2(f)(25). the working session, the Committee will On March 24, 2011, Manufacturers Because this is a discontinuance present a written report of its Railway Company (MRS) 1 filed with the proceeding and not an abandonment, a recommendations. The meeting will be Surface Transportation Board a petition trail use/rail banking condition, under closed to the public, pursuant to 5 under 49 U.S.C. 10502 for exemption 16 U.S.C. 1247(d), and a public use U.S.C. App. 2, § 10(d) and Public Law from the prior approval requirements of condition, under 49 U.S.C. 10905, are 103–202, § 202(c)(1)(B) (31 U.S.C. 3121 49 U.S.C. 10903 to discontinue service not appropriate. Additionally, no note). over all tracks and yards located within environmental or historic This notice shall constitute my the area bordered by Cedar Street on the documentation is required under 49 determination, pursuant to the authority north to Zepp Street on the south; and CFR 1105.6(c)(2) and 1105.8. placed in heads of agencies by 5 U.S.C. All filings in response to this notice App. 2, § 10(D) and vested me by 1 MRS is owned by Anheuser-Busch Companies, must refer to Docket No. AB–1075X, and Treasury Department Order No. 101–05, Inc. must be sent to: (1) Surface that the meeting will consist of

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discussions and debates of the issues Dated: April 7, 2011. SUPPLEMENTARY INFORMATION: OTS may presented to the Committee by the Mary Miller, not conduct or sponsor an information Secretary of the Treasury and the Assistant Secretary, Financial Markets. collection, and respondents are not making of recommendations of the [FR Doc. 2011–8759 Filed 4–12–11; 8:45 am] required to respond to an information Committee to the Secretary, pursuant to BILLING CODE 4810–25–M collection, unless the information Public Law 103–202, § 202(c)(1)(B). collection displays a currently valid OMB control number. As part of the Thus, this information is exempt from DEPARTMENT OF THE TREASURY approval process, we invite comments disclosure under that provision and 5 on the following information collection. U.S.C. 522b(c)(3)(B). In addition, the Office of Thrift Supervision Comments should address one or meeting is concerned with information more of the following points: that is exempt from disclosure under 5 Application and Termination Notice for a. Whether the proposed collection of U.S.C. 522b(c)(1)(A). The public interest Municipal Securities Dealer Principal information is necessary for the proper requires that such meetings be closed to or Representative performance of the functions of OTS; the public because the Treasury b. The accuracy of OTS’s estimate of Department requires frank and full AGENCY: Office of Thrift Supervision the burden of the proposed information advice from representatives of the (OTS), Treasury. collection; financial community prior to making its ACTION: Notice and request for comment. c. Ways to enhance the quality, final decisions on major financing utility, and clarity of the information to operations. Historically, this advice has SUMMARY: The Department of the be collected; been offered by debt management Treasury, as part of its continuing effort d. Ways to minimize the burden of the advisory committees established by the to reduce paperwork and respondent information collection on respondents, several major segments of the financial burden, invites the general public and including through the use of information technology. community. When so utilized, such a other Federal agencies to comment on We will summarize the comments committee is recognized to be an proposed and continuing information collections, as required by the that we receive and include them in the advisory committee under 5 U.S.C. App. OTS request for OMB approval. All 2, § 3. Paperwork Reduction Act of 1995, 44 U.S.C. 3507. The Office of Thrift comments will become a matter of Although the Treasury’s final Supervision within the Department of public record. In this notice, OTS is announcement of financing plans may the Treasury will submit the proposed soliciting comments concerning the not reflect the recommendations information collection requirement following information collection. provided in reports of the Committee, described below to the Office of Title of Proposal: Application and premature disclosure of the Committee’s Management and Budget (OMB) for Termination Notice for Municipal deliberations and reports would be review, as required by the Paperwork Securities Dealer Principal or likely to lead to significant financial Reduction Act. Today, OTS is soliciting Representative. speculation in the securities market. public comments on its proposal to OMB Number: 1550–0123. Thus this meeting falls within the extend this information collection. Form Numbers: MSD–5 and MSD–4. Description: Section 15B(a)(2) of the exemption covered by 5 U.S.C. DATES: Submit written comments on or Securities Exchange Act of 1934 (Act) 522b(c)(1)(A). before June 13, 2011. requires, in part, that municipal Treasury staff will provide a technical ADDRESSES: Send comments, referring to securities dealers notify their briefing to the press on the day before the collection by title of the proposal or appropriate regulatory agency (ARA) of the Committee meeting, following the by OMB approval number, to their activities. This information is release of a statement of economic Information Collection Comments, Chief required to satisfy the requirements of conditions and financing estimates. This Counsel’s Office, Office of Thrift the Act. The Financial Services briefing will give the press an Supervision, 1700 G Street, NW., Regulatory Relief Act of 2006 provides opportunity to ask questions about Washington, DC 20552; send a facsimile for the inclusion of the OTS in the financing projections. The day after the transmission to (202) 906–6518; or send definition of an ARA for Federal savings Committee meeting, Treasury will an e-mail to associations (FSA’s). release the minutes of the meeting, any [email protected]. The forms are completed by certain charts that were discussed at the OTS will post comments and the related FSA employees that act as municipal meeting, and the Committee’s report to index on the OTS Internet Site at securities dealer principals or the Secretary. http://www.ots.treas.gov. In addition, representatives, and are submitted to interested persons may inspect OTS. OTS reviews the information to The Office of Debt Management is comments at the Public Reading Room, monitor registered persons’ entry into, responsible for maintaining records of 1700 G Street, NW., by appointment. To and exit from, municipal securities debt management advisory committee make an appointment, call (202) 906– dealer activities. The information meetings and for providing annual 5922, send an e-mail to contributes to the OTS’s understanding reports setting forth a summary of [email protected], or send a of the FSA and helps to facilitate the Committee activities and such other facsimile transmission to (202) 906– supervision of the municipal securities matters as may be informative to the 7755. dealer activities. public consistent with the policy of 5 Type of Review: Extension of a U.S.C. 552(b). The Designated Federal FOR FURTHER INFORMATION CONTACT: You currently approved collection. Officer or other responsible agency can request additional information Affected Public: Businesses or other official who may be contacted for about this proposed information for-profit. additional information is Fred collection from Judith McCormick (202) Estimated Number of Respondents: Pietrangeli, Deputy Director for Office of 906–5636, Office of Thrift Supervision, 14. Estimated Frequency of Response: On Debt Management (202) 622–1876. 1700 G Street, NW., Washington, DC 20552. occasion.

