Vol. 80 Thursday, No. 5 January 8, 2015

Pages 1005–1328

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 80, No. 5

Thursday, January 8, 2015

Agriculture Department PROPOSED RULES See Forest Service Airworthiness Directives: Continental Motors, Inc. Reciprocating Engines, 1008– Army Department 1013 See Engineers Corps Slot Management and Transparency: LaGuardia John F. Kennedy International and Newark Bureau of Consumer Financial Protection Liberty International Airports, 1274–1306 NOTICES NOTICES Agency Information Collection Activities; Proposals, Petitions for Exemptions; Summaries: Submissions, and Approvals, 1027–1028 Altavian, Inc., 1068–1069 Bowhead Mission Solutions, LLC, 1069 Chemical Safety and Hazard Investigation Board Brandau, Jerry, 1067–1068 NOTICES Kansas State University, 1068 Meetings; Sunshine Act, 1015 Federal Communications Commission Coast Guard RULES NOTICES Acceleration of Broadband Deployment by Improving Meetings: Wireless Facilities Siting Policies, 1238–1271 Chemical Transportation Advisory Committee, 1037–1038 Rural Call Completion; Correction, 1007

Commerce Department Federal Election Commission See Foreign-Trade Zones Board NOTICES See International Trade Administration Meetings; Sunshine Act, 1030 See National Oceanic and Atmospheric Administration Federal Motor Carrier Safety Administration Defense Department NOTICES See Engineers Corps Hours of Service of Drivers; Exemption Applications: California Farm Bureau Federation, 1069–1070 Department of Transportation Qualification of Drivers; Exemption Applications: See Pipeline and Hazardous Materials Safety Diabetes Mellitus, 1070–1072 Administration Hearing, 1072–1073

Energy Department Federal Reserve System PROPOSED RULES NOTICES Energy Conservation Program for Certain Industrial Changes in Bank Control: Equipment: Acquisitions of Shares of a Bank or Bank Holding Energy Conservation Standards and Test Procedures for Company, 1030 Commercial Heating, Air-Conditioning, and Water- Proposals To Engage in or To Acquire Companies Engaged Heating Equipment, 1172–1236 in Permissible Nonbanking Activities; Correction, 1030

Engineers Corps Foreign-Trade Zones Board NOTICES NOTICES Environmental Impact Statements; Availability, etc.: Production Activities; Authorizations: Loxahatchee River Watershed Restoration Project, 1028– Airbus Americas, Inc., Foreign-Trade Zone 82 , Mobile, 1029 AL, 1015 Orbital Sciences Corp., Foreign-Trade Zone 75, Phoenix, Environmental Protection Agency AZ, 1015 NOTICES Agency Information Collection Activities; Proposals, Forest Service Submissions, and Approvals: NOTICES Reporting in the FIFRA Cooperative Agreement Work Environmental Impact Statements; Availability, etc.: Plan and Report Template, 1029 Powell Travel Management Project, Powell Ranger District, UT, 1014–1015 Equal Employment Opportunity Commission NOTICES Health and Human Services Department Meetings; Sunshine Act, 1029–1030 See National Institutes of Health See Substance Abuse and Mental Health Services Federal Aviation Administration Administration RULES Safety Management Systems for Certificate Holders Homeland Security Department Operating, 1308–1328 See Coast Guard

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Housing and Urban Development Department Land Management Bureau NOTICES NOTICES Agency Information Collection Activities; Proposals, Agency Information Collection Activities; Proposals, Submissions, and Approvals: Submissions, and Approvals: Assessment of Funded or Designated Neighborhood Oil, Gas, and Geothermal Resources; Transfers and Networks Centers and Other Computer Labs within Assignments, 1047–1048 Public Housing Authorities and Multifamily Housing Properties, 1038–1039 National Highway Traffic Safety Administration Community Development Block Grant Disaster Recovery NOTICES Funds: Meetings: Third Allocation, Waivers, and Alternative Requirements Test Device for Human Occupant Restraint, 1073–1074 for Grantees in Response to Disasters Occurring in 2013, 1039–1043 National Institutes of Health NOTICES Meetings: Interior Department Center for Scientific Review, 1030–1033 See Land Management Bureau National Institute of Allergy and Infectious Diseases, See National Park Service NOTICES 1032 Privacy Act; Systems of Records, 1043–1047 National Labor Relations Board NOTICES International Trade Administration Meetings; Sunshine Act, 1051 NOTICES Antidumping or Countervailing Duty Investigations, Orders, National Oceanic and Atmospheric Administration or Reviews: NOTICES Carbon and Certain Alloy Steel Wire Rod from the Applications: People’s Republic of China, 1015–1019 Marine Mammals, 1027 Citric Acid and Certain Citrate Salts from the People’s Republic of China, 1017–1018 National Park Service Crystalline Silicon Photovoltaic Cells, Whether or Not NOTICES Assembled into Modules, from the People’s Republic Records of Decisions: of China, 1021–1025 General Management Plan, Gulf Islands National Crystalline Silicon Photovoltaic Cells, Whether or Not Seashore, Florida and Mississippi, 1048 Assembled Into Modules, from the People’s Republic of China, 1019–1021 Nuclear Regulatory Commission Non-Malleable Cast Iron Pipe Fittings from the People’s NOTICES Republic of China, 1025–1027 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 1051–1052 International Trade Commission Meetings; Sunshine Act, 1052 NOTICES Investigations; Determinations, Modifications, and Rulings, Pipeline and Hazardous Materials Safety Administration etc.: RULES Carbon and Certain Alloy Steel Wire Rod from China, Hazardous Materials: 1049 Harmonization with International Standards, 1076–1169 Securities and Exchange Commission Judicial Conference of the United States NOTICES NOTICES Agency Information Collection Activities; Proposals, Meetings: Submissions, and Approvals, 1052–1055 Judicial Conference Advisory Committee on Rules of Meetings; Sunshine Act, 1055 Criminal Procedure, 1049 Self-Regulatory Organizations; Proposed Rule Changes: NASDAQ Stock Market, LLC, 1057–1062 NYSE Arca, Inc., 1065–1067 Justice Department NYSE MKT, LLC, 1055–1057 RULES Options Clearing Corp., 1062–1065 Grants to Encourage Arrest Policies and Enforcement of Protection Orders, 1005–1007 NOTICES State Department Consent Decrees: NOTICES Clean Water Act, 1049–1050 Culturally Significant Objects Imported for Exhibition: Proposed Consent Decrees under CERCLA, 1050 Ink and Gold –– Art of the Kano Exhibition, 1067 Substance Abuse and Mental Health Services Labor Department Administration NOTICES Agency Information Collection Activities; Proposals, NOTICES Submissions, and Approvals: Agency Information Collection Activities; Proposals, Telephone Point of Purchase Survey, 1050–1051 Submissions, and Approvals, 1032–1037

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Surface Transportation Board Part IV NOTICES Federal Communications Commission, 1238–1271 Operation Exemptions: Pennsylvania and Southern Railway, LLC, from Franklin Part V County General Authority, 1074 Transportation Department, Federal Aviation Transportation Department Administration, 1274–1306 See Federal Aviation Administration See Federal Motor Carrier Safety Administration Part VI See National Highway Traffic Safety Administration Transportation Department, Federal Aviation See Pipeline and Hazardous Materials Safety Administration, 1308–1328 Administration See Surface Transportation Board Reader Aids Consult the Reader Aids section at the end of this page for Separate Parts In This Issue phone numbers, online resources, finding aids, reminders, Part II and notice of recently enacted public laws. Transportation Department, Pipeline and Hazardous To subscribe to the Federal Register Table of Contents Materials Safety Administration, 1076–1169 LISTSERV electronic mailing list, go to http:// listserv.access.gpo.gov and select Online mailing list Part III archives, FEDREGTOC-L, Join or leave the list (or change Energy Department, 1172–1236 settings); then follow the instructions.

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CFR PARTS AFFECTED IN THIS ISSUE

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

10 CFR Proposed Rules: 431...... 1172 14 CFR 5...... 1308 119...... 1308 Proposed Rules: 39...... 1008 93...... 1274 28 CFR 0...... 1005 90...... 1005 47 CFR 1...... 1238 17...... 1238 64...... 1007 49 CFR 171...... 1076 172...... 1076 173...... 1076 175...... 1076 176...... 1076 178...... 1076 180...... 1076

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Rules and Regulations Federal Register Vol. 80, No. 5

Thursday, January 8, 2015

This section of the FEDERAL REGISTER designed to improve criminal justice VAWA 2000 made several changes to contains regulatory documents having general system responses to domestic violence, the Arrest Program including applicability and legal effect, most of which sexual assault, and stalking, and to prioritizing enforcement of protection are keyed to and codified in the Code of increase the availability of services for orders, recognizing the roles of courts, Federal Regulations, which is published under 50 titles pursuant to 44 U.S.C. 1510. victims of these crimes. VAWA probation, and parole, and addressing recognized the need for specialized the specific needs of older victims and The Code of Federal Regulations is sold by responses to violence against women victims with disabilities. VAWA 2005 the Superintendent of Documents. Prices of given the unique barriers that impede made additional changes including new books are listed in the first FEDERAL victims from accessing assistance from expanding the program to address REGISTER issue of each week. the justice system. To help communities sexual assault, adding new purpose develop these specialized responses, areas, and adding new certification VAWA authorized several grant requirements relating to HIV testing of DEPARTMENT OF JUSTICE programs, including the Grants to sex offenders and prohibiting 28 CFR Parts 0 and 90 Encourage Arrest Policies Program polygraphing of sexual assault victims. (Arrest Program). The Arrest Program is VAWA 2013 added several sexual [OVW Docket No. 111] codified at 42 U.S.C. 3796hh through assault-specific purpose areas, a set RIN 1105–AB43 3796hh–4. The final rule for the Arrest aside of funds of 25% for projects that Program, found at 28 CFR part 90, address sexual assault, and improved Grants To Encourage Arrest Policies subpart D, was promulgated on August the certification and eligibility and Enforcement of Protection Orders 6, 1996. requirements. On October 28, 2000, Congress AGENCY: Office on Violence Against Description of Changes enacted the Violence Against Women Women, Justice. Act of 2000 (VAWA 2000), Division B This amends the regulations for the ACTION: Final rule. of the Victims of Trafficking and Arrest Program to comply with statutory SUMMARY: This rule amends the Violence Protection Act of 2000, Pub. L. changes and reduce repetition of regulations for the Grants to Encourage 106–386, 114 Stat. 1464. On January 5, statutory language. 2006, Congress enacted the Violence Arrest Policies and Enforcement of In addition, the Violence Against Against Women and Department of Protection Orders Program (Arrest Women Office Act, title IV of the 21st Justice Reauthorization Act (VAWA Program) to incorporate statutory Century Department of Justice 2005), Pub. L. 109–162, 119 Stat. 2960. changes, make minor technical Appropriations Authorization Act, Pub. On March 7, 2013, Congress enacted the corrections, and streamline existing L. 107–273, codified at 42 U.S.C. Violence Against Women regulations to reduce repetition of 3796gg–0 et seq., authorized the Office Reauthorization Act of 2013 (VAWA statutory language. This rule also on Violence Against Women as a 2013), Pub. L. 113–4, 127 Stat. 54. These amends the regulations to clarify that ‘‘separate and distinct office within the reauthorizations all enhanced the Arrest existing regulations on grant-related Department of Justice.’’ To avoid any Program in different ways. procedures continue to apply to grants possible confusion, this rule clarifies made by the Office on Violence Against Grants To Encourage Arrest Policies that the existing grant-making Women. and Enforcement of Protection Orders provisions of 28 CFR part 18, which set DATES: This rule is effective March 9, Program forth hearing and appeal procedures 2015. available for applicants and for The Arrest Program is designed to FOR FURTHER INFORMATION CONTACT: recipients of certain Department of encourage State, local, and tribal Marnie Shiels, Office on Violence Justice grant funding, apply to grants governments and State, local, and tribal Against Women, 145 N Street NE., Suite administered by the Office on Violence courts to treat domestic violence, dating 10W.121, Washington, DC 20530, by Against Women. violence, sexual assault, and stalking as telephone (202) 307–6026 or by email at serious violations of criminal law. The The Office on Violence Against [email protected]. Arrest Program recognizes that sexual Women published the Notice of SUPPLEMENTARY INFORMATION: assault, domestic violence, dating Proposed Rulemaking in the Federal Background violence, and stalking are crimes that Register on August 5, 2014. The require the criminal justice system to comment period closed on October 6, The Violence Against Women Act and hold offenders accountable for their 2014. Two comments were received, Subsequent Legislation actions through investigation, arrest, both of which supported the goal of this In 1994, Congress passed the Violence and prosecution of violent offenders, regulation to incorporate statutory Against Women Act (VAWA), a and through close judicial scrutiny and changes, make minor technical comprehensive legislative package management of offender behavior. The corrections, and streamline existing aimed at ending violence against Arrest Program challenges the regulations to reduce repetition of women. VAWA was enacted on community to listen, communicate, statutory language. Neither comment September 13, 1994, as title IV of the identify problems, and share ideas that made any recommendations for the Violent Crime Control and Law will result in new responses to ensure regulation. Therefore, the Office on Enforcement Act of 1994, Pub. L. 103– victim safety and offender Violence Against Women is finalizing 322, 108 Stat. 1796. VAWA was accountability. the proposed rule without change.

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Executive Orders 12866 and 13563— major increase in cost or prices; or 90.67 Review of applications. Regulatory Review significant adverse effects on § 90.60 Scope. This regulation has been drafted and competition, employment, investment, productivity, innovation, or on the The eligibility criteria, purpose areas, reviewed in accordance with Executive application requirements, and statutory Order 12866, ‘‘Regulatory Planning and ability of United States-based companies to compete in domestic and priorities for this program are Review’’ section 1(b), Principles of established by 42 U.S.C. 3796hh et seq. Regulation, and in accordance with export markets. Executive Order 13563 ‘‘Improving List of Subjects § 90.61 Definitions and grant conditions. Regulation and Regulatory Review’’ (a) In general. For purposes of this section 1(b), General Principles of 28 CFR Part 0 subpart, the definitions and grant Regulation. Judicial administration, Reporting and conditions in 42 U.S.C. 13925 apply. The Department of Justice has recordkeeping requirements, (b) Unit of local government. For the determined that this rule is not a Whistleblowing. purpose of this subpart, a unit of local ‘‘significant regulatory action’’ under government is any city, county, 28 CFR Part 90 Executive Order 12866, section 3(f), township, town, borough, parish, Regulatory Planning and Review, and Grant programs—law, Judicial village, or other general purpose accordingly this rule has not been administration, Reporting and political subdivision of a State. The reviewed by the Office of Management recordkeeping requirements, Women. following are not considered units of and Budget. This rule relates to matters For the reason set forth in the local government for purposes of this of agency practice and procedure and preamble, the Office on Violence subpart: amends the applicable regulations to Against Women amends 28 CFR parts 0 (1) Police departments; conform to statutory changes. and 90 as follows: (2) Pre-trial service agencies; Executive Order 13132 (3) District or city attorneys’ offices; PART 0—ORGANIZATION OF THE (4) Sheriffs’ departments; This regulation will not have DEPARTMENT OF JUSTICE (5) Probation and parole departments; substantial direct effects on the States, (6) Shelters; on the relationship between the national ■ 1. The authority citation for part 0 (7) Nonprofit, nongovernmental government and the States, or on the continues to read as follows: victim service providers; and distribution of power and (8) Universities. responsibilities among the various Authority: 5 U.S.C. 301; 28 U.S.C. 509, 510, 515–519. levels of government. Therefore, in § 90.62 Purposes. accordance with Executive Order 13132, ■ 2. In § 0.122, add paragraph (c) to read (a) Purpose areas for the program are it is determined that this rule does not as follows: provided by 42 U.S.C. 3796hh(b). have sufficient federalism implications (b) Grants awarded for these purposes § 0.122 Office on Violence Against must demonstrate meaningful attention to warrant preparation of a Federalism Women. Assessment. to victim safety and offender * * * * * accountability. Regulatory Flexibility Act (c) Departmental regulations set forth The Office on Violence Against in part 18 of this title, shall apply with § 90.63 Eligibility. Women, in accordance with the equal force and effect to grant programs (a) Eligible entities. Eligible entities Regulatory Flexibility Act (5 U.S.C. administered by the Office on Violence are described in 42 U.S.C. 3796hh(c). 605(b)), has reviewed this regulation Against Women, with references to the (b) Certifications—(1) State, local, and and by approving it certifies that this Office of Justice Programs and its tribal governments. State, local, and regulation will not have a significant components in such regulations deemed tribal government applicants must economic impact upon a substantial to refer to the Office on Violence certify that they meet the requirements number of small entities for the Against Women, as appropriate. of 42 U.S.C. 3796hh(c)(A)–(E) or that following reason: the economic impact they will meet the requirements by the is limited to the Office on Violence PART 90—VIOLENCE AGAINST statutory deadline. Against Women’s appropriated funds. WOMEN (2) Courts. Court applicants must certify that they meet the requirements Unfunded Mandates Reform Act of 1995 ■ 3. The authority citation for part 90 of 42 U.S.C. 3796hh(c)(C)–(E) or that This rule will not result in the continues to read as follows: they will meet the requirements by the expenditure by State, local, and tribal Authority: 42 U.S.C. 3711–3796gg–7; Sec. statutory deadline. governments, in the aggregate, or by the 826, Part E, Title VIII, Pub. L. 105–244, 112 (3) State, tribal, or territorial domestic private sector of $100,000,000 or more Stat. 1581, 1815. violence or sexual assault coalitions or in any one year, and it will not uniquely ■ 4. Subpart D is revised to read as victim service providers. Applicants that affect small governments. Therefore, no follows: are domestic violence or sexual assault actions were deemed necessary under coalitions or other victim service the provisions of the Unfunded Subpart D—Grants to Encourage providers must partner with a State, Mandates Reform Act of 1995. Arrest Policies and Enforcement of local, or tribal government. The partner Protection Orders government must certify that it meets Small Business Regulatory Enforcement the requirements of 42 U.S.C. Fairness Act of 1996 Sec. 3796hh(c)(A)–(E) or that it will meet the This rule is not a major rule as 90.60 Scope. requirements by the statutory deadline. 90.61 Definitions and grant conditions. defined by section 804 of the Small 90.62 Purposes. (4) Letters. Eligible applicants or Business Regulatory Enforcement 90.63 Eligibility. partners must submit a letter with Fairness Act of 1996. This rule will not 90.64 Speedy notice to victims. proper certifications signed by the chief result in an annual effect on the 90.65 Application content. executive officer of the State, local economy of $100,000,000 or more; a 90.66 Evaluation. government, or tribal government

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participating in the project, in order to § 90.65 Application content. 2014, a document concerning an Order satisfy these statutory requirements. (a) Format. Applications from eligible on Reconsideration (Order) affirming OVW will not accept submission of entities must be submitted as described the Commission’s commitment to statutes, laws or policies in lieu of such in the relevant program solicitation ensuring that high quality telephone a letter. developed by the Office on Violence service must be available to all (c) Partnerships—(1) Governments Against Women and must include all Americans. In the Order, the and courts. All State, local, and tribal the information required by 42 U.S.C. Commission established rules to combat government and court applicants are 3796hh–1(a). extensive problems with successfully required to enter into a formal (b) Certification. Each eligible completing calls to rural areas, and collaboration with victim service applicant must certify that all the created a framework to improve the providers and, as appropriate, information contained in the ability to monitor call problems and population specific organizations. application is correct. All submissions take appropriate enforcement action. In Sexual assault, domestic violence, will be treated as a material the Order, the Commission denies dating violence, or stalking victim representation of fact upon which several petitions for reconsideration service providers must be involved in reliance will be placed, and any false or that, if granted, would impair the the development and implementation of incomplete representation may result in Commission’s ability to monitor, and the project. In addition to the suspension or termination of funding, take enforcement action against, call requirements of 42 U.S.C. 13925, victim recovery of funds provided, and civil completion problems. The Commission service providers should meet the and/or criminal sanctions. does, however, grant one petition for reconsideration because the following criteria: § 90.66 Evaluation. (i) Address a demonstrated need in Commission finds that modifying its (a) Recipients of Arrest Program funds their communities by providing services original determination will significantly must agree to cooperate with federally- that promote the dignity and self- lower providers’ compliance costs and sponsored research and evaluation sufficiency of victims, improve their burdens without impairing the studies of their projects at the direction access to resources, and create options Commission’s ability to obtain reliable of the Office on Violence Against for victims seeking safety from and extensive information about rural Women. call completion problems. perpetrator violence; and (b) Grant funds may not be used for (ii) Do not engage in or promote purposes of conducting research or DATES: This rule corrects an amendment activities that compromise victim safety. evaluations. Recipients of Arrest that contains new or modified (2) Coalitions and victim service Program funds are, however, strongly information collection requirements that providers. All State, tribal, or territorial encouraged to develop a local will not be effective until approved by domestic violence or sexual assault evaluation strategy to assess the impact the Office of Management and Budget. coalition and other victim service and effectiveness of their projects. The Federal Communications provider applicants are required to enter Applicants should consider entering Commission will publish a document in into a formal collaboration with a State, into partnerships with research the Federal Register announcing the Indian tribal government or unit of local organizations that are submitting effective date. government, and, as appropriate, simultaneous grant applications to the population specific organizations. FOR FURTHER INFORMATION CONTACT: National Institute of Justice or other Claude Aiken, Wireline Competition § 90.64 Speedy notice to victims. research funding sources for this Bureau, Competition Policy Division, purpose. (a) In general. A State or unit of local (202) 418–1580, or send an email to government shall not be entitled to 5 § 90.67 Review of applications. [email protected] percent of the funds allocated under this The provisions of 42 U.S.C. 3796 et SUPPLEMENTARY INFORMATION: The subpart, unless the State or unit of local seq. and this subpart provide the basis Commission published a document in government certifies that it meets the for review and approval or disapproval the Federal Register of December 10, requirements regarding speedy notice to of applications and amendments in 2014, (79 FR 73227), amending victims provided in 42 U.S.C. whole or in part. § 64.2101 of the Commission’s rules. 3796hh(d). Dated: December 23, 2014. (b) Units of local governments. (1) In Final rule FR Doc. 2014–28936 Bea Hanson, Units of local government grantees may published on December 10, 2014, (79 FR certify based on State or local law, Principal Deputy Director. 73237), make the following correction. policy, or regulation. [FR Doc. 2014–30766 Filed 1–7–15; 8:45 am] On page 73237, in the second column, revise amendatory instruction 2 (2) In the event that a unit of local BILLING CODE 4410–FX–P regarding § 64.2101, and remove the government does not have authority to ‘‘(f)’’ before the definition of ‘‘Long- prosecute ‘‘crime[s] in which by force or distance voice service.’’ threat of force the perpetrator compels FEDERAL COMMUNICATIONS the victim to engage in sexual COMMISSION The revision reads as follows: activity[,]’’ the unit of local government 47 CFR Part 64 ■ ‘‘2. Amend § 64.2101 by removing the may submit a letter from an appropriate paragraph (f) designation for the legal authority in the jurisdiction [WC Docket No. 13–39; FCC 14–175] definition of ‘‘Long-distance voice certifying that the jurisdiction does not Rural Call Completion service’’ and revising the definition to have the authority to prosecute read as follows:’’ ‘‘crime[s] in which by force or threat of AGENCY: Federal Communications Federal Communications Commission. force the perpetrator compels the victim Commission. Sheryl D. Todd, to engage in sexual activity’’ and that ACTION: Final rule; correction. therefore the certification is not relevant Deputy Secretary. to the unit of local government in SUMMARY: The Commission published in [FR Doc. 2014–30870 Filed 1–7–15; 8:45 am] question. the Federal Register of December 10, BILLING CODE 6712–01–P

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Proposed Rules Federal Register Vol. 80, No. 5

Thursday, January 8, 2015

This section of the FEDERAL REGISTER cylinder assemblies, which could lead section. Comments will be available in contains notices to the public of the proposed to failure of the engine, in-flight the AD docket shortly after receipt. issuance of rules and regulations. The shutdown, and loss of control of the FOR FURTHER INFORMATION CONTACT: purpose of these notices is to give interested airplane. We are reopening the comment Jurgen E. Priester, Aerospace Engineer, persons an opportunity to participate in the period to allow the public the chance to rule making prior to the adoption of the final Special Certification Office, FAA, rules. comment on the proposed changes to Rotorcraft Directorate, 2601 Meacham the NPRM. Blvd., Fort Worth, TX 76137; phone: DATES: We must receive comments on 817–222–5190; fax: 817–222–5785; DEPARTMENT OF TRANSPORTATION this SNPRM by February 23, 2015. email: [email protected]. SUPPLEMENTARY INFORMATION: Federal Aviation Administration ADDRESSES: You may send comments, using the procedures found in 14 CFR Comments Invited 14 CFR Part 39 11.43 and 11.45, by any of the following methods: We invite your review of the commenter list provided in Docket No. [Docket No. FAA–2012–0002; Directorate • Federal eRulemaking Portal: Go to FAA–2012–0002. If you submitted a Identifier 2011–NE–42–AD] http://www.regulations.gov. Follow the comment to an organization and do not instructions for submitting comments. RIN 2120–AA64 see the name of the organization in the • Fax: 202–493–2251. commenter list, please submit your Airworthiness Directives; Continental • Mail: U.S. Department of Motors, Inc. Reciprocating Engines comment directly to us as provided for Transportation, Docket Operations, M– in this SNPRM. If you submitted as an AGENCY: Federal Aviation 30, West Building Ground Floor, Room individual, you will not be listed as a Administration (FAA), DOT. W12–140, 1200 New Jersey Avenue SE., commenter. Washington, DC 20590. ACTION: We also invite you to review our Supplemental notice of • proposed rulemaking (NPRM); Hand Delivery: U.S. Department of responses to comments, and to resubmit reopening of comment period. Transportation, Docket Operations, M– your comment if you conclude that your 30, West Building Ground Floor, Room comment was not responded to below. SUMMARY: We are revising an earlier W12–140, 1200 New Jersey Avenue SE., We also invite you to send any proposed airworthiness directive (AD) Washington, DC 20590, between 9 a.m. written relevant data, views, or for certain Airmotive Engineering Corp. and 5 p.m., Monday through Friday, arguments about this SNPRM. Send (AEC) replacement parts manufacturer except Federal holidays. your comments to an address listed approval (PMA) cylinder assemblies For service information identified in under the ADDRESSES section. Include marketed by Engine Components this proposed AD, contact Engine ‘‘Docket No. FAA–2012–0002; International Division (ECi). These Components International Division, Directorate Identifier 2011–NE–42–AD’’ cylinder assemblies are used on all 9503 Middlex Drive, San Antonio, TX at the beginning of your comments. We Continental Motors, Inc. (CMI) model 78217; phone: 210–820–8101; Internet: specifically invite comments on the 520 and 550 reciprocating engines, and http://www.eci.aero/pages/tech_ overall regulatory, economic, on all other CMI engine models svcpubs.aspx. You may view this environmental, and energy aspects of approved for the use of model 520 and service information at the FAA, Engine this SNPRM. We will consider all 550 cylinder assemblies, such as the & Propeller Directorate, 12 New England comments received by the closing date CMI model 470 when modified by Executive Park, Burlington, MA. For and may amend this SNPRM because of supplemental type certificate (STC). The information on the availability of this those comments. NPRM proposed to require initial and material at the FAA, call 781–238–7125. We will post all comments we repetitive inspections, replacement of Examining the AD Docket receive, without change, to http:// cracked cylinder assemblies, and www.regulations.gov, including any replacement of cylinder assemblies at You may examine the AD docket on personal information you provide. We reduced times-in-service. The NPRM the Internet at http:// will also post a report summarizing each also proposed to prohibit the www.regulations.gov by searching for substantive verbal contact we receive installation of affected cylinder and locating Docket No. FAA–2012– about this SNPRM. assemblies into any engine. The NPRM 0002; or in person at the Docket was prompted by reports of multiple Management Facility between 9 a.m. Discussion cylinder head-to-barrel separations and and 5 p.m., Monday through Friday, We issued an NPRM to amend 14 CFR cracked and leaking aluminum cylinder except Federal holidays. The AD docket part 39 by adding an AD that would heads. This supplemental NPRM contains this SNPRM, the regulatory apply to certain AEC replacement PMA (SNPRM) modifies the schedule for evaluation, any comments received, and cylinder assemblies marketed by ECi. removal of the affected cylinder other information. Given the volume of These assemblies are used on CMI assemblies, adds that overhauled comments received, we are not model 520 and 550 reciprocating affected cylinder assemblies be removed identifying the individual commenters engines, and all other CMI engine within 80 hours, eliminates a reporting within this SNPRM. However, we models approved for the use of models requirement, and removes the identify all commenters, other than 520 and 550 cylinder assemblies such as requirement for initial and repetitive individuals, in the docket. The street the CMI model 470 when modified by inspections. We are proposing this address for the Docket Office (phone: STC. The NPRM published in the SNPRM to prevent failure of the 800–647–5527) is in the ADDRESSES Federal Register on August 12, 2013 (78

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FR 48828). The NPRM proposed to period. Although there are assemblies affected by this NPRM (78 require initial and repetitive approximately four times as many OEM FR 48828, August 12, 2013) were caused inspections, immediate replacement of cylinder assemblies in service than ECi by pilot error rather than by design cracked cylinder assemblies, and cylinder assemblies, the ECi cylinder deficiencies of the cylinder assemblies. replacement of cylinder assemblies at assemblies suffered more cylinder head They therefore requested that we not reduced times-in-service (TIS) since separations than OEM cylinder issue the AD. new. The NPRM also proposed to assemblies since 2004. This data is We disagree. If pilot error was leading prohibit the installation of affected available for review in Docket No. FAA– to cylinder head separation, then we cylinder assemblies into any engine. 2012–0002. We did not withdraw the would expect to see similar damage in NPRM. engines with other than ECi cylinder Actions Since Previous NPRM Was assemblies installed where the pilots Issued Request To Withdraw the NPRM exceeded the same limitation(s). Since the NPRM published on August Because Airplanes Can Operate Safely However, we do not have any such data. 12, 2013 (78 FR 48828), we received With a Separated Cylinder Head We did not withdraw the NPRM. numerous comments on the proposed Numerous aircraft operators, Request To Adopt Less Stringent maintenance organizations, and private rule. We reviewed those comments and Compliance Requirements considered their impact to safety. Some citizens commented that we should not of those comments included additional issue the AD because airplanes can The National Transportation Safety failure information that we continue to operate safely even after a Board (NTSB), other organizations, subsequently incorporated in our cylinder head separation. Several numerous aircraft operators, and private updated risk analysis. commenters have also stated that citizens commented that the compliance Following our comment review, we airplane engines are designed and requirements in the proposed AD are determined that we needed to review certified to safely operate with one too severe and that we should adopt less how we proposed to address the unsafe failed cylinder. They cited 14 CFR 33.43 stringent requirements. condition. So, we formed a multi- in support of their position. We agree that the requirements for directorate/multi-disciplinary team to We disagree. The safety consequences removal of the cylinder assemblies can review the technical basis of the represented by a cylinder head be made less severe. Our updated proposed rule, as well as the numerous separation in flight are significant, and analysis indicates that our proposed public comments, and the additional include multiple secondary effects, like reduced compliance interval with the failure information provided by fire. We did not withdraw the NPRM. attendant removal from service of commenters, to the NPRM. This team We also disagree that § 33.43, affected cylinder assemblies and lesser confirmed that the subject cylinder Vibration Test, supports the impact to operators addresses the unsafe assemblies are unsafe. commenter’s position that airplanes are condition and is consistent with our risk The team’s review of the new data certified to operate safely after a guidelines. We revised the compliance provided by commenters supports a cylinder head separation. Section paragraphs in this SNPRM by changing lengthier compliance interval. This team 33.43(d), addressing the engine the schedule for removal of affected therefore recommended several changes vibration survey of § 33.43(a), requires cylinder assemblies to a phased removal to the NPRM, which resulted in this assessment of crankshaft vibration for schedule for all affected cylinder SNPRM. an engine that has one cylinder that ‘‘is assemblies based on total time in service not firing.’’ That paragraph, like the rest since new. Comments of § 33.43, does not discuss cylinder The NTSB also recommended in We gave the public the opportunity to head separation. We did not withdraw NTSB Safety Recommendation A–12–7 comment on the NPRM (78 FR 48828, the NPRM. that we impose a repetitive inspection August 12, 2013). The following requirement for certain ECi cylinder presents the comments received on the Request To Withdraw the NPRM assemblies and their removal once they NPRM and the FAA’s response to each Because Root Cause of Cylinder Failure reach the manufacturer’s recommended comment. Is Unknown time between overhaul (TBO). Numerous aircraft operators, We disagree. Repetitive inspections Request To Withdraw the NPRM maintenance organizations, and private until TBO as suggested by the Because ECi Cylinder Assemblies Are citizens requested that we withdraw the commenter, is inconsistent with the Not Unsafe NPRM (78 FR 48828, August 12, 2013) serious hazard represented by cylinder Many operators, maintenance because the FAA failed to identify the assembly failures. Therefore, we are organizations, and private citizens asked root cause(s) of cylinder head requiring removal of affected cylinder that we withdraw the NPRM (78 FR separations. assemblies from service prior to TBO. 48828, August 12, 2013). The We disagree. The root cause of the Also, engine overhaul is not a commenters claimed that the affected cylinder head separation is not the requirement for all operators. Therefore, ECi cylinder assemblies have an unsafe condition. We have identified tying the proposed recurrent inspection equivalent, or lower, failure rate than the unsafe condition—cylinder head to engine overhaul would not resolve that of cylinder assemblies separation. Removal of the cylinder the unsafe condition. We did not change manufactured by the original equipment assembly resolves the unsafe condition. this proposed AD based on this manufacturer (OEM). We concluded that We did not withdraw the NPRM. comment. these commenters were requesting that The NTSB also noted that the we withdraw the NPRM because they Request To Withdraw the NPRM proposed rule would affect many more believe that the ECi cylinder assemblies Because Pilot Error Is Causing Cylinder cylinder assemblies than the NTSB had are not unsafe. Head Separations included in its safety recommendation We disagree. The rate of separation for Numerous organizations, aircraft letter A–12–7, dated February 24, 2012, the affected ECi cylinder assemblies is operators, and private citizens to the FAA. The NTSB commented that at least 32 times greater than that of commented that cylinder head the NPRM’s proposal to remove Group OEM cylinder assemblies over the same separations involving the ECi cylinder A cylinder assemblies (S/Ns 1 through

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33696) with fewer than 500 hours TIS Request To Review Repetitive in the text of this SNPRM. We did not or more than 1,000 hours TIS within 25 Compression Test and Leak Check withdraw the NPRM. hours does not appear to be supported Some aircraft operators commented Miscellaneous Comments to the NPRM by existing service information or that they successfully passed the We received several comments on the discussions between the NTSB and the compression test with the piston at top- FAA. rulemaking process, including several dead-center, while still finding the who supported the NPRM (78 FR 48828, We disagree. Based on service failure cylinders cracked. We interpret the August 12, 2013) as proposed. Several data and known implementation of comment to be that the proposed commenters stated that hundreds of design improvements, this proposed AD inspection and test was inadequate to failures of the affected cylinder must apply to cylinder assemblies S/Ns detect a cracked cylinder assembly. assemblies had been reported to the We agree. The inspection and test 1 through 61176. We did not change this FAA and ECi. proposed AD based on this comment. may not detect cracks. Also, we have We thank the commenters for their received field reports of separated participation in the rulemaking process. Request for FAA To Follow Its Own cylinders that occurred within the Risk Assessment Policies repetitive 50-hour compression test and Summary of Changes to the NPRM leak check inspection intervals Numerous aviation associations, First, we removed the 50 hour proposed by the NPRM. We therefore repetitive inspection requirement in the aircraft operators, maintenance concluded that these tests are not organizations, and private citizens NPRM (78 FR 48828, August 12, 2013). sufficiently reliable and the cost We did so because we determined that commented that the FAA had not associated with such ongoing tests the inspection, compression test, and followed its own risk assessment outweighs the safety benefit. We leak check proposed by the NPRM was policies in issuing the NPRM (78 FR changed this SNPRM by removing the not effective in detecting cracked 48828, August 12, 2013). requirement for repetitive compression cylinders. Based on further review of We disagree. The corrective actions and leak inspection tests. service information, we determined that proposed in the NPRM, and as revised Request To Withdraw the NPRM a compression test and leak check will by this SNPRM, are consistent with Because of Excessive Cost not identify a crack until the crack has FAA Order 8040.4A, ‘‘Safety Risk propagated all the way through the Management Policy,’’ dated April 30, Numerous aviation associations, cylinder wall to some detectable 2012, and the Monitor Safety/Analyze aircraft operators, maintenance location. Therefore, we are relying on Data (MSAD) process defined in FAA organizations, and private citizens the phased removal of the cylinders Order 8110.107A, ‘‘Monitor Safety/ commented that the FAA should along with annual or 100-hour withdraw the NPRM (78 FR 48828, Analyze Data,’’ dated October 1, 2012. inspections already required by other August 12, 2013) because the cost of The requirements of this proposed AD regulations to provide an adequate level compliance is excessive to owners and are also consistent with the guidance of of safety. operators of aircraft with engines that We eliminated the requirement to Engine & Propeller Directorate have affected cylinder assemblies. memorandum ‘‘Risk Assessment for report details of all cylinder assemblies We disagree. We find that the safety removed per the requirements of the AD Reciprocating Engine Airworthiness benefits of the proposed rule, as Directives,’’ PS–ANE–100–1999–00006, to the FAA. This information is no changed by this SNPRM, outweigh its longer needed since we will rely on our dated May 24, 1999. We did not change estimated cost. Further, we recalculated this SNPRM as a result of this comment. established reporting channels, e.g., the cost of the NPRM (78 FR 48828, Service Difficulty Reporting (SDR) and Request To Withdraw the NPRM August 12, 2013). Our previous estimate Malfunction/Defect (M/D) reports, to Because of the Risk of Maintenance was based on 36,000 cylinder report future cylinder head failures. Errors assemblies. Based on data available to We reduced the estimated population the FAA, we subsequently reduced the of affected cylinder assemblies from Numerous aircraft operators, number affected cylinder assemblies to 36,000 to 28,874. maintenance organizations, and private 28,874. We used a pro-rated loss of cylinder citizens commented that the FAA We also determined that a life which more accurately reflects the should withdraw the NPRM (78 FR replacement cost based on a pro-rated cost of replacing the affected cylinder 48828, August 12, 2013) because the life of the cylinder assemblies more assemblies. removal and replacement of affected accurately reflects the true cost of We removed the cost of inspection cylinder assemblies before TBO would replacing the cylinder assemblies. In the from this SNPRM since the recurrent result in maintenance errors that would NPRM, we used $1,700 per cylinder visual inspections and compression/ adversely affect safety. assembly for the entire affected cylinder leak tests proposed by the NPRM were assembly population. We recalculated ineffective in detecting the unsafe We disagree. Our regulatory the total value for loss of the part based condition. framework presumes that maintenance on a pro-rated estimate of usage for the We changed the compliance will be performed correctly by cylinder assembly population over their paragraphs by removing references to personnel authorized by the FAA to current accumulated time in service. ‘‘Group A’’ (serial numbers (S/Ns) return aircraft to service in an airworthy This recalculated loss is $19,867,882 for between 1 and 33696) and ‘‘Group B’’ condition. Further, we have not the entire affected cylinder assembly (S/Ns between 33697 and 61176). We observed any negative effects on safety population. determined that TIS and serial number due to removal of these cylinder Finally, since we issued the NPRM, (S/N) are sufficient to identify and assemblies during maintenance. Also, we eliminated those inspections and correct the suspect cylinder assembly cylinder removal and replacement is a their associated cost from this SNPRM. population. maintenance action addressed in engine For further information on the estimated We modified the compliance schedule maintenance manuals. We did not cost of this AD, please see our Initial for removal of affected cylinder withdraw the NPRM. Regulatory Flexibility Analysis (IRFA) assemblies from 500 or 1,000 operating

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hours for all affected cylinder Aviation Programs’’ describes in more entities. The FAA is unaware of the assemblies to a phased removal detail the scope of the Agency’s assets or financial resources of these schedule based on total hours TIS since authority. businesses. The FAA requests new. We determined that information We are issuing this rulemaking under comments from these businesses submitted by commenters to the the authority described in Subtitle VII, regarding their economic impact. proposed rule justified a phased Part A, Subpart III, Section 44701: The FAA estimates the compliance drawdown of the assemblies from ‘‘General requirements.’’ Under that cost from this AD to be the sum of the service. section, Congress charges the FAA with replacement cost per aircraft, plus the Finally, we specified in this SNPRM promoting safe flight of civil aircraft in loss of use due to earlier replacement, that overhauled cylinder assemblies air commerce by prescribing regulations plus minor paperwork cost. The labor should be removed within 80 hours for practices, methods, and procedures cost to replace all six cylinder after the effective date of this AD. We the Administrator finds necessary for assemblies is the average labor rate $85 concluded that overhauling of the safety in air commerce. This regulation per hour multiplied by the estimated 18 cylinder assembly does not diminish the is within the scope of that authority hours to complete the task. fatigue damage that has already because it addresses an unsafe condition The FAA believes that a pro-rated accumulated in the cylinder head. that is likely to exist or develop on value of the replacement cost of the products identified in this rulemaking cylinder assemblies is more accurate FAA’s Determination action. and reflects on the true cost to replacing We are proposing this SNPRM the cylinder assemblies. This AD would Regulatory Flexibility Determination because we evaluated all the relevant result in a loss-of-use as some cylinder information and determined the unsafe The Regulatory Flexibility Act of 1980 assemblies would be replaced sooner condition described previously is likely (RFA) establishes ‘‘as a principle of than current practice. This AD requires to exist or develop in other products of regulatory issuance that agencies shall removal of the cylinder assemblies at an the same type design. Certain changes endeavor, consistent with the objective average of 1,000 hours instead of at the described above revise the scope of the of the rule and of applicable statutes, to average TBO of 1,700 hours. This means NPRM (78 FR 48828, August 12, 2013). fit regulatory and informational that the allowable life is only 1,000 of As a result, we have determined that it requirements to the scale of the the original 1,700 hours, or at 58.82% of is necessary to reopen the comment business, organizations, and the current life. Therefore the life value period to provide additional governmental jurisdictions subject to that is lost equals 0.4118 (1.0¥0.5882). opportunity for the public to comment regulation.’’ To achieve that principle, We estimate the pro-rated loss of life on this SNPRM. the RFA requires agencies to solicit and value for six cylinder assemblies to be consider flexible regulatory proposals about $4,200 per engine (1,700 × 6 × Proposed Requirements of This SNPRM and to explain the rationale for their .4118). The loss-of-use expense This SNPRM would require removal actions. The RFA covers a wide range of implicitly includes the earlier purchase of the affected cylinder assemblies, small entities, including small of the replacement cylinder assemblies. including overhauled cylinder businesses, not-for-profit organizations Therefore the AD cost per aircraft assemblies, according to a phased and small governmental jurisdictions. equals the labor costs of $1,530 and the removal schedule. Agencies must perform a review to loss-of-service cost of $4,202, or about determine whether a proposed or final Costs of Compliance $6,000. Based on the number of aircraft rule will have a significant economic owned by the operators impacted, total We estimate that this proposed AD impact on a substantial number of small compliance costs range between $6 would affect about 5,000 CMI models entities. If the agency determines that it thousand to $525 thousand per small IO–520, TSIO–520, IO–550, and IOF– will, the agency must prepare a entity encompassing one to eighty-eight 550 reciprocating engines and all other regulatory flexibility analysis as aircraft. CMI engine models approved for the use described in the Act. To determine whether the compliance of CMI models 520 and 550 cylinder This proposed rule would have a cost would be a significant economic assemblies (such as the CMI model 470 significant impact on a substantial impact, we measured the annualized when modified by STC), installed on number of small entities of part 135 compliance cost relative to the value of airplanes of U.S. registry. The average operators and smaller air services the aircraft. The estimated value of their labor rate is $85 per hour. We estimate businesses. aircraft ranges between $22 thousand to that about 18 hours would be required The U.S. Small Business $21 million. Using the preceding to replace all six cylinder assemblies Administration (SBA) classifies information, the FAA estimates that during overhaul maintenance. We businesses as small based on size their ratio of annualized cost to asset estimate the pro-rated value of the cost standards, typically expressed as value is higher than 5 percent for many of replacement of six cylinder number of employees. The FAA of these operators. Based on this assemblies to be about $4,202 per identified 609 part 135 operators that information the FAA decided that the engine. Based on these figures, we meet the SBA definition of a small rule would have a significant economic estimate the total cost of this proposed entity (entities with 1,500 or fewer impact on a substantial number of AD to U.S. operators to change all ECi employees) which would be affected by entities. Therefore, we have performed a cylinder assemblies to be $28,660,000. this proposed rule. Of these 609, the regulatory flexibility analysis for these Our cost estimate is exclusive of FAA identified 209 small part 135 small entities. possible warranty coverage. operators on which the rule would have a significant economic impact. We Initial Regulatory Flexibility Analysis Authority for This Rulemaking consider this a substantial number of Under Section 603(b) of the RFA, the Title 49 of the United States Code small entities. In addition, we estimate initial analysis must address: specifies the FAA’s authority to issue that more than 2,000 smaller air services (1) Description of reasons the agency rules on aviation safety. Subtitle I, businesses would be affected by this is considering the action; section 106, describes the authority of proposed rule. This business segment (2) Statement of the legal basis and the FAA Administrator. ‘‘Subtitle VII: also has a substantial number of small objectives for the proposed rule;

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(3) Description of the record keeping All Federal Rules That May Duplicate, List of Subjects in 14 CFR Part 39 and other compliance requirements of Overlap, or Conflict With the Proposed Air transportation, Aircraft, Aviation the proposed rule; Rule safety, Incorporation by reference, (4) All federal rules that may The FAA is unaware of any Federal Safety. duplicate, overlap, or conflict with the rules that duplicate, overlap, or conflict The Proposed Amendment proposed rule; with this rule. Accordingly, under the authority (5) Description and an estimated Description of Alternatives Considered delegated to me by the Administrator, number of small entities to which the the FAA proposes to amend 14 CFR part proposed rule will apply; and The FAA received comments concerning this AD. Some commenters 39 as follows: (6) Describe alternatives considered. requested withdrawal of this NPRM PART 39—AIRWORTHINESS Description of Reasons the Agency is because of excessive cost with only DIRECTIVES Considering the Action negligible safety gains. In response to comments about problems with ■ 1. The authority citation for part 39 This proposed AD was prompted by repetitive compression/soap test, the continues to read as follows: failure reports of multiple cylinder FAA agrees that these tests are not Authority: 49 U.S.C. 106(g), 40113, 44701. head-to-barrel separations and cracked reliable and the costs associated with and leaking aluminum cylinder heads. such ongoing tests outweigh the safety § 39.13 [Amended] This AD would apply to certain benefit. This SNPRM has removed the ■ 2. The FAA amends § 39.13 by adding Airmotive Engineering Corp. requirement for repetitive compression/ the following new airworthiness replacement PMA cylinder assemblies soap inspection tests. We also directive (AD): considered these following alternatives: marketed by ECi, used on CMI model Continental Motors, Inc. (formerly Teledyne 520 and 550 reciprocating engines, and (1) Do nothing—This option is not Continental Motors, Inc., formerly all other engine models approved for the acceptable due to the number of failures Continental): Docket No. FAA–2012– use of CMI models 520 and 550 cylinder of ECi cylinder assemblies and the 0002; Directorate Identifier 2011–NE– assemblies, such as the CMI model 470 consequences of the failures. 42–AD. when modified by STC. (2) Periodic inspections only (no (a) Comments Due Date forced removals)—Though the NTSB Description and an Estimated Number We must receive comments by February recommends this option, the service 23, 2015. of Small Entities to Which the Proposed history has shown that such inspections Rule Would Apply may not reliably detect existing cracks (b) Affected ADs We estimate that this proposed AD and the rate of crack growth to None. would affect about 5,000 Continental separation is unknown and variable. (c) Applicability Motors, Inc. models IO–520, TSIO–520, (3) Forced removal with periodic This AD applies to all Continental Motors, IO–550, and IOF–550 reciprocating inspections—As stated above, such Inc. (CMI) model 520 and 550 reciprocating engines and all other engine models periodic inspections may not reliably engines, and to all other CMI engine models approved for the use of CMI models 520 detect cracks and the rate of crack approved for the use of model 520 and 550 and 550 cylinder assemblies (such as growth to separation is unknown and cylinder assemblies such as the CMI model variable. 470 when modified by supplemental type the CMI model 470 when modified by certificate (STC), with Airmotive Engineering STC), installed on airplanes of U.S. Regulatory Findings Corp. replacement parts manufacturer registry. We determined that this proposed AD approval (PMA) cylinder assemblies, marketed by Engine Components The FAA will affect 609 part 135 would not have federalism implications operators and more than 2,000 air International Division (hereinafter referred to under Executive Order 13132. This as ECi), part number (P/N) AEC631397, with service businesses for which the rule proposed AD would not have a ECi Class 71 or Class 76, serial number (S/ will have an economic impact. The substantial direct effect on the States, on N) 1 through S/N 61176, installed. affected entities fly fixed wing aircraft; the relationship between the national (d) Unsafe Condition employ less than 1,500 employees; and Government and the States, or on the conduct a variety of air services such as distribution of power and This AD was prompted by multiple failure fly passengers and cargo for hire. We responsibilities among the various reports of cylinder head-to-barrel separations estimate that the small part 135 and cracked and leaking aluminum cylinder levels of government. heads. We are issuing this AD to prevent operators have assets valued between For the reasons discussed above, I failure of the cylinder assemblies, which $22 thousand to $21 million (range of 1 certify this proposed regulation: could lead to failure of the engine, in-flight to 88 aircraft). (1) Is not a ‘‘significant regulatory shutdown, and loss of control of the airplane. Description of the Recordkeeping and action’’ under Executive Order 12866, (e) Compliance Other Compliance Requirements of the (2) Is not a ‘‘significant rule’’ under Comply with this AD within the Proposed Rule the DOT Regulatory Policies and compliance times specified, unless already Procedures (44 FR 11034, February 26, done. Public reporting for this collection of 1979), (1) Review the engine maintenance records information is estimated to be (3) Will not affect intrastate aviation to determine if any affected cylinder approximately 5 minutes per response in Alaska to the extent that it justifies assemblies are installed. at an hourly wage rate of $85 per hour, making a regulatory distinction, and (2) If you cannot determine based on including the time for reviewing review of engine maintenance records if any (4) Will have a significant economic affected cylinder assemblies are installed, instructions, completing and reviewing impact, positive or negative, on a comply with paragraph (e)(4) of this AD. the collection of information. The substantial number of small entities (3) If you do not have any of the affected paperwork cost for them is between $7 under the criteria of the Regulatory ECi cylinder assemblies installed on your and $616. Flexibility Act. engine, no further action is required.