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Estimated Total Burden: 11 hours. With respect to the following proposed collection of certain Dated: April 8, 2011. collection of information, VHA invites information by the agency. Under the Ira L. Mills, comments on: (1) Whether the proposed Paperwork Reduction Act (PRA) of collection of information is necessary 1995, Federal agencies are required to Paperwork Clearance Officer, Office of Chief publish notice in the Federal Register Counsel, Office of Thrift Supervision. for the proper performance of VHA’s functions, including whether the concerning each proposed collection of [FR Doc. 2011–8987 Filed 4–12–11; 8:45 am] information will have practical utility; information, including each proposed BILLING CODE 6720–01–P (2) the accuracy of VHA’s estimate of extension of a currently approved the burden of the proposed collection of collection and allow 60 days for public information; (3) ways to enhance the comment in response to the notice. This DEPARTMENT OF VETERANS quality, utility, and clarity of the notice solicits comments for information AFFAIRS information to be collected; and (4) needed to determine a veteran’s [OMB Control No. 2900–0662] ways to minimize the burden of the eligibility for vocational rehabilitation collection of information on benefits. Proposed Information Collection (Civil respondents, including through the use DATES: Written comments and Rights Discrimination Complaint); of automated collection techniques or recommendations on the proposed Comment Request the use of other forms of information collection of information should be technology. AGENCY: Veterans Health received on or before June 13, 2011. Title: Civil Rights Discrimination Administration, Department of Veterans ADDRESSES: Submit written comments Complaint, VA Form 10–0381. Affairs. on the collection of information through OMB Control Number: 2900–0662. Federal Docket Management System ACTION: Notice. Type of Review: Extension of a (FDMS) at http://www.Regulations.gov currently approved collection. SUMMARY: The Veterans Health or to Nancy J. Kessinger, Veterans Abstract: Veterans and other VHA Administration (VHA) is announcing an Benefits Administration (20M33), customers who believe that their civil opportunity for public comment on the Department of Veterans Affairs, 810 rights were violated by agency proposed collection of certain Vermont Avenue, NW., Washington, DC employees while receiving medical care information by the agency. Under the 20420 or e-mail to or services in VA medical centers, or Paperwork Reduction Act (PRA) of [email protected]. Please refer to institutions such as state homes 1995, Federal agencies are required to ‘‘OMB Control No. 2900–0009’’ in any receiving federal financial assistance publish notice in the Federal Register correspondence. During the comment from VA, complete VA Form 10–0381 to concerning each proposed collection of period, comments may be viewed online file a formal complaint of the alleged information, including each proposed through FDMS. discrimination. extension of a currently approved FOR FURTHER INFORMATION CONTACT: Affected Public: Individuals or collection, and allow 60 days for public Nancy J. Kessinger at (202) 461–9769 or households. FAX (202) 275–5947. comment in response to the notice. This Estimated Total Annual Burden: 46 notice solicits comments on information hours. SUPPLEMENTARY INFORMATION: Under the needed to process a claimant’s civil Estimated Average Burden per PRA of 1995 (Pub. L. 104–13; 44 U.S.C. rights discrimination complaint. Respondent: 15 minutes. 3501—3521), Federal agencies must DATES: Written comments and Frequency of Response: On occasion. obtain approval from the Office of recommendations on the proposed Estimated Number of Respondents: Management and Budget (OMB) for each collection of information should be 183. collection of information they conduct received on or before June 13, 2011. or sponsor. This request for comment is Dated: April 8, 2011. ADDRESSES: being made pursuant to Section Submit written comments By direction of the Secretary: on the collection of information through 3506(c)(2)(A) of the PRA. Denise McLamb, the Federal Docket Management System With respect to the following (FDMS) at http://www.Regulations.gov; Program Analyst, Enterprise Records Service. collection of information, VBA invites or to Cynthia Harvey-Pryor, Veterans [FR Doc. 2011–8899 Filed 4–12–11; 8:45 am] comments on: (1) Whether the proposed Health Administration (193E1), BILLING CODE 8320–01–P collection of information is necessary Department of Veterans Affairs, 810 for the proper performance of VBA’s Vermont Avenue, NW., Washington, DC functions, including whether the 20420 or e-mail: cynthia.harvey- DEPARTMENT OF VETERANS information will have practical utility; [email protected]. Please refer to ‘‘OMB AFFAIRS (2) the accuracy of VBA’s estimate of the burden of the proposed collection of Control No. 2900–0662’’ in any [OMB Control No. 2900–0009] correspondence. During the comment information; (3) ways to enhance the period, comments may be viewed online Proposed Information Collection quality, utility, and clarity of the through FDMS. (Disabled Veterans Application for information to be collected; and (4) ways to minimize the burden of the FOR FURTHER INFORMATION CONTACT: Vocational Rehabilitation) Activity: Comment Request collection of information on Cynthia Harvey-Pryor (202) 461–5870 or respondents, including through the use FAX (202) 273–9387. AGENCY: Veterans Benefits of automated collection techniques or SUPPLEMENTARY INFORMATION: Under the Administration, Department of Veterans the use of other forms of information PRA of 1995 (Pub. L. 104–13; 44 U.S.C. Affairs. technology. 3501—3521), Federal agencies must ACTION: Notice. Title: Disabled Veterans Application obtain approval from OMB for each for Vocational Rehabilitation (Chapter collection of information they conduct SUMMARY: The Veterans Benefits 31, Title 38 U.S.C), VA Form 28–1900. or sponsor. This request for comment is Administration (VBA), Department of OMB Control Number: 2900–0009. being made pursuant to Section Veterans Affairs (VA), is announcing an Type of Review: Extension of a 3506(c)(2)(A) of the PRA. opportunity for public comment on the currently approved collection.

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Abstract: VA Form 28–1900 is collection of information should be Estimated Number of Respondents: completed by Veterans with a combined received on or before June 13, 2011. 20. service-connected disability rating of ADDRESSES: Submit written comments Dated: April 8, 2011. ten percent or more and awaiting on the collection of information through By direction of the Secretary: discharge for such disability to apply for Federal Docket Management System Denise McLamb, vocational rehabilitation benefits. VA (FDMS) at http://www.Regulations.gov Program Analyst, Enterprise Records Service. provides service and assistance to or to Nancy J. Kessinger, Veterans veterans with disabilities, who have an Benefits Administration (20M33), [FR Doc. 2011–8903 Filed 4–12–11; 8:45 am] entitlement determination, to gain and Department of Veterans Affairs, 810 BILLING CODE 8320–01–P keep suitable employment. Vocational Vermont Avenue, NW., Washington, DC rehabilitation also provides service to 20420 or e-mail to support veterans with disabilities to DEPARTMENT OF VETERANS [email protected]. Please refer to AFFAIRS achieve maximum independence in ‘‘OMB Control No. 2900–0715’’ in any their daily living activities if correspondence. During the comment [OMB Control No. 2900–0556] employment is not reasonably feasible. period, comments may be viewed online VA use the information collected to through FDMS. Proposed Information Collection (Living Will and Durable Power of determine the claimant’s eligibility for FOR FURTHER INFORMATION CONTACT: Attorney for Health Care) Activity: vocational rehabilitation benefits. Nancy J. Kessinger at (202) 461–9769 or Comment Request Affected Public: Individuals or FAX (202) 275–5947. households. SUPPLEMENTARY INFORMATION: AGENCY: Estimated Annual Burden: 16,961 Under the Veterans Health hours. PRA of 1995 (Pub. L. 104–13; 44 U.S.C. Administration, Department of Veterans Estimated Average Burden per 3501—3521), Federal agencies must Affairs. Respondent: 15 minutes. obtain approval from the Office of ACTION: Notice. Frequency of Response: Annually. Management and Budget (OMB) for each Estimated Number of Respondents: collection of information they conduct SUMMARY: The Veterans Health 67,844. or sponsor. This request for comment is Administration (VHA) is announcing an being made pursuant to Section opportunity for public comment on the Dated: April 8, 2011. 3506(c)(2)(A) of the PRA. proposed collection of certain By direction of the Secretary. With respect to the following information used by the agency. Under Denise McLamb, collection of information, VBA invites the Paperwork Reduction Act (PRA) of Program Analyst, Enterprise Records Service. comments on: (1) Whether the proposed 1995, Federal agencies are required to [FR Doc. 2011–8901 Filed 4–12–11; 8:45 am] collection of information is necessary publish notice in the Federal Register BILLING CODE 8320–01–P for the proper performance of VBA’s concerning each proposed collection of functions, including whether the information, including each proposed information will have practical utility; extension of a currently approved DEPARTMENT OF VETERANS (2) the accuracy of VBA’s estimate of the collection, and allow 60 days for public AFFAIRS burden of the proposed collection of comment in response to the notice. This [OMB Control No. 2900–0715] information; (3) ways to enhance the notice solicits comments on information quality, utility, and clarity of the needed to record patient’s specific Proposed Information Collection information to be collected; and (4) instructions about health care decisions (Servicer’s Staff Appraisal Reviewer ways to minimize the burden of the in the event he or she is no longer has (SAR) Application) Activity: Comment collection of information on decision-making capability. Request respondents, including through the use DATES: Written comments and of automated collection techniques or recommendations on the proposed AGENCY: Veterans Benefits the use of other forms of information collection of information should be Administration, Department of Veterans technology. received on or before June 13, 2011. Affairs. Title: Servicer’s Staff Appraisal ADDRESSES: Submit written comments ACTION: Notice. Reviewer (SAR) Application, VA Form on the collection of information through 26–0829. SUMMARY: The Veterans Benefits Federal Docket Management System OMB Control Number: 2900–0715. (FDMS) at http://www.Regulations.gov Administration (VBA), Department of Type of Review: Extension of a or to Cynthia Harvey-Pryor, Veterans Veterans Affairs (VA), is announcing an currently approved collection. Health Administration (193E1), opportunity for public comment on the Abstract: VA Form 26–0829 is Department of Veterans Affairs, 810 proposed collection of certain completed by servicers to nominate Vermont Avenue, NW., Washington, DC information by the agency. Under the employees for approval as Staff 20420; or e-mail: cynthia.harvey- Paperwork Reduction Act (PRA) of Appraisal Reviewer (SAR). Servicers [email protected]. Please refer to ‘‘OMB 1995, Federal agencies are required to SAR’s will have the authority to review Control No. 2900–0556’’ in any publish notice in the Federal Register real estate appraisals and to issue correspondence. During the comment concerning each proposed collection of liquidation notices of value on behalf of period, comments may be viewed online information, including each proposed VA. VA will also use the data collected through FDMS. new collection, and allow 60 days for to track the location of SARs when there public comment in response to the is a change in employment. FOR FURTHER INFORMATION CONTACT: notice. This notice solicits comments on Affected Public: Business or other for- Cynthia Harvey-Pryor at (202) 461–5870 information needed to nominate profit. or FAX (202) 273–9381. servicer appraisal employee as a staff Estimated Annual Burden: 2 hours. SUPPLEMENTARY INFORMATION: Under the appraisal reviewer. Estimated Average Burden per PRA of 1995 (Pub. L. 104–13; 44 U.S.C. DATES: Written comments and Respondent: 5 minutes. 3501—3521), Federal agencies must recommendations on the proposed Frequency of Response: On occasion. obtain approval from the Office of