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(4) Cylinder Identification and Serial Number (TIS) since new on the effective date of this (g) Alternative Methods of Compliance Location AD, remove the cylinder assembly from (AMOCs) (i) Check the cylinder assembly P/N and service before reaching 1,000 operating hours The Manager, Special Certification Office, TIS since new. Class number. The ECi cylinder assembly, may approve AMOCs for this AD. Use the P/N AEC631397, Class 71 or Class 76, is (ii) For any affected cylinder assembly with more than 680 operating hours TIS since new procedures found in 14 CFR 39.19 to make stamped on the bottom flange of the cylinder your request. barrel. Guidance on the P/N and Class and 1,000 or fewer operating hours TIS since number description and location can be new on the effective date of this AD, remove (h) Related Information the cylinder assembly from service within found in ECi Service Instruction No. 99–8– (1) For more information about this AD, 1, Revision 9, dated February 23, 2009. the next 320 operating hours TIS or within contact Jurgen E. Priester, Aerospace (ii) If you cannot see the cylinder assembly 1,160 operating hours TIS since new, P/N when the cylinder assembly is installed whichever occurs first. Engineer, Special Certification Office, FAA, on the engine, you may use the following (iii) For any affected cylinder assembly Rotorcraft Directorate, 2601 Meacham Blvd., alternative method of identification: with more than 1,000 operating hours TIS Fort Worth, TX 76193; phone: 817–222–5190; (A) Remove the cylinder assembly rocker since new on the effective date of this AD, fax: 817–222–5785; email: jurgen.e.priester@ box cover. remove the cylinder assembly from service faa.gov. (B) Find the letters ECi, cast into the within the next 160 operating hours or at (2) For ECi Service Instruction No. 99–8– cylinder head between the valve stems. next engine overhaul, whichever occurs first. 1, Revision 9, dated February 23, 2009, (C) Check the cylinder head casting P/N. (iv) For any affected cylinder assembly that which is not incorporated by reference in this has been overhauled, remove the cylinder Affected cylinder assemblies have the AD, contact Engine Components assembly from service within the next 80 cylinder head casting P/N, AEC65385, cast International Division, 9503 Middlex Drive, into the cylinder head between the valve operating hours TIS after the effective date of San Antonio, TX 78217; phone: 210–820– stems. this AD. (D) Find the cylinder assembly S/N as 8101; Internet: http://www.eci.aero/pages/ (f) Installation Prohibitions _ specified in paragraph (e)(4)(iii) or (e)(4)(iv) tech svcpubs.aspx. of this AD, as applicable. After the effective date of this AD: (3) You may view this service information (iii) For ECi cylinder assemblies, P/N (1) Do not repair, or reinstall onto any at the FAA, Engine & Propeller Directorate, AEC631397, manufactured through 2008, engine, any cylinder assembly removed per 12 New England Executive Park, Burlington, find the cylinder assembly S/N stamped on this AD. MA. For information on the availability of the intake port boss two inches down from (2) Do not install any affected ECi cylinder this material at the FAA, call 781–238–7125. the top edge of the head. assembly that has been overhauled, into any (iv) For ECi cylinder assemblies, P/N engine. Issued in Burlington, Massachusetts, on AEC631397, manufactured on or after (3) Do not install any engine that has one December 23, 2014. January 1, 2009, find the cylinder assembly or more affected overhauled ECi cylinder Colleen M. D’Alessandro, S/N stamped just below the top edge of the assemblies, onto any aircraft. Assistant Directorate Manager, Engine & (4) Do not return to service any aircraft that head on the exhaust port side. Propeller Directorate, Aircraft Certification has an engine installed with an ECi cylinder Service. (5) Removal From Service assembly subject to this AD, if the cylinder (i) For any affected cylinder assembly with assembly has 1,000 or more operating hours [FR Doc. 2015–00152 Filed 1–7–15; 8:45 am] 680 or fewer operating hours time-in-service TIS. BILLING CODE 4910–13–P

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Notices Federal Register Vol. 80, No. 5

Thursday, January 8, 2015

This section of the FEDERAL REGISTER [email protected], or via Scoping Process contains documents other than rules or facsimile to (435) 676–9391. proposed rules that are applicable to the This notice of intent initiates the FOR FURTHER INFORMATION CONTACT: public. Notices of hearings and investigations, scoping process, which guides the committee meetings, agency decisions and Keith Gustafson, Project Leader; 225 E. Center Street; P.O. Box 80; Panguitch, development of the environmental rulings, delegations of authority, filing of impact statement. Additional petitions and applications and agency UT 84759; telephone: (435) 676–9354; statements of organization and functions are email: [email protected]. information about the project and examples of documents appearing in this Individuals who use information about scheduled public section. telecommunication devices for the deaf meetings can be found on the project (TDD) may call the Federal Information Web page at http://www.fs.usda.gov/ Relay Service (FIRS) at 1–800–877–8339 projects/dixie/landmanagement/ DEPARTMENT OF AGRICULTURE between 8 a.m. and 8 p.m., Eastern projects and click on Powell Travel Time, Monday through Friday. Management Project. Forest Service SUPPLEMENTARY INFORMATION: It is important that reviewers provide Powell Ranger District; Utah; Powell Purpose and Need for Action their comments at such times and in Travel Management Project such manner that they are useful to the The purpose of this project is to revise agency’s preparation of the AGENCY: Forest Service, USDA. the Motorized Travel Plan for the environmental impact statement. ACTION: Notice of intent to prepare an Powell Ranger District of the Dixie Therefore, comments should be environmental impact statement. National Forest. The revision is to provided prior to the close of the provide a road and trail system for the comment period and should clearly District, designated for motorized use SUMMARY: The Forest Service will articulate the reviewer’s concerns and that is considered safe and responsive to prepare an Environmental Impact contentions. Statement (EIS) to disclose the effects of public needs and desires, conforms to revising the motorized travel plan for the Forest Plan, and is environmentally Please keep comments specific to only the Powell Ranger District (District) of sound. This action is needed because: this proposal. Comments which are not the Dixie National Forest. The District is (1) There is a need for travel specific to the project and project area proposing to relocate, reclassify, or management revisions to restore or will be deemed outside the scope of the decommission a number of existing protect forest resources and conditions. analysis and will not be considered. If roads and trails as well as construct or (2) There is a need for travel you provide recommendations for designate new roads and trails. Some of management revisions to provide a changes to routes or areas, please the activities are proposed within broad range of dispersed motorized include route numbers or location Inventoried Roadless Areas. This recreation opportunities; to disperse descriptions, as well as the reasons for revision only addresses subpart B of the motorized recreation users to prevent your recommendations. If you are Travel Management Rule which overuse in popular areas; and provide including references, citations, or provides for a system of National Forest safety for the user. (3) There is a need additional information to be considered Roads, National Forest Trails, and areas for travel management revisions to for this project, please specify exactly on the National Forest System (NFS) improve special and public use how the material relates to the project. lands that are designated for motorized administration and to reduce resource Also indicate exactly what part of the use. This project does not address over impacts from these activities. material you would like the District to the snow motor vehicle use, motorized Proposed Action consider (such as page or figure cross-country travel, nor does it revisit number). motorized cross-country travel for big To meet the purpose and need for game retrieval. The project is limited to action, the Powell Ranger District of the Comments received in response to addressing known deficiencies for the Dixie National Forest proposes to make this solicitation, including names and District in the 2009 Dixie National changes to the existing system of roads addresses of those who comment, will Forest Motorized Travel Plan. on the District. For details of the be part of the public record for this proposed action please visit the project proposal. Individuals or DATES: Comments concerning the scope following Web page: http://www.fs. of the analysis must be received by organizations who submit timely and usda.gov/projects/dixie/land February 9, 2015. The draft specific written comments regarding the management/projects and click on environmental impact statement is proposed project will be eligible to file Powell Travel Management Project. expected in August, 2015, and the final an objection (36 CFR 218). Comments environmental impact statement is Lead and Cooperating Agencies submitted anonymously will be accepted and considered; however, expected in March, 2016. Lead Agency—USDA Forest Service, anonymous comments will not provide ADDRESSES: Send written comments to: Dixie National Forest. the Agency with the ability to provide Paul Hancock, District Ranger; Powell Cooperating Agencies—Garfield and Ranger District; Dixie National Forest; Kane Counties, Utah. the respondent with subsequent Attn: Powell Travel Management, 225 environmental documents nor will the East Center Street, P.O. Box 80, Responsible Official respondent be eligible to provide an Panguitch, UT 84759. Comments may Forest Supervisor, Dixie National objection pursuant to 36 CFR 218. also be sent via email to comments- Forest.

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Dated: January 2, 2015. Additional Information FTZ Board (15 CFR part 400), including Paul H. Hancock, The meeting is free and open to the notice in the Federal Register inviting Acting Forest Supervisor. public. If you require a translator or public comment (79 FR 52630, 09/04/ [FR Doc. 2015–00082 Filed 1–7–15; 8:45 am] interpreter, please notify the individual 2014). The FTZ Board has determined BILLING CODE 3410–11–P listed below as the ‘‘Contact Person for that no further review of the activity is Further Information,’’ at least five warranted at this time. The production business days prior to the meeting. activity described in the notification is CHEMICAL SAFETY AND HAZARD The CSB is an independent federal authorized, subject to the FTZ Act and INVESTIGATION BOARD agency charged with investigating the Board’s regulations, including accidents and hazards that result, or Section 400.14. Sunshine Act Meeting may result, in the catastrophic release of Dated: December 26, 2014. extremely hazardous substances. The Andrew McGilvray, TIME AND DATE: January 15, 2015, 6:00 agency’s Board Members are appointed p.m.–9:00 p.m. EST. Executive Secretary. by the President and confirmed by the [FR Doc. 2015–00111 Filed 1–7–15; 8:45 am] PLACE: Hilton Meadowlands Hotel, Two Senate. CSB investigations look into all BILLING CODE 3510–DS–P Meadowlands Plaza, East Rutherford, aspects of chemical accidents and New Jersey 07073. Diamond Court hazards, including physical causes such Ballrooms A&B. as equipment failure as well as DEPARTMENT OF COMMERCE STATUS: Open to the public. inadequacies in regulations, industry MATTERS TO BE CONSIDERED: The standards, and safety management Foreign-Trade Zones Board systems. Chemical Safety and Hazard [B–62–2014] Investigation Board (CSB) will convene Public Comment a public meeting on January 15, 2015, Foreign-Trade Zone 75—Phoenix, starting at 6:00 p.m. at the Hilton Members of the public are invited to Arizona, Authorization of Production Meadowlands Hotel, Two Meadowlands make brief statements to the Board at Activity, Orbital Sciences Corporation, Plaza, Diamond Court Ballrooms A&B, the conclusion of the staff (Satellites and Space Craft Launch East Rutherford, New Jersey 07073. At presentation(s). The time provided for Vehicles) Gilbert, Arizona the public meeting, the Board will hear public statements will depend upon the from teams investigating the 2012 number of people who wish to speak. On August 28, 2014, Orbital Sciences explosion and fire at the US Ink facility Speakers should assume that their Corporation, operator of FTZ 75—Site located in East Rutherford, NJ, that presentations will be limited to five 10, submitted a notification of proposed injured seven workers. Time permitting, minutes or less, but commenters may production activity to the Foreign-Trade the Board may also consider a report submit written statements for the Zones (FTZ) Board for its facility in into the CSB’s investigation of the 2010 record. Gilbert, Arizona. The notification was processed in anhydrous ammonia release at Millard Contact Person for Further Information Refrigerated Services, a warehouse and accordance with the regulations of the distribution center in Theodore, Hillary J. Cohen, Communications FTZ Board (15 CFR part 400), including Alabama, near Mobile, Alabama, where Manager, [email protected] or (202) notice in the Federal Register inviting more than 130 members of the public 446–8094. General information about public comment (79 FR 53408, 9–9– sought medical attention as a result of the CSB can be found on the agency 2014). The FTZ Board has determined an uncontrolled ammonia release. Web site at: www.csb.gov. that no further review of the activity is This public meeting is intended to Dated: January 5, 2015. warranted at this time. The production provide the community affected by the Rafael Moure-Eraso, activity described in the notification is US Ink explosion and other interested Chairperson. authorized, subject to the FTZ Act and stakeholders, with an opportunity to the FTZ Board’s regulations, including [FR Doc. 2015–00121 Filed 1–6–15; 4:15 pm] Section 400.14. consider and hear about the CSB staff’s BILLING CODE 6350–01–P findings on this matter. In addition, Dated: December 29, 2014. time permitting, the Board will also Andrew McGilvray, consider the staff’s presentation and DEPARTMENT OF COMMERCE Executive Secretary. lessons learned resulting from the [FR Doc. 2015–00108 Filed 1–7–15; 8:45 am] Millard ammonia release, with Foreign-Trade Zones Board BILLING CODE 3510–DS–P information into how these incidents occurred and how similar future [B–61–2014] incidents can be prevented or mitigated. Foreign-Trade Zone 82—Mobile, DEPARTMENT OF COMMERCE Following the staff presentation the Alabama, Authorization of Production Board will hear comments from the Activity, Airbus Americas, Inc. International Trade Administration public. All staff presentations are (Commercial Passenger Aircraft) [A–570–012] preliminary and are intended solely to Mobile, Alabama allow the Board to consider in a public Carbon and Certain Alloy Steel Wire forum the issues and factors involved in On August 21, 2014, the City of Rod From the People’s Republic of these cases. No factual analyses, Mobile, Alabama, grantee of Foreign- China: Antidumping Duty Order conclusions, or findings presented by Trade Zone 82, submitted a notification staff should be considered final. At the of proposed production activity to the AGENCY: Enforcement and Compliance, conclusion of the staff presentation the Foreign-Trade Zones (FTZ) Board on International Trade Administration, board may vote on the final product(s). behalf of Airbus Americas, Inc., within Department of Commerce. Lastly, the Board may consider such Site 1, in Mobile. SUMMARY: Based on affirmative final other items of business as determined The notification was processed in determinations by the Department of by the Chairperson. accordance with the regulations of the Commerce (the Department) and the

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International Trade Commission (the mm in actual solid cross-sectional to the assessment of antidumping ITC), the Department is issuing an diameter. Specifically excluded are steel duties. antidumping duty order on carbon and products possessing the above-noted Therefore, in accordance with section certain alloy steel wire rod (steel wire physical characteristics and meeting the 736(a)(1) of the Act, the Department will rod) from the People’s Republic of Harmonized Tariff Schedule of the direct U.S. Customs and Border China (PRC). United States (HTSUS) definitions for Protection (CBP) to assess, upon further DATES: Effective Date: January 8, 2015. (a) stainless steel; (b) tool steel; (c) high instruction by the Department, FOR FURTHER INFORMATION CONTACT: nickel steel; (d) ball bearing steel; or (e) antidumping duties equal to the Brian Smith or Brandon Custard, AD/ concrete reinforcing bars and rods. Also amounts listed below for all relevant CVD Operations, Office II, Enforcement excluded are free cutting steel (also entries of steel wire rod from the PRC. and Compliance, International Trade known as free machining steel) products These antidumping duties will be Administration, U.S. Department of (i.e., products that contain by weight assessed on unliquidated entries of steel Commerce, 14th Street and Constitution one or more of the following elements: wire rod from the PRC entered, or Avenue NW., Washington, DC 20230; 0.1 percent or more of lead, 0.05 percent withdrawn from warehouse, for telephone: (202) 482–1766 or (202) 482– or more of bismuth, 0.08 percent or consumption on or after September 8, 1823, respectively. more of sulfur, more than 0.04 percent 2014, the date of publication of the of phosphorus, more than 0.05 percent SUPPLEMENTARY INFORMATION: Preliminary Determination.5 of selenium, or more than 0.01 percent Background of tellurium). All products meeting the Continuation of Suspension of Liquidation In accordance with sections 735(d) physical description of subject merchandise that are not specifically and 777(i)(1) of the Tariff Act of 1930, In accordance with section as amended (the Act) and 19 CFR excluded are included in this scope. The products under order are 735(c)(1)(B) of the Act, we will instruct 351.210(c), on November 19, 2014, the currently classifiable under subheadings CBP to continue to suspend liquidation Department published its affirmative 7213.91.3011, 7213.91.3015, on all entries of steel wire rod from the final determination of sales at less-than- 7213.91.3020, 7213.91.3093; PRC. We will also instruct CBP to fair-value in the antidumping duty 7213.91.4500, 7213.91.6000, require cash deposits equal to the investigation of steel wire rod from the 7213.99.0030, 7227.20.0030, amounts as indicated below. These PRC, and its affirmative final 7227.20.0080, 7227.90.6010, instructions suspending liquidation will determination that critical 7227.90.6020, 7227.90.6030, and remain in effect until further notice. circumstances exist, in part.1 On 7227.90.6035 of the HTSUS. Products Accordingly, effective on the date of January 2, 2015, the ITC notified the entered under subheadings publication of the ITC’s final affirmative Department of its final determination 7213.99.0090 and 7227.90.6090 of the injury determination, CBP will require, that an industry in the United States is HTSUS also may be included in this at the same time as importers would materially injured within the meaning scope if they meet the physical normally deposit estimated duties on of section 735(b)(1)(A)(i) of the Act by description of subject merchandise this subject merchandise, a cash deposit reason of less-than-fair-value imports of above. Although the HTSUS equal to the estimated weighted-average steel wire rod from the PRC.2 The ITC subheadings are provided for antidumping duty margins listed also determined that critical convenience and customs purposes, the below.6 For the purpose of determining circumstances do not exist with respect written description of the scope of this cash deposit rates, the estimated to imports subject to the Department’s order is dispositive. weighted-average dumping margins for critical circumstances determination, imports of subject merchandise from the within the meaning of section Antidumping Duty Order PRC will be adjusted, as appropriate, for 735(b)(4)(A) of the Act.3 As stated above, on January 2, 2015, export subsidies found in the final Scope of the Order in accordance with section 735(d) of the determination of the companion Act, the ITC notified the Department of The scope of this order covers certain countervailing duty investigation of this its final determination in this merchandise imported from the PRC.7 hot-rolled products of carbon steel and investigation, in which it found material alloy steel, in coils, of approximately injury with respect to imports of steel 5 See Carbon and Certain Alloy Steel Wire Rod circular cross section, less than 19.00 4 wire rod from the PRC. Because the From the People’s Republic of China: Preliminary Department determined that imports of Determination of Sales at Less Than Fair Value and 1 See Carbon and Certain Alloy Steel Wire Rod steel wire rod from the PRC are being Preliminary Determination of Critical From the People’s Republic of China: Final Circumstances, in Part, 79 FR 53169 (September 8, Determination of Sales at Less Than Fair Value and sold at less-than-fair value, and because 2014) (Preliminary Determination). Final Affirmative Determination of Critical the ITC determined that such imports 6 Circumstances, in Part, 79 FR 68860 (November 19, are materially injuring a U.S. industry, See section 736(a)(3) of the Act. 7 2014) (Final Determination). all unliquidated entries of such See Final Determination, 79 FR at 68861. See 2 also Carbon and Certain Alloy Steel Wire Rod From See Carbon and Certain Alloy Steel Wire Rod merchandise from the PRC, entered or From the People’s Republic of China, Investigation the People’s Republic of China: Final Affirmative Nos. 701–TA–512 and 731–TA–1248 (Final), USITC withdrawn from warehouse, are subject Countervailing Duty Determination and Final Publication 4509, December 2014. Affirmative Critical Circumstances Determination, 3 Id. 4 Id. 79 FR 68858 (November 19, 2014) (CVD Final Determination).

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The weighted-average dumping margins are as follows:

Weighted-Average Exporter Producer dumping margin 8 (percent)

Rizhao Steel Wire Co., Ltd...... Rizhao Steel Wire Co., Ltd...... 106.19 Hunan Valin Xiangtan Iron & Steel Co., Ltd...... Hunan Valin Xiangtan Iron & Steel Co., Ltd...... 106.19 Jiangsu Shagang International Trade Co., Ltd...... Zhangjiagang Shajing Steel Co., Ltd...... 106.19 Jiangsu Shagang International Trade Co., Ltd...... Zhangjiagang Runzhong Steel Co., Ltd...... 106.19 Jiangsu Shagang International Trade Co., Ltd...... Zhangjiagang Hongxing Gaoxian Co., Ltd...... 106.19 Jiangsu Shagang International Trade Co., Ltd...... Zhangjiagang Rongsheng Steel-Making Co., Ltd...... 106.19 Jiangsu Shagang International Trade Co., Ltd...... Jiangsu Runzhong High-Tech Co., Ltd...... 106.19 Jiangsu Shagang International Trade Co., Ltd...... Zhangjiagang Hongchang Gaoxian Co., Ltd...... 106.19 PRC-wide Entity* ...... 110.25 * The PRC-wide entity includes, among other companies, Benxi Beiying Iron and Steel Group Imp. and Exp. Corp. Ltd.,9 Tangshan Iron and Steel Group Co. Ltd., Angang Group International Trade Corporation, Qingdao Iron and Steel Co., Ltd., Jiangsu Yonggang Group Co. Ltd., and Baotou Steel International Economic & Trading Co., Ltd.10

Critical Circumstances This order is published in accordance on citric acid and certain citrate salts with section 736(a) of the Act and 19 covering the period January 1, 2013, With regard to the ITC’s negative CFR 351.211. through December 31, 2013.2 The critical circumstances determination on Dated: January 2, 2015. Department received a timely request imports of steel wire rod from the PRC, Ronald K. Lorentzen, for a countervailing duty administrative we will instruct CBP to lift suspension review from RZBC Co. Ltd., RZBC Imp. and refund any cash deposits made to Acting Assistant Secretary for Enforcement and Compliance. & Exp. Co., Ltd., and RZBC (Juxian) Co., secure the payment of estimated [FR Doc. 2015–00096 Filed 1–7–15; 8:45 am] Ltd. (collectively, ‘‘RZBC’’). antidumping duties with respect to Additionally, the Department received a BILLING CODE 3510–DS–P entries of subject merchandise entered timely request for review from the or withdrawn from warehouse, for petitioners 3 for the following consumption on or after June 10, 2014 DEPARTMENT OF COMMERCE companies: (1) Changsha Huir (i.e., 90 days prior to the date of Biological-Tech Co., Ltd. (Changsha publication of the Preliminary International Trade Administration Huir); (2) Huangshi Xinghua Determination), but before September 8, [C–570–938] Biochemical Co., Ltd. (Huangshi 2014, (i.e., the date of the publication of Xinghua); (3) Hunan Dongting the Preliminary Determination). Citric Acid and Certain Citrate Salts Pharmaceutical Co., Ltd. (Hunan Notification to Interested Parties From the People’s Republic of China: Dongting); (4) Jiali Bio Group (Qingdao) Rescission, in Part, of 2013 Co., Ltd. (Jiali Bio Group); (5) Juxian This notice constitutes the Countervailing Duty Administrative Hongde Citric Acid Co., Ltd. (Juxian antidumping duty order with respect to Review Hongde); (6) Laiwu Taihe Biochemistry steel wire rod from the PRC pursuant to Co. Ltd. (Laiwu Taihe); (7) Lianyungang AGENCY: section 736(a) of the Act. Interested Enforcement and Compliance, Debang Fine Chemical Co., Ltd. parties may contact the Department’s International Trade Administration, (Lianyungang Debang); (8) Lianyungang Department of Commerce. Central Records Unit, Room 7046 of the Dongtai Food Ingredients Co., Ltd. main Commerce Building, for copies of DATES: Effective Date: January 8, 2015. (Lianyungang Dongtai); (9) Lianyungang an updated list of antidumping duty FOR FURTHER INFORMATION CONTACT: Hengsheng Fine Chemical Co., Ltd. orders currently in effect. Elizabeth Eastwood, AD/CVD (Lianyungang Hengsheng); (10) Operations, Office II, Enforcement and Lianyungang Yunbo Chemical Co., Ltd. 8 As explained in the Final Determination, the Compliance, International Trade (Lianyungang Yunbo); (11) Lianyungang estimated weighted average dumping margin for the Administration, U.S. Department of Zhengrong Food Additive Factory separate companies and the PRC-wide Entity will Commerce, 14th Street and Constitution (Lianyungang Zhengrong); (12) Nantong be adjusted for export subsidies. See Final Avenue NW., Washington, DC 20230; Feiyu Fine Chemical Co., Ltd. (Nantong Determination, 79 FR at 68861. As a result of the telephone: (202) 482–3874. adjustment for export subsidies, the cash deposit Feiyu); (13) Ningxiang Xinyang rate for the separate rate companies will be 93.18 Background Chemical Co., Ltd. (Ningxiang percent and 97.24 percent for the PRC-wide entity. Xingyang); (14) Penglai Marine Bio-Tech For information regarding these export subsidies, On May 29, 2009, the Department of see CVD Final Determination and accompanying Co., Ltd. (Penglai Marine Bio-Tech); (15) Commerce (Department) published in Qingdao Fuso Refining & Processing Issues and Decision Memorandum at 9–10 and the Federal Register the countervailing Attachment entitled ‘‘Description of Programs.’’ Co., Ltd. (Qingdao Fuso); (16) Reephos duty order on citric acid and certain 9 For the reasons explained in the Preliminary Chemical Co., Ltd. (Reephos Chemical); citrate salts, from the People’s Republic Determination, the Department finds it appropriate (17) Rugao Jiangbei Additive Co., Ltd. to consider Bei Tai Iron and Steel Group Imp. and of China (PRC).1 On May 1, 2014, the Exp. (Dalian) Co., Ltd. a part of Benxi Beiying Iron Department published a notice of and Steel Group Imp. and Exp. Corp. Ltd. See 2 See Antidumping or Countervailing Duty Order, Preliminary Determination, and accompanying opportunity to request an administrative Finding, or Suspended Investigation; Opportunity Preliminary Decision Memorandum at 9. review of the countervailing duty order To Request Administrative Review, 79 FR 24670 10 For the reasons explained in the Preliminary (May 1, 2014). Determination, the Department did not find these 1 See Citric Acid and Certain Citrate Salts From 3 The petitioners in this administrative review are companies eligible for a separate rate. See the People’s Republic of China: Notice of the Archer Daniels Midland Company, Cargill, Preliminary Determination, and accompanying Countervailing Duty Order, 74 FR 25705 (May 29, Incorporated, and Tate & Lyle Ingredients Americas Preliminary Decision Memorandum at 8–11. 2009). LLC.

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(Rugao Jiangbei); (18) RZBC Group Fuel. The administrative review will International Trade Commission (ITC), Shareholding Co., Ltd. (RZBC Group) continue with respect to Laiwu Taihe. the Department is issuing a and RZBC; (19) Shandong Hongshide countervailing duty (CVD) order on Assessment Chemical Co., Ltd. (Shandong carbon and certain alloy steel wire rod Hongshide); (20) Shandong TTCA The Department will instruct U.S. (steel wire rod) from the People’s Biochemistry Co., Ltd. (Shandong Customs and Border Protection (CBP) to Republic of China (PRC). Also, as TTCA); (21) Shihezi City Changyum assess countervailing duties on all explained in this notice, the Department Biochemical Co., Ltd. (Shihezi City appropriate entries. For the companies is amending its final determination to Changyum); (22) Weifang Ensign for which this review is rescinded, correct an error with respect to the Industry Co., Ltd. (Weifang Ensign); (23) countervailing duties shall be assessed identification of an affiliate of one of the Wuhan Shuangfeng Citric Acid Co., Ltd. at rates equal to the cash deposit of respondents. (Wuhan Shuangfeng); (24) Yixing Union estimated countervailing duties required DATES: Effective Date: January 8, 2015. Biochemical Co., Ltd. (Yixing Union); at the time of entry, or withdrawal from FOR FURTHER INFORMATION CONTACT: (25) Yixing Zhenfen Medical Chemical warehouse, for consumption, during the Rebecca Trainor or Reza Karamloo, Co., Ltd. (Yixing Zhenfen); and (26) period January 1, 2013, through Office II, AD/CVD Operations, Yunnan No. 2 Fuel Factory (Yunnan December 31, 2013, in accordance with Enforcement and Compliance, Fuel). 19 CFR 351.212(c)(1)(i). The Department International Trade Administration, On June 27, 2014, in accordance with intends to issue appropriate assessment U.S. Department of Commerce, 14th section 751(a) of the Tariff Act of 1930, instructions to CBP 15 days after Street and Constitution Avenue NW., as amended (the Act), the Department publication of this notice. Washington, DC 20230; telephone: (202) published in the Federal Register a Notification Regarding Administrative 482–4007 and (202) 482–4470, notice of initiation of administrative Protective Orders respectively. review with respect to these This notice also serves as a reminder SUPPLEMENTARY INFORMATION: companies.4 On July 14, 2014, RZBC to parties subject to administrative withdrew their request for an Background protective order (APO) of their administrative review. In addition, on On November 19, 2014, the responsibility concerning the return or August 6, 2014, the petitioners Department published its final destruction of proprietary information withdrew their request for an determination that countervailable disclosed under APO in accordance administrative review for all of the subsidies are being provided to with 19 CFR 351.305, which continues above-listed companies except Laiwu producers and exporters of steel wire to govern business proprietary Taihe. rod from the PRC.1 On January 2, 2015, information in this segment of the the ITC notified the Department of its Rescission, In Part proceeding. Timely written notification final determination pursuant to sections of the return/destruction of APO 705(b)(1)(A)(i) and section 705(d) of the Pursuant to 19 CFR 351.213(d)(1), the materials or conversion to judicial Tariff Act of 1930, as amended (the Act) Secretary will rescind an administrative protective order is hereby requested. that an industry in the United States is review, in whole or in part, if a party Failure to comply with the regulations materially injured by reasons of that requested the review withdraws the and terms of an APO is a violation subsidized imports of subject request within 90 days of the date of which is subject to sanction. merchandise from the PRC.2 The ITC publication of the notice of initiation of This notice is issued and published in also determined that critical the requested review. The petitioners’ accordance with sections 751 and circumstances do not exist.3 and RZBC’s withdrawal of their requests 777(i)(1) of the Act, and 19 CFR were submitted within the 90-day 351.213(d)(4). Scope of the Order period and, thus, are timely. Because the petitioners’ and RZBC’s withdrawal Dated: January 5, 2015. The scope of this order covers certain of their requests for review are timely Christian Marsh, hot-rolled products of carbon steel and and because no other party requested a Deputy Assistant Secretary for Antidumping alloy steel, in coils, of approximately review of these companies, in and Countervailing Duty Operations. circular cross section, less than 19.00 accordance with 19 CFR 351.213(d)(1), [FR Doc. 2015–00113 Filed 1–7–15; 8:45 am] mm in actual solid cross-sectional diameter. Specifically excluded are steel we are rescinding this administrative BILLING CODE 3510–DS–P review, in part, with respect to the products possessing the above-noted following companies: Changsha Huir, physical characteristics and meeting the Huangshi Xinghua, Hunan Dongting, DEPARTMENT OF COMMERCE Harmonized Tariff Schedule of the Jiali Bio Group, Juxian Hongde, United States (HTSUS) definitions for International Trade Administration Lianyungang Debang, Lianyungang (a) stainless steel; (b) tool steel; (c) high nickel steel; (d) ball bearing steel; or (e) Dongtai, Lianyungang Hengsheng, [C–570–013] Lianyungang Yunbo, Lianyungang concrete reinforcing bars and rods. Also Zhengrong, Nantong Feiyu, Ningxiang Carbon and Certain Alloy Steel Wire excluded are free cutting steel (also Xinyang, Penglai Marine Bio-Tech, Rod From the People’s Republic of known as free machining steel) products Qingdao Fuso, Reephos Chemical, China: Amended Final Affirmative Countervailing Duty Determination and 1 See Carbon and Certain Alloy Steel Wire Rod Rugao Jiangbei, RZBC Group and RZBC, From the People’s Republic of China: Final Shandong Hongshide, Shandong TTCA, Countervailing Duty Order Affirmative Countervailing Duty Determination and Shihezi City Changyum, Weifang Final Affirmative Critical Circumstances AGENCY: Enforcement and Compliance, Ensign, Wuhan Shuangfeng, Yixing Determination, 79 FR 68858 (November 19, 2014) International Trade Administration, (Final Determination). Union, Yixing Zhenfen, and Yunnan Department of Commerce. 2 See Carbon and Certain Alloy Steel Wire Rod From the People’s Republic of China, Investigation SUMMARY: 4 See Initiation of Antidumping and Based on affirmative final Nos. 701–TA–512 and 731–TA–1248 (Final), USITC Countervailing Duty Administrative Reviews, 79 FR determinations by the Department of Publication 4509, December 2014. 36462 (June 27, 2014). Commerce (the Department) and the 3 Id.

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(i.e., products that contain by weight published its affirmative Preliminary Company Subsidy rate one or more of the following elements: Determination 5 in the Federal Register, (percent) 0.1 percent or more of lead, 0.05 percent and before November 5, 2014, the date 6 or more of bismuth, 0.08 percent or on which the Department instructed Benxi Steel ...... 193.31 Hebei Iron & Steel Co Ltd more of sulfur, more than 0.04 percent CBP to discontinue the suspension of of phosphorus, more than 0.05 percent Tangshan Branch ...... 178.46 liquidation in accordance with section All Others ...... 185.89 of selenium, or more than 0.01 percent 703(d) of the Act. Section 703(d) of the of tellurium). All products meeting the Act states that the suspension of Notification to Interested Parties physical description of subject liquidation pursuant to a preliminary merchandise that are not specifically This notice constitutes the CVD order determination may not remain in effect excluded are included in this scope. with respect to steel wire rod from the for more than four months. Entries of The products under order are PRC pursuant to section 706(a) of the currently classifiable under subheadings steel wire rod made on or after Act. Interested parties may contact the 7213.91.3011, 7213.91.3015, November 5, 2014, and prior to the date Department’s Central Records Unit, 7213.91.3020, 7213.91.3093, of publication of the ITC’s final Room 7046 of the main Commerce 7213.91.4500, 7213.91.6000, determination in the Federal Register Building, for copies of an updated list 7213.99.0030, 7227.20.0030, are not liable for assessment of CVDs, of countervailing duty orders currently 7227.20.0080, 7227.90.6010, due to the Department’s in effect. 7227.90.6020, 7227.90.6030, and discontinuation, effective November 5, This order is issued and published in 7227.90.6035 of the HTSUS. Products 2014, of the suspension of liquidation. accordance with section 706(a) of the entered under subheadings With regard to the ITC’s negative Act and 19 CFR 351.211(b). 7213.99.0090 and 7227.90.6090 of the critical circumstances determination, Dated: January 2, 2015. HTSUS also may be included in this the Department will instruct CBP to lift Ronald K. Lorentzen, scope if they meet the physical suspension and refund any cash description of subject merchandise Acting Assistant Secretary for Enforcement deposits of estimated CVDs for entries above. Although the HTSUS and Compliance. on or after April 9, 2014 (i.e., 90 days subheadings are provided for [FR Doc. 2015–00095 Filed 1–7–15; 8:45 am] convenience and customs purposes, the prior to the date of the Preliminary BILLING CODE 3510–DS–P written description of the scope of this Determination), but before July 8, 2014. order is dispositive. Suspension of Liquidation DEPARTMENT OF COMMERCE Correction to the Final Determination In accordance with section 706 of the International Trade Administration In the Final Determination we Act, the Department will direct CBP to inadvertently omitted Benxi Iron & Steel reinstitute the suspension of liquidation (Group) Co., Ltd. from the list of of steel wire rod from the PRC, effective [C–570–980] companies comprising Benxi Beiying the date of publication of the ITC’s Iron & Steel Import & Export Corp./ Crystalline Silicon Photovoltaic Cells, notice of final determination in the Whether or Not Assembled Into Benxi Beiying Iron & Steel (Group) Co., Federal Register, and to assess, upon Ltd.4 Benxi Iron & Steel (Group) Co., Modules, From the People’s Republic further instruction by the Department of China: Preliminary Results of Ltd. is properly included in the list of pursuant to section 706(a)(1) of the Act, affiliates in the ‘‘Suspension of Countervailing Duty Administrative CVDs for each entry of the subject Liquidation’’ section of this notice. Review; 2012; and Partial Rescission merchandise in an amount based on the of Countervailing Duty Administrative Countervailing Duty Order net countervailable subsidy rates for the Review In accordance with sections subject merchandise. CBP must require, AGENCY: Enforcement and Compliance, 705(b)(1)(A)(i) and 705(d) of the Act, the at the same time as importers would normally deposit estimated duties on International Trade Administration, ITC notified the Department of its final Department of Commerce. determination that the industry in the this merchandise, a cash deposit equal United States producing steel wire rod to the rates listed below: SUMMARY: The Department of Commerce is materially injured by reason of (the Department) is conducting an administrative review of the subsidized imports of steel wire rod 5 See Carbon and Certain Alloy Steel Wire Rod from the PRC. Therefore, in accordance From the People’s Republic of China: Preliminary countervailing duty (CVD) order on with section 705(c)(2) of the Act, we are Affirmative Countervailing Duty Determination, crystalline silicon photovoltaic cells, Preliminary Affirmative Critical Circumstances publishing this CVD order. whether or not assembled into modules Determination, and Alignment of Final (Solar Cells), from the People’s Republic Pursuant to section 706(a) of the Act, Countervailing Duty Determination With Final the Department will direct U.S. Customs Antidumping Duty Determination, 79 FR 38490 of China (PRC). The period of review and Border Protection (CBP) to assess, (July 8, 2014) (Preliminary Determination). (POR) is March 26, 2012, through upon further instruction by the 6 Benxi Steel is comprised of: Benxi Beiying Iron December 31, 2012. This review covers & Steel Group Import & Export Corp.; Benxi Beiying Department, CVDs on unliquidated multiple exporters/producers, two of Iron & Steel (Group) Co., Ltd.; Benxi Steel Group which are being individually reviewed entries of steel wire rod entered, or Corporation; Beitai Iron & Steel (Group) Co., Ltd.; withdrawn from warehouse, for Benxi Northern Steel Rolling Co., Ltd.; Benxi as mandatory respondents. We consumption on or after July 8, 2014, Beifang Gaosu Steel Wire Rod Co., Ltd.; Benxi preliminarily determine that Lightway the date on which the Department Beitai Gaosu Steel Wire Rod Co., Ltd.; Benxi Green New Energy Co., Ltd. (Lightway), Northern Steel Co., Ltd.; Benxi Beifang Second Shanghai BYD Co. Ltd. (Shanghai BYD) Rolling Co., Ltd.; Benxi Beitai Ductile Iron Pipes 4 See Final Determination at 68859, and the Co., Ltd.; Benxi Iron and Steel (Group) Metallurgy and its cross-owned affiliates received accompanying Issues and Decision Memorandum Co., Ltd.; Benxi Iron and Steel (Group) Real Estate countervailable subsidies during the for the Final Determination in the Countervailing Development Co., Ltd.; Benxi Iron & Steel (Group) POR. Interested parties are invited to Duty Investigation of Carbon and Certain Alloy Co., Ltd.; Bei Tai Iron and Steel Group Imp. and comment on these preliminary results. Steel Wire Rod From the People’s Republic of China Exp. (Dalian) Co., Ltd.; and Bengang Steel Plate Co., at 1–2. Ltd. DATES: Effective Date: January 8, 2015.