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Management and Budget (OMB) for each ACTION: Notice. evaluation of the levels of non-response collection of information they conduct for each question. or sponsor. This request for comment is SUMMARY: In compliance with the The survey pool for the pilot C&P being made pursuant to Section Paperwork Reduction Act (PRA) of 1995 Enrollment questionnaire will include 3506(c)(2)(A) of the PRA. (44 U.S.C. 3501–21), this notice individuals who have received a With respect to the following announces that the Veterans Benefits decision on a compensation or pension collection of information, VHA invites Administration (VBA), Department of benefit claim within 30 days prior to the comments on: (1) Whether the proposed Veterans Affairs, will submit the fielding period. The sample will be collection of information is necessary collection of information abstracted stratified as follows: (1) Type of benefit for the proper performance of VHA’s below to the Office of Management and (i.e., Compensation, Pension) (2) functions, including whether the Budget (OMB) for review and comment. claimants who were found eligible (3) information will have practical utility; The PRA submission describes the claimants who were found ineligible (2) the accuracy of VHA’s estimate of nature of the information collection and and are not appealing their claim. The the burden of the proposed collection of its expected cost and burden and it survey pool for the pilot Compensation information; (3) ways to enhance the includes the actual data collection servicing questionnaire will include quality, utility, and clarity of the instrument. individuals who have been receiving information to be collected; and (4) DATES: Comments must be submitted on compensation benefits for at least 6 ways to minimize the burden of the or before May 13, 2011. months or individuals who received a collection of information on ADDRESSES: Submit written comments decision on a compensation claim 6–18 respondents, including through the use on the collection of information through months prior to the field period. The of automated collection techniques or http://www.Regulations.gov; or to VA’s sample will be stratified as follows: (1) the use of other forms of information OMB Desk Officer, OMB Human Individuals who were granted a technology. Resources and Housing Branch, New decision, are receiving benefits and not Title: VA Advance Directive: Living Executive Office Building, Room 10235, appealing their benefit, (2) individuals Will and Durable Power of Attorney for Washington, DC 20503 (202) 395–7316. who were granted a decision, are Health Care, VA Form 10–0137. ‘‘ receiving benefits and are appealing OMB Control Number: 2900–0556. Please refer to OMB Control No. 2900– New (VOV)’’ in any correspondence. their benefit, (3) individuals who were Type of Review: Extension of a denied benefits and are appealing (4) FOR FURTHER INFORMATION OR A COPY OF currently approved collection. individuals who were denied benefits THE SUBMISSION CONTACT: Abstract: Claimants admitted to a VA Denise and are not appealing. The survey pool medical facility complete VA Form 10– McLamb, Enterprise Records Service for the pilot Pension servicing 0137 to appoint a health care agent to (005R1B), Department of Veterans questionnaire will include individuals make decision about his or her medical Affairs, 810 Vermont Avenue, NW., who have been receiving pension treatment and to record specific Washington, DC 20420, (202) 461–7485, benefits for at least 6 months or instructions about their treatment FAX (202) 461–0966 or e-mail: individuals who received a decision on preferences in the event they no longer [email protected]. Please refer to a pension claim 6–18 months prior to can express their preferred treatment. ‘‘OMB Control No. 2900–New (VOV).’’ the field period. The sample will be VA’s health care professionals use the SUPPLEMENTARY INFORMATION: Title: stratified as follows: (1) Individuals who data collected to carry out the claimant’s Veterans Benefits Administration (VBA) were granted a decision, are receiving wish. Voice of the Veteran (VOV) Pilot benefits and not appealing their benefit, Affected Public: Individuals or Surveys. (2) individuals who were granted a households. a. Compensation and Pension (C&P) decision, are receiving benefits and are Estimated Total Annual Burden: Service Surveys. appealing for additional special benefits 171,811 hours. J.D. Power will be pilot testing three (i.e., Aid and Attendance, Housebound), Estimated Average Burden Per survey instruments for the (3) individuals who were denied Respondent: 30 minutes. Compensation and Pension (C&P) benefits and are appealing. Frequency of Response: One time. Service line of business. Based on the b. Education (EDU) Service Surveys. Estimated Number of Respondents: numerous interviews conducted, JDPA J.D. Power will be pilot testing two 343,622. has separated the Veterans experience survey instruments for the Education Dated: April 8, 2011. with C&P into two categories— (EDU) Service line of business. Based on By direction of the Secretary: Enrollment in a Benefit and Servicing of the numerous interviews conducted, Denise McLamb, a Benefit. There will be one survey JDPA has separated the Veterans Program Analyst, Enterprise Records Service. instrument for the Enrollment category experience with Education into two [FR Doc. 2011–8898 Filed 4–12–11; 8:45 am] that will be used for both compensation categories—Enrollment in a Benefit and and pension claimants; compensation Servicing of a Benefit. There will be one BILLING CODE 8320–01–P beneficiaries and pension beneficiaries survey instrument for the Enrollment will receive separate Servicing category and one survey instrument for DEPARTMENT OF VETERANS instruments. The Enrollment the Servicing category. The Enrollment AFFAIRS questionnaire will include factors questionnaire will include factors relating to benefit eligibility and the relating to benefit eligibility and the [OMB Control No. 2900–New (VOV)] application process, benefit entitlement, application process, benefit entitlement, Agency Information Collection benefit information, and VA personnel. benefit information, and VA personnel. (Veterans Benefits Administration The Servicing questionnaires will The Servicing questionnaire will (VBA) Voice of the Veteran (VOV) Pilot include the same factors as Enrollment, include the same factors as Enrollment, Surveys); Activity Under OMB Review with the exception of benefit eligibility with the exception of benefit eligibility and the application process factor. The and the application process factor. The AGENCY: Veterans Benefits results of the pilot test will be used to results of the pilot test will be used to Administration, Department of Veterans examine the effectiveness and reliability examine the effectiveness and reliability Affairs. of the survey instrument, including an of the survey instrument, including an