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FOR FURTHER INFORMATION CONTACT: Elfi registered users at http:// Subsidy rate Blum-Page, Lingjun Wang, or Andrew access.trade.gov, and is available to all Company (percent) Huston, Office VII, AD/CVD Operations, parties in the Central Records Unit, Enforcement and Compliance, room 7046 of the main Department of Lightway Green New Energy International Trade Administration, Co., Ltd ...... 22.73 Commerce building. In addition, a Shanghai BYD Co. Ltd. and U.S. Department of Commerce, 14th complete version of the Preliminary its cross-owned affiliates 5 8.63 Street and Constitution Avenue NW., Decision Memorandum can be accessed Remaining Companies Sub- Washington, DC 20230; telephone: (202) directly on the Internet at http:// ject to Review 6 ...... 15.68 482–0197, (202) 482–2316, and (202) enforcement.trade.gov/frn/index.html. 482–4261, respectively. The signed Preliminary Decision Disclosure and Public Comment SUPPLEMENTARY INFORMATION: Memorandum and the electronic The Department intends to disclose to Scope of the Investigation versions of the Preliminary Decision interested parties the calculations Memorandum are identical in content. The merchandise covered by this performed in connection with this investigation is crystalline silicon Partial Rescission of the 2012 preliminary determination within five 7 photovoltaic cells, and modules, Administrative Review days of its public announcement. laminates, and panels, consisting of Interested parties may submit case and crystalline silicon photovoltaic cells, Pursuant to 19 CFR 351.213(d)(1), the rebuttal briefs, as well as request a 8 whether or not partially or fully Department will rescind an hearing. Interested parties may submit assembled into other products, administrative review, in whole or in written comments (case briefs) within including, but not limited to, modules, part, if the parties that requested a 30 days of publication of the laminates, panels and building review withdraw the request within 90 preliminary results and rebuttal integrated materials.1 days of the date of publication of the comments (rebuttal briefs) within five notice of initiation. SolarWorld days after the time limit for filing case Methodology Industries America, Inc. (Petitioner) briefs.9 Rebuttal briefs must be limited The Department is conducting this submitted the withdrawal of its review to issues raised in the case briefs.10 countervailing duty review in request within the deadline set forth Parties who submit case or rebuttal accordance with section 751(a)(1)(A) of under 19 CFR 351.213(d)(1). Therefore, briefs are requested to submit with the the Tariff Act of 1930, as amended (the in accordance with 19 CFR argument: (1) A statement of the issue; Act). For each of the subsidy programs 351.213(d)(1), the Department is (2) a brief summary of the argument; found countervailable, we determine rescinding this review of the and (3) a table of authorities.11 that there is a subsidy, i.e., a financial countervailing duty order on solar cells Interested parties who wish to request contribution by an ‘‘authority’’ that from the PRC with respect to the a hearing, or to participate if one is confers a benefit to the recipient, and companies listed in Appendix II. No requested, must do so within 30 days of that the subsidy is specific.2 For a full other party requested a review of any of publication of these preliminary results description of the methodology the companies listed in Appendix II. by submitting a written request to the underlying our preliminary conclusions, The review will continue with respect Assistant Secretary for Enforcement and including our reliance, in part, on to the other companies for which a Compliance, U.S. Department of review was requested: The mandatory Commerce, using Enforcement and adverse facts available pursuant to 12 sections 776(a) and (b) of the Act, see respondents Lightway and Shanghai Compliance’s ACCESS system. the Preliminary Decision BYD, and the remaning companies not Requests should contain the party’s name, address, and telephone number, Memorandum.3 The Preliminary selected for individual review, listed in the number of participants, and a list of Decision Memorandum is a public Appendix III. the issues to be discussed. If a request document and is on file electronically Companies Not Selected for Individual for a hearing is made, we will inform via Enforcement and Compliance’s Review parties of the scheduled date for the Antidumping and Countervailing Duty hearing which will be held at the U.S. Centralized Electronic Service System For the companies not selected for Department of Commerce, 14th Street (ACCESS).4 ACCESS is available to individual review (see Appendix III), and Constitution Avenue NW., because the rates calculated for 1 For a full description of the scope of the order, Washington, DC 20230, at a time and Lightway and Shanghai BYD were above 13 see ‘‘Decision Memorandum for the Preliminary location to be determined. Parties Results of the Countervailing Duty Administrative de minimis and not based entirely on should confirm by telephone the date, Review of Crystalline Silicon Photovoltaic Cells, facts available, we applied a subsidy time, and location of the hearing. Issues Whether or Not Assembled Into Modules, from the rate based on a weighted average of the People’s Republic of China’’ from Gary Taverman, addressed at the hearing will be limited subsidy rates calculated for Lightway 14 Associate Deputy Assistant Secretary for to those raised in the briefs. All briefs Antidumping and Countervailing Duty Operations and Shanghai BYD using publicly to Paul Piquado, Assistant Secretary for ranged sales data submitted by 5 Cross owned affiliates are Shangluo BYD Enforcement and Compliance (Preliminary Decision respondents. Industrial Co., Ltd and BYD Company Limited, see Memorandum), dated concurrently with these Letter to the Department from Shanghai BYD, results and herby adopted by this notice. Preliminary Results of Review ‘‘Crystalline Silicon Photovoltaic Products: 2 See sections 771(5)(B) and (D) of the Act Reporting Companies and Affiliation Data,’’ (April regarding financial contribution; section 771(5)(E) As a result of this review, we 11, 2014). of the Act regarding benefit; and, section 771(5A) preliminarily determine the 6 See Appendix III. of the Act regarding specificity. 7 See 19 CFR 351.224(b). 3 countervailable subsidy rates to be: See Preliminary Decision Memorandum. A list 8 See 19 CFR 351.309(c)–(d), 19 CFR 351.310(c). of topics discussed in the Preliminary Decision 9 See 19 CFR 351.309(c)(l)(ii) and 351.309(d)(l). Memorandum can be found as an appendix to this Centralized Electronic Service System (ACCESS). 10 See 19 CFR 351.309(d)(2). notice. The Web site location was changed from http:// 11 4 On November 24, 2014, Enforcement and iaaccess.trade.gov to http://access.trade.gov. The See 19 CFR 351.309(c)(2) and (d)(2). Compliance changed the name of Enforcement and Final Rule changing the references to the 12 See 19 CFR 351.310(c). Compliance’s AD and CVD Centralized Electonic Regulations can be found at 79 FR 69046 13 See 19 CFR 351.310. Service System (‘‘IA ACCESS’’) to AD and CVD (November 20, 2014). 14 See 19 CFR 351.310(c).

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and hearing requests must be filed Resources Co., Ltd. Resources Co., Ltd. electronically and received successfully 4. Beijing Hope Industry 3. Beijing Tianneng Yingli New Energy in their entirety through ACCESS by 5. Best Solar Hi-tech Resources Co. Ltd. 5:00 p.m. Eastern Time on the due date. 6. CEEG (Shanghai) Solar Science 4. Canadian Solar International Limited. Unless the deadline is extended Technology Co., Ltd. 5. Canadian Solar Manufacturing (Changshu) 7. CEEG Nanjing Renewable Energy Co., Ltd. Inc. pursuant to section 751(a)(3)(A) of the 8. China Sunergy (Nanjing) Co., Ltd. 6. Canadian Solar Manufacturing (Luoyang) Act, we intend to issue the final results 9. China Sunergy Inc. of this administrative review, including 10. Chinalight Solar 7. Changzhou NESL Solartech Co., Ltd. the results of our analysis of the issues 11. CNPV Dongying Solar Power Co., Ltd. 8. Changzhou Trina Solar Energy Co., Ltd. raised by the parties in their comments, 12. Dai Hwa Industrial 9. Chint Solar (Zhejiang) Co., Ltd. within 120 days after issuance of these 13. EGing 10. CSG PVTech Co., Ltd. preliminary results. 14. ENN Solar Energy 11. DelSolar Co., Ltd. 15. General Solar Power 12. De-Tech Trading Limited HK. Assessment Rates and Cash Deposit 16. Golden Partner development 13. Dongfang Electric (Yixing) MAGI Solar Requirement 17. Goldpoly (Quanzhou) Power Technology Co. Ltd. 18. Hairun Photovoltaics Technology Co., Ltd 14. Eoplly New Energy Technology Co., Ltd. In accordance with 19 CFR 19. Hareon Solar Technology 15. Era Solar Co., Ltd. 351.221(b)(4)(i), we assigned a subsidy 20. HC Solar Power Co., Ltd. 16. ET Solar Energy Limited rate for each producer/exporter subject 21. JA Solar Technology Yangzhou Co., Ltd. 17. Hainan Yingli New Energy Resources Co., to this administrative review. Upon 22. Jetion Solar (China) Co., Ltd. Ltd. issuance of the final results, the 23. Jia Yi Energy Technology 18. Hangzhou Zhejiang University Sunny Department shall determine, and U.S. 24. Jiasheng Photovoltaic Tech. Energy Science and Technology Co. Ltd. Customs and Border Protection (CBP) 25. Jiangxi Green Power Co. Ltd. 19. Hendigan Group Dmegc Magnetics. shall assess, countervailing duties on all 26. Jiawei Solar Holding 20. Hengshui Yingli New Energy Resources Co., Ltd. appropriate entries covered by this 27. Jiawei Solarchina Co. (Shenzhen), Ltd 28. JingAo Solar Co., Ltd. 21. Himin Clean Energy Holdings Co., Ltd. review. We intend to issue instructions 29. Jiutai Energy 22. Innovosolar. to CBP 15 days after publication of the 30. Linuo Photovoltaic 23. Jiangsu Green Power PV Co., Ltd. final results of review. 31. Ningbo Komaes Solar Technology Co., 24. Jiangsu Jiasheng Photovoltaic Technology Pursuant to section 751(a)(2)(C) of the Ltd. Co., Ltd. Act, the Department also intends to 32. Perfectenergy 25. Jiangsu Sunlink PV Technology Co., Ltd. instruct CBP to collect cash deposits of 33. Polar Photovoltaics 26. Jiawei Solar Holding. estimated countervailing duties, in the 34. Qiangsheng (QS Solar) 27. Jinko Solar Co., Ltd. amounts shown above for each of the 35. QXPV (Ningbo Qixin Solar Electrical 28. Jinko Solar Import and Export Co., Ltd. respective companies shown above, on Appliance Co., Ltd) 29. Jinko Solar International Limited. 30. Konca Solar Cell Co., Ltd. shipments of subject merchandise 36. Refine Solar 37. Risen Energy Co, Ltd. 31. Kuttler Automation Systems (Suzhou) Co. entered, or withdrawn from warehouse, 38. Risun Solar (JiangXi Ruijing Solar Power Ltd. for consumption on or after the date of Co., Ltd.) 32. LDK Solar Hi-tech (Suzhou) Co., Ltd. publication of the final results of this 39. Sanjing Silicon 33. LDK Solar Hi-tech (Nanchang) review. For all non-reviewed firms, we 40. Shanghai Chaori Solar Energy 34. Leye Photovoltaic Science & Technology will instruct CBP to continue to collect 41. Shanghai JA Solar Technology Co., Ltd. Co., Ltd. cash deposits at the most-recent 42. Shanghai Solar Energy Science & 35. Wuxi Suntech company-specific or all-others rate Technology Co., Ltd. 36. Lixian Yingli New Energy Resources Co., applicable to the company, as 43. Shangpin Solar Ltd. appropriate. These cash deposit 44. Shanshan Ulica [FR Doc. 2015–00110 Filed 1–7–15; 8:45 am] 45. Shenzen Topray Solar Co., Ltd. BILLING CODE 3510–DS–P requirements, when imposed, shall 46. Shenzhen Global Solar Energy Tech. remain in effect until further notice. 47. Shuqimeng Energy Tech These preliminary results are issued 48. Skybasesolar and published in accordance with 49. Solargiga Energy Holdings Ltd. DEPARTMENT OF COMMERCE sections 751(a)(1) and 777(i)(1) of the 50. Sunflower International Trade Administration Act, and 19 CFR 351.221(b)(4). 51. Sunlink PV 52. Sunvim Solar Technology Dated: December 31, 2014. [A–570–979] 53. Tainergy Tech Paul Piquado, 54. tenKsolar (Shanghai) Co., Ltd. Crystalline Silicon Photovoltaic Cells, Assistant Secretary for Enforcement and 55. Tianjin Jinneng Solar Cell Whether or Not Assembled Into Compliance. 56. Topsolar Modules, From the People’s Republic Appendix I 57. Trony of China: Preliminary Results of 58. Weihai China Glass Solar List of Topics Discussed in the Preliminary 59. Wuxi Sun-shine Power Co., Ltd. Antidumping Duty Administrative Decision Memorandum 60. Wuxi University Science Park Review and Preliminary Determination I. Summary International Incubator Co., Ltd. of No Shipments; 2012–2013 61. Yuhan Sinosola Science & Technology II. Background AGENCY: Co., Ltd. Enforcement and Compliance, III. Subsidies Valuation International Trade Administration, IV. Use of Facts Otherwise Available and 62. Yuhuan Solar Energy Source Co., Ltd. Adverse Inferences 63. Yunnan Tianda Department of Commerce. V. Analysis of Programs 64. Yunnan Zhuoye Energy SUMMARY: The Department of Commerce VI. Disclosure and Public Comment 65. Zhejiang Top Point Photovoltaic Co., Ltd. (‘‘the Department’’) is conducting an VII. Conclusion 66. Zhejiang Wanxiang Solar Co, Ltd. administrative review of the Appendix II Appendix III antidumping duty order on crystalline 1. Aiko Solar 1. Baoding Jiansheng Photovoltaic silicon photovoltaic cells, whether or 2. Amplesun Solar Technology Co., Ltd. not assembled into modules (‘‘solar 3. Boading Tianwei Yingli New Energy 2. Boading Tianwei Yingli New Energy cells’’), from the People’s Republic of

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China (‘‘PRC’’). The period of review preliminarily determines that 23 of the this review, we preliminarily find that (‘‘POR’’) is May 25, 2012, through companies that claimed no shipments each of the mandatory respondents and November 30, 2013. The administrative during this POR did not have any the respective companies listed above review covers two mandatory reviewable transactions during the should be treated as a single company respondents, Yingli Energy (China) POR.2 We found that two companies for the purposes of this review pursuant Company Limited and Wuxi Suntech which claimed no exports, sales or to 19 CFR 351.401(f). For additional Power Co., Ltd. The Department entries of subject merchandise during information, see the Preliminary preliminarily finds that the mandatory the POR did, in fact, sell subject Decision Memorandum. respondent Yingli Energy (China) merchandise to the United States during PRC-Wide Entity Company Limited sold subject the POR. Neither of these companies merchandise in the United States at filed a separate rate application or Several companies for which the prices below normal value (‘‘NV’’) certification and thus they have not Department initiated this review failed during the POR and that Wuxi Suntech established their entitlement to a to respond to the Department’s request Power Co., Ltd., is not eligible for a separate rate in this review. For for quantity and value information. separate rate. Interested parties are additional information regarding this Therefore, these companies are not invited to comment on these determination, see the Preliminary eligible for separate rate status.4 preliminary results. Decision Memorandum. Accordingly, the Department Consistent with an announced DATES: Effective Date: January 8, 2015. preliminarily finds that the PRC-wide refinement to its assessment practice in entity includes these companies. FOR FURTHER INFORMATION CONTACT: non-market economy (‘‘NME’’) cases, Furthermore, because necessary Brandon Farlander or Drew Jackson, the Department is not rescinding this information is not available on the AD/CVD Operations, Office IV, review, in part, but intends to complete record and the PRC-wide entity Enforcement & Compliance, the review with respect to the withheld requested information, failed International Trade Administration, companies for which it has to provide information in a timely Department of Commerce, 14th Street preliminarily found no shipments and manner and in the form requested, and and Constitution Avenue NW., issue appropriate instructions to CBP significantly impeded this proceeding, Washington, DC 20230; telephone: (202) based on the final results of the review.3 the Department relied on facts otherwise 482–0182 or (202) 482–4406, Preliminary Affiliation and Single available (‘‘FA’’) to determine the PRC- respectively. 5 Entity Determination wide rate. SUPPLEMENTARY INFORMATION: Additionally, the Department finds Based on record evidence, the that the PRC-wide entity failed to Scope of the Order Department preliminarily finds that the cooperate by not acting to the best of its The merchandise covered by the order mandatory respondent Yingli Energy ability to comply with a request for is crystalline silicon photovoltaic cells, (China) Company Limited is affiliated information. Therefore, pursuant to and modules, laminates, and panels, with the following seven companies section 776(b) of the Act, the consisting of crystalline silicon pursuant to section 771(33)(F) of the Department is using an adverse photovoltaic cells, whether or not Tariff Act of 1930, as amended (‘‘the inference when selecting from among partially or fully assembled into other Act’’): (1) Baoding Tianwei Yingli New the facts otherwise available. Thus, the products, including, but not limited to, Energy Resources Co., Ltd.; (2) Tianjin Department is relying on adverse facts modules, laminates, panels and building Yingli New Energy Resources Co., Ltd.; available (‘‘AFA’’) in order to determine integrated materials.1 Merchandise (3) Hengshui Yingli New Energy a margin for the PRC-wide entity, covered by this review is classifiable Resources Co., Ltd.; (4) Lixian Yingli pursuant to sections 776(a)(1), under subheading 8501.61.0000, New Energy Resources Co., Ltd.; (5) 776(a)(2)(A), (B), (C) and 776(b) of the 8507.20.80, 8541.40.6020, 8541.40.6030, Baoding Jiasheng Photovoltaic Act. For additional information, see the and 8501.31.8000 of the Harmonized Technology Co., Ltd.; (6) Beijing Preliminary Decision Memorandum. Tariff Schedule of the United States Tianneng Yingli New Energy Resources (‘‘HTSUS’’). Although the HTSUS Co., Ltd.; and (7) Hainan Yingli New Verification subheadings are provided for Energy Resources Co., Ltd. (collectively As provided in section 782(i) of the convenience and customs purposes, our ‘‘Yingli’’). Furthermore, the Department Act, the Department verified written description of the scope of the preliminarily finds that the mandatory information provided by Yingli. The order is dispositive. respondent Wuxi Suntech Power Co., Department conducted the verification Ltd. is affiliated with the following three using standard verification procedures Preliminary Determination of No companies pursuant to section including the examination of relevant Shipments 771(33)(F) of the Act: (1) Luoyang sales and financial records and the Based on an analysis of U.S. Customs Suntech Power Co., Ltd.; (2) Suntech selection and review of original and Border Protection (‘‘CBP’’) Power Co., Ltd.; and (3) Wuxi Sunshine documentation containing relevant information, and comments provided by Power Co., Ltd. (collectively, ‘‘Wuxi information. The results of the a number of companies, the Department Suntech Single Entity’’). In addition, based on the information presented in 4 See Initiation of Antidumping and 1 For a complete description of the scope of the Countervailing Duty Administrative Reviews and order, see ‘‘Decision Memorandum for the 2 We treated two companies which reported Request for Revocation in Part, 79 FR 6147 Preliminary Results of the 2012–2013 Antidumping making no shipments during the POR, Luoyang (February 3, 2014) (‘‘Furthermore, firms to which Duty Administrative Review of Crystalline Silicon Suntech Power Co., Ltd. and Suntech Power Co., the Department issues a Quantity and Value Photovoltaic Cells, Whether or Not Assembled into Ltd., as part of a single entity together with the (‘‘Q&V’’) questionnaire in the antidumping duty Modules, from the People’s Republic of China’’ mandatory respondent, Wuxi Suntech Power Co., administrative review of solar cells and modules from Gary Taverman, Associate Deputy Assistant Ltd. See the ‘‘Preliminary Affiliation and Single from the PRC must submit a timely and complete Secretary for Antidumping and Countervailing Entity Determination’’ section of this notice. response to the Q&V questionnaire, in addition to Operations, to Paul Piquado, Assistant Secretary for 3 See Non-Market Economy Antidumping a timely and complete Separate Rate Application or Enforcement and Compliance, issued concurrently Proceedings: Assessment of Antidumping Duties, 76 Certification in order to receive consideration for with and hereby adopted by this notice FR 65694, 65694–95 (October 24, 2011) and the separate-rate status.’’). (‘‘Preliminary Decision Memorandum’’). ‘‘Assessment Rates’’ section, below. 5 See Section 776(a) of the Act.

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verification are outlined in the public of this review. Thus, because necessary zero, de minimis or based entirely on version of the verification reports. The information is not available on the facts available. Accordingly, the verification reports will be on file record, and in accordance with section Department’s usual practice has been to electronically via Enforcement and 776(a)(1) of the Act, the Department is average the weighted-average dumping Compliance’s Antidumping and applying FA with respect to these margins for the selected companies, Countervailing Duty Centralized unreported FOP data. For details excluding rates that are zero, de Electronic Service System (‘‘ACCESS’’).6 regarding these determinations, see the minimis, or based entirely on facts ACCESS is available to registered users Preliminary Decision Memorandum. available.9 Because we preliminarily at https://access.trade.gov, and is determine that the Wuxi Suntech Single The Wuxi Suntech Single Entity’s available to all parties in the Entity is ineligible for a separate rate, Separate Rate Status Department’s Central Records Unit, the Department assigned to the located in room 7046 of the main Wuxi Sunshine, an exporter and companies that it did not individually Department of Commerce building. member of the Wuxi Suntech Single examine, but which demonstrated their Entity, reported that certain eligibility for a separate rate, a margin Use of Partial Facts Available and shareholders are state-owned calculated for mandatory respondent Adverse Facts Available companies.7 Because of the level of Yingli. Section 776(a) of the Act provides that government ownership in Wuxi Methodology the Department shall apply FA if (1) Sunshine, and the control or potential to necessary information is not on the exercise control that such ownership The Department conducted this record, or (2) an interested party or any establishes, we preliminarily conclude review in accordance with section other person (A) withholds information that Wuxi Sunshine, and thus the Wuxi 751(a)(1)(B) of the Act. The Department that has been requested, (B) fails to Suntech Single Entity, does not satisfy calculated export prices and constructed provide information within the the criteria demonstrating an absence of export prices in accordance with section deadlines established, or in the form de facto government control over export 772 of the Act. Given that the PRC is a and manner requested by the activities.8 Consequently, we NME country, within the meaning of Department, subject to subsections (c)(1) preliminarily determine that the Wuxi section 771(18) of the Act, the and (e) of section 782 of the Act, (C) Suntech Single Entity is ineligible for a Department calculated NV in significantly impedes a proceeding, or separate rate. accordance with section 773(c) of the (D) provides information that cannot be Act. Rate for Separate-Rate Companies Not verified as provided by section 782(i) of For a full description of the Individually Examined the Act. methodology underlying the Section 776(b) of the Act further The statute and the Department’s preliminary results of this review, see provides that the Department may use regulations do not address the the Preliminary Decision Memorandum. an adverse inference in applying FA establishment of a rate to be applied to The Preliminary Decision Memorandum when a party has failed to cooperate by individual respondents not selected for is a public document and is made not acting to the best of its ability to examination when the Department available to the public via ACCESS. In comply with a request for information. limits its examination in an addition, a complete version of the Such an adverse inference may include administrative review pursuant to Preliminary Decision Memorandum can reliance on information derived from section 777A(c)(2)(B) of the Act. be found at http:// the petition, the final determination, a Generally, the Department looks to enforcement.trade.gov/frn/. The signed previous administrative review, or other section 735(c)(5) of the Act, which and the electronic versions of the information placed on the record. provides instructions for calculating the Preliminary Decision Memorandum are Based on findings at verification, all-others rate in an investigation, for identical in content. pursuant to sections 776(a) and (b) of guidance when calculating the rate for the Act, we are applying partial AFA to respondents which we did not examine Preliminary Results of Review a portion of Yingli’s U.S. sales. in an administrative review. Section The Department preliminarily Moreover, Yingli did not report FOP 735(c)(5)(A) of the Act articulates a determines that the following weighted- data from certain suppliers or tollers preference that we are not to calculate average dumping margins exist for the based on the specific facts on the record an all-others rate using rates which are POR:

Weighted-average Exporter dumping margin (Percent)

Yingli Energy (China) Company Limited/Baoding Tianwei Yingli New Energy Resources Co., Ltd./Tianjin Yingli New Energy Resources Co., Ltd./Hengshui Yingli New Energy Resources Co., Ltd./Lixian Yingli New Energy Resources Co., Ltd./ Baoding Jiasheng Photovoltaic Technology Co., Ltd./Beijing Tianneng Yingli New Energy Resources Co., Ltd./Hainan Yingli New Energy Resources Co., Ltd...... 1.82 Canadian Solar International Limited ...... 1.82

6 On November 20, 2014, Enforcement and 7 See Wuxi Sunshine’s April 4, 2014 Separate- Republic of China: Wuxi Suntech Single Entity Compliance changed the name of the Import Rate Application at 11. The details regarding Wuxi Separate Rate Analysis,’’ dated December 31, 2014 Administration AD and CVD Centralized Electronic Sunshine’s ownership by the PRC government is (‘‘Wuxi Suntech Separate Rate Memorandum’’). Service System (‘‘IA ACCESS’’) to AD and CVD business proprietary information and may not be 8 Id. publically disclosed. For further information Centralized Electronic Service System (‘‘ACCESS’’). 9 regarding the Department’s separate rate analysis, See Ball Bearings and Parts Thereof From The Web site location was changed from http:// see Memorandum to Abdelali Elouaradia, Director, France, Germany, Italy, Japan, and the United iaaccess.trade.gov to http://access.trade.gov. See Office IV, AD/CVD Operations from Drew Jackson, Kingdom: Final Results of Antidumping Duty Enforcement and Compliance; Change of Electronic International Trade Analyst, Office IV, AD/CVD Administrative Reviews and Rescission of Reviews Filing System Name, 79 FR 69046 (November 20, Operations, regarding, ‘‘Antidumping Duty Review in Part, 73 FR 52823, 52824 (September 11. 2008), 2014). of Crystalline Silicon Photovoltaic Cells, Whether and accompanying Issues and Decision or Not Assembled into Modules, from the People’s Memorandum at Comment 16.

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Weighted-average Exporter dumping margin (Percent)

Canadian Solar Manufacturing (Changshu) Inc...... 1.82 Canadian Solar Manufacturing (Luoyang) Inc...... 1.82 Changzhou Trina Solar Energy Co., Ltd./Trina Solar (Changzhou) Science and Technology Co., Ltd.10 ...... 1.82 Chint Solar (Zhejiang) Co., Ltd...... 1.82 De-Tech Trading Limited HK ...... 1.82 Eoplly New Energy Technology Co., Ltd...... 1.82 Hangzhou Zhejiang University Sunny Energy Science and Technology Co., Ltd...... 1.82 Jinko Solar Import and Export Co., Ltd...... 1.82 LDK Solar Hi-tech (Nanchang) Co., Ltd...... 1.82 Ningbo Qixin Solar Electrical Appliance Co., Ltd...... 1.82 Renesola Jiangsu Ltd...... 1.82 Shanghai BYD Co., Ltd...... 1.82 Shenzhen Topray Solar Co. Ltd...... 1.82 Sopray Energy Co., Ltd...... 1.82 Star Power International Limited ...... 1.82 Sun Earth Solar Power Co., Ltd...... 1.82 Yingli Green Energy Holding Company Limited ...... 1.82 Yingli Green Energy International Trading Company Limited ...... 1.82 Zhejiang Sunflower Light Energy Science & Technology Limited Liability Company ...... 1.82 PRC-Wide Entity 11 ...... 12 238.56

Disclosure and Public Comment publication of these preliminary results date. Documents excepted from the 13 The Department intends to disclose to of review. Rebuttal briefs may be filed electronic submission requirements parties the calculations performed for no later than five days after case briefs must be filed manually (i.e., in paper these preliminary results of review are due and may respond only to form) with the APO/Dockets Unit in 14 within five days of the date of arguments raised in the case briefs. A Room 1870 and stamped with the date publication of this notice in accordance table of contents, list of authorities used, and time of receipt by 5 p.m. ET on the 18 with 19 CFR 351.224(b). Interested and an executive summary of issues due date. parties may submit case briefs no later should accompany any briefs submitted Unless otherwise extended, the than 30 days after the date of to the Department. The summary should Department intends to issue the final be limited to five pages total, including results of this administrative review, 10 In the investigation in this proceeding, the footnotes. which will include the results of its Department treated Changzhou Trina Solar Energy Interested parties who wish to request analysis of issues raised in any briefs, Co., Ltd. and Trina Solar (Changzhou) Science & a hearing must submit a written request within 120 days of publication of these Technology Co., Ltd. as a single entity. See to the Assistant Secretary for preliminary results, pursuant to section Crystalline Silicon Photovoltaic Cells, Whether or Enforcement and Compliance, U.S. Not Assembled into Modules, from the People’s 751(a)(3)(A) of the Act. Republic of China: Final Determination of Sales at Department of Commerce, within 30 Less Than Fair Value, and Affirmative Final days after the date of publication of this Assessment Rates Determination of Critical Circumstances, in Part, 77 notice.15 Requests should contain the Upon issuance of the final results of FR 63791 (October 17, 2012). Absent information to party’s name, address, and telephone the contrary, the Department has continued to treat this review, the Department will these companies as a single entity for purposes of number, the number of participants, and determine, and CBP shall assess, this review. a list of the issues to be discussed. Oral antidumping duties on all appropriate 11 The PRC-wide entity includes the following argument presentations will be limited entries covered by this review.19 The companies: (1) Changzhou NESL Solartech Co., to issues raised in the briefs. If a request Department intends to issue assessment Ltd.; (2) CSG PVTech Co., Ltd. (3) Era Solar Co., Ltd.; (4) Innovosolar; (5) Jiangsu Sunlink PV for a hearing is made, the Department instructions to CBP 15 days after the Technology Co., Ltd.; (6) Jiawei Solarchina Co., intends to hold the hearing at the U.S. publication date of the final results of Ltd.; (7) Jinko Solar Co., Ltd.; (8) LDK Solar Hi-tech Department of Commerce, 14th Street this review. For each individually (Suzhou) Co., Ltd.; (9) Leye Photovoltaic Co., Ltd.; and Constitution Avenue NW., examined respondent in this review (10) Magi Solar Technology; (11) Ningbo ETDZ Holdings, Ltd.; (12) ReneSola; (13) Shanghai Washington, DC 20230, at a date and whose weighted-average dumping 16 Machinery Complete Equipment (Group) Corp., time to be determined. Parties should margin in the final results of review is Ltd.; (14) Shenglong PV-Tech; (15) Solarbest confirm by telephone the date, time, and above de minimis (i.e., greater than or Energy-Tech (Zhejiang) Co., Ltd.; (16) Suzhou location of the hearing two days before equal to 0.5 percent), the Department Shenglong PV–TECH Co., Ltd.; (17) Zhejiang Shuqimeng Photovoltaic Technology Co., Ltd.; (18) the scheduled date. intends to calculate importer- (or Zhejiang Xinshun Guangfu Science and Technology All submissions, with limited customer)-specific assessment rates, in Co., Ltd.; (19) Zhejiang ZG-Cells Co., Ltd.; (20) exceptions, must be filed electronically accordance with 19 CFR 351.212(b)(1).20 Zhiheng Solar Inc.; (21) Wuxi Suntech Power Co., using ACCESS.17 An electronically filed Where the respondent reported reliable Ltd./Luoyang Suntech Power Co., Ltd./Suntech document must be received successfully Power Co., Ltd./Wuxi Sunshine Power Co. Ltd. In addition, the PRC-wide entity includes the in its entirety by the Department’s 18 See Antidumping and Countervailing Duty companies listed in Appendix II of the notice electronic records system, ACCESS, by Proceedings: Electronic Filing Procedures; Crystalline Silicon Photovoltaic Cells, Whether or 5 p.m. Eastern Time (‘‘ET’’) on the due Administrative Protective Order Procedures, 76 FR Not Assembled Into Modules From the People’s 39263 (July 6, 2011). Republic of China: Amended Partial Rescission of 19 See 19 CFR 351.212(b)(1). 13 See 19 CFR 351.309(c)(ii). Antidumping Duty Administrative Review, 79 FR 20 See Antidumping Proceedings: Calculation of 14 43713 (July 28, 2014). See 19 CFR 351.309(d). the Weighted Average Dumping Margin and 12 This PRC-wide entity rate equals the PRC-wide 15 See 19 CFR 351.310(c). Assessment Rate in Certain Antidumping entity rate of 249.96% adjusted for export subsidies 16 See 19 CFR 351.310(d). Proceedings: Final Modification, 77 FR 8101 and estimated domestic subsidy pass-through. 17 See generally 19 CFR 351.303. (February 14, 2012) (‘‘Final Modification’’).

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entered values, the Department intends normal value exceeds U.S. price. The 7. Discussion of the Methodology to calculate importer- (or customer)- following cash deposit requirements a. NME Country specific ad valorem rates by aggregating will be effective upon publication of the b. Separate Rates the dumping margins calculated for all final results of this administrative c. The PRC-wide Entity d. Use of Facts Available and AFA U.S. sales to the importer- (or customer) review for shipments of the subject e. Surrogate Country and dividing this amount by the total merchandise from the PRC entered, or f. Date of Sale entered value of the sales to the withdrawn from warehouse, for g. Fair Value Comparisons importer- (or customer).21 Where the consumption on or after the publication h. U.S. Price Department calculates an importer- (or date of this notice, as provided by i. Normal Value customer)-specific weighted-average section 751(a)(2)(C) of the Act: (1) For j. Section 777A(f) of the Act dumping margin by dividing the total the exporters listed above, the cash k. Currency Conversion amount of dumping for reviewed sales deposit rate will be equal to the 8. Conclusion to the importer- (or customer) by the weighted-average dumping margin [FR Doc. 2015–00098 Filed 1–7–15; 8:45 am] total sales quantity associated with established in the final results of this BILLING CODE 3510–DS–P those transactions, the Department will review (except, if the rate is zero or de direct CBP to assess importer- (or minimis, then the cash deposit rate will customer)-specific assessment rates be zero for that exporter); (2) for DEPARTMENT OF COMMERCE based on the resulting per-unit rates.22 previously investigated or reviewed PRC Where an importer- (or customer)- and non-PRC exporters not listed above International Trade Administration specific ad valorem or per-unit rate is that have separate rates, the cash [A–570–875] greater than de minimis, the Department deposit rate will continue to be the will instruct CBP to collect the exporter-specific rate published for the Non-Malleable Cast Iron Pipe Fittings appropriate duties at the time of most recently completed segment of this From the People’s Republic of China: liquidation. Where either the proceeding; (3) for all PRC exporters of Preliminary Results of Antidumping respondent’s weighted average dumping subject merchandise which have not Administrative Review; 2013–2014 margin is zero or de minimis, or an been found to be entitled to a separate AGENCY: Enforcement and Compliance, importer (or customer-) specific ad rate, the cash deposit rate will be the valorem or per-unit rate is zero or de International Trade Administration, rate for the PRC-wide entity and (4) for Department of Commerce. minimis, the Department will instruct all non-PRC exporters of subject SUMMARY: The Department of Commerce CBP to liquidate appropriate entries merchandise that have not received 23 (‘‘Department’’) is conducting an without regard to antidumping duties. their own rate, the cash deposit rate will administrative review of the On October 24, 2011, the Department be the rate applicable to the PRC antidumping duty order on non- announced a refinement to its exporter that supplied that non-PRC malleable cast iron pipe fittings assessment practice in NME exporter. These deposit requirements, 24 (‘‘NMPF’’) from the People’s Republic of antidumping duty cases. Pursuant to when imposed, shall remain in effect China (‘‘PRC’’) for the period of review this refinement in practice, for entries until further notice. that were not reported in the U.S. sales (‘‘POR’’) April 1, 2013, through March database submitted by an exporter Notification to Importers 31, 2014. This review covers one PRC individually examined during this This notice also serves as a company, Overseas Industrial 1 review, the Department will instruct preliminary reminder to importers of Corporation (‘‘OIC’’). The Department CBP to liquidate such entries at the their responsibility under 19 CFR preliminarily finds that OIC is part of PRC-wide rate. Additionally, pursuant 351.402(f)(2) to file a certificate the PRC-wide entity. Interested parties to this refinement, if the Department regarding the reimbursement of are invited to comment on these determines that an exporter under antidumping duties prior to liquidation preliminary results. review had no shipments of the subject of the relevant entries during this POR. DATES: Effective Date: January 8, 2015. merchandise, any suspended entries Failure to comply with this requirement FOR FURTHER INFORMATION CONTACT: that entered under that exporter’s case could result in the Department’s Karine Gziryan, AD/CVD Operations, number will be liquidated at the PRC- presumption that reimbursement of Office IV, Enforcement & Compliance, wide rate. antidumping duties occurred and the International Trade Administration, In accordance with section subsequent assessment of double U.S. Department of Commerce, 14th 751(a)(2)(C) of the Act, the final results antidumping duties. Street and Constitution Avenue NW., of this review shall be the basis for the We are issuing and publishing these Washington, DC 20230; telephone: (202) assessment of antidumping duties on results in accordance with sections 482–4081. entries of merchandise covered by the 751(a)(1) and 777(i)(1) of the Act and 19 SUPPLEMENTARY INFORMATION: final results of this review and for future CFR 351.213. deposits of estimated duties, where Scope of the Order Dated: December 31, 2014. applicable. The products covered by the order are Paul Piquado, finished and unfinished non-malleable Cash Deposit Requirements Assistant Secretary for Enforcement and cast iron pipe fittings with an inside The Department will instruct CBP to Compliance. diameter ranging from 1/4 inch to 6 require a cash deposit equal to the Appendix—List of Topics Discussed in inches, whether threaded or weighted-average amount by which the the Preliminary Decision Memorandum unthreaded, regardless of industry or proprietary specifications. For a full 21 See 19 CFR 351.212(b)(1). 1. Summary 22 Id. 2. Background description of the scope of the order, see 23 See Final Modification at 8103. 3. Scope of the Order Preliminary Results Decision 24 See Non-Market Economy Antidumping 4. Preliminary Determination of No Proceedings: Assessment of Antidumping Duties, 76 Shipments 1 See Initiation of Antidumping and FR 65694 (October 24, 2011), for a full discussion 5. Selection of Respondents Countervailing Duty Administrative Reviews, 79 FR of this practice. 6. Single Entity Treatment 30809 (May 29, 2014).

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Memorandum from Gary Taverman, rate previously established for the PRC- review.6 The Department intends to Associate Deputy Assistant Secretary for wide entity, i.e., 75.50 percent.4 issue assessment instructions to CBP 15 Antidumping and Countervailing Duty Disclosure and Public Comment days after the publication date of the Operations to Paul Piquado, Assistant final results of this review. The Secretary for Enforcement and Interested parties are invited to Department intends to instruct CBP to Compliance, dated concurrently with comment on the preliminary results and liquidate entries of subject merchandise these results and hereby adopted by this may submit case briefs and/or written from Overseas Industrial Corporation at notice (‘‘Preliminary Decision comments, filed electronically using 75.50 percent (the rate previously ACCESS, within 30 days of the date of Memorandum’’). determined for the PRC-wide entity). publication of this notice, pursuant to Methodology 19 CFR 351.309(c)(ii). Rebuttal briefs, The Department announced a refinement to its assessment practice in The Department conducted this limited to issues raised in the case NME antidumping duty cases. Pursuant review in accordance with section briefs, will be due five days after the to this refinement in practice, for 751(a)(1)(B) of the Tariff Act of 1930, as due date for case briefs, pursuant to 19 merchandise that was not reported in amended (‘‘the Act’’). For a full CFR 351.309(d). Parties who submit the U.S. sales databases submitted by an description of the methodology case or rebuttal briefs in this proceeding underlying our conclusions, see the are requested to submit with each exporter individually examined during Preliminary Decision Memorandum. argument a statement of the issue, a this review, but that entered under the The list of topics discussed in the summary of the argument not to exceed case number of that exporter (i.e., at the five pages, and a table of statutes, Preliminary Decision Memorandum is individually-examined exporter’s cash regulations, and cases cited, in provided as an Appendix to the notice. deposit rate), the Department will accordance with 19 CFR 351.309(c)(2). instruct CBP to liquidate such entries at This memorandum is a public Pursuant to 19 CFR 351.310(c), document and is on file electronically the PRC-wide rate. Additionally, interested parties, who wish to request pursuant to this refinement, if the via Enforcement and Compliance’s a hearing, or to participate in a hearing Antidumping and Countervailing Duty Department determines that an exporter if one is requested, must submit a under review had no shipments of the Centralized Electronic Service System written request to the Assistant 2 subject merchandise, any suspended (‘‘ACCESS’’). ACCESS is available to Secretary for Enforcement and registered users at http:// entries that entered under that Compliance, U.S. Department of exporter’s case number will be access.trade.gov and in the Central Commerce, filed electronically using liquidated at the PRC-wide rate.7 Records Unit, room 7046 of the main ACCESS. Electronically filed case Department of Commerce building. In briefs/written comments and hearing Cash Deposit Requirements addition, a complete version of the requests must be received successfully Preliminary Decision Memorandum can in their entirety by the Department’s The following cash deposit be accessed directly on the Internet at electronic records system, ACCESS, by requirements will be effective upon http://www.trade.gov/enforcement/. The 5:00 p.m. Eastern Standard Time, within publication of the final results of this signed Preliminary Decision 30 days after the date of publication of administrative review for all shipments Memorandum and the electronic this notice.5 Hearing requests should of the subject merchandise entered, or versions of the Preliminary Decision contain: (1) The party’s name, address withdrawn from warehouse, for Memorandum are identical in content. and telephone number; (2) the number consumption on or after the publication Preliminary Results of Review of participants; and (3) a list of issues to date of the final results of review, as be discussed. Issues raised in the provided by section 751(a)(2)(C) of the Because OIC has not demonstrated its hearing will be limited to those issues Act: (1) For previously investigated or eligibility for a separate rate, we raised in the respective case briefs. If a reviewed PRC and non-PRC exporters preliminarily find it to be part of the request for a hearing is made, parties which are not under review in this PRC-wide entity 3 and subject for the will be notified of the time and date of segment of the proceeding but which the hearing which will be held at the have separate rates, the cash deposit rate 2 On November 24, 2014, Enforcement and U.S. Department of Commerce, 1401 will continue to be the exporter-specific Compliance changed the name of Enforcement and Constitution Avenue NW., Washington rate published for the most recent Compliance’s AD and CVD Centralized Electronic DC 20230. The Department intends to Service System (‘‘IA ACCESS’’) to AD and CVD period; (2) for all PRC exporters of Centralized Electronic Service System (‘‘ACCESS’’). issue the final results of this subject merchandise that have not been The Web site location was changed from http:// administrative review, including the found to be entitled to a separate rate, iaaccess.trade.gov to http://access.trade.gov. The results of its analysis of the issues raised including Overseas Industrial Final Rule changing the references to the in any written briefs, not later than 120 Regulations can be found at 79 FR 69046 Corporation, the cash deposit rate will (November 20, 2014). days after the date of publication of this be the PRC-wide rate of 75.50 percent; 3 See Preliminary Decision Memorandum. notice, pursuant to section 751(a)(3)(A) and (3) for all non-PRC exporters of Pursuant to the Department’s change in practice, of the Act. the Department no longer considers the non-market subject merchandise which have not economy entity as an exporter conditionally subject Assessment Rates received their own rate, the cash deposit to administrative reviews. See Antidumping Upon issuance of the final results, the rate will be the rate applicable to the Proceedings: Announcement of Change in PRC exporter(s) that supplied that non- Department Practice for Respondent Selection in Department will determine, and U.S. Antidumping Duty Proceedings and Conditional Customs and Border Protection (‘‘CBP’’) PRC exporter. These deposit Review of the Nonmarket Economy Entity in NME shall assess, antidumping duties on all requirements, when imposed, shall Antidumping Duty Proceedings, 78 FR 65963, appropriate entries covered by this remain in effect until further notice. 65970 (November 4, 2013). Under this practice, the non-market economy entity will not be under review unless a party specifically requests, or the 4 See Notice of Antidumping Duty Order: Non- 6 See 19 CFR 351.212(b)(1). Department self-initiates, a review of the entity. Malleable Cast Iron Pipe Filings (Sic.) From the 7 See Non-Market Economy Antidumping Because no party requested a review of the entity, People’s Republic of China, 68 FR 16765 (April 7, Proceedings: Assessment of Antidumping Duties, 76 the entity is not under review and the entity’s rate 2003). FR 65694 (October 24, 2011), for a full discussion is not subject to change. 5 See 19 CFR 351.310(c). of this practice.