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evaluation of the levels of non-response in post-approval, (4) those who have will be stratified as follows: (1) Veterans for each question. had all their funds disbursed and final who are currently participating, (2) The survey pool for the pilot accounting is not yet complete, and (5) Veterans who have been rehabilitated, Education Enrollment questionnaire those who have had all of their funds (3) Veterans who did not fully complete will include individuals who have disbursed and final accounting is program (negative closures), and (4) received a decision on their education complete. Veterans who have reached maximum benefit application within 90 days (i.e., d. Vocational Rehabilitation and rehabilitation gain and could not the original end-product has been Employment (VR&E) Service Surveys. proceed in program. The survey pool for cleared within the past 90 days) prior to J.D. Power will be pilot testing three the pilot VR&E Escaped Beneficiary the fielding period. The sample will be survey instruments for the Vocational questionnaire will include individuals stratified as follows: (1) Accepted and Rehabilitation and Employment (VR&E) who dropped out of the program prior enrolled, (2) accepted and not enrolled, Service line of business. Based on the to completing a rehabilitation plan. The (3) denied. The survey pool for the pilot numerous interviews conducted, JDPA sample will be stratified as follows: (1) Education Servicing questionnaire will has separated the Veterans experience Applicants who never attended the include beneficiaries who have been with Education into three categories— initial meeting with a counselor, (2) enrolled and receiving education benefit Enrollment in a Benefit, Servicing of a applicants who were determined to be payments for at least 2 consecutive Benefit, and Escaped Beneficiaries. entitled and did not complete a school terms prior to the fielding period. There will be one survey instrument for rehabilitation plan, and (3) applicants c. Loan Guaranty (LGY) Service the Enrollment category, one survey who started, but did not complete Surveys. instrument for the Servicing category, rehabilitation (i.e., negative closures). J.D. Power will be pilot testing two and one survey instrument for the OMB Control Number: 2900–New survey instruments for the Loan Escaped Beneficiary category. The (VOV). Guaranty (LGY) Service line of business. Enrollment questionnaire will include Type of Review: New collection. Based on the numerous interviews factors relating to benefit eligibility and Abstract: In 2008, VBA recognized a conducted, JDPA has separated the the application process, benefit need to develop and design an Veterans experience with Loan entitlement, benefit information, and integrated, comprehensive Voice of the Guaranty into two categories—Home VA personnel. The Servicing Veteran (VOV) measurement program Loan Enrollment and Processing, and questionnaire will include the same for their lines of business. This Specially Adapted Housing Servicing factors as Enrollment, with the continuous measurement program will (Assessment and Grant Process). There exception of benefit eligibility and the help VBA understand what is important will be one survey instrument for the application process factor. The Escaped to Veterans relative to VBA services and Home Loan category, and one survey Beneficiary questionnaire will include will provide VA/VBA leadership with instrument for the Specially Adapted similar factors to Enrollment and actionable and timely customer Housing category. The Home Loan Servicing, however, the questionnaire feedback on how VBA is performing Enrollment questionnaire will include will address the experience that is against those metrics. Insights will help factors relating to benefit eligibility and unique to potential beneficiaries who identify opportunities for improvement the application process, benefit applied for the benefit but decided not and measure the impact of improvement entitlement, benefit information, and to pursue the benefit or services initiatives. VA personnel. Additionally, the Home provided, including the reasons why The program started with numerous Loan questionnaire will address areas they chose not to continue with the interviews with stakeholders at various specific to the Loan Process. The benefit application process or the VR&E levels within the VBA organization and Specially Adapted Housing Servicing program. The results of the pilot test Veterans Service Organizations to questionnaire will include the same will be used to examine the identify information needs and factors as Home Loan, but will address effectiveness and reliability of the perceived gaps in current processes. the grant process rather than the loan survey instrument, including an Surveys are designed to address those process. The results of the pilot test will evaluation of the levels of non-response needs. be used to examine the effectiveness for each question. VBA has engaged J.D. Power and and reliability of the survey instrument, The survey pool for the pilot VR&E Associates to conduct this survey including an evaluation of the levels of Enrollment questionnaire will include initiative. The questionnaires are non-response for each question. individuals who had an initial meeting drafted in accordance with the J.D. The survey pool for the pilot LGY with their VR&E counselor and were Power and Associates Index Model—the Enrollment questionnaire will include granted a decision regarding their cornerstone of all proprietary and individuals who closed a VA home loan entitlement in the past 60 days prior to syndicated research studies conducted in the 30 days prior to the fielding the fielding period. The sample will be by J.D. Power. The model will allow J.D. period. The sample will be stratified as stratified as follows: (1) Those who Power to quantify, based on the survey follows: (1) Those who closed on applied, showed up for an initial data, what is most important and least purchase loans, (2) those who received appointment, were found entitled to and important with regard to satisfying our loans for interest rate reductions, and (2) decided to pursue the program, (2) those nation’s Veterans. those who obtained cash out or other who applied, showed up for an initial All survey instruments for each line refinancing. The survey pool for the appointment, were found entitled to and of business, Compensation and Pension pilot SAH servicing questionnaire will decided not to pursue the program, (3) Service, Education Service, Vocational include individuals who are eligible for those who applied, showed up for an Rehabilitation and Employment Service, a specially adapted housing grant in FY initial appointment and were not found and Loan Guaranty Service, will contain 2009. The sample will be stratified as entitled to the program. The survey pool common factors to allow VBA to follows: (1) Those who have not yet for the pilot VR&E Servicing compare scores across lines of business. applied, (2) those who have applied but questionnaire will include individuals In addition, JDPA will be in a position have not yet received a decision, (3) who have entered and been enrolled in to provide VBA with an Overall those who have received an approval on one of the five tracks for at least 60 days Satisfaction score for their experience their grant and are currently somewhere prior to the fielding period. The sample across all benefits provided by VBA.

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An agency may not conduct or b. Education (EDU) Service Surveys— b. Education (EDU) Service Surveys— sponsor, and a person is not required to 1,500 hours. 6,000. respond to a collection of information c. Loan Guaranty (LGY) Service c. Loan Guaranty (LGY) Service unless it displays a currently valid OMB Surveys—1,125 hours. Surveys—4,500. control number. The Federal Register d. Vocational Rehabilitation and d. Vocational Rehabilitation and Notice with a 60-day comment period Employment (VR&E) Service Employment (VR&E) Service Surveys— soliciting comments on this collection Surveys—1,875 Hours. 7,500. of information was published on Estimated Average Burden per Dated: April 8, 2011. January 24, 2011, at pages 4152–4153. By direction of the Secretary. Affected Public: Individuals and Respondent: 15 minutes. Households. Frequency of Response: One time. Denise McLamb, Estimated Annual Burden: Estimated Number of Respondents: Program Analyst, Enterprise Records Service. a. Compensation and Pension (C&P) a. Compensation and Pension (C&P) [FR Doc. 2011–8902 Filed 4–12–11; 8:45 am] Service Surveys—3,000 hours. Service Surveys—12,000. BILLING CODE 8320–01–P

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Part II

The President

Proclamation 8650—National Crime Victims’ Rights Week, 2011 Proclamation 8651—Pan American Day and Pan American Week, 2011 Proclamation 8652—National Former Prisoner of War Recognition Day, 2011

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Federal Register Presidential Documents Vol. 76, No. 71

Wednesday, April 13, 2011

Title 3— Proclamation 8650 of April 8, 2011

The President National Crime Victims’ Rights Week, 2011

By the President of the United States of America

A Proclamation Though our homes and neighborhoods are safer than they have been in decades, millions of Americans still become victims of crime each year. For many citizens, a sense of security remains painfully elusive, and we must continue to fight crime wherever it exists. During National Crime Victims’ Rights Week, we renew our commitment to assisting those who have been victimized by crime and supporting those who help survivors rebuild their lives. Crisis counselors, law enforcement professionals, legal advocates, safe haven staff, and other service providers help victims meet basic needs and find renewed hope for their future. My Administration remains focused on advancing the progress made in preventing crime and enforcing the rights of its survivors. We have shined a light on hidden crimes like cyberbullying, online child sexual exploitation, and sexual assault on college campuses. Through the President’s Interagency Task Force to Monitor and Combat Trafficking in Persons, we are coordinating efforts to address this heinous offense and support its victims. The Tribal Law and Order Act I signed into law last year gives Native communities new tools to fight crime and greater resources to assist American Indian and Alaska Native women who have been the victims of sexual assault or domestic abuse. To avoid the recurrence of another financial crisis, we are also working to prevent and prosecute financial crimes. My Administration’s Financial Fraud Enforcement Task Force helps combat fraud and restore losses suffered by individuals affected by predatory lending, mortgage fraud, and other deceptive financial practices. For assistance, resources, or additional information, Americans can visit: www.CrimeVictims.gov. As we commemorate National Crime Victims’ Rights Week, we reaffirm our pledge to join in supporting crime victims and creating safer communities. NOW, THEREFORE, I, BARACK OBAMA, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim April 10 through April 16, 2011, as National Crime Victims’ Rights Week. I call upon all Americans to observe this week by participating in events that raise aware- ness of victims’ rights and services and by volunteering to serve victims in their time of need.

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IN WITNESS WHEREOF, I have hereunto set my hand this eighth day of April, in the year of our Lord two thousand eleven, and of the Independ- ence of the United States of America the two hundred and thirty-fifth.

[FR Doc. 2011–9142 Filed 4–12–11; 11:15 am] Billing code 3195–W1–P

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Proclamation 8651 of April 8, 2011

Pan American Day and Pan American Week, 2011

By the President of the United States of America

A Proclamation

Throughout Pan American Day and Pan American Week, we celebrate the close partnerships across our hemisphere that advance the ability of our citizens to enjoy freedom and reach for their highest aspirations. Every day, the future is being forged by the countries and peoples of the Americas. The world must now recognize the Americas as a whole as a dynamic and growing region, because the Americas are democratic and at peace, and we are coming together to address shared challenges. Increasingly, our hemisphere is contributing to global prosperity and security. The bonds between our people are rooted not only in mutual respect and shared interests and responsibilities, but also in common values. As the nations of the Americas continue to grow, progress, and address the challenges of our day, our friendships will be more important than ever to attaining and maintaining security and prosperity for all. This year, the Americas can celebrate milestones that have strengthened the ties between our societies. More than 60 years ago, our nations came together in an Organization of American States and declared that ‘‘representa- tive democracy is an indispensable condition for the stability, peace, and development of the region.’’ A decade ago, we reaffirmed this principle, with an Inter-American Democratic Charter that stated ‘‘the people of the Americas have a right to democracy and their governments have an obligation to promote and defend it.’’ This year, we also observe the United Nations’ and the Organization of American States’ designation of 2011 as the Inter- national Year for People of African Descent, an opportunity to recognize the myriad ways that men and women of African descent have strengthened our countries and enriched our societies. The Americas demonstrate to countries around the world the strength of democracy as a means of supporting people’s yearnings for freedom and the pursuit of happiness, but we know our work is far from finished. Many citizens in our region live in poverty or lack access to jobs and economic opportunity, and some suffer injustice and human rights violations, including freedom of expression. In Haiti and in other places where natural disasters have struck, many lack access to basic necessities. As we come together to build our economies, increase cooperation on citizen security and trade, and promote democracy, we know our friendships, partnerships, and shared principles will help us overcome today’s challenges and build a safer and more prosperous future. As we celebrate Pan American Day and Pan American Week, let us reempha- size the cooperation between all nations of the Americas as a vital part of our interconnected world. Together, we will continue to build on our partnerships of equality and shared responsibility and demonstrate that change is possible, every nation can be free, and there can be no denying the dignity and human rights our countries uphold.

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NOW, THEREFORE, I, BARACK OBAMA, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim April 14, 2011, as Pan American Day and April 10 through April 16, 2011, as Pan American Week. I urge the Governors of the 50 States, the Governor of the Common- wealth of Puerto Rico, and the officials of other areas under the flag of the United States of America to honor these observances with appropriate ceremonies and activities. IN WITNESS WHEREOF, I have hereunto set my hand this eighth day of April, in the year of our Lord two thousand eleven, and of the Independ- ence of the United States of America the two hundred and thirty-fifth.

[FR Doc. 2011–9143 Filed 4–12–11; 11:15 am] Billing code 3195–W1–P

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Proclamation 8652 of April 8, 2011

National Former Prisoner of War Recognition Day, 2011

By the President of the United States of America

A Proclamation The men and women of the United States Armed Forces have faced innumer- able challenges while dedicating their lives to the defense of our liberties. Contending with perilous combat zones, deployment overseas, and long absences from home, generations of service members have answered Amer- ica’s call in its hour of need. On National Former Prisoner of War Recognition Day, a grateful Nation acknowledges a debt that can never be repaid and honors those who faced the most unfathomable of challenges with the utmost bravery and conviction. We pay solemn tribute to those American sons and daughters who have endured unimaginable hardship at the hands of foreign captors. Often faced with deplorable physical and mental treatment, the tremendous personal sacrifice of these warriors exemplifies the highest of ideals—honor, duty, and selfless service. We also pay tribute to the families and friends of these service members, who embody the same qualities of bravery and sacrifice exhibited by their loved ones, and bear a burden silently measured in sleepless nights and missed birthdays. America cherishes those veterans who have returned home after imprison- ment on foreign soil. We remain dedicated to fulfilling the sacred trust to care for all who have borne the battle. This day and every day, each of these heroes holds a special place of honor in our hearts and the well- earned support of a thankful Nation. NOW, THEREFORE, I, BARACK OBAMA, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim April 9, 2011, as National Former Prisoner of War Recognition Day. I call upon all Americans to observe this day of remembrance by honoring our service members, vet- erans, and all American prisoners of war. I also call upon Federal, State, and local government officials and organizations to observe this day with appropriate ceremonies and activities.