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Notification to Importers apps.nmfs.noaa.gov, and then selecting were taken as a result of routine This notice also serves as a File No. 18662 from the list of available husbandry/medical procedures/ preliminary reminder to importers of applications. examination or under separate permit or their responsibility under 19 CFR These documents are also available authorization in the U.S. and abroad; 351.402(f)(2) to file a certificate upon written request or by appointment and (5) samples from other permitted regarding the reimbursement of in the Permits and Conservation research in the U.S. and abroad. antidumping duties prior to liquidation Division, Office of Protected Resources, Samples collected from stranded of the relevant entries during this NMFS, 1315 East-West Highway, Room animals in the U.S. and received under review period. Failure to comply with 13705, Silver Spring, MD 20910; phone separate authorization may be exported this requirement could result in the (301) 427–8401; fax (301) 713–0376. and re-imported. No takes of live Department’s presumption that Written comments on this application animals is requested or would be reimbursement of antidumping duties should be submitted to the Chief, permitted. The applicant has requested occurred and the subsequent assessment Permits and Conservation Division, at a 5-year permit. of double antidumping duties. the address listed above. Comments may In compliance with the National We are issuing and publishing these also be submitted by facsimile to (301) Environmental Policy Act of 1969 (42 results in accordance with sections 713–0376, or by email to U.S.C. 4321 et seq.), an initial 751(a)(1) and 777(i)(1) of the Act and 19 [email protected]. Please determination has been made that the CFR 351.213. include the File No. 18662 in the subject activity proposed is categorically line of the email comment. excluded from the requirement to Dated: December 30, 2015. Those individuals requesting a public prepare an environmental assessment or Paul Piquado, hearing should submit a written request environmental impact statement. Assistant Secretary for Enforcement and to the Chief, Permits and Conservation Concurrent with the publication of Compliance. Division at the address listed above. The this notice in the Federal Register, Appendix request should set forth the specific NMFS is forwarding copies of the reasons why a hearing on this application to the Marine Mammal List of Topics Discussed in the Preliminary application would be appropriate. Results Decision Memorandum Commission and its Committee of FOR FURTHER INFORMATION CONTACT: Rosa Scientific Advisors. Summary ´ Background L. Gonzalez or Amy Sloan, (301) 427– Dated: December 29, 2014. Scope of the Order 8401. Julia Harrison, Discussion of the Methodology SUPPLEMENTARY INFORMATION: The Chief, Permits and Conservation Division, Separate Rates subject permit is requested under the Office of Protected Resources, National Recommendation authority of the Marine Mammal Marine Fisheries Service. [FR Doc. 2015–00112 Filed 1–7–15; 8:45 am] Protection Act of 1972, as amended [FR Doc. 2015–00072 Filed 1–7–15; 8:45 am] BILLING CODE 3510–DS–P (MMPA; 16 U.S.C. 1361 et seq.), the BILLING CODE 3510–22–P regulations governing the taking and importing of marine mammals (50 CFR DEPARTMENT OF COMMERCE part 216), the Endangered Species Act of BUREAU OF CONSUMER FINANCIAL 1973, as amended (ESA; 16 U.S.C. 1531 PROTECTION National Oceanic and Atmospheric et seq.), the regulations governing the Administration taking, importing, and exporting of [Docket No: CFPB–2014–0037] [File No. 18662] endangered and threatened species (50 CFR 222–226), and the Fur Seal Act of Agency Information Collection RIN 0648–XD694 1966, as amended (16 U.S.C. 1151 et Activities: Submission for OMB Marine Mammals seq.). Review; Comment Request The applicant proposes to receive, AGENCY: National Marine Fisheries import, and export tissue and other AGENCY: Bureau of Consumer Financial Service (NMFS), National Oceanic and specimen materials (e.g., body fluids) Protection. Atmospheric Administration (NOAA), for comparative research on the ACTION: Notice and request for comment. Commerce. physiology and other biological aspects SUMMARY: In accordance with the ACTION: Notice; receipt of application. of marine mammals. Unlimited samples from up to 200 individual cetaceans and Paperwork Reduction Act of 1995 SUMMARY: Notice is hereby given that 200 individual pinnipeds (excluding (PRA), the Consumer Financial Allyson Hindle, Assistant Professor of walrus) are requested to be received, Protection Bureau (Bureau) is proposing Anesthesia, Massachusetts General imported, or exported annually on an a new information collection titled, Hospital, 55 Fruit Street, Thier 503, opportunistic basis. Marine mammal ‘‘Bridges to Financial Security: A Multi- Boston, MA 02114, has applied in due samples will be collected by others site Demonstration Project.’’ form for a permit to receive, import, and under separate existing permits and may DATES: Written comments are export specimens of marine mammals be obtained from the following sources: encouraged and must be received on or for scientific research purposes. (1) Animals killed during legal before February 9, 2015 to be assured of DATES: Written, telefaxed, or email subsistence harvests in the U.S. and consideration. comments must be received on or before abroad; (2) animals that died incidental ADDRESSES: You may submit comments, February 9, 2015. to legal commercial fishing operations identified by the title of the information ADDRESSES: The application and related in the U.S. and in foreign countries (i.e., collection, OMB Control Number (see documents are available for review by bycatch); (3) animals stranded alive or below), and docket number (see above), selecting ‘‘Records Open for Public dead in foreign countries; (4) samples by any of the following methods: Comment’’ from the Features box on the collected from captive animals, • Electronic: http:// Applications and Permits for Protected including live animals and those that www.regulations.gov. Follow the Species (APPS) home page, https:// die in captivity, where such samples instructions for submitting comments.

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• OMB: Office of Management and disability) in up to 14 cities to unite ACTION: Revised notice of intent. Budget, New Executive Office Building, around the common purpose of building Room 10235, Washington, DC 20503 or financial security for individuals with SUMMARY: The U.S. Army Corps of fax to (202) 395–5806. Mailed or faxed disabilities. CFPB envisions the need to Engineers (Corps) Jacksonville District comments to OMB should be to the collect a combination of client intends to prepare a National attention of the OMB Desk Officer for personally identifiable information (PII), Environmental Policy Act (NEPA) the Bureau of Consumer Financial including direct-identifying PII (i.e., assessment to restore and sustain the Protection. Please note that comments basic contact and demographic overall quantity, quality, timing, and submitted after the comment period will information), performance metrics distribution of freshwaters to the not be accepted. In general, all (outputs), as well as other relevant federally designated ‘‘National Wild and comments received will become public organization-level outcomes. Monthly Scenic’’ Northwest Fork of the Loxahatchee River for current and records, including any personal qualitative reports and quantitative future generations in Martin and Palm information provided. Sensitive aggregated individual data will be Beach Counties of Florida. personal information, such as account collected from participating sites to numbers or social security numbers, document the design, growth and FOR FURTHER INFORMATION CONTACT: Mr. should not be included. impact of up to 14 integrated diverse Andrew J. LoSchiavo, U.S. Army Corps of Engineers, Planning Division, FOR FURTHER INFORMATION CONTACT: delivery models serving primarily low- income populations with disabilities. Environmental Branch, P.O. Box 4970, Documentation prepared in support of Jacksonville, FL 32232–0019, by email this information collection request is Request for Comments: The Bureau issued a 60-day Federal Register notice [email protected], or available at www.reginfo.gov (this link by telephone at 904–232–2077. active on the day following publication on October 17, 2014, 79 FR 62420. Comments were solicited and continue SUPPLEMENTARY INFORMATION: of this notice). Select ‘‘information to be invited on: (a) Whether the a. Project Background and Collection Review,’’ under ‘‘Currently collection of information is necessary Authorization. This notice is in regards under review, use the dropdown menu for the proper performance of the to a re-scoping of a Comprehensive ‘‘Select Agency’’ and select ‘‘Consumer functions of the Bureau, including Everglades Restoration Plan (CERP) Financial Protection Bureau’’ (recent whether the information will have feasibility study originally entitled submissions to OMB will be at the top practical utility; (b) The accuracy of the North Palm Beach County Part 1 and of the list). The same documentation is Bureau’s estimate of the burden of the renamed the Loxahatchee River also available at http:// collection of information, including the Watershed Restoration Project (LRWRP). www.regulations.gov. Requests for validity of the methods and the The LRWRP contains several of the 68 additional information should be assumptions used; (c) Ways to enhance restoration project components directed to the Consumer Financial the quality, utility, and clarity of the envisioned as part of the Protection Bureau, (Attention: PRA information to be collected; and (d) Comprehensive Everglades Restoration Office), 1700 G Street NW., Washington, Ways to minimize the burden of the Plan authorized by the U.S. Congress in DC 20552, (202) 435–9575, or email: collection of information on section 601 of the 2000 Water Resources [email protected]. Please do not submit respondents, including through the use Development Act. The LRWRP Project comments to this email box. of automated collection techniques or Delivery Team (PDT) identified a SUPPLEMENTARY INFORMATION: other forms of information technology. Tentatively Selected Plan (TSP) in Title of Collection: Bridges to Comments submitted in response to this August 2010. Prior to the approval of Financial Security: A Multi-site notice will be summarized and/or the TSP, a select component of the plan Demonstration Project. included in the request for Office of was repurposed to accomplish specific OMB Control Number: 3170–XXXX. Management and Budget (OMB) state water quality objectives and it was Type of Review: New collection approval. All comments will become a determined this component would not (Request for a new OMB control matter of public record. be available to achieve water quantity, number). Dated: December 23, 2014. timing, and distribution goals of the Affected Public: Individuals or project. This resulted in the need to Ashwin Vasan, households. rescope project objectives and identify Estimated Number of Respondents: Chief Information Officer, Bureau of additional alternatives through the U.S. Consumer Financial Protection. 15,120. Army Corps of Engineers (Corps) Estimated Total Annual Burden [FR Doc. 2015–00104 Filed 1–7–15; 8:45 am] SMART Planning process. This study Hours: 42,488. BILLING CODE 4810–AM–P will use the best available science to Abstract: The Consumer Financial develop an array of project alternatives Protect Bureau (CFPB), beginning in the and select a recommended plan to winter of 2015, will launch a multi-site DEPARTMENT OF DEFENSE achieve restoration within the financial education demonstration Loxahatchee River Watershed and project to provide one-on-one and group Department of the Army, Corps of provide restoration flows to the financial counseling/coaching services Engineers Loxahatchee River Northwest Fork and to individuals with disabilities Revised Notice of Intent and Scoping estuary. transitioning into the workplace or Meeting for Loxahatchee River b. Need or Purpose. This NEPA already employed. The goal is twofold: Watershed Restoration Project Assessment will evaluate the potential (1) To improve the financial skills of (Formerly Called North Palm Beach benefits and impacts of restoring and approximately 15,000 individuals across County Part 1) Associated With Prior sustaining the overall quantity, quality, the spectrum of disability to effectively Notice of Intent To Develop a Draft timing, and distribution of freshwaters navigate the financial marketplace, Environmental Impact Statement to the federally designated ‘‘National resulting in improved credit, reduced Issued October 16th, 2002 Wild and Scenic’’ Northwest Fork of the debt, and increased savings; and (2) to Loxahatchee River for current and build the capacity of diverse multi- AGENCY: Department of the Army, U.S. future generations. This project also sector systems (non-disability and Army Corps of Engineers, DoD. seeks to restore, sustain, and reconnect

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the area’s wetlands and watersheds that flow equalization basins and aquifer Coastal Zone Management Act form the historic headwaters for the storage and recovery for capturing, consistency. river. These areas include Jonathan holding and delivering both normal and k. Agency Role. The Corps and the Dickinson State Park, Pal Mar East/ peak flows and discharging when water non-Federal sponsor, South Florida Cypress Creek, Dupuis Wildlife and required. Water Management District, will Environmental Management Areas, J.W. 8. Operational Changes—Adjustments provide extensive information and Corbett Wildlife Management Area, to operational criteria to improve timing assistance on the resources to be Grassy Waters Preserve, Loxahatchee and distribution of flow. improved and those that would be Slough, the last remaining riverine 9. Non-Structural Solutions— impacted, mitigation measures, and cypress stands in Southeast Florida in Management measures that can address alternatives. the Loxahatchee River, and the project goals and objectives without l. NEPA Assessment Preparation. It is Loxahatchee River Estuary. physical structural modifications to the estimated that the NEPA Assessment c. Proposed Solution and Forecast managed/natural system. For example, will be available to the public on or Completion Date. The LRWRP seeks to leasing and/or purchasing land about August 2016. acquisition rights to maintain address these goals by developing Dated: December 23, 2014. alternatives that will capture, store, and undeveloped natural areas adaptation Eric L. Bush, redistribute water currently lost to tide; zones above high tide to promote rehydrate headwater natural areas that ecosystem adaptations to climate Chief, Planning Division. have been hydrologically impacted by change. [FR Doc. 2015–00085 Filed 1–7–15; 8:45 am] excessive draining and water diversions; Alternatives will also include the No BILLING CODE 3720–58–P reduce peak discharges to the project’s Action alternative. estuarine systems; improve timing and f. Issues. The effects on Federally listed threatened and endangered distribution of water from the upstream ENVIRONMENTAL PROTECTION species, essential fish habitat, cultural watershed to increase the resiliency of AGENCY freshwater riverine habitats to future resources, water supply, and flood sea-level changes; and reestablish damage risk reduction will be analyzed. [EPA–HQ–OPP–2014–0479; FRL–9916–07] connections among natural areas. If Additionally, health and safety, water Agency Information Collection implemented, these actions will help quality, aesthetics and recreation, fish Activities; Proposed Collection; restore more natural water deliveries, and wildlife resources, energy Comment Request Reporting in the promote improved health and conservation, socio-economic resources, FIFRA Cooperative Agreement Work functionality of wetland and upland and other impacts identified through Plan and Report Template OMB areas, and increase the quantity and scoping, public involvement, and Control No. 2070–NEW quality of habitat available for native interagency coordination will be discussed. wildlife and vegetation. Correction d. Prior EAs, EISs. An EIS was g. Scoping Process. A scoping meeting prepared in 1999 associated with the is scheduled for 12-Jan-2014 from 6:00– In notice document 2014–30685 Comprehensive Everglades Restoration 8:00 p.m. at: Indian River State College, appearing on pages 40 through 41 in the Plan that proposed 68 project Chastain Campus, 2400 Southeast issue of Friday, January 2, 2015, make component modifications of the Central Salerno Road, Stuart, FL 34997. The the following correction: and Southern Florida Project. public will be involved in the planning 1. On page 40, in the third column, in e. Alternatives. A reevaluation of process through mail solicitations and the DATES section, ‘‘March 3, 2014’’ alternatives that include the following public notices listed on the following should read ‘‘March 3, 2015’’ management measures will be Web site—http://www.saj.usace.army. [FR Doc. C1–2014–30685 Filed 1–7–15; 8:45 am] pursued— mil/Missions/Environmental/Ecosystem BILLING CODE 1501–01–D 1. Spreader Canals, Flowways— Restoration/LoxahatcheeRiver Shallow canals to distribute and WatershedRestorationProject.aspx. improve water delivery and h. Public Involvement. We invite the participation of affected Federal, state EQUAL EMPLOYMENT OPPORTUNITY connectivity of flow. COMMISSION 2. Spill Ways, Weirs, and Gravity and local agencies, Tribes, and other interested private organizations and Structures—to deliver allow water to Sunshine Act Meeting move as specific depths. parties. 3. Pump Stations—New Pump i. Coordination. The proposed action AGENCY: Equal Employment Stations to distribute and improve water is being coordinated with the U.S. Fish Opportunity Commission. and Wildlife Service and the National delivery. DATE AND TIME: Wednesday, January 14, 4. Backfill or plugging of canals— Marine Fisheries Service (NMFS) under 2015, 9:30 a.m. Eastern Time. Internal drainage and routing features in section 7 of the Endangered Species Act, PLACE: Commission Meeting Room on the system would be plugged, partially with the NMFS concerning Essential the First Floor of the EEOC Office or completely backfilled to improve Fish Habitat and with the State Historic Building, 131 ‘‘M’’ Street NE., surface water distribution and eliminate Preservation Officer. Washington, DC 20507. drainage. j. Other Environmental Review and 5. Removal of levees and berms— Consultation. The proposed action STATUS: The meeting will be open to the Levees or berms would be degraded or would involve evaluation for public. removed to allow water to sheetflow compliance with guidelines pursuant to MATTERS TO BE CONSIDERED: section 404(b) of the Clean Water Act; freely. Open Session 6. Bridges and Culverts—Structures to application (to the State of Florida) for be used to allow water flows through Water Quality Certification pursuant to 1. Announcement of Notation Votes, existing barriers in the systems. section 401 of the Clean Water Act; and 7. Storage Features—Shallow, certification of state lands, easements, 2. Preventing and Addressing intermediate and deep water reservoirs, and rights of way; and determination of Workplace Harassment.

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Note: In accordance with the Sunshine Act, FEDERAL RESERVE SYSTEM transfer the existing trust business from the meeting will be open to public New Hampshire Mutual Bancorp’s observation of the Commission’s Change in Bank Control Notices; subsidiary bank, Merrimack County deliberations and voting. Seating is limited Acquisitions of Shares of a Bank or Savings Bank, both in Concord, New and it is suggested that visitors arrive 30 Bank Holding Company Hampshire, to MillRiver Trust minutes before the meeting in order to be Company, pursuant to sections processed through security and escorted to The notificants listed below have 225.28(b)(5), (b)(6), (b)(6)(ii), (b)(6)(v), the meeting room. (In addition to publishing applied under the Change in Bank (b)(6)(vi), (b)(7)(i), (b)(7)(ii) and notices on EEOC Commission meetings in the Control Act (12 U.S.C. 1817(j)) and (b)(11)(iii)(A). Federal Register, the Commission also § 225.41 of the Board’s Regulation Y (12 Board of Governors of the Federal provides information about Commission CFR 225.41) to acquire shares of a bank meetings on its Web site, eeoc.gov., and Reserve System, December 30, 2014. or bank holding company. The factors provides a recorded announcement a week in Comments on this application must that are considered in acting on the advance on future Commission sessions.) be received by January 20, 2015. notices are set forth in paragraph 7 of Please telephone (202) 663–7100 the Act (12 U.S.C. 1817(j)(7)). Board of Governors of the Federal Reserve (voice) and (202) 663–4074 (TTY) at any The notices are available for System, January 5 2015. time for information on these meetings. immediate inspection at the Federal Michael J. Lewandowski, The EEOC provides sign language Reserve Bank indicated. The notices Associate Secretary of the Board. interpretation and Communication also will be available for inspection at [FR Doc. 2015–00065 Filed 1–7–15; 8:45 am] Access Realtime Translation (CART) the offices of the Board of Governors. BILLING CODE 6210–01–P services at Commission meetings for the Interested persons may express their hearing impaired. Requests for other views in writing to the Reserve Bank reasonable accommodations may be indicated for that notice or to the offices DEPARTMENT OF HEALTH AND made by using the voice and TTY of the Board of Governors. Comments HUMAN SERVICES numbers listed above. must be received not later than January 23, 2015. National Institutes of Health CONTACT PERSON FOR MORE INFORMATION: A. Federal Reserve Bank of Bernadette B. Wilson, Acting Executive Minneapolis (Jacquelyn K. Brunmeier, Center for Scientific Review: Notice of Officer on (202) 663–4077. Assistant Vice President) 90 Hennepin Closed Meetings Dated: January 5, 2015. Avenue, Minneapolis, Minnesota Pursuant to section 10(d) of the Bernadette B. Wilson, 55480–0291: 1. Toby R. Kommer, Fargo, North Federal Advisory Committee Act, as Acting Executive Officer, Executive amended (5 U.S.C. App.), notice is Secretariat. Dakota; to acquire voting shares of Hatton Bancshares, Inc., Fargo, North hereby given of the following meetings. [FR Doc. 2015–00202 Filed 1–6–15; 4:15 pm] The meetings will be closed to the BILLING CODE 6570–01–P Dakota, and thereby indirectly acquire voting shares of The Farmers and public in accordance with the Merchants National Bank of Hatton, provisions set forth in sections Hatton, North Dakota. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and FEDERAL ELECTION COMMISSION Board of Governors of the Federal Reserve the discussions could disclose System, January 5, 2015. Sunshine Act Meeting confidential trade secrets or commercial Michael J. Lewandowski, property such as patentable material, Associate Secretary of the Board. and personal information concerning AGENCY: Federal Election Commission. [FR Doc. 2015–00064 Filed 1–7–15; 8:45 am] individuals associated with the grant DATE AND TIME: Tuesday January 13, BILLING CODE 6210–01–P applications, the disclosure of which 2015 at 10:00 a.m. and Its Continuation would constitute a clearly unwarranted on Thursday January 15, 2015 at the invasion of personal privacy. FEDERAL RESERVE SYSTEM Conclusion of the Open Meeting. Name of Committee: Center for Scientific Review Special Emphasis Panel; PAR14–272: PLACE: 999 E Street NW., Washington, Notice of Proposals To Engage in or Long-Term Outcomes of Medically Assisted DC. To Acquire Companies Engaged in Reproduction. Permissible Nonbanking Activities; STATUS: This meeting will be closed to Date: February 3, 2015. Correction the public. Time: 12 p.m. to 3 p.m. Agenda: To review and evaluate grant This notice corrects a notice (FR Doc. ITEMS TO BE DISCUSSED: Compliance applications. matters pursuant to 2 U.S.C. 437g. 2014–30815) published on pages 226 Place: National Institutes of Health, 6701 Internal personnel rules and internal and 227 of the issue for Monday, Rockledge Drive, Bethesda, MD 20892 rules and practices. Matters concerning January 5, 2015. (Telephone Conference Call). participation in civil actions or Under the Federal Reserve Bank of Contact Person: Clara M Cheng, Scientific Review Officer, Center for Scientific Review, proceedings or arbitration. Boston heading, the entry for New Hampshire Mutual Bancorp, National Institutes of Health, 6701 Rockledge * * * * * Manchester, New Hampshire, is revised Drive, Room 6170 MSC 7892, Bethesda, MD 20817, 301–435–1041, [email protected]. PERSON TO CONTACT FOR INFORMATION: to read as follows: Judith Ingram, Press Officer, Telephone: A. Federal Reserve Bank of Boston Name of Committee: Musculoskeletal, Oral (Richard Walker, Community Affairs and Skin Sciences Integrated Review Group; (202) 694–1220. Skeletal Biology Development and Disease Officer) 600 Atlantic Avenue, Boston, Shelley E. Garr, Study Section. Massachusetts 02210–2204: Date: February 5–6, 2015. Deputy Secretary of the Commission. 1. New Hampshire Mutual Bancorp, Time: 8 a.m. to 5 p.m. [FR Doc. 2015–00173 Filed 1–6–15; 4:15 pm] Manchester, New Hampshire; to Agenda: To review and evaluate grant BILLING CODE 6715–01–P establish MillRiver Trust Company, and applications.

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Place: Marriott Courtyard Gaithersburg 93.333, Clinical Research, 93.306, 93.333, Review Group, Biochemistry and Biophysics Washingtonian Ctr, 204 Boardwalk Place, 93.337, 93.393–93.396, 93.837–93.844, of Membranes Study Section. Gaithersburg, MD 20878. 93.846–93.878, 93.892, 93.893, National Date: February 5–6, 2015. Contact Person: Aruna K Behera, Ph.D., Institutes of Health, HHS) Time: 8 a.m. to 5 p.m. Scientific Review Officer, Center for Dated: December 31, 2014. Agenda: To review and evaluate grant Scientific Review, National Institutes of applications. Michelle Trout, Health, 6701 Rockledge Drive, Room 4211, Place: Hyatt Regency Bethesda, One MSC 7814, Bethesda, MD 20892, 301–435– Program Analyst, Office of Federal Advisory Bethesda Metro Center, 7400 Wisconsin 6809, [email protected]. Committee Policy. Avenue, Bethesda, MD 20814. Name of Committee: Digestive, Kidney and [FR Doc. 2015–00041 Filed 1–7–15; 8:45 am] Contact Person: Nuria E Assa-Munt, Ph.D., Urological Systems Integrated Review Group; BILLING CODE 4140–01–P Scientific Review Officer, Center for Kidney Molecular Biology and Genitourinary Scientific Review, National Institutes of Organ Development. Health, 6701 Rockledge Drive, Room 4164, Date: February 6, 2015. DEPARTMENT OF HEALTH AND MSC 7806, Bethesda, MD 20892, (301) 451– Time: 8 a.m. to 6 p.m. HUMAN SERVICES 1323, [email protected]. Agenda: To review and evaluate grant Name of Committee: Digestive, Kidney and applications. National Institutes of Health Urological Systems Integrated Review Group, Place: Crowne Plaza Washington National Hepatobiliary Pathophysiology Study Airport, 1489 Jefferson Davis Highway, Section. Arlington, VA 22202. Center for Scientific Review: Notice of Closed Meetings Date: February 9–10, 2015. Contact Person: Ryan G Morris, Ph.D., Time: 8 a.m. to 3 p.m. Scientific Review Officer, Center for Agenda: To review and evaluate grant Scientific Review, National Institutes of Pursuant to section 10(d) of the Federal Advisory Committee Act, as applications. Health, 6701 Rockledge Drive, Room 4205, Place: Doubletree Hotel Bethesda, MSC 7814, Bethesda, MD 20892, 301–435– amended (5 U.S.C. App.), notice is hereby given of the following meetings. (Formerly Holiday Inn Select), 8120 1501, [email protected]. Wisconsin Avenue, Bethesda, MD 20814. Name of Committee: Integrative, The meetings will be closed to the Contact Person: Bonnie L Burgess-Beusse, Functional and Cognitive Neuroscience public in accordance with the Ph.D., Scientific Review Officer, Center for Integrated Review Group; Sensorimotor provisions set forth in sections Scientific Review, National Institutes of Integration Study Section. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Health, 6701 Rockledge Drive, Room 2182, Date: February 6, 2015. as amended. The grant applications and MSC 7818, Bethesda, MD 20892, 301–435– Time: 8 a.m. to 6 p.m. the discussions could disclose 1783, [email protected]. Agenda: To review and evaluate grant applications. confidential trade secrets or commercial Name of Committee: Brain Disorders and Place: JW Marriott New Orleans, 614 Canal property such as patentable material, Clinical Neuroscience Integrated Review Street, New Orleans, LA 70130. and personal information concerning Group, Brain Injury and Neurovascular Contact Person: John Bishop, Ph.D., individuals associated with the grant Pathologies Study Section. Scientific Review Officer, Center for applications, the disclosure of which Date: February 9–10, 2015. Scientific Review, National Institutes of Time: 8 a.m. to 5 p.m. would constitute a clearly unwarranted Agenda: To review and evaluate grant Health, 6701 Rockledge Drive, Room 5182, invasion of personal privacy. MSC 7844, Bethesda, MD 20892, (301) 408– applications. 9664, [email protected]. Name of Committee: Center for Scientific Place: Residence Inn Bethesda, 7335 Name of Committee: Center for Scientific Review Special Emphasis Panel, Wisconsin Avenue, Bethesda, MD 20814. Review Special Emphasis Panel; Bioengineering Research Partnerships (BRP): Contact Person: Alexander Yakovlev, Bioinformatics in Surgical Sciences, Imaging PAR14–092. Ph.D., Scientific Review Officer, Center for and Independent Living. Date: January 29, 2015. Scientific Review, National Institutes of Date: February 6, 2015. Time: 11:45 a.m. to 5 p.m. Health, 6701 Rockledge Drive, Room 5206, Time: 8 a.m. to 5 p.m. Agenda: To review and evaluate grant MSC 7846, Bethesda, MD 20892, 301–435– Agenda: To review and evaluate grant applications. 1254, [email protected]. applications. Place: National Institutes of Health, 6701 Name of Committee: Cell Biology Place: National Institutes of Health, 6701 Rockledge Drive, Bethesda, MD 20892, Integrated Review Group, Molecular and Rockledge Drive, Bethesda, MD 20892. (Virtual Meeting). Integrative Signal Transduction Study Contact Person: Guo Feng Xu, Ph.D., Contact Person: Mehrdad Mohseni, MD, Section. Scientific Review Officer, Center for Scientific Review Officer, Center for Date: February 9–10, 2015. Scientific Review, National Institutes of Scientific Review, National Institutes of Time: 8 a.m. to 6 p.m. Health, 6701 Rockledge Drive, Room 5122, Health, 6701 Rockledge Drive, Room 5211, Agenda: To review and evaluate grant MSC 7854, Bethesda, MD 20892, 301–237– MSC 7854, Bethesda, MD 20892, 301–435– applications. 9870, [email protected]. 0484, [email protected]. Place: Embassy Suites at the Chevy Chase Name of Committee: Center for Scientific Name of Committee: Oncology 2— Pavilion, 4300 Military Road, NW., Review Special Emphasis Panel; PAR 13– Translational Clinical Integrated Review Washington, DC 20015. 345: Pediatric Drug Formulation and Group, Cancer Biomarkers Study Section. Contact Person: Raya Mandler, Ph.D., Delivery. Date: February 2–3, 2015. Scientific Review Officer, Center for Date: February 6, 2015. Time: 8 a.m. to 6 p.m. Scientific Review, National Institutes of Time: 11 a.m. to 1 p.m. Agenda: To review and evaluate grant Health, 6701 Rockledge Drive, Room 5134, Agenda: To review and evaluate grant applications. MSC 7840, Bethesda, MD 20892, (301) 402– applications. Place: Hilton Long Beach and Executive 8228, [email protected]. Place: National Institutes of Health, 6701 Center, 701 West Ocean Boulevard, Long Name of Committee: Vascular and Rockledge Drive, Bethesda, MD 20892 Beach, CA 90831. Hematology Integrated Review Group, (Telephone Conference Call). Contact Person: Lawrence Ka-Yun Ng, Molecular and Cellular Hematology Study Contact Person: Yuan Luo, Ph.D., Scientific Ph.D., Scientific Review Officer, Center for Section. Review Officer, Center for Scientific Review, Scientific Review, National Institutes of Date: February 9–10, 2015. National Institutes of Health, 6701 Rockledge Health, 6701 Rockledge Drive, Room 6152, Time: 8 a.m. to 7 p.m. Drive, Room 5207, MSC 7846, Bethesda, MD MSC 7804, Bethesda, MD 20892, 301–357– Agenda: To review and evaluate grant 20892, 301–915–6303, [email protected]. 9318, [email protected]. applications. (Catalogue of Federal Domestic Assistance Name of Committee: Biological Chemistry Place: Mayflower Park Hotel, 405 Olive Program Nos. 93.306, Comparative Medicine; and Macromolecular Biophysics Integrated Way, Seattle, WA 98101.

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Contact Person: Luis Espinoza, Ph.D., DEPARTMENT OF HEALTH AND The meeting will be closed to the Scientific Review Officer, Center for HUMAN SERVICES public in accordance with the Scientific Review, National Institutes of provisions set forth in sections Health, 6701 Rockledge Drive, Room 6183, National Institutes of Health 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., MSC 7804, Bethesda, MD 20892, 301–495– as amended. The grant applications and 1213, [email protected]. Center for Scientific Review: Notice of the discussions could disclose Name of Committee: Integrative, Closed Meeting confidential trade secrets or commercial Functional and Cognitive Neuroscience Pursuant to section 10(d) of the property such as patentable material, Integrated Review Group, Neurotoxicology Federal Advisory Committee Act, as and personal information concerning and Alcohol Study Section. amended (5 U.S.C. App.), notice is individuals associated with the grant Date: February 9, 2015. hereby given of the following meeting. applications, the disclosure of which Time: 8 a.m. to 6 p.m. The meeting will be closed to the would constitute a clearly unwarranted Agenda: To review and evaluate grant public in accordance with the invasion of personal privacy. applications. provisions set forth in sections Name of Committee: National Institute of Place: Doubletree Suites By Hilton Santa 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Allergy and Infectious Diseases Special Monica, 1707 Fourth Street, Santa Monica, as amended. The grant applications and Emphasis Panel; NIAID Investigator Initiated CA 90401. the discussions could disclose Program Project Applications (P01). Contact Person: Christine Melchior, Ph.D., confidential trade secrets or commercial Date: January 29, 2015. Scientific Review Officer, Center for Time: 12 p.m. to 4 p.m. Scientific Review, National Institutes of property such as patentable material, Agenda: To review and evaluate grant Health, 6701 Rockledge Drive, Room 5176 and personal information concerning applications. MSC 7844, Bethesda, MD 20892, (301) 435– individuals associated with the grant Place: National Institutes of Health, 5601 1713, [email protected]. applications, the disclosure of which Fisher Lane, Rockville, MD 20892 (Telephone Conference Call). Name of Committee: Surgical Sciences, would constitute a clearly unwarranted invasion of personal privacy. Contact Person: Thomas F. Conway, Biomedical Imaging and Bioengineering Scientific Review Officer, Scientific Review Integrated Review Group, Bioengineering, Name of Committee: Center for Scientific Program, DEA/NIAID/NIH/DHHS, Room Technology and Surgical Sciences Study Review Special Emphasis Panel, Member 2217, 6700–B Rockledge Dr., MSC–7616, Section. Conflict: Aspects of NeuroAIDS. Bethesda, MD 20892–7616, 301–451–4573, Date: February 9–10, 2015. Date: January 9, 2015. [email protected]. Time: 1 p.m. to 5 p.m. Time: 8 a.m. to 5 p.m. (Catalogue of Federal Domestic Assistance Agenda: To review and evaluate grant Agenda: To review and evaluate grant Program Nos. 93.855, Allergy, Immunology, applications. and Transplantation Research; 93.856, applications. Place: National Institutes of Health, 6701 Microbiology and Infectious Diseases Place: Bethesda North Marriott Hotel & Rockledge Drive, Bethesda, MD 20892, Research, National Institutes of Health, HHS) Conference Center, 5701 Marinelli Road, (Telephone Conference Call). Bethesda, MD 20852. Contact Person: Mary Clare Walker, Ph.D., Dated: December 31, 2014. Contact Person: Khalid Masood, Ph.D., Scientific Review Officer, Center for David Clary, Scientific Review Officer, Center for Scientific Review, National Institutes of Program Analyst, Office of Federal Advisory Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 5208, Committee Policy. Health, 6701 Rockledge Drive, Room 5120, MSC 7852, Bethesda, MD 20892, (301) 435– [FR Doc. 2015–00042 Filed 1–7–15; 8:45 am] MSC 7854, Bethesda, MD 20892, 301–435– 1165, [email protected]. BILLING CODE 4140–01–P 2392, [email protected]. This notice is being published less than 15 days prior to the meeting due to the timing Name of Committee: Musculoskeletal, Oral limitations imposed by the review and and Skin Sciences Integrated Review Group, funding cycle. DEPARTMENT OF HEALTH AND Arthritis, Connective Tissue and Skin Study (Catalogue of Federal Domestic Assistance HUMAN SERVICES Section. Program Nos. 93.306, Comparative Medicine; Date: February 9–10, 2015. 93.333, Clinical Research, 93.306, 93.333, Substance Abuse and Mental Health Time: 8:30 a.m. to 5 p.m. 93.337, 93.393–93.396, 93.837–93.844, Services Administration Agenda: To review and evaluate grant 93.846–93.878, 93.892, 93.893, National applications. Institutes of Health, HHS) Agency Information Collection Place: BWI Airport Marriott, 1743 West Dated: December 31, 2014. Activities: Proposed Collection; Nursery Road, Linthicum, MD 21090. Michelle Trout, Comment Request Contact Person: Aftab A Ansari, Ph.D., Scientific Review Officer, Center for Program Analyst, Office of Federal Advisory In compliance with Section Scientific Review, National Institutes of Committee Policy. 3506(c)(2)(A) of the Paperwork Health, 6701 Rockledge Drive, Room 4108, [FR Doc. 2015–00040 Filed 1–7–15; 8:45 am] Reduction Act of 1995 concerning MSC 7814, Bethesda, MD 20892, 301–237– BILLING CODE 4140–01–P opportunity for public comment on 9931, [email protected]. proposed collections of information, the (Catalogue of Federal Domestic Assistance Substance Abuse and Mental Health DEPARTMENT OF HEALTH AND Program Nos. 93.306, Comparative Medicine; Services Administration (SAMHSA) 93.333, Clinical Research, 93.306, 93.333, HUMAN SERVICES will publish periodic summaries of proposed projects. To request more 93.337, 93.393–93.396, 93.837–93.844, National Institutes of Health 93.846–93.878, 93.892, 93.893, National information on the proposed projects or Institutes of Health, HHS) National Institute of Allergy and to obtain a copy of the information collection plans, call the SAMHSA Dated: December 31, 2014. Infectious Diseases: Notice of Closed Meeting Reports Clearance Officer on (240) 276– David Clary, 1243. Program Analyst, Office of Federal Advisory Pursuant to section 10(d) of the Comments are invited on: (a) Whether Committee Policy. Federal Advisory Committee Act, as the proposed collections of information [FR Doc. 2015–00043 Filed 1–7–15; 8:45 am] amended (5 U.S.C. App.), notice is are necessary for the proper BILLING CODE 4140–01–P hereby given of the following meeting. performance of the functions of the

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agency, including whether the people, will gain health insurance states to identify their technical information shall have practical utility; coverage in 2014 and will have various assistance needs to implement the (b) the accuracy of the agency’s estimate outpatient and other services covered strategies they identify in their plans for of the burden of the proposed collection through Medicaid, Medicare, or private FY 2016 and 2017. of information; (c) ways to enhance the insurance. However, these plans will To facilitate an efficient application quality, utility, and clarity of the not provide access to the full range of process for states in FY 2016–2017, information to be collected; and (d) support services necessary to achieve SAMHSA convened an internal ways to minimize the burden of the and maintain recovery for most of these workgroup to develop the application collection of information on individuals and their families. for the block grant planning section. In respondents, including through the use Given these changes, SAMHSA has addition, SAMHSA consulted with of automated collection techniques or conveyed that block grant funds be representatives from SMHAs and SSAs other forms of information technology. directed toward four purposes: (1) To to receive input regarding proposed fund priority treatment and support changes to the block grant. Based on Project: Community Mental Health services for individuals without these discussions with states, SAMHSA Services Block Grant and Substance insurance or who cycle in and out of is proposing several changes to the Abuse and Prevention Treatment Block health insurance coverage; (2) to fund block grant programs, discussed in Grant FY 2016–2017 Plan and Report those priority treatment and support greater detail below. Guidance and Instructions (OMB No. services not covered by Medicaid, Changes to Assessment and Planning 0930–0168)—Revision Medicare or private insurance offered Activities The Substance Abuse and Mental through the exchanges and that Health Services Administration demonstrate success in improving The proposed revisions reflect (SAMHSA), is requesting approval from outcomes and/or supporting recovery; changes within the planning section of the Office of Management and Budget (3) to fund universal, selective and the application. The most significant of (OMB) for a revision of the 2016 and targeted prevention activities and these changes relate to evidenced based 2017 Community Mental Health services; and (4) to collect performance practice for early intervention for the Services Block Grant (MHBG) and and outcome data to determine the MHBG, participant directed care, Substance Abuse Prevention and ongoing effectiveness of behavioral medication assisted treatment for the Treatment Block Grant (SABG) Plan and health prevention, treatment and SABG, crisis services, pregnant women Report Guidance and Instructions. recovery support services and to plan and women with dependent children, Currently, the SABG and the MHBG the implementation of new services on community living and the differ on a number of their practices a nationwide basis. implementation of Olmstead, and (e.g., data collection at individual or To help states meet the challenges of quality and data readiness collection. aggregate levels) and statutory 2016 and beyond, and to foster the The FY2014–2015 application authorities (e.g., method of calculating implementation of an integrated sections on the Affordable Care Act, MOE, stakeholder input requirements physical health and mental health and health insurance marketplace, for planning, set asides for specific addiction service system, SAMHSA enrollment and primary and behavioral populations or programs, etc.). must establish standards and health care integration have been Historically, the Centers within expectations that will lead to an consolidated into a Health Care System SAMHSA that administer these block improved system of care for individuals and Integration section moving the grants have had different approaches to with or at risk of mental and substance emphasis to implementation of health application requirements and reporting. use disorders. Therefore, this care systems rather than preparation of To compound this variation, states have application package includes fully the Affordable Care Act. Additionally, different structures for accepting, exercising SAMHSA’s existing authority the FY2014–2015 Quality, Data and planning, and accounting for the block regarding states’, territories’ and the Red Information Technology sections have grants and the prevention set aside Lake Band of the Chippewa Tribe’s been consolidated into one section in within the SABG. As a result, how these (subsequently referred to as ‘‘states’’) the FY2016–2017 application. SAMHSA dollars are spent and what is known use of block grant funds, and a shift in has provided a set of guiding questions about the services and clients that SAMHSA staff functions to support and to stimulate and direct the dialogue that receive these funds varies by block grant provide technical assistance for states states may engage in to determine the and by state. receiving block grant funds as they fully various approaches used to develop Increasingly, under the Affordable integrate behavioral health services into their responses to each of the focus Care Act, more individuals are eligible health care. areas. for Medicaid and private insurance. Consistent with previous The proposed revisions are described This expansion of health insurance applications, the FY 2016–2017 below: coverage will continue to have a application has sections that are • Health Care System and significant impact on how State Mental required and other sections where Integration—This section is a Health Authorities (SMHAs) and Single additional information is requested. The consolidation of the FY2014–2015 State Agencies (SSAs) use their limited FY 2016–2017 application requires sections on the Affordable Care Act, resources. In 2009, more than 39 percent states to submit a face sheet, a table of health insurance marketplace, of individuals with serious mental contents, a behavioral health assessment enrollment and primary and behavioral illnesses (SMI) or serious emotional and plan, reports of expenditures and health care integration. It is vital that disturbances (SED) were uninsured. persons served, an executive summary, SMHAs and SSAs programming and Sixty percent of individuals with and funding agreements and planning reflect the strong connection substance use disorders whose certifications. In addition, SAMHSA is between behavioral and physical health. treatment and recovery support services requesting information on key areas that Fragmented or discontinuous care may were supported wholly or in part by are critical to the states success in result in inadequate diagnosis and SAMHSA block grant funds were also addressing health care integration. treatment of both physical and uninsured. A substantial proportion of Therefore, as part of this block grant behavioral conditions, including co- this population, as many as six million planning process, SAMHSA is asking occurring disorders. Health care

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professionals, consumers of mental, efficacy, including the range of services disorders is described in several of substance use disorders, co-occurring and principles identified by NIMH. SAMHSA’s Treatment Improvement mental, and substance use disorders Utilizing these principles, regardless of Protocol Series (TIPS) publications treatment recognize the need for the amount of investment, and with numbered 40, 43, 45, and 49. SAMHSA improved coordination of care and leveraging funds through inclusion of strongly encourages the states to require integration of primary and behavioral services reimbursed by Medicaid or that treatment facilities providing health care. Health information private insurance, every state will be clinical care to those with substance use technology, including electronic health able to begin to move their system disorders be required to either have the records (EHRs) and telehealth are toward earlier intervention, or enhance capacity and staff expertise to utilize examples of important strategies to the services already being implemented. MAT or have collaborative relationships promote integrated care. Use of EHRs— • Participant Directed Care—As with other providers such that these in full compliance with applicable legal states implement policies that support MATs can be accessed as clinically requirements—may allow providers to self-determination and improve person- indicated for patient need. Individuals share information, coordinate care and centered service delivery, one option with substance use disorders who have improve billing practices. that states can consider is the role that failed abstinence based treatment in the Implementation by SMHAs, SSAs and vouchers may play in their overall past and who have a disorder for which their partners of the Affordable Care Act financing strategy. Many states have there is an FDA-approved medication is an important part of efforts to ensure implemented voucher and self-directed treatment should have access to those access to care and better integrate care. care programs to help individuals gain treatments. In a recent report, the Congressional expanded access to care and to enable • Crisis Services—In the on-going Budget Office estimates that by 2018, 25 individuals to play a more significant development of efforts to build an million persons will have enrolled in role in the development of their evidence-based robust system of care for the Affordable Care Act Marketplace prevention, treatment and recovery adults diagnosed with an SMI, children and 12 million in Medicaid and the services. The major goal of a voucher with a serious emotional disturbance State Children’s Health Insurance program is to ensure individuals have a (SED) and persons with addictive Program (SCHIP). The Department of genuine, free, and independent choice disorders and their families via a Health and Human Services Assistant among a network of eligible providers. coordinated continuum of treatments, Secretary for Planning and Evaluation The implementation of a voucher services and supports, growing attention (ASPE) estimates that 32 million program expands mental and substance is being paid across the country to how Americans will acquire coverage for use disorder treatment capacity and states and local communities identify mental and substance use disorder promotes choice among clinical and effectively respond to behavioral treatment as a result of the Affordable treatment and recovery support health crises. SAMHSA has taken a Care Act, including both previously providers, providing individuals with leadership role in deepening the uninsured persons and those enrolled in the ability to secure the best treatment understanding of what it means to be in plans that lacked adequate coverage. In options available to meet their specific crisis and how to effectively respond to 2014, non-grandfathered health plans needs. A voucher program facilitates crisis as experienced by people with sold in the individual or the small group linking clinical treatment with critical behavioral health conditions. health insurance markets offered recovery support services, such as care A crisis response system will have the coverage for mental and substance use coordination, childcare, motivational capacity to recognize and respond to disorders as an essential health benefit. development, early/brief intervention, crises across a continuum, from crisis • Evidenced-Based Practices for Early outpatient treatment, medical services, planning, to early stages of support and Intervention for the MHBG—In its FY housing support, employment/ respite, to crisis stabilization and 2014 appropriation, SAMHSA was education support, peer resources, intervention, to post-crisis follow-up directed to require that states set aside family/parenting services or and support for the individual and their 5 percent of their MHBG allocation to transportation. family. SAMHSA expects that states support evidence-based programs that States interested in utilizing a will build on the emerging and growing provide treatment to those with early voucher system should create or body of evidence for effective SMI including but not limited to maintain a voucher management system community-based crisis response psychosis at any age. SAMHSA worked to support vouchering and the reporting systems. Given the multi-system collaboratively with the National of data to enhance accountability by involvement of many individuals with Institutes of Health, National Institute measuring outcomes. Meeting these behavioral health issues, the crisis on Mental Health (NIMH) to review voucher program challenges by creating response system approach provides the evidence showing efficacy of specific and coordinating a wide array of service infrastructure to improve care practices in ameliorating SMI and providers, leading them though the coordination and outcomes, manage promoting improved functioning. NIMH innovations and inherent system change costs and better invest resources. has released information on processes results in the building of an • Pregnant Women and Women With Components of Coordinated Specialty integrated system that provides holistic Dependent Children—Substance- Care (CSC) for First Episode Psychosis. care to individuals recovering from abusing pregnant women have been a Results from the NIMH funded Recovery mental and substance use disorders. leading priority population throughout After an Initial Schizophrenia Episode • Medication Assisted Treatment the history of the SABG (Section 1922(b) (RAISE) initiative, a research project of (MAT)—There is a voluminous of Title XIX, Part B, Subpart II, of the the NIMH, suggest that mental health literature on the efficacy of Food and PHS Act (42 U.S.C. 300x–22(b)). The providers across multiple disciplines Drug Administration (FDA)-approved authorizing legislation required states to can learn the principles of CSC for First medications for the treatment of expend not less than 5 percent of the FY Episode of Psychosis (FEP), and apply substance use disorders. However, many 1993 and FY 1994 SABG to increase the these skills to engage and treat persons treatment programs in the U.S. still offer availability of treatment services in the early stages of psychotic illness. only abstinence-based treatment for designed for pregnant women and States can implement models across a these conditions. The evidence base for women with dependent children. The continuum, which have demonstrated medication assisted treatment of these purpose of these programs is to expand

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the availability of comprehensive, academy to share effective practices For the FY 2016–2017 MHBG and residential substance use disorder with states. SABG reports, achieving these goals will treatment, and recovery support services Community living has been a priority result in a more coordinated behavioral for pregnant and postpartum women across the federal government with health data collection program that and their minor children, including recent changes to Section 811 and other complements other existing systems services for non-residential family housing programs operated by the (e.g., Medicaid administrative and members. This population continues to Department of Housing and Urban billing data systems; and state mental be of utmost concern, since by helping Development (HUD). HUD and HHS health and substance abuse data such women along their recovery collaborate to support housing systems), ensures consistency in the use journey, additional benefits may result: opportunities for persons with of measures that are harmonized across Fetal alcohol spectrum disorder may be disabilities, including persons with various agencies and reporting systems, prevented; a normal birth-weight may mental/substance use disorders. The and provides a more complete be achieved; and intergenerational Department of Justice (DOJ) and HHS understanding of the delivery of mental transmission of addiction may be Office of Civil Rights (OCR) cooperate health and substance abuse services. interrupted. Women with dependent on enforcement and compliance Both goals can only be achieved through children are also identified as a priority measures. DOJ and HHS OCR have continuous collaboration with and for specialized treatment (as opposed to expressed concern about some aspects feedback from SAMHSA’s state treatment as usual) in the implementing of state mental health systems including partners. use of traditional institutions and other regulations governing the SABG. In SAMHSA anticipates this movement 1995 and subsequent fiscal years states residences that have institutional characteristics to house persons whose is consistent with the current state are required to expend no less than an authority’s movement toward system amount equal to that spent by the state needs could be better met in community settings. More recently, there has been integration and will minimize in prior fiscal years for treatment challenges associated with changing services designed for pregnant women litigation regarding certain supported employment services such as sheltered operational logistics of data collection and women with dependent children. and reporting. SAMHSA understands • workshops. States should ensure Block Community Living and the Grant funds are allocated to support some modifications to data collection Implementation of Olmstead—The treatment and recovery services in systems may be necessary, but will work community living and Olmsted section community settings whenever feasible with the states to minimize the impact was included in the environmental and remain committed, as SAMHSA is, of these changes. factors/background section of the to ensuring services are implemented in Other Changes FY2014–2015 application and has been accordance with Olmstead and Title II added to the planning section of the of the ADA. The overall format has been FY2016–2017 application. The • Quality and Data Collection—The streamlined to integrate the integration mandate in Title II of the FY2014–2015 Quality, Data and environmental factors throughout the Americans with Disabilities Act (ADA) Information Technology sections have behavioral health assessment and plan and the Supreme Court’s decision in been consolidated into one section in narrative. This has reduced the length of Olmstead v. L.C., 527 U.S. 581 (1999), the FY2016–2017 application and is the application by 10 pages. provide legal requirements that are part of the planning section. SAMHSA While the statutory deadlines and consistent with SAMHSA’s mission to is moving forward on the task of block grant award periods remain reduce the impact of substance abuse advancing a system for the collection of unchanged, SAMHSA encourages states and mental illness on America’s client level substance abuse and mental to turn in their application as early as communities. Being an active member health treatment data. As such, possible to allow for a full discussion of a community is an important part of SAMHSA is undertaking a series of and review by SAMHSA. Applications recovery for persons with behavioral efforts designed to develop a set of for the MHBG-only is due no later than health conditions. Title II of the ADA common core performance, quality, and September 1, 2015. The application for and the regulations promulgated for its cost measures to demonstrate the impact SABG-only is due no later than October enforcement require that states provide of SAMHSA’s discretionary and block services in the most integrated grant programs and guide SAMHSA’s 1, 2015. A single application for MHBG arrangement appropriate and prohibit evaluation activities. and SABG is due no later than needless institutionalization and The foundation of this effort is September 1, 2015. segregation in work, living, and other National Quality Behavioral Health Estimates of Annualized Hour Burden settings. In response to the tenth Framework, which derives from the anniversary of the Supreme Court’s National Quality Strategy and seeks to The estimated annualized burden for Olmstead decision, then HHS Secretary improve the delivery of health care a uniform application is 37, 429 hours. Sebelius directed the creation of the services, individual patient health Burden estimates are broken out in the Coordinating Council on Community outcomes, and the overall health of the following tables showing burden Living at the HHS. SAMHSA has been population. The overarching goals are to separately for Year 1 and Year 2. Year a key member of the Coordinating ensure that services are evidence-based 1 includes the estimates of burden for Council on Community Living and has and effective; that they are person/ the uniform application and annual funded a number of technical assistance family-centered; that care is coordinated reporting. Year 2 includes the estimates opportunities to promote integrated across systems; that services promote of burden for the application update and services for people with behavioral healthy living; and that they are safe, annual reporting. The reporting burden health needs, including a policy accessible and affordable. remains constant for both years.