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IN WITNESS WHEREOF, I have hereunto set my hand this eighth day of April, in the year of our Lord two thousand eleven, and of the Independ- ence of the United States of America the two hundred and thirty-fifth.

[FR Doc. 2011–9146 Filed 4–12–11; 11:15 am] Billing code 3195–W1–P

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Reader Aids Federal Register Vol. 76, No. 71 Wednesday, April 13, 2011

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING APRIL

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. 1465...... 19683 Presidential Documents 1 CFR 1470...... 19683 304...... 18635 Executive orders and proclamations 741–6000 Proposed Rules: The United States Government Manual 741–6000 2 CFR 301...... 18419 Other Services 319...... 18419 Proposed Rules: 1260...... 18422 Electronic and on-line services (voice) 741–6020 Ch. III ...... 20568 1463...... 19710 Privacy Act Compilation 741–6064 Ch. XXX...... 20568 Public Laws Update Service (numbers, dates, etc.) 741–6043 3 CFR 9 CFR TTY for the deaf-and-hard-of-hearing 741–6086 91...... 18347 Proclamations: 8641...... 18629 201...... 18348 ELECTRONIC RESEARCH 8642...... 18631 391...... 20220 590...... 20220 World Wide Web 8643...... 18633 8644...... 19259 592...... 20220 Full text of the daily Federal Register, CFR and other publications Proposed Rules: is located at: www.fdsys.gov. 8645...... 19261 8646...... 19262 11...... 20569 Federal Register information and research tools, including Public 8647...... 19265 10 CFR Inspection List, indexes, and links to GPO Access are located at: 8648...... 19899 www.ofr.gov. 8649...... 20215 430...... 19902 E-mail 8650...... 20829 835...... 20489 8651...... 20831 Proposed Rules: FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 8652...... 20833 Ch. II ...... 18965 an open e-mail service that provides subscribers with a digital 430 ...... 18105, 18425, 19913, form of the Federal Register Table of Contents. The digital form Executive Orders: 12824 (amended by 20090 of the Federal Register Table of Contents includes HTML and 431...... 18127, 18428 PDF links to the full text of each document. 13569) ...... 19891 12835 (amended by Ch. III ...... 18954 To join or leave, go to http://listserv.access.gpo.gov and select 13569) ...... 19891 Ch. X...... 18954 Online mailing list archives, FEDREGTOC-L, Join or leave the list 12859 (amended by 12 CFR (or change settings); then follow the instructions. 13569) ...... 19891 PENS (Public Law Electronic Notification Service) is an e-mail 13532 (amended by 213...... 18349 service that notifies subscribers of recently enacted laws. 13569) ...... 19891 226...... 18354 563e...... 20490 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 13507 (revoked by 13569) ...... 19891 717...... 18365 and select Join or leave the list (or change settings); then follow 748...... 18365 the instructions. 13569...... 19891 Administrative Orders: 965...... 18367 FEDREGTOC-L and PENS are mailing lists only. We cannot Memorandums: 966...... 18367 respond to specific inquiries. Memorandum of April 969...... 18367 Reference questions. Send questions and comments about the 6, 2011 ...... 19893 987...... 18367 Federal Register system to: [email protected] Notices: 1270...... 18367 Notice of April 7, Proposed Rules: The Federal Register staff cannot interpret specific documents or 234...... 18445 regulations. 2011 ...... 19897 Reminders. Effective January 1, 2009, the Reminders, including 5 CFR 13 CFR Rules Going Into Effect and Comments Due Next Week, no longer 4401...... 19901 109...... 18007 appear in the Reader Aids section of the Federal Register. This Proposed Rules: 120...... 18376 information can be found online at http://www.regulations.gov. Ch. XXIII ...... 18954 14 CFR CFR Checklist. Effective January 1, 2009, the CFR Checklist no Ch. XXIV...... 18954 longer appears in the Federal Register. This information can be Ch. XLII...... 18104 23...... 19903 found online at http://bookstore.gpo.gov/. Ch. XLV ...... 20568 27...... 20490 39 ...... 18020, 18022, 18024, 6 CFR 18029, 18031, 18033, 18038, FEDERAL REGISTER PAGES AND DATE, APRIL Proposed Rules: 18376, 18865, 20229, 20231, 18001–18346...... 1 5...... 18954 20493, 20496, 20498, 20501, 18347–18630...... 4 20503 7 CFR 61...... 19267 18631–18860...... 5 46...... 20217 71 ...... 18040, 18041, 18378, 18861–19264...... 6 253...... 18861 20233 19265–19682...... 7 622...... 19683 97...... 18379, 18382 19683–19898...... 8 624...... 19683 Proposed Rules: 19898–20214...... 11 625...... 19683 33...... 18130 20215–20488...... 12 946...... 18001 39 ...... 18454, 18664, 18957, 20489–20834...... 13 989...... 18003 18960, 18964, 19278, 19710,