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TABLE 1—ESTIMATES OF APPLICATION AND REPORTING BURDEN FOR YEAR 1

Burden/ Application element Number Responses/ response Total burden respondents respondents (hours)

Application Burden: ...... Yr One Plan (separate submissions) ...... 30 (CMHS) ...... 1 282 16,920 30 (SAPT) ...... Yr One Plan (combined submission) ...... 30 ...... 1 282 8,460 Application Sub-total ...... 60 ...... 25,380 Reporting Burden: ...... MHBG Report ...... 59 ...... 1 186 10,974 URS Tables ...... 59 ...... 1 35 2,065 SAPTBG Report ...... 60 1 ...... 1 186 11,160 Table 5 ...... 15 2 ...... 1 4 60 Reporting Subtotal ...... 60 ...... 24,259 Total ...... 119 ...... 49,639 1 Redlake Band of the Chippewa Indians from MN receives a grant. 2 Only 15 States have a management information system to complete Table 5.

TABLE 2—ESTIMATES OF APPLICATION AND REPORTING BURDEN FOR YEAR 2

Burden/ Application element Number Responses/ response Total burden respondents respondents (hours)

Application Burden: ...... Yr Two Plan ...... 24 1 40 960 Application Sub-total ...... 24 ...... 960 Reporting Burden: ...... MHBG Report ...... 59 1 186 10,974 URS Tables ...... 59 1 35 2,065 SAPTBG Report ...... 60 1 186 11,160 Table 5 ...... 15 1 4 60 Reporting Subtotal ...... 60 ...... 24,259 Total ...... 119 ...... 25,219

The total annualized burden for the Services Administration (SAMHSA) training and technical assistance to all application and reporting is 37,429 will publish periodic summaries of grantees receiving funding from the hours (49,639 + 25,219 = 74,858/2 years proposed projects. To request more Center for Substance Abuse Treatment = 37,429). information on the proposed projects or (CSAT), the Center for Mental Health Link for the application: http:// to obtain a copy of the information Services (CMHS), and some grantees www.samhsa.gov/grants/block-grants. collection plans, call the SAMHSA receiving funding from the Center for Send all comments via email to Reports Clearance Officer on (240) 276– Substance Abuse Prevention (CSAP) [email protected]. Written 1243. that fall under the GDTA contract. This comments should be received by March Comments are invited on: (a) Whether currently only includes discretionary 9, 2015. the proposed collections of information grants but is expected to include block are necessary for the proper grants in future years. Training and Summer King, performance of the functions of the technical assistance from the GDTA Statistician. agency, including whether the contract will focus on helping grantees [FR Doc. 2015–00063 Filed 1–7–15; 8:45 am] information shall have practical utility; use their Government and Performance BILLING CODE 4162–20–P (b) the accuracy of the agency’s estimate Results Act of 1993 (GPRA) data for of the burden of the proposed collection performance management and of information; (c) ways to enhance the monitoring, and services improvement. DEPARTMENT OF HEALTH AND quality, utility, and clarity of the The information being collected in this HUMAN SERVICES information to be collected; and (d) needs assessment will inform CBHSQ ways to minimize the burden of the regarding the types of activities Substance Abuse and Mental Health collection of information on SAMHSA’s grants use their funding for Services Administration respondents, including through the use and what types of training activities Agency Information Collection of automated collection techniques or they would like to receive in the future. Activities: Proposed Collection; other forms of information technology. Description of Forms: Forms will include two questions. The first Comment Request Proposed Project: Grantee Data question asks about the services Technical Assistance (GDTA) Training In compliance with Section provided under the grant. Answer Needs Assessment Survey for SAMHSA 3506(c)(2)(A) of the Paperwork options include activities such as Grantees—NEW Reduction Act of 1995 concerning behavioral health care services, opportunity for public comment on In 2014, the Center for Behavioral screening, prevention activities, and proposed collections of information, the Health Statistics and Quality (CBHSQ) services to specific populations. The Substance Abuse and Mental Health funded the GDTA contract to provide second question asks respondents to

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identify topics for training and technical option for respondents to write-in an grants but is expected to include block assistance they would like to receive answer that is not included in the list. grants in future years. There are from a pre-populated list. Answer Description of Respondents: The currently 2,670 SAMHSA-funded options include items such as data respondent universe for this data discretionary grants served by the GDTA collection, data entry, and using data in collection effort is one Project Director contract, therefore this is the number of creative ways. Both questions have an from each SAMHSA-funded grants respondents expected for this data being served by the GDTA contract. This collection effort. currently only includes discretionary

TABLE 1—ANNUAL BURDEN ESTIMATE

Annual Total Form name Number of re- responses per Total annual Hours annual hour spondents respondent responses per response burden

Grantee needs assessment ...... 2,670 1 2,670 0.1 267

Send comments to Summer King, Lieutenant Cristina Nelson at 202–372– the January 17, 2008, issue of the SAMHSA Reports Clearance Officer, 1419 or [email protected] and Federal Register (73 FR 3316). Room 2–1057, One Choke Cherry Road, provide your name, company, and Docket: For access to the docket to Rockville, MD 20857 OR email her a telephone number. Attendees will be read documents or comments related to copy at [email protected]. required to provide a government-issued this notice, go to http:// Written comments should be received picture identification card in order to www.regulations.gov, type USCG–2014– by March 9, 2015. gain admittance to the building. 0098 in the Search box, press Enter, and For information on facilities or then click on the item you wish to view. Summer King, services for individuals with disabilities FOR FURTHER INFORMATION CONTACT: Statistician. or to request special assistance at the Commander Evan Hudspeth, Designated [FR Doc. 2015–00059 Filed 1–7–15; 8:45 am] meeting, contact the individual listed in Federal Official of the Chemical BILLING CODE 4162–20–P the FOR FURTHER INFORMATION CONTACT Transportation Advisory Committee, as soon as possible. 2703 Martin Luther King Jr. Ave. SE., To facilitate public participation, we Stop 7509, Washington, DC 20593– DEPARTMENT OF HOMELAND are inviting public comment on the 7509, telephone 202–372–1420, fax SECURITY issues to be considered by the 202–372–8380, or Evan.D.Hudspeth@ Committee as listed in the ‘‘Agenda’’ uscg.mil. If you have any questions on Coast Guard section below. Written comments for viewing or submitting material to the distribution to Committee members [Docket No. USCG–2014–0098] docket, call Cheryl Collins, Program must be submitted no later than Manager, Docket Operations, telephone Chemical Transportation Advisory February 13, 2015, if you want the 202–366–9826 or 1–800–647–5527. Committee Meeting Committee members to be able to review SUPPLEMENTARY INFORMATION: Notice of your comments before the meeting, and this meeting is given under the Federal AGENCY: Coast Guard, DHS. must be identified by USCG–2014–0098. Advisory Committee Act, 5 United ACTION: Notice of federal advisory Written comments may be submitted by States Code Appendix. one of the following methods: committee meeting. • The Chemical Transportation Federal eRulemaking Portal: http:// Advisory Committee is an advisory SUMMARY: The Chemical Transportation www.regulations.gov. Follow the committee authorized under section 871 Advisory Committee and its instructions for submitting comments. of the Homeland Security Act of 2002, subcommittees will meet on February (This is the preferred method to avoid 6 United States Code 451, and is 24, 25, and 26, 2015, in New Orleans, delays in processing.) • chartered under the provisions of the LA, to discuss the safe and secure Fax: 202–493–2252 Federal Advisory Committee Act. The • Mail: Docket Management Facility marine transportation of hazardous committee acts solely in an advisory (M–30), U.S. Department of materials. The meetings will be open to capacity to the Secretary of the Transportation, West Building Ground the public. Department of Homeland Security Floor, Room W12–140, 1200 New Jersey DATES: Subcommittees will meet on through the Commandant of the Coast Avenue SE., Washington, DC 20590– Tuesday, February 24, 2015, from 8:30 Guard and the Deputy Commandant for 0001. a.m. to 5 p.m. and on Wednesday, • Hand Delivery: Same as mail Operations on matters relating to safe February 25, 2015, from 8:30 a.m. to 5 address above, between 9 a.m. and 5 and secure marine transportation of p.m. The full committee will meet on p.m., Monday through Friday, except hazardous materials activities insofar as Thursday, February 26, 2015, from 8:30 Federal holidays. The telephone number they relate to matters within the United a.m. to 5 p.m. Please note that these for this office is 202–366–9329. States Coast Guard’s jurisdiction. The meetings may close early if the Instructions: All submissions received Committee advises, consults with, and Committee has completed its business. must include the words ‘‘Department of makes recommendations reflecting its ADDRESSES: The meetings will be held at Homeland Security’’ and the docket independent judgment to the Secretary. the NASA Michoud Assembly Facility, number for this action. Comments Agendas of Meetings 13800 Old Gentilly Road, New Orleans, received will be posted without LA 70129. Attendees will be required to alteration at http://www.regulations.gov, Subcommittee Meetings on February 24 pre-register no later than 5 p.m. on including any personal information and 25, 2015 February 13, 2015, to be admitted to the provided. You may review a Privacy Act The subcommittees on biofuels, meeting. To pre-register contact notice regarding our public dockets in liquefied gases, outreach, Ship to Ship

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Transfer of Hazardous Material Outside the marine transportation of hazardous and Urban Development, 451 7th Street of the Baseline, and the International materials SW., Room 4176, Washington, DC Convention for the Prevention of b. Update on U.S. regulations and 20410–5000; telephone 202–402–3400 Pollution from Ships (MARPOL) will policy initiatives as they relate to the (this is not a toll-free number) or email meet to continue to address the task marine transportation of hazardous at [email protected] for a copy of statements listed in paragraph (4) of the materials the proposed forms or other available agenda for the February 26, 2015, 6. Set next meeting date and location. information. Persons with hearing or meeting and the tasks given at the last 7. Set subcommittee meeting speech impairments may access this Chemical Transportation Advisory schedule. number through TTY by calling the toll- Committee meeting. The task statements A public comment period will be held free Federal Relay Service at (800) 877– from the last committee meeting are during each Subcommittee and the full 8339. located at Homeport at the following committee meeting concerning matters FOR FURTHER INFORMATION CONTACT: address: https://homeport.uscg.mil. Go being discussed. Public comments will Arlette Mussington, Office of Policy, to: Missions > Ports and Waterways > be limited to 3 minutes per speaker. Programs and Legislative Initiatives, Safety Advisory Committees > CTAC Please note that the public comment Subcommittees and Working Groups. PIH, Department of Housing and Urban period may end before the time Development, 451 7th Street SW., The agenda for each subcommittee indicated, following the last call for will include the following: (L’Enfant Plaza, Room 2206), comments. Please contact Commander Washington, DC 20410; telephone 202– 1. Review task statements, which are Evan Hudspeth, listed in the FOR listed in paragraph (4) of the agenda for 402–4109, (this is not a toll-free FURTHER INFORMATION CONTACT section, number). Persons with hearing or the February 26, 2015, meeting. to register as a speaker. 2. Work on tasks assigned in task speech impairments may access this statements mentioned above. Dated: December 11, 2014. number via TTY by calling the Federal 3. Public comment period. J.G. Lantz, Information Relay Service at (800) 877– 4. Discuss and prepare proposed Director of Commercial Regulations and 8339. Copies of available documents recommendations for the Chemical Standards, United States Coast Guard. submitted to OMB may be obtained Transportation Advisory Committee [FR Doc. 2015–00062 Filed 1–7–15; 8:45 am] from Ms. Mussington. meeting on February 26, 2015, on tasks BILLING CODE 9110–04–P SUPPLEMENTARY INFORMATION: This assigned in detailed task statements notice informs the public that HUD is mentioned above. seeking approval from OMB for the Committee Meeting on February 26, DEPARTMENT OF HOUSING AND information collection described in 2015 URBAN DEVELOPMENT Section A. The agenda for the Chemical [Docket No. FR–5759–N–19] A. Overview of Information Collection Transportation Advisory Committee meeting on February 26, 2015, is as 60-Day Notice of Proposed Information Title of Information Collection: follows: Collection: Assessment of HUD- Assessment of HUD-Funded or 1. Introductions and opening remarks. Funded or Designated Neighborhood Designated Neighborhood Networks 2. Swear in newly appointed Networks Centers and Other Computer Centers and Other Computer Labs Committee members. Labs Within Public Housing within Public Housing Authorities and 3. Public comment period. Authorities and Multifamily Housing Multifamily Housing Properties. 4. Committee will review, discuss, Properties OMB Approval Number: Pending and formulate recommendations on the OMB approval. following task statements: AGENCY: Office of the Assistant a. Harmonization of Response and Secretary for Public and Indian Type of Request: New. Carriage Requirements for Biofuels and Housing, PIH, HUD; Office of the Form Number: None. Biofuel Blends Deputy Assistant Secretary for Description of the need for the b. Recommendations on Safety Multifamily Housing, MF, HUD. information and proposed use: From the Standards for the Design of Vessels ACTION: Notice. mid-1990s through 2010, HUD either Carrying Natural Gas or Using Natural funded or provided technical assistance Gas as Fuel SUMMARY: HUD is seeking approval from to encourage the establishment of c. Recommendations for Safety the Office of Management and Budget Neighborhood Networks computer Standards for Ship to Ship Transfer of (OMB) for the information collection centers in public and assisted housing. Hazardous Material Outside of the described below. In accordance with the HUD is interested in learning about the Baseline Paperwork Reduction Act, HUD is current status of these computer labs d. Recommendations for Guidance on requesting comment from all interested (and others that may have been opened the Implementation of Revisions to parties on the proposed collection of outside of the Neighborhood Networks MARPOL Annex II and the International information. The purpose of this notice initiative). In addition, HUD is Code for the Construction and is to allow for 60 days of public interested in learning about the ability Equipment of Ships Carrying Dangerous comment. of these centers to provide digital Chemicals in Bulk (commonly known as DATES: Comments Due Date: March 9, literacy and other educational training, the IBC Code) 2015. as well as challenges these centers face e. Improving Implementation of and in maintaining operations. Education about MARPOL Discharge ADDRESSES: Interested persons are Requirements under MARPOL Annex II invited to submit comments regarding Respondents: Public housing and V this proposal. Comments should refer to authorities and multifamily housing 5. USCG presentations on the the proposal by name and/or OMB owners. following items of interest: Control Number and should be sent to: Estimated Number of Respondents: a. Update on International Maritime Colette Pollard, Reports Management 3,200 public housing authorities; and Organization activities as they relate to Officer, QDAM, Department of Housing 100 Multifamily owners.

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Number of Frequency of Responses Burden hour Annual burden Hourly cost Information collection respondents response per annum per response hours per response Annual cost

Total ...... 1,000 1 1 5.5 5,500 $110.00 $110,000

B. Solicitation of Public Comment recovery (CDBG–DR) funds for the Community Development Block Grant This notice is soliciting comments purpose of assisting recovery in the disaster recovery (CDBG–DR) funds for from members of the public and affected most impacted and distressed areas necessary expenses related to disaster parties concerning the collection of identified in major disaster declarations relief, long-term recovery, restoration of information described in Section A on in calendar year 2013. This is the infrastructure and housing, and the following: seventh allocation of CDBG–DR funds economic revitalization in the most (1) Whether the proposed collection under the Disaster Relief Appropriations impacted and distressed areas resulting of information is necessary for the Act, 2013 (Pub. L. 113–2). In addition to from a major disaster declared pursuant proper performance of the functions of an initial allocation for disasters to the Robert T. Stafford Disaster Relief the agency, including whether the occurring in 2013, prior allocations and Emergency Assistance Act of 1974 information will have practical utility; addressed the areas most impacted by (42 U.S.C. 5121 et seq.) (Stafford Act), (2) The accuracy of the agency’s Hurricane Sandy, as well as the areas due to Hurricane Sandy and other most impacted by disasters occurring in estimate of the burden of the proposed eligible events in calendar years 2011, 2011 or 2012. In prior Federal Register collection of information; 2012, and 2013. (3) Ways to enhance the quality, notices, the Department described the utility, and clarity of the information to allocations, relevant statutory On March 1, 2013, the President be collected; and provisions, the grant award process, issued a sequestration order pursuant to (4) Ways to minimize the burden of criteria for Action Plan approval, section 251A of the Balanced Budget the collection of information on those eligible disaster recovery activities, and and Emergency Deficit Control Act, as who are to respond; including through applicable waivers and alternative amended (2 U.S.C. 901a), and reduced the use of appropriate automated requirements. This Notice builds upon funding for CDBG–DR grants under the collection techniques or other forms of the requirements of those notices, and Appropriations Act to $15.18 billion. To information technology, e.g., permitting specifies that funds allocated through date, a total of $15.1 billion has been electronic submission of responses. this notice are subject to all allocated or set aside: $13 billion in HUD encourages interested parties to requirements in the notice published on response to Hurricane Sandy, $514 submit comment in response to these June 3, 2014 (79 FR 31964). million in response to disasters questions. DATES: Effective Date: January 13, 2015. occurring in 2011 or 2012, $565 million Authority: Section 3507 of the Paperwork FOR FURTHER INFORMATION CONTACT: Stan in response to 2013 disasters, and $1 Reduction Act of 1995, 44 U.S.C. Chapter 35. Gimont, Director, Office of Block Grant billion set aside for the National Dated: December 23, 2014. Assistance, Department of Housing and Disaster Resilience Competition. This Urban Development, 451 7th Street SW., Notice advises the public of a third Michael Dennis, Room 7286, Washington, DC 20410, Director, Office of Housing Voucher allocation for 2013 disasters—$89.8 telephone number 202–708–3587. million is provided for the purpose of Programs. Persons with hearing or speech [FR Doc. 2015–00107 Filed 1–7–15; 8:45 am] assisting recovery in the most impacted impairments may access this number and distressed areas in Colorado, the BILLING CODE 4210–67–P via TTY by calling the Federal Relay city of Chicago, Illinois, Cook County, Service at 800–877–8339. Facsimile Illinois, and Du Page County, Illinois. inquiries may be sent to 202–401–2044. As the Appropriations Act requires DEPARTMENT OF HOUSING AND (Except for the ‘‘800’’ number, these funds to be awarded directly to a state URBAN DEVELOPMENT telephone numbers are not toll-free.) or unit of general local government [Docket No. FR–5696–N–13] Email inquiries may be sent to disaster_ [email protected]. (hereinafter, local government), the term ‘‘grantee’’ refers to any jurisdiction Third Allocation, Waivers, and SUPPLEMENTARY INFORMATION: Alternative Requirements for Grantees receiving a direct award from HUD Receiving Community Development Table of Contents under this Notice. Block Grant Disaster Recovery I. Allocation To comply with statutory direction (CDBG–DR) Funds in Response to II. Use of Funds that funds be used for disaster-related Disasters Occurring in 2013 III. Grant Amendment Process expenses in the most impacted and IV. Catalog of Federal Domestic Assistance distressed areas, HUD computes AGENCY: Office of the Assistant V. Finding of No Significant Impact Secretary for Community Planning and Appendix A: Allocation Methodology allocations based on the best available Development, HUD. data that cover all the eligible affected I. Allocation areas. Based on further review of the ACTION: Notice. The Disaster Relief Appropriations impacts from Presidentially-declared SUMMARY: This Notice advises the public Act, 2013 (Pub. L. 113–2, approved disasters that occurred in 2013, and of a third allocation of Community January 29, 2013) (Appropriations Act) estimates of remaining unmet need, this Development Block Grant disaster made available $16 billion in Notice provides the following awards:

TABLE 1—ALLOCATIONS FOR DISASTERS OCCURRING IN 2013

Grantee This allocation Second allocation First allocation Total

State of Colorado ...... $58,246,000 $199,300,000 $62,800,000 $320,346,000

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TABLE 1—ALLOCATIONS FOR DISASTERS OCCURRING IN 2013—Continued

Grantee This allocation Second allocation First allocation Total

State of Illinois ...... 6,800,000 3,600,000 10,400,000 City of Chicago, IL ...... 11,075,000 47,700,000 4,300,000 63,075,000 Cook County, IL ...... 14,816,000 54,900,000 13,900,000 83,616,000 Du Page County, IL ...... 5,626,000 18,900,000 7,000,000 31,526,000 State of Oklahoma ...... 83,100,000 10,600,000 93,700,000 City of Moore, OK ...... 25,900,000 26,300,000 52,200,000

Total ...... 89,763,000 436,600,000 128,500,000 654,863,000

As outlined in Table 2, to ensure within the city’s jurisdiction). The State by year: http://www.fema.gov/disasters/ funds provided under this Notice of Colorado must expend at least 80 grid/state-tribal-government. The address unmet needs within the ‘‘most percent of its funds in the most opportunity for certain grantees to impacted and distressed’’ counties, each impacted counties of Boulder, Weld, expend a portion of their allocations local government receiving a direct and Larimer but may expend 20 percent outside the most impacted and award under this Notice must expend (approximately $64 million from the distressed counties identified by HUD its entire CDBG–DR award within its combined first, second, and third enables those grantees to respond to jurisdiction (e.g., Cook County must allocations) in other State-identified highly localized distress identified via expend all funds within Cook County, most impacted and distressed area their own data. A detailed explanation excluding the city of Chicago; the city within counties having a declared major of HUD’s allocation methodology is of Chicago must expend all funds in the disaster in 2011, 2012 or 2013. The provided at Appendix A. city of Chicago, including the portions following link provides access to maps of Cook and Du Page counties located showing declared disasters in each state,

TABLE 2—MOST IMPACTED AND DISTRESSED COUNTIES WITHIN WHICH FUNDS MAY BE EXPENDED

Minimum percentage that must be Grantee Most impacted and distressed expended in counties most impacted and distressed counties

State of Colorado ...... Boulder, Weld and Larimer ...... 80 City of Chicago ...... City of Chicago; portions of the city in Cook and Du Page ...... 100 Cook County ...... Cook ...... 100 Du Page County ...... Du Page ...... 100

II. Use of Funds The requirements of this Notice The law also requires that prior to the parallel those established for other obligation of CDBG–DR funds, a grantee This Notice builds upon the grantees receiving funds under the shall submit a plan detailing the requirements of the Federal Register Appropriations Act in a Federal proposed use of funds, including Notices published by the Department on Register Notice published by the criteria for eligibility and how the use March 5, 2013 (78 FR 14329), April 19, Department on November 18, 2013 (78 of these funds will address disaster 2013 (78 FR 23578), December 16, 2013 FR 69104) and located at: http:// relief, long-term recovery, restoration of (76 FR 76154), June 3, 2014 (79 FR www.gpo.gov/fdsys/pkg/FR-2013-11-18/ infrastructure and housing, and 31964), and July 11, 2014 (79 FR40133) pdf/2013-27506.pdf. Additionally, the economic revitalization in the most referred to collectively in this Notice as funds allocated in this Notice are bound impacted and distressed areas. To the ‘‘Prior Notices’’. The Prior Notices by all of the same requirements as those access funds provided by the prior can be accessed through the HUD found in the Federal Register Notice allocations, HUD approved an Action Exchange Web site at https:// published by the Department on June 3, Plan and Action Plan amendments for www.hudexchange.info/cdbg-dr/cdbg- 2014 (79 FR 31964), including the two each of the grantees identified as dr-laws-regulations-and-federal-register- year expenditure deadline located at: receiving funds under this Notice. notices/. In addition, the following links http://www.gpo.gov/fdsys/pkg/FR-2014- Grantees are now directed to submit a provide direct access to the Prior 06-03/pdf/2014-12709.pdf. substantial Action Plan Amendment in Notices: http://www.gpo.gov/fdsys/pkg/ As a reminder, the Appropriations order to access funds provided in this FR-2013-03-05/pdf/2013-05170.pdf, Act requires funds to be used only for Notice. For more guidance on http://www.gpo.gov/fdsys/pkg/FR-2013- specific disaster-recovery related requirements for substantial Action Plan 04-19/pdf/2013-09228.pdf, http:// purposes. This allocation provides Amendments, please see section III of www.gpo.gov/fdsys/pkg/FR-2013-12-16/ additional funds to areas impacted by this Notice. pdf/2013-29834.pdf, http:// disasters in 2013 for recovery, including Note that, as provided by the HCD www.gpo.gov/fdsys/pkg/FR-2014-06-03/ mitigation and resilience as part of the Act, funds may be used as a matching pdf/2014-12709.pdf, and http:// recovery effort and directs grantees to requirement, share, or contribution for www.gpo.gov/fdsys/pkg/FR-2014-07-11/ undertake comprehensive planning to any other federal program when used to pdf/2014-16316.pdf. promote resilience as part of that effort. carry out an eligible CDBG–DR activity.

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However, pursuant to the requirements • If it has not already done so, grantee businesses, and infrastructure back to of the Appropriations Act, CDBG–DR enters the activities from its published pre-disaster conditions. From this base funds may not be used for expenses Action Plan Amendment into the calculation, HUD calculates both the reimbursable by, or for which funds are Disaster Recovery Grant Reporting amount not covered by insurance and made available by FEMA or the United (DRGR) system and submits it to HUD other federal sources to rebuild back to States Army Corps of Engineers within the system; pre-disaster conditions as well as a (USACE). • The grantee may draw down funds ‘‘resiliency’’ amount which is calculated from the line of credit after the at 30 percent of the total basic cost to IV. Grant Amendment Process Responsible Entity completes applicable rebuild back the most distressed flooded To access funds allocated by this environmental review(s) pursuant to 24 homes, businesses, and infrastructure to Notice grantees must submit a CFR part 58 (or paragraph A.20 under pre-disaster conditions; 10 percent for substantial Action Plan Amendment to section VI of the March 5, 2013 Notice) other disaster types (ie. tornadoes, their approved Action Plan. Any and, as applicable, receives from HUD severe storms, fires). The estimated cost substantial Action Plan Amendment or the state an approved Request for to repair unmet needs are combined submitted after the effective date of this Release of Funds and certification; with the resiliency needs to calculate • Notice is subject to the following Grantee amends its published the total severe unmet needs estimated requirements: Action Plan to include its projection of to achieve long-term recovery. This • Grantee consults with affected expenditures and outcomes within 90 calculation of housing, business, and citizens, stakeholders, local days of the Action Plan Amendment infrastructure needs is used to governments and public housing approval as provided for in paragraph determine the relative share of funding authorities to determine updates to its 4.f. of section V of the June 3, 2014 among eligible disasters. needs assessment; in addition, grantee Notice; and • Statutory Language for the Allocation prepares a comprehensive risk analysis If not already completed, grantee (see section V.3.d. of the June 3, 2014 updates its full consolidated plan to Public Law 113–2 (January 29, 2013) reflect disaster-related needs no later Notice); provides the following language on how than its Fiscal Year 2015 consolidated • Grantee amends its citizen the Secretary shall allocate the funds: plan update. participation plan to reflect the ‘‘For an additional amount for requirements of the June 3, 2014 Notice VIII. Catalog of Federal Domestic ‘‘Community Development Fund’’, (e.g., new requirement for a public Assistance $16,000,000,000,1 to remain available hearing); The Catalog of Federal Domestic until September 30, 2017, for necessary • Grantee publishes a substantial Assistance number for the disaster expenses related to disaster relief, long- amendment to its previously approved recovery grants under this Notice is as term recovery, restoration of Action Plan for Disaster Recovery on the follows: 14.269. infrastructure and housing, and grantee’s official Web site for no less economic revitalization in the most than 30 calendar days and holds at least Finding of No Significant Impact impacted and distressed areas resulting one public hearing to solicit public A Finding of No Significant Impact from a major disaster declared pursuant comment; (FONSI) with respect to the to the Robert T. Stafford Disaster Relief • Grantee responds to public environment has been made in and Emergency Assistance Act (42 comment and submits its substantial accordance with HUD regulations at 24 U.S.C. 5121 et seq.) due to Hurricane Action Plan Amendment to HUD (with CFR part 50, which implement section Sandy and other eligible events in any additional certifications required by 102(2)(C) of the National Environmental calendar years 2011, 2012, and 2013, for this Notice or Prior Notices) no later Policy Act of 1969 (42 U.S.C. activities authorized under title I of the than 120 days after the effective date of 4332(2)(C)). The FONSI is available for Housing and Community Development this Notice; public inspection between 8 a.m. and 5 Act of 1974 (42 U.S.C. 5301 et seq.): • HUD reviews the substantial Action p.m. weekdays in the Regulations Provided, That funds shall be awarded Plan Amendment within 60 days from Division, Office of General Counsel, directly to the State or unit of general date of receipt and approves the Department of Housing and Urban local government as a grantee at the Amendment according to criteria Development, 451 7th Street SW., Room discretion of the Secretary of Housing identified in the Prior Notices; 10276, Washington, DC 20410–0500. and Urban Development: Provided • HUD sends an Action Plan Due to security measures at the HUD further, That the Secretary shall allocate Amendment approval letter, revised Headquarters building, an advance to grantees not less than 33 percent of grant conditions (may not be applicable appointment to review the docket file the funds provided under this heading to all grantees), and an amended must be scheduled by calling the within 60 days after the enactment of unsigned grant agreement to the grantee. Regulations Division at 202–708–3055 this division based on the best available If the substantial Amendment is not (this is not a toll-free number). Hearing data:’’ approved, a letter will be sent or speech-impaired individuals may Available Data identifying its deficiencies; the grantee access this number through TTY by must then re-submit the Amendment calling the toll-free Federal Relay The ‘‘best available’’ data HUD staff within 45 days of the notification letter; Service at 800–877–8339. have identified as being available to • Grantee ensures that the HUD- Dated: December 31, 2014. calculate unmet needs at this time for approved substantial Action Plan Clifford Taffett, all disasters in 2011, 2012, and 2013 meeting HUD’s Most Impacted and Amendment (and updated Action Plan) General Deputy Assistant Secretary for is posted on its official Web site; Community Planning and Development. Distressed threshold comes from the • Grantee signs and returns the grant following data sources: agreement; CDBG–DR Allocation Methodology— • FEMA Individual Assistance • HUD signs the grant agreement and 2013 Disasters Third Tranche program data on housing unit damage; revises the grantee’s line of credit HUD calculates the cost to rebuild the amount; most impacted and distressed homes, 1 $15.2 billion after sequestration.

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• SBA for management of its disaster Furthermore, a homeowner is on the cost to make the home habitable. assistance loan program for housing determined to have unmet needs if they If fewer than 100 SBA inspections are repair and replacement; have received a FEMA grant to make made for homes within a FEMA damage • SBA for management of its disaster home repairs. For homeowners with a category, the estimated damage amount assistance loan program for business FEMA grant and insurance for the in the category for that disaster has a real estate repair and replacement as covered event, HUD assumes that the cap applied at the 75th percentile of all well as content loss; and unmet need ‘‘gap’’ is 20 percent of the damaged units for that category for all • FEMA Public Assistance, difference between total damage and the disasters and has a floor applied at the Department of Transportation Federal FEMA grant. 25th percentile. Transit Administration and Federal • FEMA does not inspect rental units Calculating Unmet Infrastructure Needs Highway Administration, Corps of for real property damage so personal Engineers, and US Department of property damage is used as a proxy for • To proxy unmet infrastructure Agriculture Emergency Watershed unit damage. Each of the FEMA needs, HUD uses data from FEMA’s Restoration data on infrastructure. inspected renter units are categorized by Public Assistance program on the state These funds are only allocated toward HUD into one of five categories: match requirement (extracted January disasters in 2011, 2012, and 2013 Æ Minor-Low: Less than $1,000 of 2014). This allocation uses only a subset determined by HUD to be most FEMA inspected personal property of the Public Assistance damage impacted and distressed disasters.2 damage. estimates reflecting the categories of Æ Minor-High: $1,000 to $1,999 of activities most likely to require CDBG– Calculating Unmet Housing Needs FEMA inspected personal property DR funding above the Public Assistance The core data on housing damage for damage. and state match requirement. Those both the unmet housing needs Æ Major-Low: $2,000 to $3,499 of activities are categories: C—Roads and calculation and the concentrated FEMA inspected personal property Bridges; D—Water Control Facilities; damage are based on home inspection damage (if basement flooding only, E—Public Buildings; F—Public Utilities; data for FEMA’s Individual Assistance damage categorization is capped at and G—Recreational-Other. Categories program (extracted January 2014). For major-low). A (Debris Removal) and B (Protective Æ unmet housing needs, the FEMA data Major-High: $3,500 to $7,499 of Measures) are largely expended are supplemented by Small Business FEMA inspected personal property immediately after a disaster and reflect Administration data from its Disaster damage or 4 to 6 feet of flooding on the interim recovery measures rather than first floor. the long-term recovery measures for Loan Program (extracted January 2014). Æ HUD calculates ‘‘unmet housing needs’’ Severe: Greater than $7,500 of which CDBG–DR funds are generally as the number of housing units with FEMA inspected personal property used. unmet needs times the estimated cost to damage or determined destroyed and/or For the third round of CDBG–DR repair those units less repair funds 6 or more feet of flooding on the first funding for Sandy recovery, HUD also already provided by FEMA, where: floor. includes data from the USDA • Each of the FEMA inspected owner For rental properties, to meet the Emergency Watershed Repair Program units are categorized by HUD into one statutory requirement of ‘‘most (extracted May 2014). For most of five categories: impacted and distressed’’ in this impacted disasters in 2011, 2012, and Æ Minor-Low: Less than $3,000 of legislative language, homes are 2013 that have not received FEMA inspected real property damage. determined to have a high level of supplemental funding to address Æ Minor-High: $3,000 to $7,999 of damage if they have damage of ‘‘major- watershed repairs, HUD includes the FEMA inspected real property damage. low’’ or higher. That is, they have a estimated unmet repair costs calculated Æ Major-Low: $8,000 to $14,999 of FEMA personal property damage by USDA in the unmet repair needs FEMA inspected real property damage assessment of $2,000 or greater or calculation. (if basement flooding only, damage flooding over 4 foot. Furthermore, landlords are presumed to have Calculating Economic Revitalization categorization is capped at major-low). (Small Business) Needs Æ Major-High: $15,000 to $28,800 of adequate insurance coverage unless the • FEMA inspected real property damage unit is occupied by a renter with income Based on SBA disaster loans to and/or 4 to 6 feet of flooding on the first of $30,000 or less. Units are occupied by businesses (extracted January 2014), floor. a tenant with income less than $30,000 HUD used the sum of real property and Æ Severe: Greater than $28,800 of are used to calculate likely unmet needs real content loss of small businesses not FEMA inspected real property damage for affordable rental housing. For those receiving an SBA disaster loan. This is or determined destroyed and/or 6 or units occupied by tenants with incomes adjusted upward by the proportion of more feet of flooding on the first floor. under $30,000, HUD estimates unmet applications that were received for a To meet the statutory requirement of needs as 75 percent of the estimated disaster that content and real property ‘‘most impacted and distressed’’ in this repair cost. loss were not calculated because the • legislative language, homes are The median cost to fully repair a applicant had inadequate credit or determined to have a high level of home for a specific disaster to code income. For example, if a state had 160 damage if they have damage of ‘‘major- within each of the damage categories applications for assistance, 150 had low’’ or higher. That is, they have a real noted above is calculated using the calculated needs and 10 were denied in property FEMA inspected damage of average real property damage repair the pre-processing stage for not enough $8,000 or flooding over 4 foot. costs determined by the Small Business income or poor credit, the estimated Administration for its disaster loan unmet need calculation would be 2 A Most Impacted disaster for non-Sandy program for the subset of homes increased as (1 + 10/160) * calculated disasters is a disaster where the severe housing and inspected by both SBA and FEMA. unmet real content loss. business unmet needs (excluding resiliency) exceed Because SBA is inspecting for full repair • Because applications denied for $25 million from counties with greater than $10 poor credit or income are the most million in unmet housing and business severe costs, it is presumed to reflect the full needs (excluding resiliency and area construction cost to repair the home, which is likely measure of needs requiring the cost adjustment). generally more than the FEMA estimates type of assistance available with CDBG–

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DR funds, the calculated unmet Total Development Costs developed for Officer, 4400 Masthead Street NE., business needs for each state are HUD’s public housing repair programs. Albuquerque, New Mexico, 87109; or adjusted upwards by the proportion of No estimate of damage is reduced by the emailing comments to veronica _ total applications that were denied at multiplier (ie. if the Marshall & Swift [email protected]. the pre-process stage because of poor adjustment is less than 1, the FOR FURTHER INFORMATION CONTACT: credit or inability to show repayment adjustment is set at 1). Chief of Staff, Office of the Special ability. Similar to housing, estimated [FR Doc. 2015–00109 Filed 1–7–15; 8:45 am] Trustee for American Indians, 1849 C damage is used to determine what BILLING CODE 4210–67–P Street NW., Room 3254, Washington, unmet needs will be counted as severe DC 20240, or by telephone at 202–208– unmet needs. Only properties with total 4866. real estate and content loss in excess of DEPARTMENT OF THE INTERIOR SUPPLEMENTARY INFORMATION $30,000 are considered severe damage for purposes of identifying the most Office of the Secretary I. Background impacted and distressed areas. The Department of the Interior (DOI), Æ Category 1: real estate + content [DT20400000 DST000000.T7AC00 15XD0120AF] Office of the Special Trustee for loss = below $12,000 American Indians (OST), maintains the Æ Category 2: real estate + content Privacy Act of 1974, as Amended; ‘‘Individual Indian Money (IIM) Trust loss = $12,000 to $30,000 Funds—Interior, OS–02,’’ system of Æ Category 3: real estate + content Notice To Amend an Existing System records. Due to a recent reorganization loss = $30,000 to $65,000 of Records Æ Category 4: real estate + content of OST and the Office of Historical AGENCY: Office of the Special Trustee for Accounting, DOI is proposing to loss = $65,000 to $150,000 American Indians, Interior. Æ Category 5: real estate + content combine the OST Privacy Act system of ACTION: loss = above $150,000 Notice of amendment to an records, ‘‘Individual Indian Money (IIM) To obtain unmet business needs, the existing system of records. Trust Funds—Interior, OS–02,’’ with the amount for approved SBA loans is OST Privacy Act system of records, SUMMARY: Pursuant to the provisions of ‘‘Accounting Reconciliation Tool subtracted out of the total estimated the Privacy Act of 1974, as amended, damage. (ART)—Interior, OS–11,’’ for efficiency the Department of the Interior is issuing purposes and to promote the overall Resiliency Needs a public notice of its intent to amend the streamlining and management of DOI CDBG DR funds are often used to not Office of the Special Trustee for Privacy Act systems of records. The two only support rebuilding to pre-storm American Indians Privacy Act system of systems have the same authorities and conditions, but also to build back much records, ‘‘Individual Indian Money (IIM) purpose, to manage the collection, stronger. For the disasters covered by Trust Funds–Interior, OS–02,’’ to distribution, and disbursement of Indian this Notice, HUD has required that combine the existing system of records Trust land income; are managed by the grantees use their funds in a way that with the OST Privacy Act system of same system manager within OST; and results in rebuilding back stronger so records, ‘‘Accounting Reconciliation have the same or similar categories of that future disasters do less damage and Tool (ART)—Interior, OS–11’’ into one records, categories of individuals, and recovery can happen faster. To calculate system of records for efficiency routine uses. these resiliency costs, HUD multiplied purposes and to promote the overall The IIM system will assist OST in its estimates of total repair costs for streamlining and management of meeting the fiduciary responsibilities seriously damaged homes, small Department of the Interior Privacy Act set forth in the American Indian Trust businesses, and infrastructure by 30 systems of records. This amendment Fund Management Reform Act of 1994 percent for flooding disasters and 10 will also update the system location, including management of the receipt, percent for other disasters.3 Total repair categories of individuals covered by the investment, disbursement and costs are the repair costs including costs system, categories of records in the administration of money held in trust covered by insurance, SBA, FEMA, and system, authority for maintenance of the for individual Indians and Alaskan other federal agencies. The resiliency system, storage, safeguards, retention Natives (or their heirs), and Indian estimate is intended to reflect some of and disposal, system manager and Tribes; and ensure timely, accurate, and the unmet needs associated with address, notification procedures, consistent responses to beneficiary building to higher standards such as records access and contesting inquiries. The system also assists the elevating homes, voluntary buyouts, procedures, records source categories, OST in providing litigation support in hardening, and other costs in excess of and the routine uses to include analyzing and reconciling the historical normal repair costs. activities related to land consolidation collection, distribution, and of fractionated lands. disbursement of income from IIM Housing and Small Business DATES: Comments must be received by accounts, Indian trust land, and other Construction Cost Adjustment February 17, 2015. The amendments to revenue sources. The amendments to For grantees with housing the system will be effective February 17, this system includes updating the construction costs above the national 2015. system locations, categories of average, HUD increases their estimated ADDRESSES: Any person interested in individuals covered by the system, housing and business construction costs commenting on this notice may do so categories of records in the system, using the same Marshall & Swift by: submitting comments in writing to authority for maintenance of the system, regional cost adjustment multipliers as Veronica Herkshan, Office of the Special storage, safeguards, retention and used for HUD’s annual calculation of Trustee for American Indians Privacy disposal, system manager and address, Act Officer, 4400 Masthead Street NE., notification procedures, records access 3 The 30 percent multiplier for flooding disasters Albuquerque, New Mexico 87109; hand- and contesting procedures, records is the approximate additional cost to elevate a newly constructed home; the 10 percent multiplier delivering comments to Veronica source categories, and updating the is the approximate additional cost to add a safe Herkshan, Office of the Special Trustee routine uses to include activities related room. for American Indians Privacy Act to land consolidation of fractionated

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lands. The Individual Indian Money the ‘‘Individual Indian Money (IIM) official capacity to administer program (IIM) Trust Funds—Interior, OS–02 Trust Funds—Interior, OS–02,’’ is activities. Additionally, this system system notice was last published in the published in its entirety below. contains information regarding Federal Register on December 19, 2008, In accordance with 5 U.S.C. 552a(r), individuals owning purchasable 73 FR 77824. The Accounting DOI has provided a report of this system fractional interests in land or who may Reconciliation Tool (ART)—Interior, of records to the Office of Management be interested in participating in the OS–11 system notice was last published and Budget and to Congress. Land Buy-Back Program; members of in the Federal Register on July 31, 2008, the public, including individuals who 73 FR 44759. Upon final publication of III. Public Disclosure make inquiries about the Cobell the amended Individual Indian Money Before including your address, phone Settlement payments, acquaintances of (IIM) Trust Funds—Interior, OS–02 number, email address, or other IIM account holders, depositors into and system notice, DOI will publish a personal identifying information in your claimants against IIM accounts, deletion notice for the Accounting comment, you should be aware that individuals who lease, contract, or who Reconciliation Tool (ART)—Interior, your entire comment, including your are permit holders on Indian lands, and OS–11 system notice to remove it from personal identifying information, may individuals with whom OST conducts DOI’s inventory of systems of records be made publicly available at any time. business. notices. While you can ask us in your comment The system contains information The amendments to the system will to withhold your personal identifying about private organizations that provide be effective as proposed at the end of information from public review, we contact information about individual the comment period (the comment cannot guarantee that we will be able to Indian account holders whose period will end 40 days after the do so. whereabouts are unknown to OST, and publication of this notice in the Federal records concerning corporations and Date: December 29, 2014. Register), unless comments are received other business entities, which are not which would require a contrary Veronica J. Herkshan, subject to the Privacy Act. However, determination. DOI will publish a Privacy Act Officer, Office of the Special records pertaining to individuals acting revised notice if changes are made based Trustee for American Indians. on behalf of corporations and other upon a review of the comments System Name: business entities may reflect personal received. information. Individual Indian Money (IIM) Trust II. Privacy Act Funds—Interior, OS–02. Categories of Records in the System: The Privacy Act of 1974, as amended Security Classification: Records in this system include IIM (5 U.S.C. 552a), embodies fair account and Tribal trust fund account information practice principles in a Unclassified. records such as financial documents, statutory framework governing the System Locations: account reconciliation information, means by which Federal agencies disbursements, investments, bonds, collect, maintain, use, and disseminate The system is located and centrally transfers, and historical statements of individuals’ personal information. The managed at OST, U.S. Department of the account, which contain the following Privacy Act applies to records about Interior, 4400 Masthead Street, NE., information: Names, aliases, addresses, individuals that is maintained in a Albuquerque, New Mexico 87109. gender, dates of birth, dates of death, ‘‘system of records.’’ A ‘‘system of Records are also located at the American telephone numbers, email addresses and records’’ is a group of any records under Indian Records Repository, 17501 West other contact information, Social the control of an agency for which 98th Street, Lenexa, Kansas 66219; SEI, Security numbers, IIM account information about an individual is One Freedom Valley Drive, Oaks, numbers, Tribal affiliation retrieved by the name or by some Pennsylvania 19456; the Bureau of (membership), Tribal enrollment identifying number, symbol, or other Indian Affairs, Southwest Region, numbers, blood quantum, bank routing identifying particular assigned to the Albuquerque Data Center, 1001 Indian numbers, bank account numbers, individual. The Privacy Act defines an School Road, Albuquerque, New Mexico taxpayer identification numbers, individual as a U.S. citizen or lawful 87109; the OST, U.S. Department of the guardianship information, and Tribal permanent resident. As a matter of Interior, 1849 C Street NW., trust account codes. Records also policy, DOI extends administrative Washington, DC 20240; other DOI and include documents related to financial Privacy Act protections to all Office of the Secretary program offices; and investment activity, custodianship individuals. Individuals may request OST regional and field offices; offices of of investments for IIM accounts and access to their own records that are contractors; and offices of Indian Tribes Tribal trust fund accounts. Financial maintained in a system of records in the that administer the IIM account program documents, transaction data regarding possession or under the control of the under Indian Self-Determination or Self- receipts, disbursements, investments DOI by complying with DOI Privacy Act Governance contracts or compacts. and transfers, and contact information regulations at 43 CFR part 2, subpart K. for individuals who may know the The Privacy Act requires each agency Categories of Individuals Covered by the whereabouts of unknown locations of System: to publish in the Federal Register a beneficiaries is also included in this description denoting the type and Individuals covered by the system system. character of each system of records that include individual Indians and Alaskan Records also include data regarding the agency maintains, the routine uses Natives (or their heirs), Indian Tribes, IIM accounts that may be obtained from that are contained in each system in current and former Federal employees the OST Accounting Reconciliation order to make agency record keeping and contractors who receive IIM Tool system, Trust Funds Accounting practices transparent, to notify account information or are IIM account System (TFAS), and the Bureau of individuals regarding the uses of their holders, owners of land held in trust or Indian Affairs (BIA) Trust Asset and records, and to assist individuals to restricted status by the Federal Accounting Management System more easily find such records within the Government, and DOI employees, (TAAMS). These records help reconcile agency. The amended system notice for contractors, and officials acting in their IIM accounts and may include land

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ownership, official correspondence, (iii) A party in litigation before a court (7) To state and local governments appraisals, maps, purchase offers, and or an adjudicative or other and Tribal organizations to provide other documents related to land administrative body; or information needed in response to court consolidation efforts and program (iv) Any DOI employee acting in his order and/or discovery purposes related activities that may include name, or her individual capacity if DOI or DOJ to litigation, when the disclosure is address, email address, phone number, has agreed to represent that employee or compatible with the purpose for which date of birth, age, Social Security pay for private representation of the the records were compiled. number, Tribal enrollment number, land employee; (8) To an expert, consultant, or ownership interests in restricted or (b) When: contractor (including employees of the fractioned lands, and other information (i) One of the following is a party to contractor) of DOI that performs services related to these program activities. the proceeding or has an interest in the requiring access to these records on proceeding: DOI’s behalf to carry out the purposes Authority for Maintenance of the System: (A) DOI or any component of DOI; of the system. American Indian Trust Fund (B) Any other Federal agency (9) To appropriate agencies, entities, Management Reform Act of 1994, Public appearing before the Office of Hearings and persons when: Law 103–412, 108 Stat. 4239; 25 U.S.C. and Appeals; (a) It is suspected or confirmed that 42, American Indian Trust Fund (C) Any DOI employee acting in his or the security or confidentiality of Management Reform; 25 U.S.C. 116, her official capacity; information in the system of records has (D) Any DOI employee acting in his 117(a)(b)(c), 118, 119, 120, 121, 151, been compromised; and or her individual capacity if DOI or DOJ 159, 161(a), 162(a), 4011, 4043(b)(2)(B). (b) The Department has determined has agreed to represent that employee or that as a result of the suspected or Routine Uses of Records Maintained in pay for private representation of the confirmed compromise there is a risk of the System, Including Categories of employee; harm to economic or property interest, Users and the Purposes of Such Uses: (E) The United States, when DOJ identity theft or fraud, or harm to the determines that DOI is likely to be The IIM Trust Funds system of security or integrity of this system or affected by the proceeding; and records is used to manage the collection, other systems or programs (whether investment, distribution, and (ii) DOI deems the disclosure to be: (A) Relevant and necessary to the maintained by the Department or disbursement of IIM account and Tribal proceeding; and another agency or entity) that rely upon trust fund income; comply with the (B) Compatible with the purpose for the compromised information; and American Indian Trust Fund which the records were compiled. (c) The disclosure is made to such Management Reform Act of 1994 (Pub. (2) To a congressional office in agencies, entities and persons who are L. 103–412, 108 Stat. 4239); improve response to a written inquiry that an reasonably necessary to assist in accountability and management of individual covered by the system, or the connection with the Department’s Indian funds held in trust by the heir of such individual if the covered efforts to respond to the suspected or Government; provide trust services and individual is deceased, has made to the confirmed compromise and prevent, information for Indian trust funds office. minimize, or remedy such harm. program management; manage (3) To any criminal, civil, or (10) To the Office of Management and beneficiary contact including inquiries regulatory law enforcement authority Budget during the coordination and and requests regarding their trust assets; (whether Federal, state, territorial, local, clearance process in connection with provide IIM account status to IIM Tribal or foreign) when a record, either legislative affairs as mandated by OMB account holders; locate IIM account alone or in conjunction with other Circular A–19. holders whose whereabouts are information, indicates a violation or (11) To the Department of the currently unknown; document trust potential violation of law—criminal, Treasury, as needed, in the performance account transaction history and civil, or regulatory in nature, and the of their official duties to disburse trust quarterly statements; and transfer disclosure is compatible with the funds and to issue disbursements, electronic data to the Department of the purpose for which the records were Explanation of Payment reports (EOPs), Treasury for the processing of IIM compiled. Statements of Performance (including account and Tribal trust fund account (4) To an official of another Federal Assets), IRS Form 1099s, Osage payments. It also supports DOI land agency to provide information needed Headright Owner’s Share of Income, consolidation activities and provides an in the performance of official duties Deductions, etc., and BIA invoices for interface to TAAMS, a system of record related to reconciling or reconstructing the use or sale of Indian trust lands and for title and land resource management data files or to enable that agency to resources, as well as, to recover debts of Indian trust land within DOI and the respond to an inquiry by the individual owed to the United States. Bureau of Indian Affairs (BIA). to whom the record pertains. (12) To agency contractors who have In addition to those disclosures (5) To Federal, state, territorial, local, been engaged to assist the Government generally permitted under 5 U.S.C. Tribal, or foreign agencies that have in the performance of a contract, grant, 552a(b) of the Privacy Act, all or a requested information relevant or cooperative agreement, or other activity portion of the records or information necessary to the hiring, firing or related to this system of records and contained in this system may be retention of an employee or contractor, who need to have access to the records disclosed outside DOI as a routine use or the issuance of a security clearance, in order to perform the activity. pursuant to 5 U.S.C. 552a(b)(3) as license, contract, grant or other benefit, (13) To Indian Tribes entering into a follows: when the disclosure is compatible with contract or compacts of the trust funds (1) (a) To any of the following entities the purpose for which the records were management functions under the Indian or individuals, when the circumstances compiled. Self-Determination and Education set forth in paragraph (b) are met: (6) To representatives of the National Assistance Act, as amended. (i) The U.S. Department of Justice Archives and Records Administration to (14) To any of the following entities (DOJ); conduct records management or individuals, when the entity or (ii) A court or an adjudicative or other inspections under the authority of 44 individual makes a written request for administrative body; U.S.C. 2904 and 2906. information of owners of any interest in

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trust or restricted lands, location of the Disclosure to Consumer Reporting restricted to only the functions and data parcel, and the percentage of undivided Agencies: necessary to perform that person’s job interest owner by each individual: Pursuant to 5 U.S.C. 552a(b)(12), responsibilities. Access can be restricted (i) To other owners of interests in disclosures may be made to a consumer to specific functions (create, update, trust or restricted lands within the same reporting agency as defined in the Fair delete, view, assign permissions) and is Indian Reservation; Credit Reporting Act (15 U.S.C. restricted utilizing role-based access. 1681a(f)) or the Federal Claims Authorized users are trained and (ii) To Tribes that exercise jurisdiction required to follow established internal over the land where the parcel is located Collection Act of 1996 (31 U.S.C. 3701(a)(3)). security protocols and must complete or any person who is eligible for all security, privacy, and records membership in a Tribe; and Policies and Practices for Storing, management training and sign the DOI (iii) To any person that is leasing, Retrieving, Accessing, Retaining and Rules of Behavior. Contract employees Disposing of Records in the System: using or consolidating, or is applying to with access to the system are monitored lease, use or consolidate trust or STORAGE: by their Contracting Officer’s Technical restricted land or the interest in trust or Records maintained in paper form are Representative and agency Security restricted lands. stored in file folders in file cabinets. Manager. A Privacy Impact Assessment (15) To Indian Tribes entering into a Electronic records are maintained in was conducted to ensure that Privacy contract or compacts of real estate or computer servers, computer hard drives, Act safeguard requirements are met and title functions under the Indian Self- electronic databases, email, and appropriate privacy controls and Determination and Education electronic media such as removable safeguards are in place. Assistance Act, as amended. drives, compact disc, magnetic disk, RETENTION AND DISPOSAL: diskette, and computer tapes. (16) To Indian Tribes (including Records in this system are covered by employees) who (1) operate, or are RETRIEVABILITY: the Indian Affairs Records Schedule eligible to operate, land consolidation Records are retrieved by individual records series 6100 and 9000 approved activities on behalf of DOI, (2) agree to names, Social Security numbers, IIM or on June 28, 2006, by the National non-disclosure, and (3) submit a request Tribal trust fund account numbers, Archives and Records Administration in writing, upon a determination by DOI Tribe, Tribal enrollment or census (NARA) Job No. N1–075–04–7 and Job. that such activities shall occur on the numbers, Tribal codes, electronic ticket No. N1–075–06–8. The Indian Fiduciary Tribe’s Reservation within 6 months or numbers, contact names, and call Financial Trust records are cut off at the less and when the information relates to numbers or incident numbers. end of the fiscal year, maintained in the owners of fractionated land. Information Identifiers may also be linked to office two years after cut off, and then disclosed may include, but not limited appraisals, parcels, or encumbrances on retired to the American Indian Records to, the following: ownership. Repository (AIRR), Federal Records (a) Contact information (telephone Center, Lenexa, Kansas. Subsequent number, email address); SAFEGUARDS: legal transfer of the records to the The records contained in this system (b) Relevant personal characteristics National Archives of the United States are safeguarded in accordance with 43 of the owner (age, Tribal membership, will be in accordance with the signed CFR 2.226 and other applicable security living/deceased); Standard Form 258, Agreement to and privacy policies and standards. Transfer Records to the National (c) Type of ownership, i.e., type of During normal hours of operation, paper Archives of the United States. Historical interest, if interest is purchasable; records are maintained in locked file Trust Accounting records are cut off at (d) Transaction status, i.e., has an cabinets under the control of authorized fiscal year-end, maintained in the office offer been sent, accepted or rejected, is personnel. Computerized records of records for a maximum of 5 years the owner a willing seller. systems follow the National Institute of after cut off, and then retired to the (17) To the lineal descendant, heir, or Standards and Technology standards as AIRR, Federal Records Center, Lenexa, devisee of a deceased individual developed to comply with the Privacy Kansas. Subsequent legal transfer of the covered by the system or to any other Act of 1974 (Pub. L. 93–579), Paperwork records to the National Archives of the person entitled to the deceased’s trust Reduction Act of 1995 (Pub. L. 104–13), United States will be as jointly agreed assets. Federal Information Security to between the U.S. Department of the Management Act of 2002 (Pub. L. 107– (18) To IIM account owners, their Interior and NARA. Temporary records 347), and the Federal Information heirs, guardians, or agents. are maintained and disposed of in Processing Standards 199, Standards for accordance with the General Records (19) To members of the public, the Security Categorization of Federal Schedule for the appropriate record type names of IIM account holders whose Information and Information Systems. (including data backup tapes or copies). whereabouts are unknown and OST is Computer servers in which electronic seeking a current address. records are stored are located in secured System Manager and Address: (18) To the news media and the DOI and contractor facilities. Access to Chief of Staff, Office of the Special public, with the approval of the Public records in the system is limited to Trustee for American Indians, 1849 C Affairs Officer in consultation with authorized personnel who have a need Street NW., Room 3254, Washington, Counsel and the Senior Agency Official to access the records in the performance DC 20240. for Privacy, where there exists a of their official duties. Electronic data is legitimate public interest in the protected through user identification, Notification Procedures: disclosure of the information, except to passwords, database permissions and An individual requesting notification the extent it is determined that release software controls. Such security of the existence of records on himself or of the specific information in the measures establish different access herself should send a signed, written context of a particular case would levels for different types of users inquiry to the System Manager constitute an unwarranted invasion of associated with pre-defined groups and/ identified above. The request envelope personal privacy. or bureaus. Each user’s access is and letter should both be clearly marked

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‘‘PRIVACY ACT INQUIRY.’’ A request (f) BIA home agency; DEPARTMENT OF THE INTERIOR for notification must meet the (g) Time period(s) during which the Bureau of Land Management requirements of 43 CFR 2.235. Provide records may have been created or the following information with your maintained, to the extent known by you; [LLWO301000.L13400000.PQ request: 0000.LXSIGEOT0000.15X] (a) Proof of your identity; (h) Specific description or (b) List of all of the names by which identification of the record(s) you are Renewal of Approved Information you have been known, such as maiden contesting and the reason(s) why you Collection; Control Number 1004–0034 name or alias(es); believe the record(s) are not accurate, (c) Social Security number; relevant, timely, or complete; and AGENCY: Bureau of Land Management, (d) Mailing address; Interior. (e) Tribe, IIM account number, Tribal (i) Copy of documents or evidence in ACTION: 60-Day notice and request for enrollment, or census number; support of (h) above. comments. (f) BIA home agency; and Records Source Categories: (g) Time period(s) during which the SUMMARY: In compliance with the records may have been created or Sources of information in the system Paperwork Reduction Act, the Bureau of Land Management (BLM) invites public maintained, to the extent known by you. include individual Indians and Alaskan comments on, and plans to request Natives (or their heirs), Indian Tribes, Record Access Procedures: approval to continue, the collection of current and former Federal employees An individual requesting records on information about transfers and and contractors who receive IIM himself or herself should send a signed assignments of leases for oil, gas, and account information or are IIM account written request to the System Manager geothermal resources. The Office of holders. Records and financial data in identified above. The request should Management and Budget (OMB) has describe the records sought as this system are also obtained from the assigned control number 1004–0034 to specifically as possible. The request OST ART and TFAS, other DOI Bureaus this information collection. envelope and letter should both be and Offices including BIA, Office of DATES: Please submit comments on the clearly marked ‘‘PRIVACY ACT Natural Resources and Revenue, Bureau proposed information collection by REQUEST FOR ACCESS.’’ A request for of Land Management, Office of Hearings March 9, 2015. access must meet the requirements of 43 and Appeals, and the Office of the ADDRESSES: Comments may be CFR 2.238. Provide the following Secretary. Information may also be submitted by mail, fax, or electronic information with your request: obtained from the DOJ, Department of mail. Mail: U.S. Department of the (a) Proof of your identity; the Treasury, and other Federal, state Interior, Bureau of Land Management, (b) List of all of the names by which and local agencies, and Tribes; Courts of 1849 C Street NW., Room 2134LM, you have been known, such as maiden competent jurisdiction, including Tribal Attention: Jean Sonneman, Washington, name or alias(es); courts; and private, financial and DC 20240. Fax: to Jean Sonneman at (c) Social Security number; business institutions and entities. 202–245–0050. Electronic mail: Jean_ (d) Mailing address; [email protected]. Please indicate Additionally, this system contains (e) Tribe, IIM account number, Tribal ‘‘Attn: 1004–0034’’ regardless of the information received from members of enrollment, or census number; form of your comments. (f) BIA home agency; the public, including individuals who FOR FURTHER INFORMATION CONTACT: (g) Time period(s) during which the make inquiries about Cobell Settlement Jennifer Spencer at 202–912–7146 (oil records may have been created or payments, acquaintances of IIM account maintained, to the extent known by you; and gas) or Lorenzo Trimble at 775– holders, depositors into and claimants 861–6567 (geothermal resources). and against IIM accounts, individuals who (h) Description or identification of the Persons who use a telecommunication lease, contract, or who are permit device for the deaf may call the Federal records you are requesting (including holders on Indian lands, and whether you are asking for a copy of all Information Relay Service at 1–800– individuals with whom OST conducts 877–8339, to leave a message for Ms. of your records or only a specific part business. The system also contains of them) and the maximum amount of Spencer or Mr. Trimble. information received from private money that you are willing to pay for SUPPLEMENTARY INFORMATION: OMB organizations about individual Indian duplication. regulations at 5 CFR part 1320, which account holders whose whereabouts are implement provisions of the Paperwork Contesting Record Procedures: unknown to OST; and correspondents, Reduction Act, 44 U.S.C. 3501–3521, An individual requesting corrections participants, beneficiaries, land owners, require that interested members of the or the removal of material from his or and members of the public who public and affected agencies be given an her records should send a signed, participate or are interested in land opportunity to comment on information written request to the System Manager consolidation or related program collection and recordkeeping activities identified above. A request for activities. (see 5 CFR 1320.8 (d) and 1320.12(a)). corrections or removal must meet the This notice identifies an information Exemptions Claimed for the System: requirements of 43 CFR 2.246. Provide collection that the BLM plans to submit to OMB for approval. The Paperwork the following information with your None. request: Reduction Act provides that an agency (a) Proof of your identity; [FR Doc. 2015–00038 Filed 1–7–15; 8:45 am] may not conduct or sponsor a collection (b) List of all of the names by which BILLING CODE 4334–12–P of information unless it displays a you have been known, such as maiden currently valid OMB control number. name or alias(es); Until OMB approves a collection of (c) Social Security number; information, you are not obligated to (d) Mailing address; respond. (e) Tribe, IIM account number, Tribal The BLM will request a 3-year term of enrollment, or census number; approval for this information collection

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activity. Comments are invited on: (1) be made publicly available at any time. Forms: The need for the collection of While you can ask us in your comment • Form 3000–3, Assignment of information for the performance of the to withhold your personal identifying Record Title Interest in a Lease for Oil functions of the agency; (2) The information from public review, we and Gas or Geothermal Resources; and accuracy of the agency’s burden cannot guarantee that we will be able to • Form 3000–3a, Transfer of estimates; (3) Ways to enhance the do so. Operating Rights (Sublease) in a Lease quality, utility and clarity of the The following information pertains to for Oil and Gas or Geothermal information collection; and (4) Ways to this request: Resources. minimize the information collection Title: Oil, Gas, and Geothermal Description of Respondents: Lessees burden on respondents, such as the use Resources: Transfers and Assignments. who want to assign record title interest OMB Control Number: 1004–0034. of automated means of collection of the or transfer operating rights in a Federal Summary: When a holder of a Federal information. A summary of the public lease for oil and gas or geothermal lease for oil, gas, or geothermal comments will accompany our resources. submission of the information collection resources assigns the lease or transfers requests to OMB. the operating rights, the BLM must Estimated Annual Responses: 14,041. Before including your address, phone collect information about that Estimated Annual Burden Hours: number, email address, or other transaction. Each assignment or transfer 7,020.5. personal identifying information in your is a contract between private parties but Estimated Annual Non-Hour Costs: comment, you should be aware that must be approved by the BLM under the $1,263,690. your entire comment—including your relevant statutory authority. The estimated annual burdens are personal identifying information—may Frequency of Collection: On occasion. itemized in the following table:

B. Number of C. Time per D. Total time A. Type of response responses response (column B × column C)

Assignment of Record Title Interest/Oil and Gas Leases 43 CFR 3106.4–1 6,316 30 minutes 3,158 hours Form 3000–3. Assignment of Record Title Interest/Geothermal Resources 43 CFR 3216.14 28 30 minutes 14 hours Form 3000–3. Transfer of Operating Rights/Oil and Gas Leases 43 CFR 3106.4–1 Form 7,696 30 minutes 3,848 hours 3000–3a. Transfer of Operating Rights/Geothermal Resources 43 CFR 3216.14 Form 1 30 minutes 30 minutes 3000–3a.

Totals ...... 14,041 7,020.5 hours

Jean Sonneman, Breeze Parkway, Gulf Breeze, FL 32563; Alternative 4—The NPS would seek Bureau of Land Management, Information or via telephone at (850) 934–2600. to collaborate and expand partnerships Collection Clearance Officer. SUPPLEMENTARY INFORMATION: The NPS with educational and cultural [FR Doc. 2015–00070 Filed 1–7–15; 8:45 am] evaluated four alternatives for managing institutions, nonprofit organizations, BILLING CODE 4310– 84–P use and development of the national and commercial service providers to seashore in the GMP Final promote a greater array of National Environmental Impact Statement: Seashore recreational and educational DEPARTMENT OF THE INTERIOR Alternative 1—no action. opportunities among a variety of coastal Alternative 2—The National Seashore settings. National Park Service would be managed to adapt to the wild The ROD announces that the NPS has [NPS–SERO–GUIS–16740; PPSESEROC3, and dynamic processes of the northern PMP00UP05.YP0000] Gulf Coast while providing seashore selected alternative 3, and the NPS will recreational and educational immediately begin to implement that Record of Decision for the General opportunities. The level of alternative as the GMP. The GMP will Management Plan: Gulf Islands infrastructure to support visitor services guide the management of the national National Seashore, Florida and on barrier island areas would be monument over the next 20+ years. Mississippi adapted or removed as the environment The responsible official for this FEIS/ changes over time. GMP is the Regional Director, NPS AGENCY: National Park Service, Interior. Alternative 3 (NPS preferred Southeast Region, 100 Alabama Street ACTION: Notice of availability. alternative)—the National Seashore would be managed as an outdoor SW., 1924 Building, Atlanta, Georgia SUMMARY: The National Park Service classroom for exploring the natural and 30303. (NPS) announces the availability of the human history of the northern Gulf Dated: December 22, 2014. Record of Decision (ROD) for the Coast while providing seashore General Management Plan (GMP) for Sherri L. Fields, recreational opportunities. Acting Regional Director, Southeast Region. Gulf Islands National Seashore Collaboration and cooperation between [FR Doc. 2015–00047 Filed 1–7–15; 8:45 am] (National Seashore). On September 11, a consortium of academia, visiting 2014, the Regional Director, Southeast scientists, conservation organizations, BILLING CODE 4310–JD–P Region, approved the ROD for the and other agencies would be actively project. pursued to enhance resource FOR FURTHER INFORMATION CONTACT: management, stewardship, and Superintendent Dan Brown, Gulf understanding of the northern gulf Islands National Seashore, 1801 Gulf coastal environment.

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INTERNATIONAL TRADE Secretary, U.S. International Trade Arkansas v. The City of Fort Smith, COMMISSION Commission, Washington, DC, and by Arkansas, Civil Action No. 14–cv– publishing the notice in the Federal 02266–PKH in the United States District [Investigation Nos. 701–TA–512 and 731– TA–1248 (Final)] Register on September 23, 2014 (79 FR Court for the Western District of 56827). The hearing was held in Arkansas. Notice is hereby given that, Carbon and Certain Alloy Steel Wire Washington, DC, on November 12, 2014, for a period of 30 days, the United Rod From China; Determinations and all persons who requested the States will receive public comments on opportunity were permitted to appear in the proposed Consent Decree. On the basis of the record 1 developed person or by counsel. The United States and the State filed in the subject investigations, the United The Commission completed and filed an amended complaint against Fort States International Trade Commission its determination in these investigations Smith on the same date. The amended (‘‘Commission’’) determines, pursuant on January 2, 2015. The views of the complaint alleges that Fort Smith to sections 705(b) and 735(b) of the Commission are contained in USITC discharged untreated wastewater from Tariff Act of 1930 (19 U.S.C. 1671d(b)) Publication 4509 (January 2015), Fort Smith’s sanitary sewer collection and (19 U.S.C. 1673d(b)) (‘‘the Act’’), entitled Carbon and Certain Alloy Steel system to waters of the United States that an industry in the United States is Wire Rod from China: Investigation Nos. and the State on numerous occasions, materially injured by reason of imports 701–TA–512 and 731–TA–1248 (Final). and that Fort Smith failed to comply of carbon and certain alloy steel wire Issued: January 2, 2015. with certain terms and conditions of its rod from China, provided for in By order of the Commission. National Pollutant Discharge subheadings 7213.91, 7213.99, 7227.20, Jennifer Rohrbach, Elimination System permits, in and 7227.90 of the Harmonized Tariff Supervisory Attorney. violation of Sections 301 and 402 of the Schedule of the United States, that have [FR Doc. 2015–00039 Filed 1–7–15; 8:45 am] Clean Water Act, 33 U.S.C. 1311 and been found by the Department of 1342. BILLING CODE 7020–02–P Commerce (‘‘Commerce’’) to be to be Under the settlement, Fort Smith will subsidized by the government of China, implement various injunctive measures and to be sold in the United States at to achieve full compliance with the 2 JUDICIAL CONFERENCE OF THE less than fair value (‘‘LTFV’’). Clean Water Act and eliminate sanitary UNITED STATES Background system overflows. The injunctive Hearings of the Judicial Conference measures to be undertaken by Fort The Commission instituted these Smith include conducting a investigations effective January 31, Advisory Committee on Rules of Criminal Procedure comprehensive inspection of its 2014, following receipt of a petition collection system for condition defects, filed with the Commission and AGENCY: Judicial Conference of the increasing capacity of sewer lines, Commerce by ArcelorMittal USA LLC, United States, Advisory Committee on where needed, repairing, rehabilitating Chicago, Illinois; Charter Steel, Rules of Criminal Procedure. or replacing sewer lines with significant Saukville, Wisconsin; Evraz Pueblo, ACTION: Notice of cancellation of public defects, upgrading of pump stations, Pueblo, Colorado; Gerdau Ameristeel hearing. and developing and implementing a US Inc., Tampa, Florida; Keystone ‘‘capacity, management, operation and Consolidated Industries, Inc., Dallas, SUMMARY: The following public hearing maintenance system’’ to further reduce Texas; and Nucor Corporation, on proposed amendments to the Federal the incidence of sanitary sewer Charlotte, North Carolina. The final Rules of Criminal Procedure has been overflows. The estimated cost of phase of the investigations was canceled: Criminal Rules Hearing, implementing these measures, over an scheduled by the Commission following January 30, 2015, in Nashville, anticipated 12 year period, is notification of a preliminary Tennessee. Announcements for this approximately $205,000,000 in current determination by Commerce that meeting were previously published in dollars. Fort Smith will also implement imports of carbon and certain alloy steel 79 FR 48250 and 79 FR 72702. a Supplemental Environmental Project wire rod from China were subsidized FOR FURTHER INFORMATION CONTACT: aimed at assisting qualified low income within the meaning of section 703(b) of Jonathan C. Rose, Secretary and Chief residential property owners to repair or the Act (19 U.S.C. 1671b(b)) and Rules Officer, Rules Committee Support replace defective private service lines dumped within the meaning of 733(b) of Office, Administrative Office of the which connection to its collection the Act (19 U.S.C. 1673b(b)). Notice of United States Courts, Washington, DC system, valued at $400,000. Fort Smith the scheduling of the final phase of the 20544, telephone (202) 502–1820. will also pay a civil penalty of to the Commission’s investigations and of a Dated: January 5, 2015. United States of $300,000. public hearing to be held in connection The publication of this notice opens therewith was given by posting copies Jonathan C. Rose, Secretary and Chief Rules Officer. a period for public comment on the of the notice in the Office of the proposed Consent Decree. Comments [FR Doc. 2015–00103 Filed 1–7–15; 8:45 am] should be addressed to the Assistant 1 The record is defined in sec. 207.2(f) of the BILLING CODE 2210–55–P Commission’s Rules of Practice and Procedure (19 Attorney General, Environment and CFR 207.2(f)). Natural Resources Division, and should 2 Additionally, the Commission finds that: (1) refer to United States and the State of Imports subject to Commerce’s affirmative critical DEPARTMENT OF JUSTICE Arkansas v. The City of Fort Smith, circumstances determination are not likely to Arkansas, (Civil Action No. 14–cv– undermine seriously the remedial effect of the Notice of Lodging of Proposed countervailing duty order on carbon and certain Consent Decree Under the Clean Water 02266), D.J. Ref. No. 90–5–1–1–08677. alloy steel wire rod from China, and (2) imports Act All comments must be submitted no subject to Commerce’s affirmative critical later than thirty (30) days after the circumstances determination are not likely to undermine seriously the remedial effect of the On January 2, 2015, the Department of publication date of this notice. antidumping duty order on carbon and certain alloy Justice lodged a proposed Consent Comments may be submitted either by steel wire rod from China. Decree in United States and the State of email or by mail:

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To submit collectively agree to pay $5,920,000 of collection request (ICR) revision titled, comments: Send them to: the United States’ past response costs. ‘‘Telephone Point of Purchase Survey,’’ In return, the United States agrees not to the Office of Management and Budget By email ...... pubcomment-ees.enrd@ to sue the defendants under section (OMB) for review and approval for use usdoj.gov. 107(a) of CERCLA, 42 U.S.C. 9607(a). in accordance with the Paperwork By mail ...... Assistant Attorney General, U.S. DOJ–ENRD, P.O. Box The publication of this notice opens Reduction Act (PRA) of 1995 (44 U.S.C. 7611, Washington, DC a period for public comment on the 3501 et seq.). Public comments on the 20044–7611. proposed Decree. Comments should be ICR are invited. addressed to the Assistant Attorney DATES: The OMB will consider all During the public comment period, General, Environment and Natural written comments that agency receives the proposed Consent Decree may be Resources Division, and should refer to on or before February 9, 2015. examined and downloaded at this United States and the Commonwealth of ADDRESSES: A copy of this ICR with Justice Department Web site: http:// Pennsylvania Department of applicable supporting documentation; www.usdoj.gov/enrd/Consent_ Environmental Protection v. American including a description of the likely Decrees.html. We will provide a paper Iron and Metal Company, Inc., et al., respondents, proposed frequency of copy of the Consent Decree upon D.J. Ref. No. 90–11–3–09682/2. All response, and estimated total burden written request and payment of comments must be submitted no later may be obtained free of charge from the reproduction costs. Please mail your than thirty (30) days after the RegInfo.gov Web site at http:// request and payment to: Consent Decree publication date of this notice. www.reginfo.gov/public/do/ Library, U.S. DOJ–ENRD, P.O. Box 7611, Comments may be submitted either by PRAViewICR?ref_nbr201409-1220-003 Washington, DC 20044–7611. Please email or by mail: (this link will only become active on the enclose a check or money order for day following publication of this notice) $30.25 (25 cents per page reproduction To submit or by contacting Michel Smyth by comments: Send them to: cost) payable to the United States telephone at 202–693–4129, TTY 202– Treasury. By email ...... pubcomment-ees.enrd@ 693–8064, (these are not toll-free _ Maureen Katz, usdoj.gov. numbers) or sending an email to DOL By mail ...... Assistant Attorney General, [email protected]. Assistant Chief, Environmental Enforcement U.S. DOJ–ENRD, P.O. Box Submit comments about this request Section, Environment and Natural Resources 7611, Washington, DC Division. by mail or courier to the Office of 20044–7611. Information and Regulatory Affairs, [FR Doc. 2015–00076 Filed 1–7–15; 8:45 am] Attn: OMB Desk Officer for DOL–BLS, BILLING CODE 4410–15–P During the public comment period, Office of Management and Budget, the consent decree may be examined Room 10235, 725 17th Street NW., and downloaded at this Justice DEPARTMENT OF JUSTICE Washington, DC 20503; by Fax: 202– Department Web site: http:// 395–5806 (this is not a toll-free _ Notice of Lodging of Proposed www.usdoj.gov/enrd/Consent number); or by email: OIRA_ Consent Decree under the Decrees.html. We will provide a paper [email protected]. Commenters Comprehensive Environmental copy of the consent decree upon written are encouraged, but not required, to Response, Compensation and Liabilty request and payment of reproduction send a courtesy copy of any comments Act (‘‘CERCLA’’) costs. Please mail your request and by mail or courier to the U.S. payment to: Consent Decree Library, Department of Labor-OASAM, Office of On January 2, 2015, the Department of U.S. DOJ–ENRD, P.O. Box 7611, the Chief Information Officer, Attn: Justice lodged a proposed consent Washington, DC 20044–7611. Departmental Information Compliance decree (‘‘proposed Decree’’) with the Please enclose a check or money order Management Program, Room N1301, United States District Court for the for $7.00 (25 cents per page 200 Constitution Avenue NW., Western District of Pennsylvania in the reproduction cost) payable to the United Washington, DC 20210; or by email: lawsuit entitled United States and the States Treasury. [email protected]. Commonwealth of Pennsylvania FOR FURTHER INFORMATION CONTACT: Department of Environmental Maureen Katz, Assistant Section Chief, Environmental Contact Michel Smyth by telephone at Protection v. American Iron and Metal 202–693–4129, TTY 202–693–8064, Company, Inc., et al., Civil Action No. Enforcement Section, Environment and Natural Resources Division. (these are not toll-free numbers) or 2:14–cv–01734–MRH. sending an email to DOL_PRA_ The United States filed this lawsuit [FR Doc. 2015–00069 Filed 1–7–15; 8:45 am] [email protected]. under the Comprehensive BILLING CODE 4410–15–P Environmental Response, Compensation Authority: 44 U.S.C. 3507(a)(1)(D). and Liability Act (CERCLA) and the SUPPLEMENTARY INFORMATION: This ICR complaint names American Iron and DEPARTMENT OF LABOR seeks approval under the PRA for Metal Company, Inc.; Garfield Alloys, revisions to the Telephone Point of Inc.; Pace Industries on behalf of Leggett Office of the Secretary Purchase Survey (TPOPS) information and Platt, Inc.; Magnesium Products of collection. The BLS administers the Agency Information Collection America, Inc.; Spartan Light Metals survey quarterly via a computer- Activities; Submission for OMB Products, LLC; and SPX Corporation as assisted-telephone-interview. This Review; Comment Request; Telephone defendants. The complaint requests survey is flexible and creates the Point of Purchase Survey recovery of costs that the United States possibility of introducing new products incurred responding to releases of ACTION: Notice. into the Consumer Price Index (CPI) in hazardous substances at the Remacor a timely manner. The data collected in Site in West Pittsburg, Lawrence SUMMARY: The Department of Labor this survey are necessary for the County, Pennsylvania. All defendants (DOL) is submitting the Bureau of Labor continuing construction of a current signed the consent decree, and Statistics (BLS) sponsored information outlet universe from which locations are

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selected for the price collection needed • Evaluate the accuracy of the ancillary thereto.’’ See also 5 U.S.C. for calculating the CPI. Furthermore, the agency’s estimate of the burden of the 552b(c)(10). TPOPS provides the weights used in proposed collection of information, CONTACT PERSON FOR MORE INFORMATION: selecting the items that are priced at including the validity of the Henry Breiteneicher, Associate these establishments. This sample methodology and assumptions used; Executive Secretary, (202) 273–2917. design produces an overall CPI market • Enhance the quality, utility, and Dated: January 6, 2015. basket that is more reflective of the clarity of the information to be prices faced and the establishments collected; and William B. Cowen, visited by urban consumers. This • Minimize the burden of the Solicitor. information collection has been collection of information on those who [FR Doc. 2015–00131 Filed 1–6–15; 11:15 am] classified as a revision, because in 2016 are to respond, including through the BILLING CODE 7545–01–P the total respondent burden is expected use of appropriate automated, to increase slightly during the transition electronic, mechanical, or other to a new 8-panel design. The technological collection techniques or NUCLEAR REGULATORY Appropriations Bill for the Departments other forms of information technology, COMMISSION of Labor, and Health, Education, and e.g., permitting electronic submission of [NRC–2014–0272] Welfare; BLS Authorizing Statute; and responses. United States Code Title 13 authorize Agency: DOL–BLS. Agency Information Collection this information collection. See Public Title of Collection: Telephone Point of Activities: Proposed Collection; Law 94–439 (H.R. 14232), 29 U.S.C. 2, Purchase Survey. Comment Request and 13 U.S.C. 8. OMB Control Number: 1220–0044. This information collection is subject Affected Public: Individuals or AGENCY: Nuclear Regulatory to the PRA. A Federal agency generally households. Commission. cannot conduct or sponsor a collection Total Estimated Number of ACTION: Notice of pending NRC action to of information, and the public is Respondents: 21,827. submit an information collection generally not required to respond to an Total Estimated Number of request to the Office of Management and information collection, unless it is Responses: 55,571. Budget (OMB) and solicitation of public approved by the OMB under the PRA Total Estimated Annual Time Burden: comment. and displays a currently valid OMB 11,818 hours. SUMMARY: The U.S. Nuclear Regulatory Control Number. In addition, Total Estimated Annual Other Costs Commission (NRC) invites public notwithstanding any other provisions of Burden: $0. comment about our intention to request law, no person shall generally be subject Dated: January 2, 2015. the OMB’s approval for renewal of an to penalty for failing to comply with a Michel Smyth, existing information collection that is collection of information that does not Departmental Clearance Officer. summarized below. We are required to display a valid Control Number. See 5 [FR Doc. 2015–00078 Filed 1–7–15; 8:45 am] publish this notice in the Federal CFR 1320.5(a) and 1320.6. The DOL Register under the provisions of the obtains OMB approval for this BILLING CODE 4510–24–P Paperwork Reduction Act of 1995 (44 information collection under Control U.S.C. 35). Number 1220–0044. The current Information pertaining to the NATIONAL LABOR RELATIONS approval is scheduled to expire on requirement to be submitted: BOARD February 28, 2017; however, the DOL 1. The title of the information notes that existing information Sunshine Act Meetings: January 2015 collection: Requests to Non-Agreement collection requirements submitted to the States for Information. OMB receive a month-to-month TIME AND DATES: All meetings are held at 2. Current OMB approval number: extension while they undergo review. 2:00 p.m., Wednesday, January 7; 3150–0200. New requirements would only take Tuesday, January 13; Wednesday, 3. How often the collection is effect upon OMB approval. For January 14; Thursday, January 15; required: On occasion. additional substantive information Tuesday, January 20; Wednesday, 4. Who is required or asked to report: about this ICR, see the related notice January 21; Thursday, January 22; The 15 Non-Agreement States (13 published in the Federal Register on Tuesday, January 27; Wednesday, States, the District of Columbia, and the September 15, 2014 (79 FR 55016). January 28; Thursday, January 29. Commonwealth of Puerto Rico that have Interested parties are encouraged to not signed section 274(b) Agreements PLACE: Board Agenda Room, No. 11820, send comments to the OMB, Office of with the NRC). 1099 14th St. NW., Washington, DC Information and Regulatory Affairs at 5. The number of annual respondents: 20570. the address shown in the ADDRESSES 15. section within thirty (30) days of STATUS: Closed. 6. The number of hours needed publication of this notice in the Federal MATTERS TO BE CONSIDERED: Pursuant to annually to complete the requirement or Register. In order to help ensure § 102.139(a) of the Board’s Rules and request: 1,089. appropriate consideration, comments Regulations, the Board or a panel 7. Abstract: The NRC is seeking to should mention OMB Control Number thereof will consider ‘‘the issuance of a revise this information collection to be 1220–0044. The OMB is particularly subpoena, the Board’s participation in a a plan for a generic collection of interested in comments that: civil action or proceeding or an information. The need and practicality • Evaluate whether the proposed arbitration, or the initiation, conduct, or of the collection can be evaluated, but collection of information is necessary disposition . . . of particular the details of the specific individual for the proper performance of the representation or unfair labor practice collections will not be known until a functions of the agency, including proceedings under section 8, 9, or 10 of later time. Requests may be made of whether the information will have the [National Labor Relations] Act, or Non-Agreement States that are similar to practical utility; any court proceedings collateral or those of Agreement States to provide a