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19714, 19716, 19719, 19721, 301...... 18059, 18385 Proposed Rules: Proposed Rules: 19724 Proposed Rules: 1...... 18990 502...... 19022 71 ...... 19281, 20279, 20280, 1...... 20593, 20595 40 CFR 47 CFR 20281 31...... 20595 139...... 20570 301...... 18134 51...... 18870 73 ...... 18415, 18942, 19275, 52 ...... 18650, 18870, 18893, 19276, 20248, 20249 15 CFR 27 CFR 20237, 20239, 20242 74...... 18942 Proposed Rules: 19...... 19908 60...... 18408 300...... 18652 806...... 19282 30...... 19908 63...... 18064 Proposed Rules: 75...... 18415, 20536 1 ...... 18137, 18476, 18490, 16 CFR 28 CFR 80...... 18066 18679, 20297 305...... 20233 94...... 19909 85...... 19830 6...... 20297 306...... 19684 86...... 19830 7...... 20297 1303...... 18645 29 CFR 112...... 18894 8...... 20297 Proposed Rules: 4...... 18832 180 ...... 18895, 18899, 18906, 17...... 18679 1224...... 19914 516...... 18832 18915, 19701, 20537, 20542 22...... 18679 1500...... 19926 531...... 18832 268...... 18921 24...... 18679 271...... 18927 25...... 18679 17 CFR 553...... 18832 778...... 18832 300...... 18066, 20546 27...... 18679 240...... 20506 779...... 18832 1042...... 20550 64...... 18490 Proposed Rules: 780...... 18832 Proposed Rules: 73...... 18497 229...... 18966 785...... 18832 52 ...... 19292, 19662, 19739, 80...... 18679 240...... 18966 786...... 18832 20291, 20293, 20296, 20598, 87...... 18679 20602 90...... 18679 18 CFR 790...... 18832 2520...... 18649 168...... 18995 48 CFR Proposed Rules: 4042...... 18388 180...... 19001 Ch. 1 ...... 18304 Ch. I ...... 18954 4044...... 18869 268...... 19003 284...... 20571 1...... 18324 Proposed Rules: 271...... 19004 300...... 18136, 20605 2...... 18304 19 CFR Ch. II ...... 18104 4...... 18304 Ch. IV...... 18104 Proposed Rules: 41 CFR 6...... 18304 Ch. V...... 18104 4...... 18132 13...... 18304 Ch. XVII ...... 18104 300...... 18326 24...... 18132 302...... 18326 14...... 18304 Ch. XXV...... 18104 15...... 18304 Proposed Rules: 20 CFR 2520...... 19285 18...... 18304 Ch. 50 ...... 18104 Ch. XL...... 18134 19...... 18304 404...... 18383, 19692 Ch. 60 ...... 18104 26...... 18304 416...... 18383, 19692 30 CFR Ch. 61 ...... 18104 Proposed Rules: 33...... 18304 Proposed Rules: Ch. 109 ...... 18954 404...... 20282 36...... 18304 Ch. I ...... 18104 416...... 20282 42 CFR 42...... 18304 104...... 18467 Ch. IV...... 18104 52...... 18304 938...... 18467 413...... 18930 Ch. V...... 18104 53 ...... 18072, 18304, 18322 Proposed Rules: Ch. VI...... 18104 604...... 20249 31 CFR Ch. I ...... 20568 Ch. VII...... 18104 637...... 20249 306...... 18062 Ch. IV...... 20568 Ch. IX...... 18104 652...... 20249 Ch. V...... 20568 356...... 18062 Proposed Rules: 424...... 18472 21 CFR 357...... 18062 2...... 18497 425...... 19528 179...... 20509 363...... 18062 31...... 18497 520...... 18648 33 CFR 44 CFR 32...... 18497 610...... 20513 45...... 18497 1314...... 20518 110...... 20524 64...... 18934 49...... 18497 117...... 19910, 19911 65 ...... 18938, 20551, 20553, Proposed Rules: 52...... 18497 165 ...... 18389, 18391, 18394, 20554, 20556 Ch. I...... 20568, 20588 53...... 18497 18395, 18398, 18869, 19698, 11...... 19192, 19238 Proposed Rules: Ch. 3 ...... 20568 20530, 20532 16...... 20575 67 ...... 19005, 19007, 19018, Ch. 9 ...... 18954 101...... 19192, 19238 Proposed Rules: 20606 Ch. 29 ...... 18104 312...... 20575 100...... 19926, 20595 45 CFR 49 CFR 511...... 20575 110...... 20287 812...... 20575 165 ...... 18669, 18672, 18674, 2553...... 20243 8...... 19707 19290, 20287 Proposed Rules: 40...... 18072 22 CFR Ch. II ...... 20568 213...... 18073 34 CFR Proposed Rules: Ch. III ...... 20568 541...... 20251 120...... 20590 600...... 20534 Ch. IV...... 20568 Proposed Rules: 124...... 20590 602...... 20534 Ch. X...... 20568 384...... 19023 603...... 20534 Ch. XIII...... 20568 385...... 20611 23 CFR 668...... 20534 1355...... 18677 390...... 20611 1340...... 18042 682...... 20534 1356...... 18677 395...... 20611 685...... 20534 1357...... 18677 544...... 20298 25 CFR 686...... 20534 Proposed Rules: 690...... 20534 46 CFR 50 CFR Ch. I ...... 20287 691...... 20534 115...... 19275 17...... 18087, 20558 Ch. III ...... 18457 Proposed Rules: 170...... 19275 218...... 20257 Ch. V...... 20568 99...... 19726 176...... 19275 226...... 20180 178...... 19275 300...... 19708 26 CFR 37 CFR 520...... 19706 622...... 18416 1 ...... 19268, 19907, 20524 1...... 18400 532...... 19706 635...... 18417, 18653

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648...... 18661, 19276 679...... 18663, 19912 Proposed Rules: 17 ...... 18138, 18684, 18701, 19304, 20464, 20613 20...... 19876 223...... 20302 224...... 20302 300...... 18706 635...... 18504 648 ...... 18505, 19305, 19929 660...... 18706, 18709 665...... 19028

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The text of laws is not H.R. 1363/P.L. 112–8 enacted public laws. To published in the Federal Further Additional Continuing subscribe, go to http:// LIST OF PUBLIC LAWS Register but may be ordered Appropriations Amendments, listserv.gsa.gov/archives/ in ‘‘slip law’’ (individual 2011 (Apr. 9, 2011; 125 Stat. publaws-l.html This is a continuing list of pamphlet) form from the 34) public bills from the current Superintendent of Documents, Last List April 5, 2011 session of Congress which U.S. Government Printing Note: This service is strictly have become Federal laws. It Office, Washington, DC 20402 for E-mail notification of new may be used in conjunction (phone, 202–512–1808). The Public Laws Electronic laws. The text of laws is not with ‘‘P L U S’’ (Public Laws text will also be made Notification Service available through this service. Update Service) on 202–741– available on the Internet from (PENS) PENS cannot respond to 6043. This list is also GPO Access at http:// specific inquiries sent to this available online at http:// www.gpoaccess.gov/plaws/ address. www.archives.gov/federal- index.html. Some laws may PENS is a free electronic mail register/laws.html. not yet be available. notification service of newly

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