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more complete overview of the national 415–6258, or by email to The schedule for Commission program for regulating radioactive [email protected]. meetings is subject to change on short materials. This information would be Dated at Rockville, Maryland, this 2nd day notice. For more information or to verify used in the decision-making of the of January, 2015. the status of meetings, contact Glenn Commission. With Agreement States For the Nuclear Regulatory Commission. Ellmers at (301) 415–0442 or via email and as part of the NRC’s cooperative Tremaine Donnell, at [email protected]. post-agreement program with the States NRC Clearance Officer, Office of Information * * * * * pursuant to section 274(b), information Services. The NRC Commission Meeting on licensing and inspection practices, [FR Doc. 2015–00083 Filed 1–7–15; 8:45 am] Schedule can be found on the Internet and/or incidents, and other technical at: http://www.nrc.gov/public-involve/ BILLING CODE 7590–01–P and statistical information are public-meetings/schedule.html. exchanged. Therefore, information * * * * * requests sought may take the form of NUCLEAR REGULATORY The NRC provides reasonable surveys, e.g., telephonic and electronic COMMISSION accommodation to individuals with surveys/polls and facsimiles. disabilities where appropriate. If you [NRC–2015–0001] Submit, by March 9, 2015, comments need a reasonable accommodation to that address the following questions: Sunshine Act Meeting participate in these public meetings, or 1. Is the proposed collection of need this meeting notice or the information necessary for the NRC to DATES: January 12, 19, 26, February 2, 9, transcript or other information from the properly perform its functions? Does the 16, 2015. public meetings in another format (e.g. information have practical utility? PLACE: Commissioners’ Conference braille, large print), please notify 2. Is the burden estimate accurate? Room, 11555 Rockville Pike, Rockville, Kimberly Meyer, NRC Disability 3. Is there a way to enhance the Maryland. Program Manager, at 301–287–0727, by quality, utility, and clarity of the STATUS: Public and Closed. videophone at 240–428–3217, or by information to be collected? email at Kimberly.Meyer- 4. How can the burden of the Week of January 12, 2015 [email protected]. Determinations on information collection be minimized, Tuesday, January 13, 2015 requests for reasonable accommodation including the use of automated will be made on a case-by-case basis. 9:30 a.m. Discussion of Management collection techniques or other forms of * * * * * Issues (Closed—Ex. 2). information technology? Members of the public may request to The public may examine and have Week of January 19, 2015—Tentative receive this information electronically. copied for a fee publicly-available If you would like to be added to the documents, including the draft There are no meetings scheduled for the week of January 19, 2015. distribution, please contact the Office of supporting statement, at the NRC’s the Secretary, Washington, DC 20555 Public Document Room, Room O–1F21, Week of January 26, 2015—Tentative (301–415–1969), or send an email to One White Flint North, 11555 Rockville Thursday, January 29, 2015 [email protected] or Pike, Rockville, Maryland 20852. The [email protected]. OMB clearance requests are available at 9:00 a.m. Briefing on Foreign the NRC’s Web site: http://www.nrc.gov/ Ownership, Control, and Dated: January 6, 2015. public-involve/doc-comment/omb/. Domination (Public Meeting); Glenn Ellmers, The document will be available on the (Contact: Shawn Harwell, 301–415– Policy Coordinator, Office of the Secretary. NRC’s home page site for 60 days after 1309). [FR Doc. 2015–00201 Filed 1–6–15; 4:15 pm] the signature date of this notice. This meeting will be webcast live at BILLING CODE 7590–01–P Comments submitted in writing or in the Web address—http://www.nrc.gov/. electronic form will be made available for public inspection. Because your Week of February 2, 2015—Tentative SECURITIES AND EXCHANGE comments will not be edited to remove Monday, February 2, 2015 COMMISSION any identifying or contact information, the NRC cautions you against including 1:00 p.m. Discussion of International Submission for OMB Review; any information in your submission that Activities (Closed—Ex. 9). Comment Request you do not want to be publicly Wednesday, February 4, 2015 Upon Written Request, Copies Available disclosed. Comments submitted should 8:30 a.m. Hearing on Combined From: Securities and Exchange reference Docket No. NRC–2014–0272. License for Fermi, Unit 3 (Public Commission, Office of FOIA Services, You may submit your comments by any Meeting); (Contact: Adrian Muniz, 100 F Street NE., Washington, DC of the following methods: Electronic 301–415–4093). 20549–2736. comments go to http:// www.regulations.gov and search for This meeting will be webcast live at Extension: Docket No. NRC–2014–0272. Mail the Web address—http://www.nrc.gov/. Regulation AC—SEC File No. 270–517, comments to NRC Clearance Officer, Week of February 9, 2015—Tentative OMB Control No. 3235–0575. Tremaine Donnell (T–5 F53), U.S. There are no meetings scheduled for Notice is hereby given that pursuant Nuclear Regulatory Commission, the week of February 9, 2015 to the Paperwork Reduction Act of 1995 Washington, DC 20555–0001. (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the Questions about the information Week of February 16, 2015—Tentative Securities and Exchange Commission collection requirements may be directed Wednesday, February 18, 2015 (‘‘Commission’’) has submitted to the to the NRC Clearance Officer, Tremaine Office of Management and Budget Donnell (T–5 F53), U.S. Nuclear 9:30 a.m. Briefing on International (‘‘OMB’’) a request for approval of Regulatory Commission, Washington, Activities (Closed—Ex. 9) extension of the existing collection of DC 20555–0001, by telephone at 301– * * * * * information provided for in Regulation

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Analyst Certification (AC) (17 CFR Commission, Office of Information and Written comments are invited on: (a) 242.500–505), under the Securities Regulatory Affairs, Office of Whether the proposed collection of Exchange Act of 1934 (15 U.S.C. 78a et Management and Budget, Room 10102, information is necessary for the proper seq.). New Executive Office Building, performance of the functions of the Regulation AC requires that research Washington, DC 20503 or by sending an agency, including whether the reports published, circulated, or email to: Shagufta_Ahmed@ information shall have practical utility; provided by a broker or dealer or omb.eop.gov; and (ii) Pamela Dyson, (b) the accuracy of the Commission’s covered person contain a statement Acting Director/Chief Information estimate of the burden of the proposed attesting that the views expressed in Officer, Securities and Exchange collection of information; (c) ways to each research report accurately reflect Commission, c/o Remi Pavlik-Simon, enhance the quality, utility, and clarity the analyst’s personal views and 100 F Street NE., Washington, DC of the information to be collected; and whether or not the research analyst 20549, or send an email to: PRA_ (d) ways to minimize the burden of the received or will receive any [email protected]. Comments must be collection of information on compensation in connection with the submitted within 30 days of this notice. respondents, including through the use views or recommendations expressed in Dated: January 2, 2015. of automated collection techniques or the research report. Regulation AC also Brent J. Fields, other forms of information technology. requires broker-dealers to, on a quarterly Consideration will be given to Secretary. basis, make, keep, and maintain records comments and suggestions submitted in of research analyst statements regarding [FR Doc. 2015–00056 Filed 1–7–15; 8:45 am] writing within 60 days of this whether the views expressed in public BILLING CODE 8011–01–P publication. appearances accurately reflected the An agency may not conduct or analyst’s personal views, and whether sponsor, and a person is not required to SECURITIES AND EXCHANGE any part of the analyst’s compensation respond to, a collection of information COMMISSION is related to the specific unless it displays a currently valid OMB recommendations or views expressed in control number. the public appearance. Regulation AC Proposed Collection; Comment Request Please direct your written comments also requires that research prepared by to: Pamela Dyson, Acting Director/Chief foreign persons be presented to U.S. Upon Written Request, Copies Available Information Officer, Securities and persons pursuant to Securities Exchange From: U.S. Securities and Exchange Exchange Commission, c/o Remi Pavlik- Act Rule 15a–6 and that broker-dealers Commission, Office of FOIA Services, Simon, 100 F Street NE., Washington, notify associated persons if they would _ 100 F Street NE., Washington, DC DC 20549, or send an email to: PRA be covered by the regulation. Regulation 20549–2736. [email protected]. AC excludes the news media from its coverage. Extension: Dated: January 2, 2015. The collections of information under Rule 24b–1; SEC File No. 270–205; OMB Brent J. Fields, Regulation AC are necessary to provide Control No. 3235–0194. Secretary. investors with information with which Notice is hereby given that pursuant [FR Doc. 2015–00055 Filed 1–7–15; 8:45 am] to determine the value of the research to the Paperwork Reduction Act of 1995 BILLING CODE 8011–01–P available to them. It is important for an (44 U.S.C. 3501 et seq.), the Securities investor to know whether an analyst and Exchange Commission may be biased with respect to securities (‘‘Commission’’) is soliciting comments SECURITIES AND EXCHANGE or issuers that are the subject of a on the collection of information COMMISSION research report. Further, in evaluating a summarized below. The Commission research report, it is reasonable for an Proposed Collection; Comment plans to submit this existing collection Request investor to want to know about an of information to the Office of analyst’s compensation. Without the Management and Budget (‘‘OMB’’) for Upon Written Request, Copies Available information collection, the purposes of extension and approval, Rule 24b–1 (17 From: Securities and Exchange Regulation AC could not be met. CFR 240.24b–1)—Documents to be Kept Commission, Office of FOIA Services, The Commission estimates that Public by Exchanges. Washington, DC 20549–2736. Regulation AC imposes an aggregate annual time burden of approximately Rule 24b–1 under the Securities Extension: 25,395 hours on 5,186 respondents, or Exchange Act of 1934 (15 U.S.C. 78a et Rule 15g–4, SEC File No. 270–347, OMB Control No. 3235–0393. approximately 5 hours per respondent. seq.) requires a national securities The Commission estimates that the total exchange to keep and make available for Notice is hereby given that pursuant annual internal cost of compliance public inspection a copy of its to the Paperwork Reduction Act of 1995 attributable to the 25,395 hours is registration statement and exhibits filed (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the approximately $11,616,150.00, or with the Commission, along with any Securities and Exchange Commission approximately $2,239.90 per amendments thereto. (‘‘Commission’’) is soliciting comments respondent, annually. There are 18 national securities on the existing collection of information An agency may not conduct or exchanges that spend approximately provided for in Rule 15g–4—Disclosure sponsor, and a person is not required to one half hour each complying with this of compensation to brokers or dealers respond to, a collection of information rule, for an aggregate total compliance (17 CRF 240.15g–4) under the Securities under the PRA unless it displays a burden of 9 hours per year. The staff Exchange Act of 1934 (15 U.S.C. 78a et currently valid OMB control number. estimates that the average cost per seq.). The Commission plans to submit The public may view background respondent is $65.18 per year, this existing collection of information to documentation for this collection at the calculated as the costs of copying the Office of Management and Budget following Web site: www.reginfo.gov. ($13.97) plus storage ($51.21), resulting (‘‘OMB’’) for extension and approval. Comments should be directed to (i) Desk in a total cost of compliance for the Rule 15g–4 requires brokers and Officer for the Securities and Exchange respondents of $1,173.24. dealers effecting transactions in penny

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stocks for or with customers to disclose Notice is hereby given that pursuant An agency may not conduct or the amount of compensation received by to the Paperwork Reduction Act of 1995 sponsor, and a person is not required to the broker-dealer in connection with the (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the respond to, a collection of information transaction. The purpose of the rule is Securities and Exchange Commission under the PRA unless it displays a to increase the level of disclosure to (‘‘Commission’’) is soliciting comments currently valid OMB control number. investors concerning penny stocks on the existing collection of information Please direct your written comments generally and specific penny stock provided for in Rule 17a–5(c) (17 CFR to: Pamela Dyson, Acting Director/Chief transactions. 240.17a–5(c)), under the Securities Information Officer, Securities and The Commission estimates that Exchange Act of 1934 (15 U.S.C. 78a et Exchange Commission, c/o Remi Pavlik- approximately 221 broker-dealers will seq.). The Commission plans to submit Simon, 100 F Street NE., Washington, _ spend an average of 87 hours annually this existing collection of information to DC 20549, or send an email to: PRA to comply with this rule. Thus, the total the Office of Management and Budget [email protected]. compliance burden is approximately (‘‘OMB’’) for extension and approval. Dated: January 2, 2015. 19,245 burden-hours per year. Rule 17a–5(c) generally requires Brent J. Fields, broker-dealers who carry customer Written comments are invited on: (a) Secretary. Whether the proposed collection of accounts to provide statements of the broker-dealer’s financial condition to [FR Doc. 2015–00057 Filed 1–7–15; 8:45 am] information is necessary for the proper BILLING CODE 8011–01–P performance of the functions of the their customers. Paragraph (5) of Rule agency, including whether the 17a–5(c) provides a conditional information shall have practical utility; exemption from this requirement. A SECURITIES AND EXCHANGE (b) the accuracy of the agency’s broker-dealer that elects to take COMMISSION estimates of the burden of the proposed advantage of the exemption must collection of information; (c) ways to publish its statements on its Web site in Submission for OMB Review; enhance the quality, utility, and clarity a prescribed manner, and must maintain Comment Request a toll-free number that customers can of the information to be collected; and Upon Written Request, Copies Available (d) ways to minimize the burden of the call to request a copy of the statements. The purpose of the Rule is to ensure From: Securities and Exchange collection of information on Commission, Office of FOIA Services, respondents, including through the use that customers of broker-dealers are provided with information concerning 100 F Street NE., Washington, DC of automated collection techniques or 20549–2736. other forms of information technology. the financial condition of the firm that Consideration will be given to may be holding the customers’ cash and Extension: comments and suggestions submitted in securities. The Commission, when Rule 9b–1, SEC File No. 270–429—OMB Control No. 3235–0480. writing within 60 days of this adopting the Rule in 1972, stated that publication. the goal was to ‘‘directly’’ send a Notice is hereby given that pursuant customer essential information so that An agency may not conduct or to the Paperwork Reduction Act of 1995 the customer could ‘‘judge whether his (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the sponsor, and a person is not required to broker or dealer is financially sound.’’ respond to, a collection of information Securities and Exchange Commission The Commission adopted the Rule in (‘‘Commission’’) has submitted to the under the PRA unless it displays a response to the failure of several broker- currently valid OMB control number. Office of Management and Budget dealers holding customer funds and (‘‘OMB’’) a request for approval of Please direct your written comments securities in the period between 1968 extension of the previously approved to: Pamela Dyson, Acting Director/Chief and 1971. collection of information provided for in Information Officer, Securities and The Commission estimates that Rule 9b–1 (17 CFR 240.9b–1), under the Exchange Commission, c/o Remi Pavlik- approximately 213 broker-dealer Securities Exchange Act of 1934 (15 Simon, 100 F Street NE., Washington, respondents carrying approximately 115 _ U.S.C. 78a et seq.). DC 20549 or send an email to PRA million public customer accounts incur Rule 9b–1 (17 CFR 240.9b–1) sets [email protected]. an average burden of 142,424 hours per forth the categories of information Dated: January 2, 2015. year to comply with the Rule. required to be disclosed in an options Brent J. Fields, Written comments are invited on: (a) disclosure document (‘‘ODD’’) and Secretary. Whether the proposed collection of requires the options markets to file an [FR Doc. 2015–00054 Filed 1–7–15; 8:45 am] information is necessary for the proper ODD with the Commission 60 days prior performance of the functions of the BILLING CODE 8011–01–P to the date it is distributed to investors. Commission, including whether the In addition, Rule 9b–1 provides that the information shall have practical utility; ODD must be amended if the SECURITIES AND EXCHANGE (b) the accuracy of the Commission’s information in the document becomes COMMISSION estimates of the burden of the proposed materially inaccurate or incomplete and collection of information; (c) ways to that amendments must be filed with the Proposed Collection; Comment enhance the quality, utility, and clarity Commission 30 days prior to the Request of the information collected; and (d) distribution to customers. Finally, Rule ways to minimize the burden of the 9b–1 requires a broker-dealer to furnish Upon Written Request, Copies Available collection of information on to each customer an ODD and any From: Securities and Exchange respondents, including through the use amendments, prior to accepting an order Commission, Office of FOIA Services, of automated collection techniques or to purchase or sell an option on behalf 100 F Street NE., Washington, DC other forms of information technology. of that customer. 20549–2736. Consideration will be given to There are 12 options markets that Extension: comments and suggestions submitted in must comply with Rule 9b–1. These Rule 17a–5(c), SEC File No. 270–199, OMB writing within 60 days of this respondents work together to prepare a Control No. 3235–0199. publication. single ODD covering options traded on

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each market, as well as amendments to Office Building, Washington, DC 20503, Dated: January 5, 2015. the ODD. These respondents file or by sending an email to: Shagufta_ Brent J. Fields, approximately 3 amendments per year. [email protected]; and (ii) Pamela Secretary. The staff calculates that the preparation Dyson, Acting Director/Chief [FR Doc. 2015–00161 Filed 1–6–15; 4:15 pm] and filing of amendments should take Information Officer, Securities and BILLING CODE 8011–01–P no more than eight hours per options Exchange Commission, c/o Remi Pavlik- market. Thus, the total time burden for Simon, 100 F Street NE., Washington, options markets per year is 288 hours DC 20549, or by sending an email to: SECURITIES AND EXCHANGE (12 options markets × 8 hours per [email protected]. Comments must COMMISSION amendment × 3 amendments). The be submitted to OMB within 30 days of estimated cost for an in-house attorney this notice. [Release No. 34–73976; File No. SR– 1 is $380 per hour, resulting in a total Dated: January 2, 2015. NYSEMKT–2014–117] internal cost of compliance for these Brent J. Fields, respondents of $109,440 per year (288 Self-Regulatory Organizations; NYSE Secretary. hours at $380 per hour). MKT LLC; Notice of Filing and In addition, approximately 1,500 [FR Doc. 2015–00053 Filed 1–7–15; 8:45 am] Immediate Effectiveness of Proposed broker-dealers must comply with Rule BILLING CODE 8011–01–P Rule Change Extending Its Program 9b–1. Each of these respondents will That Allows Transactions To Take process an average of 3 new customers Place at a Price That Is Below $1 per SECURITIES AND EXCHANGE for options each week and, therefore, Option Contract Until January 5, 2016 COMMISSION will have to furnish approximately 156 January 2, 2015. ODDs per year. The postal mailing or Sunshine Act Meeting Pursuant to Section 19(b)(1) 1 of the electronic delivery of the ODD takes Securities Exchange Act of 1934 (the respondents no more than 30 seconds to Notice is hereby given, pursuant to ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 complete for an annual compliance the provisions of the Government in the notice is hereby given that on December burden for each of these respondents of Sunshine Act, Public Law 94–409, that 30, 2014, NYSE MKT LLC (the 78 minutes or 1.3 hours. Thus, the total the Securities and Exchange ‘‘Exchange’’ or ‘‘NYSE MKT’’) filed with time burden per year for broker-dealers Commission will hold a Closed Meeting the Securities and Exchange is 1,950 hours (1,500 broker-dealers × on Thursday, January 8, 2015 at 2:00 Commission (the ‘‘Commission’’) the 1.3 hours). The estimated cost for a p.m. proposed rule change as described in general clerk of a broker-dealer is $57 Commissioners, Counsel to the Items I, II, and III below, which Items per hour,2 resulting in a total internal Commissioners, the Secretary to the have been prepared by the self- cost of compliance for these Commission, and recording secretaries regulatory organization. The respondents of $111,150 per year (1,950 will attend the Closed Meeting. Certain Commission is publishing this notice to hours at $57 per hour). staff members who have an interest in solicit comments on the proposed rule The total time burden for all the matters also may be present. change from interested persons. respondents under this rule (both options markets and broker-dealers) is The General Counsel of the I. Self-Regulatory Organization’s 2,238 hours per year (288 + 1,950), and Commission, or her designee, has Statement of the Terms of Substance of the total internal cost of compliance is certified that, in her opinion, one or the Proposed Rule Change more of the exemptions set forth in 5 $220,590 ($109,440 + $111,150). The Exchange proposes to extend its An agency may not conduct or U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR 200.402(a)(3), (5), (7), 9(ii) program that allows transactions to take sponsor, and a person is not required to place at a price that is below $1 per respond to, a collection of information and (10), permit consideration of the scheduled matter at the Closed Meeting. option contract until January 5, 2016. under the PRA unless it displays a The text of the proposed rule change is currently valid OMB control number. Commissioner Gallagher, as duty officer, voted to consider the items available on the Exchange’s Web site at The public may view background www.nyse.com, at the principal office of documentation for this information listed for the Closed Meeting in closed session, and determined that no earlier the Exchange, and at the Commission’s collection at the following Web site: Public Reference Room. www.reginfo.gov. Comments should be notice thereof was possible. directed to (i) Desk Officer for the The subject matter of the Closed II. Self-Regulatory Organization’s Securities and Exchange Commission, Meeting will be: Statement of the Purpose of, and Office of Information and Regulatory Institution and settlement of Statutory Basis for, the Proposed Rule Affairs, Office of Management and injunctive actions; Change Budget, Room 10102, New Executive Institution and settlement of In its filing with the Commission, the administrative proceedings; self-regulatory organization included 1 The $380 per hour figure for an Attorney is from SIFMA’s Management & Professional Earnings in Adjudicatory matter; and statements concerning the purpose of, and basis for, the proposed rule change the Securities Industry 2013, modified by Other matters relating to enforcement Commission staff to account for an 1800-hour work- and discussed any comments it received proceedings. year and multiplied by 5.35 to account for bonuses, on the proposed rule change. The text firm size, employee benefits and overhead. At times, changes in Commission of those statements may be examined at 2 The $57 per hour figure for a General Clerk is priorities require alterations in the from SIFMA’s Office Salaries in the Securities the places specified in Item IV below. Industry 2013, modified by Commission staff to scheduling of meeting items. The Exchange has prepared summaries, account for an 1800-hour work-year and multiplied For further information and to set forth in sections A, B, and C below, by 2.93 to account for bonuses, firm size, employee ascertain what, if any, matters have been benefits and overhead. The staff believes that the ODD would be mailed or electronically delivered to added, deleted or postponed, please 1 15 U.S.C. 78s(b)(1). customers by a general clerk of the broker-dealer or contact the Office of the Secretary at 2 15 U.S.C. 78a. some other equivalent position. (202) 551–5400. 3 17 CFR 240.19b–4.

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of the most significant parts of such liquidations of existing positions, and market and a national market system statements. (ii) the procedures are also made and, in general, to protect investors and available for trading in option classes the public interest. The Exchange A. Self-Regulatory Organization’s participating in the Penny Pilot believes that allowing for liquidations at Statement of the Purpose of, and the Program.5 a price less than $1 per option contract Statutory Basis for, the Proposed Rule The Exchange believes that Change allowing a price of at least $0 but less will better facilitate the closing of than $1 better accommodates the closing options positions that are worthless or 1. Purpose of options positions in series that are not actively trading, especially in Penny The purpose of this filing is to extend worthless or not actively traded, Pilot issues where Cabinet Trades are the Pilot Program 4 under Rule 968NY to particularly in the event where there has not otherwise permitted. been a significant move in the price of allow accommodation transactions B. Self-Regulatory Organization’s the underlying security that results in a (‘‘Cabinet Trades’’) to take place at a Statement on Burden on Competition price that is below $1 per option large number of series being out-of-the- contract for one additional year. The money. For example, a market The Exchange does not believe that Exchange proposes to extend the participant might have a long position the proposed rule change will impose program, which is due to expire on in a put series with a strike price of $30 any burden on competition that is not January 5, 2015, until January 5, 2016. and the underlying stock might be necessary or appropriate in furtherance An ‘‘accommodation’’ or ‘‘cabinet’’ trading at $100. In such an instance, of the purposes of the Act. The trade refers to trades in listed options on there might not otherwise be a market proposed rule change is to extend an the Exchange that are worthless and for that person to close-out the position established pilot program for one typically not actively traded. Cabinet even at the $1 cabinet price (e.g., the additional year and continue to trading is generally conducted in series might be quoted no bid). facilitate ATP Holders ability to close accordance with the Exchange Rules, As with other accommodation positions in worthless or not actively except as provided in Exchange Rule liquidations under Rule 968NY, traded series. 968NY Accommodation Transactions transactions that occur for less than $1 C. Self-Regulatory Organization’s (Cabinet Trades), which sets forth will not be disseminated to the public Statement on Comments on the specific procedures for engaging in on the consolidated tape. In addition, as Proposed Rule Change Received From cabinet trades. Rule 968NY currently with other accommodation liquidations Members, Participants, or Others provides for cabinet transactions to under Rule 968NY the transactions will occur via open outcry at a cabinet price be exempt from the Consolidated No written comments were solicited of a $1 per option contract in any Options Audit Trail (‘‘COATS’’) or received with respect to the proposed options series open for trading in the requirements of Exchange Rule 955NY rule change. Exchange, except that the Rule is not Order Format and System Entry III. Date of Effectiveness of the applicable to trading in option classes Requirements. However, the Exchange Proposed Rule Change and Timing for participating in the Penny Pilot will maintain quotation, order and Commission Action Program. Under the procedures, bids transaction information for the and offers (whether opening or closing transactions in the same format as the Because the foregoing rule does not (i) a position) at a price of $1 per option COATS data is maintained. In this significantly affect the protection of contract may be represented in the regard, all transactions for less than $1 investors or the public interest; (ii) trading crowd by a Floor Broker or by must be reported to the Exchange impose any significant burden on a Market Maker or provided in response following the close of each business competition; and (iii) become operative to a request by a Trading Official, a day. for 30 days from the date on which it Floor Broker or a Market Maker, but was filed, or such shorter time as the must yield priority to all resting orders 2. Statutory Basis Commission may designate if consistent in the Cabinet (those orders held by the The Exchange believes the proposed with the protection of investors and the Trading Official, and which resting rule change is consistent with Section public interest, provided that the self- cabinet orders may be closing only). So 6(b) 6 of the Securities Exchange Act of regulatory organization has given the long as both the buyer and the seller 1934 (the ‘‘Act’’), in general, and Commission written notice of its intent yield to orders resting in the cabinet furthers the objectives of Section to file the proposed rule change at least book, opening cabinet bids can trade 6(b)(5) 7 in particular in that it is five business days prior to the date of with opening cabinet offers at $1 per designed to promote just and equitable filing of the proposed rule change or option contract. principles of trade, to prevent such shorter time as designated by the 8 The Exchange has temporarily fraudulent and manipulative acts, to Commission, the proposed rule change amended the procedures through remove impediments to and to perfect has become effective pursuant to 9 January 5, 2015 to allow transactions to the mechanism for a free and open Section 19(b)(3)(A) of the Act and Rule take place in open outcry at a price of 19b–4(f)(6) thereunder.10 11 at least $0 but less than $1 per option 5 Currently the $1 cabinet trading procedures are Under Rule 19b–4(f)(6) of the Act, contract. These lower-priced limited to options classes traded in $0.05 or $0.10 the proposal does not become operative transactions are permitted to be traded standard increment. The $1 cabinet trading for 30 days after the date of its filing, or procedures are not available in Penny Pilot Program such shorter time as the Commission pursuant to the same procedures classes because in those classes an option series can applicable to $1 cabinet trades, except trade in a standard increment as low as $0.01 per may designate if consistent with the that (i) bids and offers for opening share (or $1.00 per option contract with a 100 share protection of investors and the public transactions are only permitted to multiplier). Because the temporary procedures interest. The Exchange has requested allow trading below $0.01 per share (or $1.00 per that the Commission waive the 30-day accommodate closing transactions in option contract with a 100 share multiplier), the order to limit use of the procedure to procedures are available for all classes, including those classes participating in the Penny Pilot 8 The Exchange has satisfied this requirement. 4 See Securities Exchange Act Release No. 63475 Program. 9 15 U.S.C. 78s(b)(3)(A). (December 8, 2010), 75 FR 77932 (December 14, 6 15 U.S.C. 78f(b). 10 17 CFR 240.19b–4(f)(6). 2010) (SR–NYSE Amex–2010–114). 7 15 U.S.C. 78f(b)(5). 11 Id.

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operative delay period after which a post all comments on the Commission’s (‘‘SEC’’ or ‘‘Commission’’) the proposed proposed rule change under Rule 19b– Internet Web site (http://www.sec.gov/ rule change as described in Items I, II, 4(f)(6) becomes operative so that the rules/sro.shtml). Copies of the and III, below, which Items have been pilot may continue without submission, all subsequent prepared by the Exchange. The interruption. The Commission believes amendments, all written statements Commission is publishing this notice to that waiver of the 30-day operative with respect to the proposed rule solicit comments on the proposed rule delay is consistent with the protection change that are filed with the change from interested persons. of investors and the public interest Commission, and all written I. Self-Regulatory Organization’s because it will allow the pilot to communications relating to the Statement of the Terms of Substance of continue uninterrupted, thereby proposed rule change between the the Proposed Rule Change avoiding any potential investor Commission and any person, other than confusion that could result from a those that may be withheld from the The Exchange proposes to impose a temporary interruption in the pilot and public in accordance with the minimum fee for execution venues allowing members to continue to benefit provisions of 5 U.S.C. 552, will be operating a trading platform or multiple from the program. Based on the available for Web site viewing and platforms that utilize NASDAQ foregoing, the Commission hereby printing in the Commission’s Public proprietary depth data on a non- waives the 30-day operative delay and Reference Room, 100 F Street NE., displayed basis and that pay monthly designates the proposal operative upon Washington, DC 20549 on official aggregate NASDAQ market proprietary filing.12 business days between the hours of Depth-of-Book Data fees of less than At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of the $15,000. filing of the proposed rule change, the filing will also be available for The text of the proposed rule change Commission summarily may inspection and copying at the NYSE’s is below; proposed new language is in temporarily suspend such rule change if principal office and on its Internet Web italics; proposed deletions are in it appears to the Commission that such site at www.nyse.com. All comments brackets. action is necessary or appropriate in the received will be posted without change; * * * * * the Commission does not edit personal public interest, for the protection of 7023. NASDAQ Depth-of-Book Data investors, or otherwise in furtherance of identifying information from the purposes of the Act. If the submissions. You should submit only (a) Definitions applicable to this rule. Commission takes such action, the information that you wish to make (1)–(6) No Change. (7) The term ‘‘Trading Platform’’ shall Commission will institute proceedings available publicly. All submissions mean any execution platform operated to determine whether the proposed rule should refer to File Number SR– as or by a registered National Securities change should be approved or NYSEMKT–2014–117 and should be Exchange (as defined in Section 3(a)(1) disapproved. submitted on or before January 29, 2015. of the Exchange Act), an Alternative For the Commission, by the Division of IV. Solicitation of Comments Trading and Markets, pursuant to delegated Trading System (as defined in Rule Interested persons are invited to authority.13 300(a) of Regulation ATS), or an submit written data, views, and Brent J. Fields, Electronic Communications Network (as arguments concerning the foregoing, Secretary. defined by Rule 600(b)(23) of Regulation including whether the proposed rule NMS). [FR Doc. 2015–00049 Filed 1–7–15; 8:45 am] (b) No Change. change is consistent with the Act. BILLING CODE 8011–01–P (c) No Change. Comments may be submitted by any of (d) Trading Platform Fee. There shall the following methods: be a minimum monthly fee for entities SECURITIES AND EXCHANGE that operate Trading Platforms that Electronic Comments COMMISSION utilize NASDAQ Depth-of-Book Data on • Use the Commission’s Internet [Release No. 34–73978; File No. SR– a non-display basis and that pay less comment form (http://www.sec.gov/ NASDAQ–2014–125] than $15,000 per month in aggregate rules/sro.shtml); or fees for Depth-of-Book Data. The fee • Send an email to rule-comments@ Self-Regulatory Organizations; The shall be $5,000 per month per Trading sec.gov. Please include File Number SR– NASDAQ Stock Market LLC; Notice of Platform up to a maximum of three NYSEMKT–2014–117 on the subject Filing and Immediate Effectiveness of Trading Platforms. line. Proposed Rule Change to Impose a (e) [(d)] 30-Day Free-Trial Offer: Paper Comments Minimum Fee for Execution Venues NASDAQ shall offer all new individual Operating a Trading Platform or Subscribers and potential new • Send paper comments in triplicate Multiple Platforms That Utilize individual Subscribers a 30-day waiver to Brent J. Fields, Secretary, Securities NASDAQ Proprietary Depth Data on a of the Subscriber fees for NASDAQ and Exchange Commission, 100 F Street Non-Displayed Basis TotalView. This waiver shall not NE., Washington, DC 20549–1090. include the incremental fees assessed All submissions should refer to File January 2, 2015. Pursuant to Section 19(b)(1) of the for the NASDAQ Level 2-only service[, Number SR–NYSEMKT–2014–117. This which are $30 for Professional file number should be included on the Securities Exchange Act of 1934 (‘‘Act’’) 1, and Rule 19b–4 thereunder,2 Subscribers and $9 for Non-Professional subject line if email is used. To help the Subscribers per month]. This fee waiver Commission process and review your notice is hereby given that on January 2, 2015, The NASDAQ Stock Market LLC period shall be applied on a rolling comments more efficiently, please use basis, determined by the date on which only one method. The Commission will (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission a new individual Subscriber or potential individual Subscriber is first entitled by 12 For purposes only of waiving the operative delay, the Commission has considered the proposed 13 17 CFR 200.30–3(a)(12). a Distributor to receive access to rule’s impact on efficiency, competition, and capital 1 15 U.S.C. 78s(b)(1). NASDAQ TotalView. A Distributor may formation. See 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4. only provide this waiver to a specific

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individual Subscriber once. [For the forth in sections A, B, and C below, of Effective January 1, 2015, NASDAQ period of the offer, the NASDAQ the most significant aspects of such will impose a fee for operators of TotalView fee of $40 per Professional statements. Trading Platforms that currently utilize Subscriber and $5 per Non-Professional A. Self-Regulatory Organization’s NASDAQ Depth-of-Book Data and that Subscriber per month shall be waived.] Statement of the Purpose of, and pay less than $15,000 per month for (f) [(e)] Historical ModelView Statutory Basis for, the Proposed Rule such usage. Trading Platforms include Information: NASDAQ will make Change registered National Securities historical ModelView information Exchanges, Alternative Trading Systems available via NASDAQTrader.com. 1. Purpose (‘‘ATSs’’), and Electronic ModelView contains historical NASDAQ is proposing to amend Communications Networks (‘‘ECNS’’) as information regarding aggregate NASDAQ Rule 7023 (NASDAQ Depth- those terms are defined in the Exchange displayed and reserve liquidity at each of-Book Data) to modify the fees Act and regulations and rules price level directly from the NASDAQ governing the use of NASDAQ thereunder. The fee will be $5,000 per Market Center. ModelView is available TotalView, NASDAQ OpenView and month per Trading Platform up to a for a subscription fee of $2,000 per NASDAQ Level 2 Information maximum of three platforms operated month. (collectively, ‘‘NASDAQ Depth-of-Book by the same entity or affiliated entities. * * * * * Data’’) to increase the fairness and equity of the current fee schedule. The fee will be assessed in addition II. Self-Regulatory Organization’s Specifically, NASDAQ is amending to existing Distributor and Subscriber Statement of the Purpose of, and Rule 7023(d) to establish a minimum fees paid, but will be offset when the Statutory Basis for, the Proposed Rule level of fees for operators of Trading entity reaches the level of $15,000 per Change Platforms that utilize NASDAQ Depth- month. For example, if a Distributor In its filing with the Commission, the of-Book Data and that pay less than already pays $15,000 or more in total Exchange included statements $15,000 per month for such usage. The monthly Distributor and Subscriber fees, concerning the purpose of and basis for Trading Platform Fee shall be $5,000 per the Trading Platform fee does not apply. the proposed rule change and discussed month per Trading Platform up to a Also, if a firm accrues $10,000 in any comments it received on the maximum of $15,000 per month, with Platform fees, and already pays $75,000 proposed rule change. The text of these such fees being offset once the total in Subscriber fees, the Distributor is statements may be examined at the NASDAQ Depth-of-Book Data fees paid responsible for the $75,000 fee and the places specified in Item IV below. The by such Trading Platform operator Trading Platform fee does not apply. Exchange has prepared summaries, set exceed $15,000 per month. Additional scenarios are shown below:

Nasdaq depth Trading plat- non-display Nasdaq depth Number of trading platforms form fee fee per sub- total fee scriber

1 ...... $5,000 $3,300 $8,300 1 ...... 5,000 9,000 14,000 1 ...... 5,000 15,000 15,000 2 ...... 10,000 9,000 19,000 2 ...... 10,000 15,000 15,000 3 ...... 15,000 9,000 24,000 4 ...... 15,000 9,000 24,000 3 ...... 15,000 15,000 15,000 4 ...... 15,000 75,000 75,000

Vendors offering Managed Data Number Trading disproportionately high or low amount Solutions (‘‘MDS’’) to downstream Firm of trading platform fee relative to other categories of users. Recipients pursuant to NASDAQ Rule plat- (owed by To accommodate new subparagraph form(s) MDS vendor) 7026 are responsible for the payment of (d), NASDAQ is renumbering current fees associated with this program. c ...... 2 10,000 subparagraphs (d) and (e) to become Furthermore, the MDS Vendor must d ...... 3 15,000 new subparagraphs (e) and (f). count each Trading Platform operator e ...... 4 15,000 Additionally, NASDAQ is eliminating separately; an MDS Vendor cannot pricing details from re-numbered Total ...... 45,000 avoid the three Trading Platform paragraph (e) to eliminate specific maximum by commingling multiple information which is extraneous and The Exchange believes that this subject to change. firms’ Trading Platforms. For example, proposal is reasonable, proper, and the MDS Vendor below has five desirable. NASDAQ attempts to more 2. Statutory Basis customers that collectively operate 10 equitably allocate fees among users with The Exchange believes the proposed Trading Platforms: varying business models. As trading has rule change is consistent with the Act become more electronic and automated, and the rules and regulations Number Trading displayed and non-displayed usage has thereunder, including the requirements of trading platform fee 3 Firm plat- (owed by shifted dramatically. Use by individuals of Section 6(b) of the Act. In particular, form(s) MDS vendor) versus use by algorithms has shifted as the Exchange believes the proposed rule well. NASDAQ attempts to ensure that change is consistent with the Section a ...... 0 $0 its fee schedule tracks these shifts and b ...... 1 5000 that no category of users pays a 3 15 U.S.C. 78f(b).

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6(b)(5) 4 requirements that the rules of prices, sizes, market center identifications of equitably allocated. Although Section an exchange be designed to promote just the NBBO and consolidated last sale 19(b) had formerly authorized and equitable principles of trade, to information are not required to receive (and immediate effectiveness for a ‘‘due, fee prevent fraudulent and manipulative pay for) such data. The Commission also or other charge imposed by the self- acts, to foster cooperation and believes that efficiency is promoted when broker-dealers may choose to receive (and regulatory organization,’’ the coordination with persons engaged in pay for) additional market data based on their Commission adopted a policy and facilitating transactions in securities, to own internal analysis of the need for such subsequently a rule stipulating that fees remove impediments to and to perfect data.5 for data and other products available to the mechanism for a free and open persons that are not members of the self- By removing ‘‘unnecessary regulatory market and a national market system, regulatory organization must be restrictions’’ on the ability of exchanges and, in general, to protect investors and approved by the Commission after first to sell their own data, Regulation NMS the public interest. being published for comment. At the advanced the goals of the Act and the NASDAQ believes that this proposal time, the Commission supported the principles reflected in its legislative represents an equitable allocation of adoption of the policy and the rule by history. If the free market should reasonable dues and fees, consistent pointing out that unlike members, determine whether proprietary data is with the requirements of the Act. The whose representation in self-regulatory sold to broker-dealers at all, it follows MDS Fee, which has been available as organization governance was mandated that the price at which such data is sold an option for four years, has reduced by the Act, non-members should be should be set by the market as well. costs for Distributors and Subscriber given the opportunity to comment on On July 21, 2010, President Barack firms that voluntarily opt for this fees before being required to pay them, Obama signed into law H.R. 4173, the service. The fee currently includes a bas and that the Commission should Dodd-Frank Wall Street Reform and [sic] Distributor fee plus a fee per specifically approve all such fees. Consumer Protection Act of 2010 subscriber, which has been found to be NASDAQ believes that the amendment (‘‘Dodd-Frank Act’’), which amended consistent with the Act in multiple to Section 19 reflects Congress’s Section 19 of the Act. Among other contexts due to the economic conclusion that the evolution of self- things, Section 916 of the Dodd-Frank efficiencies attributable to providing the regulatory organization governance and Act amended paragraph (A) of Section same data elements to an increasing competitive market structure have 19(b)(3) of the Act by inserting the population of subscribers. rendered the Commission’s prior policy phrase ‘‘on any person, whether or not The Trading Platform fee is equitable on non-member fees obsolete. the person is a member of the self- and reasonable in that it ensures that Specifically, many exchanges have regulatory organization’’ after ‘‘due, fee heavy users of the NASDAQ Depth evolved from member-owned not-for- or other charge imposed by the self- Information pay an equitable share of profit corporations into for-profit the total NASDAQ Depth Information regulatory organization.’’ As a result, all investor-owned corporations (or fees. Currently, Professional Subscribers SRO rule proposals establishing or subsidiaries of investor-owned pay higher fees than Non-Professional changing dues, fees, or other charges are corporations). Accordingly, exchanges Subscribers based on the calculated immediately effective upon filing no longer have narrow incentives to assumption of higher usage. Similarly, regardless of whether such dues, fees, or manage their affairs for the exclusive External Distributors pay higher fees other charges are imposed on members benefit of their members, but rather than Internal Distributors, also based of the SRO, non-members, or both. have incentives to maximize the appeal upon their assumed higher usage levels. Section 916 further amended paragraph of their products to all customers, NASDAQ believes that Trading (C) of Section 19(b)(3) of the Exchange whether members or non-members, so Platforms are generally high users of the Act to read, in pertinent part, ‘‘At any as to broaden distribution and grow data, using it to power a matching time within the 60-day period beginning revenues. Moreover, we believe that the engine for millions or even billions of on the date of filing of such a proposed change also reflects an endorsement of trading messages per day. Additionally, rule change in accordance with the the Commission’s determinations that the vast majority of operators of Trading provisions of paragraph (1) [of Section reliance on competitive markets is an Platforms that use NASDAQ Depth-of- 19(b)], the Commission summarily may appropriate means to ensure equitable Book Data already pay $15,000 per temporarily suspend the change in the and reasonable prices. Simply put, the month or close to it. Those operators rules of the self-regulatory organization change reflects a presumption that all will pay no or little in additional fees. made thereby, if it appears to the fee changes should be permitted to take In adopting Regulation NMS, the Commission that such action is effect immediately, since the level of all Commission granted self-regulatory necessary or appropriate in the public fees are constrained by competitive organizations and broker-dealers interest, for the protection of investors, forces. increased authority and flexibility to or otherwise in furtherance of the offer new and unique market data to the purposes of this title. If the Commission The recent decision of the United public. It was believed that this takes such action, the Commission shall States Court of Appeals for the District authority would expand the amount of institute proceedings under paragraph of Columbia Circuit in NetCoaliton v. data available to consumers, and also (2)(B) [of Section 19(b)] to determine SEC, No. 09–1042 (D.C. Cir. 2010), spur innovation and competition for the whether the proposed rule should be although reviewing a Commission provision of market data. approved or disapproved.’’ decision made prior to the effective date The Commission concluded that NASDAQ believes that these of the Dodd-Frank Act, upheld the Regulation NMS—by deregulating the amendments to Section 19 of the Act Commission’s reliance upon market in proprietary data—would itself reflect Congress’s intent to allow the competitive markets to set reasonable further the Act’s goals of facilitating Commission to rely upon the forces of and equitably allocated fees for market efficiency and competition: competition to ensure that fees for data. ‘‘In fact, the legislative history [E]fficiency is promoted when broker- market data are reasonable and indicates that the Congress intended dealers who do not need the data beyond the that the market system ‘evolve through 5 Securities Exchange Act Release No. 51808 the interplay of competitive forces as 4 15 U.S.C. 78f(b)(5). (June 9, 2005), 70 FR 37496 (June 29, 2005). unnecessary regulatory restrictions are

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removed’ and that the SEC wield its of the platform where the order can be the lowest-cost trading venues. A regulatory power ‘in those situations posted, including the execution fees, broker-dealer that shifted its order flow where competition may not be data quality and price and distribution from one platform to another in sufficient,’ such as in the creation of a of its data products. Without the response to order execution price ‘consolidated transactional reporting prospect of a taking order seeing and differentials would both reduce the system.’ NetCoaltion, at 15 (quoting H.R. reacting to a posted order on a particular value of that platform’s market data and Rep. No. 94–229, at 92 (1975), as platform, the posting of the order would reduce its own need to consume data reprinted in 1975 U.S.C.C.A.N. 321, accomplish little. Without trade from the disfavored platform. Similarly, 323). The court’s conclusions about executions, exchange data products if a platform increases its market data Congressional intent are therefore cannot exist. Data products are valuable fees, the change will affect the overall reinforced by the Dodd-Frank Act to many end users only insofar as they cost of doing business with the amendments, which create a provide information that end users platform, and affected broker-dealers presumption that exchange fees, expect will assist them or their will assess whether they can lower their including market data fees, may take customers in making trading decisions. trading costs by directing orders effect immediately, without prior The costs of producing market data elsewhere and thereby lessening the Commission approval, and that the include not only the costs of the data need for the more expensive data. Commission should take action to distribution infrastructure, but also the Analyzing the cost of market data suspend a fee change and institute a costs of designing, maintaining, and distribution in isolation from the cost of proceeding to determine whether the fee operating the exchange’s transaction all of the inputs supporting the creation change should be approved or execution platform and the cost of of market data will inevitably disapproved only where the regulating the exchange to ensure its fair underestimate the cost of the data. Thus, Commission has concerns that the operation and maintain investor because it is impossible to create data change may not be consistent with the confidence. The total return that a without a fast, technologically robust, Act. trading platform earns reflects the and well-regulated execution system, revenues it receives from both products system costs and regulatory costs affect B. Self-Regulatory Organization’s and the joint costs it incurs. Moreover, Statement on Burden on Competition the price of market data. It would be an exchange’s customers view the costs equally misleading, however, to NASDAQ does not believe that the of transaction executions and of data as attribute all of the exchange’s costs to proposed rule change will result in any a unified cost of doing business with the the market data portion of an exchange’s burden on competition that is not exchange. A broker-dealer will direct joint product. Rather, all of the necessary or appropriate in furtherance orders to a particular exchange only if exchange’s costs are incurred for the of the purposes of the Act, as amended. the expected revenues from executing unified purposes of attracting order Notwithstanding its determination that trades on the exchange exceed net flow, executing and/or routing orders, the Commission may rely upon transaction execution costs and the cost and generating and selling data about competition to establish fair and of data that the broker-dealer chooses to market activity. The total return that an equitably allocated fees for market data, buy to support its trading decisions (or exchange earns reflects the revenues it the NetCoaltion court found that the those of its customers). The choice of receives from the joint products and the Commission had not, in that case, data products is, in turn, a product of total costs of the joint products. compiled a record that adequately the value of the products in making supported its conclusion that the market profitable trading decisions. If the cost Competition among trading platforms for the data at issue in the case was of the product exceeds its expected can be expected to constrain the competitive. For the reasons discussed value, the broker-dealer will choose not aggregate return each platform earns above, NASDAQ believes that the Dodd- to buy it. Moreover, as a broker-dealer from the sale of its joint products, but Frank Act amendments to Section 19 chooses to direct fewer orders to a different platforms may choose from a materially alter the scope of the particular exchange, the value of the range of possible, and equally Commission’s review of future market product to that broker-dealer decreases, reasonable, pricing strategies as the data filings, by creating a presumption for two reasons. First, the product will means of recovering total costs. For that all fees may take effect contain less information, because example, some platform may choose to immediately, without prior analysis by executions of the broker-dealer’s orders pay rebates to attract orders, charge the Commission of the competitive will not be reflected in it. Second, and relatively low prices for market environment. Even in the absence of perhaps more important, the product information (or provide information free this important statutory change, will be less valuable to that broker- of charge) and charge relatively high however, NASDAQ believes that a dealer because it does not provide prices for accessing posted liquidity. record may readily be established to information about the venue to which it Other platforms may choose a strategy demonstrate the competitive nature of is directing its orders. Data from the of paying lower rebates (or no rebates) the market in question. competing venue to which the broker- to attract orders, setting relatively high There is intense competition between dealer is directing orders will become prices for market information, and trading platforms that provide correspondingly more valuable. setting relatively low prices for transaction execution and routing Thus, a super-competitive increase in accessing posted liquidity. In this services and proprietary data products. the fees charged for either transactions environment, there is no economic basis Transaction execution and proprietary or data has the potential to impair for regulating maximum prices for one data products are complementary in that revenues from both products. ‘‘No one of the joint products in an industry in market data is both an input and a disputes that competition for order flow which suppliers face competitive byproduct of the execution service. In is ‘fierce’.’’ NetCoalition at 24. However, constraints with regard to the joint fact, market data and trade execution are the existence of fierce competition for offering. This would be akin to strictly a paradigmatic example of joint order flow implies a high degree of price regulating the price that an automobile products with joint costs. The decision sensitivity on the part of broker-dealers manufacturer can charge for car sound whether and on which platform to post with order flow, since they may readily systems despite the existence of a highly an order will depend on the attributes reduce costs by directing orders toward competitive market for cars and the

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availability of after-market alternatives proprietary products is exponentially data was competitive based on the to the manufacturer-supplied system. greater than the actual number of orders reasoning of the Commission’s The market for market data products and transaction reports that exist in the NetCoalition order because, in the is competitive and inherently marketplace. court’s view, the Commission had not contestable because there is fierce Market data vendors provide another adequately demonstrated that the depth- competition for the inputs necessary to form of price discipline for proprietary of-book data at issue in the case is used the creation of proprietary data and data products because they control the to attract order flow. NASDAQ believes, strict pricing discipline for the primary means of access to end users. however, that evidence not before the proprietary products themselves. Vendors impose price restraints based court clearly demonstrates that Numerous exchanges compete with upon their business models. For availability of data attracts order flow. each other for listings, trades, and example, vendors such as Bloomberg For example, as of July 2010, 92 of the market data itself, providing virtually and Thomson Reuters that assess a top 100 broker-dealers by shares limitless opportunities for entrepreneurs surcharge on data they sell may refuse executed on NASDAQ consumed Level who wish to produce and distribute to offer proprietary products that end 2/NQDS and 80 of the top 100 broker- their own market data. This proprietary users will not purchase in sufficient dealers consumed TotalView. During data is produced by each individual numbers. Internet portals, such as that month, the Level 2/NQDS-users exchange, as well as other entities, in a Google, impose a discipline by were responsible for 94.44% of the vigorously competitive market. providing only data that will enable orders entered into NASDAQ and Broker-dealers currently have them to attract ‘‘eyeballs’’ that TotalView users were responsible for numerous alternative venues for their contribute to their advertising revenue. 92.98%. order flow, including ten self-regulatory Retail broker-dealers, such as Schwab Competition among platforms has organization (‘‘SRO’’) markets, as well and Fidelity, offer their customers driven NASDAQ continually to improve as internalizing broker-dealers (‘‘BDs’’) proprietary data only if it promotes its platform data offerings and to cater and various forms of alternative trading trading and generates sufficient to customers’ data needs. For example, systems (‘‘ATSs’’), including dark pools commission revenue. Although the NASDAQ has developed and and electronic communication networks business models may differ, these maintained multiple delivery (‘‘ECNs’’). Each SRO market competes to vendors’ pricing discipline is the same: mechanisms (IP, multi-cast, and produce transaction reports via trade They can simply refuse to purchase any compression) that enable customers to executions, and two FINRA-regulated proprietary data product that fails to receive data in the form and manner Trade Reporting Facilities (‘‘TRFs’’) provide sufficient value. NASDAQ and they prefer and at the lowest cost to compete to attract internalized other producers of proprietary data them. NASDAQ offers front end transaction reports. Competitive markets products must understand and respond applications such as its ‘‘Bookviewer’’ for order flow, executions, and to these varying business models and to help customers utilize data. NASDAQ transaction reports provide pricing pricing disciplines in order to market has created new products like discipline for the inputs of proprietary proprietary data products successfully. TotalView Aggregate to complement data products. In addition to the competition and TotalView ITCH and Level 2/NQDS, The large number of SROs, TRFs, BDs, price discipline described above, the because offering data in multiple and ATSs that currently produce market for proprietary data products is formatting allows NASDAQ to better fit proprietary data or are currently capable also highly contestable because market customer needs. NASDAQ offers data of producing it provides further pricing entry is rapid, inexpensive, and via multiple extranet providers, thereby discipline for proprietary data products. profitable. The history of electronic helping to reduce network and total cost Each SRO, TRF, ATS, and BD is trading is replete with examples of for its data products. NASDAQ has currently permitted to produce entrants that swiftly grew into some of developed an online administrative proprietary data products, and many the largest electronic trading platforms system to provide customers currently do or have announced plans to and proprietary data producers: transparency into their data feed do so, including NASDAQ, NYSE, Archipelago, Bloomberg Tradebook, requests and streamline data usage NYSE Amex, NYSEArca, and BATS. Island, RediBook, Attain, TracECN, reporting. NASDAQ has also expanded Any ATS or BD can combine with any BATS Trading and Direct Edge. A its Enterprise License options that other ATS, BD, or multiple ATSs or BDs proliferation of dark pools and other reduce the administrative burden and to produce joint proprietary data ATSs operate profitably with costs to firms that purchase market data. products. Additionally, order routers fragmentary shares of consolidated Despite these enhancements and a and market data vendors can facilitate market volume. dramatic increase in message traffic, single or multiple broker-dealers’ Regulation NMS, by deregulating the NASDAQ’s fees for market data have production of proprietary data products. market for proprietary data, has remained flat. In fact, as a percent of The potential sources of proprietary increased the contestability of that total customer costs, NASDAQ data fees products are virtually limitless. market. While broker-dealers have have fallen relative to other data usage The fact that proprietary data from previously published their proprietary costs—including bandwidth, ATSs, BDs, and vendors can by-pass data individually, Regulation NMS programming, and infrastructure—that SROs is significant in two respects. encourages market data vendors and have risen. The same holds true for First, non-SROs can compete directly broker-dealers to produce proprietary execution services; despite numerous with SROs for the production and sale products cooperatively in a manner enhancements to NASDAQ’s trading of proprietary data products, as BATS never before possible. Multiple market platform, absolute and relative trading and Arca did before registering as data vendors already have the capability costs have declined. Platform exchanges by publishing proprietary to aggregate data and disseminate it on competition has intensified as new book data on the Internet. Second, a profitable scale, including Bloomberg, entrants have emerged, constraining because a single order or transaction and Thomson Reuters. prices for both executions and for data. report can appear in an SRO proprietary The court in NetCoalition concluded The vigor of competition for depth product, a non-SRO proprietary that the Commission had failed to information is significant and the product, or both, the data available in demonstrate that the market for market Exchange believes that this proposal

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clearly evidences such competition. Electronic Comments SECURITIES AND EXCHANGE NASDAQ is offering a new pricing • COMMISSION model in order to keep pace with Use the Commission’s Internet comment form (http://www.sec.gov/ changes in the industry and evolving [Release No. 34–73979; File No. SR–OCC– customer needs. It is entirely optional rules/sro.shtml ); or 2014–809] and is geared towards attracting new • Send an email to rule-comments@ customers, as well as retaining existing sec.gov. Please include File Number SR– Self-Regulatory Organizations; The customers. NASDAQ–2014–125 on the subject line. Options Clearing Corporation; Notice The Exchange has witnessed of No Objection to Advance Notice Paper Comments competitors creating new products and Concerning the Implementation of a Committed Master Repurchase innovative pricing in this space over the • Send paper comments in triplicate Agreement Program as Part of OCC’s course of the past year. NASDAQ to Brent J. Fields, Secretary, Securities Overall Liquidity Plan continues to see firms challenge its and Exchange Commission, 100 F Street pricing on the basis of the Exchange’s NE., Washington, DC 20549–1090. January 2, 2015. explicit fees being higher than the zero- priced fees from other competitors such All submissions should refer to File On November 6, 2014, The Options as BATS. In all cases, firms make Number SR–NASDAQ–2014–125. This Clearing Corporation (‘‘OCC’’) filed with decisions on how much and what types file number should be included on the the Securities and Exchange of data to consume on the basis of the subject line if email is used. To help the Commission (‘‘Commission’’) advance total cost of interacting with NASDAQ Commission process and review your notice SR–OCC–2014–809 (‘‘Advance or other exchanges. Of course, the comments more efficiently, please use Notice’’) pursuant to Section 806(e)(1) of the Payment, Clearing, and Settlement explicit data fees are but one factor in only one method. The Commission will Supervision Act of 2010 (‘‘Clearing a total platform analysis. Some post all comments on the Commission’s Supervision Act’’ or ‘‘Title VIII’’) 1 and competitors have lower transactions fees Internet Web site (http://www.sec.gov/ Rule 19b–4(n)(1)(i) under the Securities and higher data fees, and others are vice rules/sro.shtml ). Copies of the versa. The market for this depth Exchange Act of 1934 (‘‘Exchange submission, all subsequent Act’’).2 The Advance Notice was information is highly competitive and amendments, all written statements continually evolves as products develop published for comment in the Federal with respect to the proposed rule 3 and change. Register on December 9, 2014. The change that are filed with the Commission did not receive any C. Self-Regulatory Organization’s Commission, and all written comments on the Advance Notice Statement on Comments on the communications relating to the publication. This publication serves as a Proposed Rule Change Received from proposed rule change between the notice of no objection to the Advance Members, Participants, or Others Commission and any person, other than Notice. those that may be withheld from the No written comments were either I. Description of the Advance Notice public in accordance with the solicited or received. provisions of 5 U.S.C. 552, will be a. Background III. Date of Effectiveness of the available for Web site viewing and The purpose of the proposed change Proposed Rule Change and Timing for printing in the Commission’s Public is to allow OCC to implement a Commission Action Reference Room, 100 F Street NE., committed master repurchase agreement Washington, DC 20549, on official The foregoing rule change has become program (‘‘MRA Program’’) in order to business days between the hours of effective pursuant to Section access an additional committed source 10:00 a.m. and 3:00 p.m. Copies of the 19(b)(3)(A)(ii) of the Act.6 of liquidity to meet its settlement filing also will be available for obligations in a manner that does not At any time within 60 days of the inspection and copying at the principal filing of the proposed rule change, the increase the concentration of OCC’s office of the Exchange. All comments counterparty exposure, given OCC’s Commission summarily may received will be posted without change; temporarily suspend such rule change if existing affiliations between a number the Commission does not edit personal it appears to the Commission that such of commercial banking institutions and identifying information from action is: (i) necessary or appropriate in OCC’s clearing members. According to the public interest; (ii) for the protection submissions. You should submit only OCC, the MRA Program will take the of investors; or (iii) otherwise in information that you wish to make form of OCC entering into a committed furtherance of the purposes of the Act. available publicly. master repurchase agreement and If the Commission takes such action, the All submissions should refer to File related confirmations (together, the Commission shall institute proceedings Number SR–NASDAQ–2014–125 and ‘‘Master Repurchase Agreement’’) with one or more non-bank, non-clearing to determine whether the proposed rule should be submitted on or before should be approved or disapproved. January 29, 2015. 1 12 U.S.C. 5465(e)(1). The Financial Stability IV. Solicitation of Comments For the Commission, by the Division of Oversight Council designated OCC a systemically Trading and Markets, pursuant to delegated important financial market utility on July 18, 2012. Interested persons are invited to authority.7 See Financial Stability Oversight Council 2012 submit written data, views, and Annual Report, Appendix A, http:// Brent J. Fields, www.treasury.gov/initiatives/fsoc/Documents/ arguments concerning the foregoing, Secretary. 2012%20Annual%20Report.pdf. Therefore, OCC is including whether the proposed rule required to comply with the Clearing Supervision change is consistent with the Act. [FR Doc. 2015–00051 Filed 1–7–15; 8:45 am] Act and file advance notices with the Commission. Comments may be submitted by any of BILLING CODE 8011–01–P See 12 U.S.C. 5465(e). 2 the following methods: 17 CFR 240.19b–4(n)(1)(i). 3 Securities Exchange Act Release No. 73726 (December 3, 2014), 79 FR 73116 (December 9, 6 15 U.S.C. 78s(b)(3)(A)(ii). 7 17 CFR 200.30–3(a)(12). 2014) (SR–OCC–2014–809).

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member institutional investors.4 The seller, will transfer Eligible Securities to maintain required margin or an program will be part of OCC’s overall the buyer in exchange for a payment by insolvency event with respect to one of liquidity plan that is meant to provide the buyer to OCC in immediately the parties. OCC with access to diverse sources of available funds (‘‘Purchase Price’’). The Upon the occurrence of an event of liquidity, which includes committed buyer will simultaneously agree to default, the non-defaulting party, at its credit facilities, securities lending and transfer the purchased securities back to option, will have the right, among securities repurchase arrangements, and OCC at a specified later date or on others, to accelerate the Repurchase clearing member funding requirements OCC’s demand (‘‘Repurchase Date’’) that, under certain conditions, allow against the transfer of funds by OCC to Date of all outstanding transactions OCC to obtain funds from clearing the buyer in an amount equal to the between the defaulting party and the members.5 outstanding Purchase Price plus the non-defaulting party. For example, if Although the Master Repurchase accrued and unpaid price differential OCC were the defaulting party with Agreement would be based on the (together, the ‘‘Repurchase Price’’), respect to a transaction and the buyer standard form of master repurchase which is the interest component of the chose to terminate the transaction, OCC agreement 6 so that it will be more Repurchase Price. will be required to immediately transfer familiar to potential institutional At all times while a transaction is the Repurchase Price to the buyer. If the investors, OCC would require the outstanding, OCC will be required to buyer were the defaulting party with Master Repurchase Agreement to maintain a specified amount of respect to a transaction and OCC chose contain certain additional provisions securities or cash margin with the to terminate the transaction, the buyer tailored to ensure a reduction in buyer.8 The market value of the will be required to deliver all purchased concentration risk, certainty of funding, securities supporting each transaction securities to OCC. If OCC or the buyer and operational effectiveness. will be determined daily, typically does not perform in a timely manner, based on a price obtained from a b. The Proposed MRA Program the non-defaulting party will be generally recognized pricing source. If permitted to buy or sell, or deem itself i. Standard Repurchase Agreement the market value of the purchased to have bought or sold, securities as Terms securities is determined to have fallen needed to be made whole and the According to OCC, the Master below OCC’s required margin, OCC will defaulting party will be required to pay Repurchase Agreement generally will be be required to transfer to the buyer the costs related to any covering structured like a typical repurchase sufficient cash or additional securities transactions. Additionally, if OCC is arrangement, in order to help OCC reasonably acceptable to the buyer so required to obtain replacement attract interest from potential that OCC’s margin requirement is securities as a result of an event of 9 institutional investors willing to be satisfied. If the market value of the default, the buyer will be required to counterparties to OCC. Under the purchased securities is determined to pay the excess of the price paid by OCC Master Repurchase Agreement, the have risen to above OCC’s required to obtain replacement securities over the buyer (i.e., the institutional investor) on margin, OCC will be permitted to Repurchase Price. occasion would purchase from OCC require the return of excess purchased United States government securities securities from the buyer. ii. Customized Features (‘‘Eligible Securities’’).7 OCC, as the As in a typical master repurchase agreement, an event of default will As part of the Master Repurchase Agreement, OCC will enter into an 4 OCC states that it will conduct a due diligence occur with respect to the buyer if the review with respect to each counterparty before buyer fails to purchase securities on a individualized master confirmation entering into a master repurchase arrangement with purchase date, fails to transfer with each buyer and its agent which it. Because the appropriate due diligence activities purchased securities on any applicable will set forth certain terms and and financial criteria will vary for each type of counterparty, OCC will determine on a case-by-case Repurchase Date, or fails to transfer any conditions applicable to all transactions basis the specific due diligence criteria it would interest, dividends or distributions on entered into under the Master implement. However, as the principal purpose of purchased securities to OCC within a Repurchase Agreement by that buyer. due diligence will be to obtain assurance that each specified period after receiving notice of According to OCC, these required terms counterparty has the financial ability to satisfy its obligations under the program, the review will such failure. An event of default will and conditions will be designed to encompass an assessment of the counterparty’s occur with respect to OCC if OCC fails promote OCC’s goals of reduced financial statements (including external auditor to transfer purchased securities on a concentration risk, certainty of funding reports thereon) and, as applicable, ratings and/or purchase date or fails to repurchase and operational effectiveness. The terms investment reports. Furthermore, OCC will identify key criteria relative to monitoring the financial purchased securities on an applicable of the master confirmations under each stability of the counterparty on a going forward Repurchase Date. The Master Master Repurchase Agreement may vary basis. Repurchase Agreement also will provide from one another, because a separate 5 See, e.g., Securities Exchange Act Release No. for standard events of default for either master confirmation will be negotiated 72752 (August 4, 2014), 79 FR 46490 (August 8, 2014) (SR–OCC–2014–17), Securities Exchange Act party, including a party’s failure to for a given buyer at the time that buyer Release No. 71549 (February 12, 2014), 79 FR 03574 becomes a party to the Master (February 19, 2014) (SR–OCC–2014–801) and Section 5(e) of OCC’s By-Laws and OCC Rule Repurchase Agreement. OCC has Securities Exchange Act Release No. 73257 1104(b) authorize OCC to obtain funds from third (September 30, 2014), 79 FR 23698 (October 3, parties through securities repurchases using these identified the following as key 2014) (SR–OCC–2014–806). sources. The officers who may exercise this standards that will need to be 6 The standard form master repurchase agreement authority include the Executive Chairman and the incorporated into each repurchase is published by the Securities Industry and President. arrangement entered into under the 8 Financial Markets Association and is commonly OCC expects that it would be required to program.10 used in the repurchase market by institutional maintain margin equal to 102% of the Repurchase investors. Price which, according to OCC, is a standard rate 7 OCC would use U.S. government securities that for arrangements involving U.S. government 10 OCC expects that the Master Repurchase are included in clearing fund contributions by securities. Agreement also will include other, more routine, clearing members and margin deposits of any 9 OCC expects that it would use clearing fund provisions such as the method for giving notices clearing member that has been suspended by OCC securities and securities posted as margin by and basic due authorization representations by the for the repurchase arrangements. Article VIII, defaulting clearing members. parties.

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Counterparties OCC believes that these targeted funding a specified time, so long as the Eligible OCC only will enter into repurchase mechanics will allow OCC to receive Securities satisfy any applicable criteria arrangements with non-bank needed liquidity in time to satisfy contained in the Master Repurchase institutional investors, such as pension settlement obligations, even in the event Agreement and the transfer of the funds or insurance companies that are of a default by a clearing member or a Eligible Securities would not create a market disruption. The funding 14 not OCC clearing members or banks margin deficit, as described above. mechanism may be, for example, affiliated with any OCC clearing OCC believes that this substitution right delivery versus payment/receive versus member. OCC believes this requirement is important because it must be able to payment or another method acceptable will allow OCC to access stable, reliable manage clearing member requests to to OCC that both satisfies the objectives sources of funding, without increasing return excess or substitute Eligible of the MRA Program and presents the concentration of its exposure to Securities in accordance with limited operational risks. counterparties that are affiliated banks, established operational procedures. broker/dealers and futures commission No Rehypothecation Events of Default merchants. OCC believes that this Under the terms of each master reduction in concentration risk is a key confirmation, the buyer would not be In addition to the standard events of advantage of this proposed program. permitted to grant any third party an default for a failure to purchase or Commitment to Fund and Funding interest in purchased securities, the transfer securities on the applicable Accounts custody account at the custodian where Purchase Date or Repurchase Date, OCC purchased securities are held, or any would require that the Master OCC will seek funding commitments cash held in OCC’s account. As a result, Repurchase Agreement not contain any from one or more potential OCC states that the buyer would be additional events of default that would counterparties that will equal $1 billion prohibited from rehypothecating 11 restrict OCC’s access to funding and that in the aggregate, with each purchased securities, the purchased it contain an additional default remedy. commitment extending for 364 days or securities should never leave the OCC would require that it would not be more. Each counterparty will be account, and there should be no third- an event of default if OCC suffers a obligated to enter into transactions party claims against the purchased ‘‘material adverse change.’’ 15 According under the Master Repurchase securities. OCC believes that the to OCC, this provision provides it with Agreement up to its committed amount prohibition on rehypothecation also certainty of funding, even in difficult so long as no default had occurred and would reduce the risk that a third party market conditions. OCC transferred sufficient Eligible could interfere with the buyer’s transfer Securities. Each counterparty will be of the purchased securities on the Upon the occurrence of an event of obligated to enter into transactions even Repurchase Date. Further, according to default, in addition to the non- if OCC had experienced a material OCC, the custodian would agree to defaulting party’s right to accelerate the adverse change, such as the failure of a provide OCC with daily information Repurchase Date of all outstanding clearing member. According to OCC, about each buyer’s account. OCC transactions or to buy or sell securities this commitment to provide funding believes that this visibility would allow as needed to be made whole, the non- will be a key departure from ordinary OCC to act quickly in the event a buyer defaulting party may elect to take the repurchase arrangements and a key violates any requirements. actions specified in the ‘‘mini close-out’’ requirement for OCC. Each commitment provision of the Master Repurchase will be supported by an agreement by Early Termination Rights Agreement, rather than declaring an the counterparty to maintain cash and Under the Master Repurchase event of default.16 Therefore, if the investments acceptable to OCC that Agreement, OCC would have the ability buyer fails to deliver purchased must be readily converted into cash in to terminate any transaction upon securities on any Repurchase Date, OCC a designated account into which OCC written notice to the buyer, but a buyer believes that it would have remedies has visibility. OCC believes that the only would be able to terminate a that allow it to mitigate risk with respect creation of a funding account is transaction upon the occurrence of an to a particular transaction, without 13 important because it will help OCC event of default with respect to OCC. declaring an event of default with ensure that the committed funds will be OCC has stated that this optional early termination right is important because available each day. OCC also believes 14 In addition to its substitution rights, OCC could that it will facilitate prompt funding by its liquidity needs may change cause the return of purchased securities by counterparties that are not commercial unexpectedly over time and as a result exercising its optional early termination rights banks and therefore are not in the OCC may not want to keep a transaction under the Master Repurchase Agreement. If OCC outstanding as long as originally were to terminate part or all of a transaction, the business of daily funding. buyer would be required to return purchased planned. Funding Mechanics securities to OCC against payment of the Substitution corresponding Repurchase Price. According to OCC, funding mechanics 15 According to OCC, a ‘‘material adverse change’’ will be targeted so that OCC will receive Under the Master Repurchase is typically defined as a change that would have a materially adverse effect on the business or the Purchase Price in immediately Agreement, OCC would have the ability to substitute any Eligible Securities for financial condition of a company. available funds within 60 minutes of its 16 For example, if the buyer fails to transfer request for funds and delivery of purchased securities in its discretion by purchased securities on the applicable Repurchase Eligible Securities and, if needed, prior Date, rather than declaring an event of default, OCC to OCC’s regular daily settlement time.12 settlement time implemented by OCC in an may (1) if OCC has already paid the Repurchase emergency situation under OCC Rule 505. Price, require the buyer to repay the Repurchase 13 According to OCC, a notice of termination by Price, (2) if there is a margin excess, require the 11 The $1 billion in commitments could be spread OCC would specify a new Repurchase Date prior to buyer to pay cash or delivered purchased securities across multiple counterparties, but $1 billion the originally agreed upon Repurchase Date. Upon in an amount equal to the margin excess, or (3) represents the proposed aggregate size of the the early termination of a transaction, the buyer declare that the applicable transaction, and only program. would be required to return all purchased securities that transaction, will be immediately terminated, 12 According to OCC, this would include OCC’s to OCC, and OCC would be required to pay the and apply default remedies under the Master regular daily settlement time and any extended Repurchase Price. Repurchase Agreement to only that transaction.

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respect to all transactions under the Standards, and the objectives and By the Commission. Master Repurchase Agreement. principles of these risk management Brent J. Fields, standards as described in Section 805(b) II. Discussion and Commission Secretary. of the Clearing Supervision Act.23 Findings [FR Doc. 2015–00052 Filed 1–7–15; 8:45 am] The Commission believes that the BILLING CODE 8011–01–P Although Title VIII does not specify a proposal in this Advance Notice is standard of review for an advance designed to further the objectives and notice, the Commission believes that the principles of Section 805(b) of the SECURITIES AND EXCHANGE stated purpose of Title VIII is Clearing Supervision Act.24 As a COMMISSION instructive.17 The stated purpose of systemically-important FMU, it is Title VIII is to mitigate systemic risk in imperative that OCC have adequate [Release No. 34–73977; File No. SR– the financial system and promote NYSEARCA–2014–152] financial stability by, among other resources to be able to satisfy its things, promoting uniform risk counterparty settlement obligations. The Self-Regulatory Organizations; NYSE management standards for systemically- MRA Program provides OCC with a Arca, Inc.; Notice of Filing and important financial market utilities committed liquidity resource that does Immediate Effectiveness of Proposed (‘‘FMUs’’) and strengthening the not increase the concentration of OCC’s Rule Change Extending Its Program liquidity of systemically important counterparty exposure because the That Allows Transactions To Take FMUs.18 counterparties will not include OCC’s Place at a Price That Is Below $1 Per Section 805(a)(2) of the Clearing clearing members nor affiliated Option Contract Until January 5, 2016 Supervision Act 19 authorizes the commercial banking institutions. Commission to prescribe risk Accordingly, the Commission believes January 2, 2015. 1 management standards for the payment, that the proposal should promote robust Pursuant to Section 19(b)(1) of the clearing, and settlement activities of risk management, promote safety and Securities Exchange Act of 1934 (the 2 3 designated clearing entities and soundness in the marketplace, reduce ‘‘Act’’) and Rule 19b–4 thereunder, financial institutions engaged in systemic risks, and support the stability notice is hereby given that, on December designated activities for which it is the of the broader financial system by giving 30, 2014, NYSE Arca, Inc. (the supervisory agency or the appropriate OCC access to additional committed ‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with financial regulator. Section 805(b) of the liquidity that will help OCC meet its the Securities and Exchange Clearing Supervision Act 20 states that settlement obligations in a timely Commission (the ‘‘Commission’’) the the objectives and principles for the risk manner, while also limiting the proposed rule change as described in management standards prescribed under exposure that OCC has to its Items I and II below, which Items have Section 805(a) shall be to: counterparties. been prepared by the self-regulatory • Promote robust risk management; Exchange Act Rule 17Ad–22(b)(3),25 organization. The Commission is • publishing this notice to solicit promote safety and soundness; adopted as part of the Clearing Agency • comments on the proposed rule change reduce systemic risks; and Standards, requires that a non-security- • from interested persons. support the stability of the broader based swap registered clearing agency financial system. that performs CCP services establish, I. Self-Regulatory Organization’s The Commission has adopted risk implement, maintain, and enforce Statement of the Terms of Substance of management standards under Section written policies and procedures the Proposed Rule Change 805(a)(2) of the Clearing Supervision reasonably designed to withstand, at a Act (‘‘Clearing Agency Standards’’).21 The Exchange proposes to extend its minimum, a default by the participant The Clearing Agency Standards became program that allows transactions to take family to which it has the largest effective on January 2, 2013, and require place at a price that is below $1 per exposure in extreme but plausible registered clearing agencies that perform option contract until January 5, 2016. market conditions. As a part of OCC’s central counterparty (‘‘CCP’’) services to The text of the proposed rule change is overall liquidity plan, the Commission establish, implement, maintain, and available on the Exchange’s Web site at believes that the MRA Program will enforce written policies and procedures www.nyse.com, at the principal office of contribute additional liquid financial that are reasonably designed to meet the Exchange, and at the Commission’s resources that should enhance OCC’s certain minimum requirements for their Public Reference Room. ability to meet any potential settlement operations and risk management demands arising out of a default of a II. Self-Regulatory Organization’s practices on an ongoing basis.22 As clearing member or clearing member Statement of the Purpose of, and such, it is appropriate for the family, including one to which it has Statutory Basis for, the Proposed Rule Commission to review advance notices the largest exposure. Change against these Clearing Agency III. Conclusion In its filing with the Commission, the 17 See 12 U.S.C. 5461(b). self-regulatory organization included 18 Id. It is therefore noticed, pursuant to statements concerning the purpose of, 19 12 U.S.C. 5464(a)(2). Section 806(e)(1)(I) of the Clearing and basis for, the proposed rule change 20 12 U.S.C. 5464(b). Supervision Act,26 that the Commission and discussed any comments it received 21 17 CFR 240.17Ad–22. does not object to advance notice on the proposed rule change. The text 22 The Clearing Agency Standards are of those statements may be examined at substantially similar to the risk management proposal (SR–OCC–2014–809) and that standards established by the Board of Governors of OCC is authorized to implement the the places specified in Item IV below. the Federal Reserve System governing the proposal as of the date of this notice. The Exchange has prepared summaries, operations of designated FMUs that are not clearing set forth in sections A, B, and C below, entities and financial institutions engaged in 23 designated activities for which the Commission or 12 U.S.C. 5464(b). the Commodity Futures Trading Commission is the 24 12 U.S.C 5464(b). 1 15 U.S.C. 78s(b)(1). Supervisory Agency. See Financial Market Utilities, 25 17 CFR 240.17Ad–22(b)(3). 2 15 U.S.C. 78a. 77 FR 45907 (August 2, 2012). 26 12 U.S.C. 5465(e)(1)(I). 3 17 CFR 240.19b–4.

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of the most significant parts of such (ii) the procedures are also made investors and the public interest. The statements. available for trading in option classes Exchange believes that allowing for participating in the Penny Pilot liquidations at a price less than $1 per A. Self-Regulatory Organization’s Program.5 The Exchange believes that option contract will better facilitate the Statement of the Purpose of, and the closing of options positions that are Statutory Basis for, the Proposed Rule allowing a price of at least $0 but less Change than $1 better accommodates the closing worthless or not actively trading, of options positions in series that are especially in Penny Pilot issues where 1. Purpose worthless or not actively traded, Cabinet Trades are not otherwise The purpose of this filing is to extend particularly in the event where there has permitted. 4 been a significant movement in the the Pilot Program under Rule 6.80 to B. Self-Regulatory Organization’s price of the underlying security that allow accommodation transactions Statement on Burden on Competition (‘‘Cabinet Trades’’) to take place at a results in a large number of series being price that is below $1 per option out-of-the-money. For example, a The Exchange does not believe that contract for one additional year. The market participant might have a long the proposed rule change will impose Exchange proposes to extend the position in a put series with a strike any burden on competition that is not program, which is due to expire on price of $30 and the underlying stock necessary or appropriate in furtherance January 5, 2015 until January 5, 2016. might be trading at $100. In such an of the purposes of the Act. An ‘‘accommodation’’ or ‘‘cabinet’’ instance, there might not otherwise be a C. Self-Regulatory Organization’s trade refers to trades in listed options on market for that person to close-out the Statement on Comments on the the Exchange that are worthless or not position even at the $1 cabinet price Proposed Rule Change Received From actively traded. Cabinet trading is (e.g., the series might be quoted no bid). Members, Participants, or Others generally conducted in accordance with As with other accommodation the Exchange Rules, except as provided liquidations under Rule 6.80, No written comments were solicited in Exchange Rule 6.80 Accommodation transactions that occur for less than $1 or received with respect to the proposed Transactions (Cabinet Trades), which will not be disseminated to the public rule change. sets forth specific procedures for on the consolidated tape. In addition, as III. Date of Effectiveness of the engaging in cabinet trades. Rule 6.80 with other accommodation liquidations Proposed Rule Change and Timing for currently provides for cabinet under Rule 6.80, the transactions will be Commission Action transactions to occur via open outcry at exempt from the Consolidated Options a cabinet price of a $1 per option Audit Trail (‘‘COATS’’) requirements of Because the foregoing rule does not (i) contract in any options series open for Exchange Rule 6.67 Order Format and significantly affect the protection of trading in the Exchange, except that the System Entry Requirements. However, investors or the public interest; (ii) Rule is not applicable to trading in the Exchange will maintain quotation, impose any significant burden on option classes participating in the order and transaction information for competition; and (iii) become operative Penny Pilot Program. Under the the transactions in the same format as for 30 days from the date on which it procedures, bids and offers (whether the COATS data is maintained. In this was filed, or such shorter time as the opening or closing a position) at a price regard, all transactions for less than $1 Commission may designate if consistent of $1 per option contract may be must be reported to the Exchange with the protection of investors and the represented in the trading crowd by a following the close of each business public interest, provided that the self- Floor Broker or by a Market Maker or day. regulatory organization has given the provided in response to a request by a Commission written notice of its intent Trading Official, a Floor Broker or a 2. Statutory Basis to file the proposed rule change at least Market Maker, but must yield priority to The Exchange believes that this five business days prior to the date of all resting orders in the Cabinet (those proposed rule change is consistent with filing of the proposed rule change or orders held by the Trading Official, and Section 6(b) of the Securities Exchange such shorter time as designated by the 8 which resting cabinet orders may be Act of 1934 (‘‘Act’’),6 in general, and Commission, the proposed rule change closing only). So long as both the buyer furthers the objectives of Section 6(b)(5) has become effective pursuant to 9 and the seller yield to orders resting in of the Act 7 in particular, in that it is Section 19(b)(3)(A) of the Act and Rule 10 the cabinet book, opening cabinet bids designed to prevent fraudulent and 19b–4(f)(6) thereunder. 11 can trade with opening cabinet offers at manipulative acts and practices, Under Rule 19b–4(f)(6) of the Act, $1 per option contract. promote just and equitable principles of the proposal does not become operative The Exchange has temporarily trade, remove impediments to and for 30 days after the date of its filing, or amended the procedures through perfect the mechanism of a free and such shorter time as the Commission January 5, 2015 to allow transactions to open market and a national market may designate if consistent with the take place in open outcry at a price of system, and, in general, to protect protection of investors and the public at least $0 but less than $1 per option interest. The Exchange has requested contract. These lower-priced 5 Currently the $1 cabinet trading procedures are that the Commission waive the 30-day transactions are permitted to be traded limited to options classes traded in $0.05 or $0.10 operative delay period after which a pursuant to the same procedures standard increment. The $1 cabinet trading proposed rule change under Rule 19b– procedures are not available in Penny Pilot Program 4(f)(6) becomes operative so that the applicable to $1 cabinet trades, except classes because in those classes an option series can that (i) bids and offers for opening trade in a standard increment as low as $0.01 per pilot may continue without transactions are only permitted to share (or $1.00 per option contract with a 100 share interruption. The Commission believes accommodate closing transactions in multiplier). Because the temporary procedures that waiver of the 30-day operative allow trading below $0.01 per share (or $1.00 per delay is consistent with the protection order to limit use of the procedure to option contract with a 100 share multiplier), the liquidations of existing positions, and procedures are available for all classes, including those classes participating in the Penny Pilot 8 The Exchange has satisfied this requirement. 4 See Securities Exchange Act Release No. 63476 Program. 9 15 U.S.C. 78s(b)(3)(A). (December 8, 2010), 75 FR 77930 (December 14, 6 15 U.S.C. 78f(b). 10 17 CFR 240.19b–4(f)(6). 2010) (SR–NYSE Arca–2010–109). 7 15 U.S.C. 78f(b)(5). 11 Id.

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of investors and the public interest Commission, and all written on or about February 12, 2015, until on because it will allow the pilot to communications relating to the or about May 10, 2015, and at possible continue uninterrupted, thereby proposed rule change between the additional exhibitions or venues yet to avoiding any potential investor Commission and any person, other than be determined, is in the national confusion that could result from a those that may be withheld from the interest. I have ordered that Public temporary interruption in the pilot and public in accordance with the Notice of these Determinations be allowing members to continue to benefit provisions of 5 U.S.C. 552, will be published in the Federal Register. from the program. Based on the available for Web site viewing and FOR FURTHER INFORMATION CONTACT: For foregoing, the Commission hereby printing in the Commission’s Public further information, including lists of waives the 30-day operative delay and Reference Room, 100 F Street NE., the exhibit objects, contact Paul W. designates the proposal operative upon Washington, DC 20549 on official Manning, Attorney-Adviser, Office of filing.12 business days between the hours of the Legal Adviser, U.S. Department of At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of the State (telephone: 202–632–6469). The filing of the proposed rule change, the filing will also be available for mailing address is U.S. Department of Commission summarily may inspection and copying at the NYSE’s State, SA–5, L/PD, Fifth Floor (Suite temporarily suspend such rule change if principal office and on its Internet Web 5H03), Washington, DC 20522–0505. it appears to the Commission that such site at www.nyse.com. All comments Dated: January 5, 2015. action is necessary or appropriate in the received will be posted without change; Kelly Keiderling, public interest, for the protection of the Commission does not edit personal investors, or otherwise in furtherance of identifying information from Principal Deputy Assistant Secretary, Bureau of Educational and Cultural Affairs, the purposes of the Act. If the submissions. You should submit only Department of State. Commission takes such action, the information that you wish to make [FR Doc. 2015–00105 Filed 1–7–15; 8:45 am] Commission will institute proceedings available publicly. All submissions to determine whether the proposed rule should refer to File Number SR– BILLING CODE 4710–05–P change should be approved or NYSEARCA–2014–152 and should be disapproved. submitted on or before January 29, 2015. DEPARTMENT OF TRANSPORTATION IV. Solicitation of Comments For the Commission, by the Division of Trading and Markets, pursuant to delegated Federal Aviation Administration Interested persons are invited to authority.13 submit written data, views, and Brent J. Fields, [Summary Notice No. 2014–148] arguments concerning the foregoing, Secretary. including whether the proposed rule Petition for Exemption; Summary of [FR Doc. 2015–00050 Filed 1–7–15; 8:45 am] change is consistent with the Act. Petition Received; Brandau, Jerry BILLING CODE 8011–01–P Comments may be submitted by any of AGENCY: Federal Aviation the following methods: Administration (FAA), DOT. Electronic Comments DEPARTMENT OF STATE ACTION: Notice. • Use the Commission’s Internet [Public Notice 8997] SUMMARY: This notice contains a comment form (http://www.sec.gov/ summary of a petition seeking relief rules/sro.shtml); or Culturally Significant Objects Imported from specified requirements of Title 14 • Send an email to rule-comments@ for Exhibition Determinations: ‘‘Ink and of the Code of Federal Regulations. The sec.gov. Please include File Number SR– Gold: Art of the Kano’’ Exhibition purpose of this notice is to improve the NYSEARCA–2014–152 on the subject SUMMARY: Notice is hereby given of the public’s awareness of, and participation line. following determinations: Pursuant to in, the FAA’s exemption process. Paper Comments the authority vested in me by the Act of Neither publication of this notice nor the inclusion or omission of information • October 19, 1965 (79 Stat. 985; 22 U.S.C. Send paper comments in triplicate in the summary is intended to affect the to Brent J. Fields, Secretary, Securities 2459), Executive Order 12047 of March 27, 1978, the Foreign Affairs Reform and legal status of the petition or its final and Exchange Commission, 100 F Street disposition. NE., Washington, DC 20549–1090. Restructuring Act of 1998 (112 Stat. 2681, et seq.; 22 U.S.C. 6501 note, et DATES: Comments on this petition must All submissions should refer to File seq.), Delegation of Authority No. 234 of identify the petition docket number and Number SR–NYSEARCA–2014–152. October 1, 1999, Delegation of Authority must be received on or before January This file number should be included on No. 236–3 of August 28, 2000 (and, as 28, 2015. the subject line if email is used. To help appropriate, Delegation of Authority No. ADDRESSES: Send comments identified the Commission process and review 257 of April 15, 2003), I hereby by docket number FAA–2014–1016 your comments more efficiently, please determine that the objects to be using any of the following methods: use only one method. The Commission included in the exhibition ‘‘Ink and • Federal eRulemaking Portal: Go to will post all comments on the Gold: Art of the Kano,’’ imported from http://www.regulations.gov and follow Commission’s Internet Web site (http:// abroad for temporary exhibition within the online instructions for sending your www.sec.gov/rules/sro.shtml). Copies of the United States, are of cultural comments electronically. the submission, all subsequent significance. The objects are imported • Mail: Send comments to Docket amendments, all written statements pursuant to loan agreements with the Operations, M–30; U.S. Department of with respect to the proposed rule foreign owners or custodians. I also Transportation (DOT), 1200 New Jersey change that are filed with the determine that the exhibition or display Avenue SE., Room W12–140, West of the exhibit objects at the Philadelphia 12 Building Ground Floor, Washington, DC For purposes only of waiving the operative Museum of Art, Philadelphia, PA, from 20590–0001. delay, the Commission has considered the proposed • rule’s impact on efficiency, competition, and capital Hand Delivery or Courier: Take formation. See 15 U.S.C. 78c(f). 13 17 CFR 200.30–3(a)(12). comments to Docket Operations in

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Room W12–140 of the West Building ACTION: Notice. Issued in Washington, DC, on January 2, Ground Floor at 1200 New Jersey 2015. Avenue SE., Washington, DC, between 9 SUMMARY: This notice contains a Lirio Liu, a.m. and 5 p.m., Monday through summary of a petition seeking relief Director, Office of Rulemaking. from specified requirements of Title 14 Friday, except Federal holidays. Petition for Exemption • Fax: Fax comments to Docket of the Code of Federal Regulations. The Operations at 202–493–2251. purpose of this notice is to improve the Docket No.: FAA–2014–1088. Privacy: In accordance with 5 U.S.C. public’s awareness of, and participation Petitioner: Kansas State University. 553(c), DOT solicits comments from the in, the FAA’s exemption process. Section(s) of 14 CFR Affected: part 21; public to better inform its rulemaking Neither publication of this notice nor §§ 61.113(a) and (b), 61.3(d)(2)(iii), process. DOT posts these comments, the inclusion or omission of information 91.7(a), 91.9(b)(2), 91.109, 91.119, without edit, including any personal in the summary is intended to affect the 91.121, 91.151(a), 91.203(a) and (b), information the commenter provides, to legal status of the petition or its final 91.405(a), 91.407(a)(1), 91.409(a)(2) and http://www.regulations.gov, as disposition. 91.417(a) and (b). Description of Relief Sought: The described in the system of records DATES: Comments on this petition must petitioner is requesting relief to notice (DOT/ALL–14 FDMS), which can identify the petition docket number and commercially operate its fixed wing be reviewed at http://www.dot.gov/ must be received on or before January small unmanned aircraft systems privacy. 28, 2015. (sUAS), including the gas powered Docket: Background documents or ADDRESSES: Penguin B at and below 1,200 feet above comments received may be read at Send comments identified ground level, under controlled http://www.regulations.gov at any time. by docket number FAA–2014–1088 conditions in the National Airspace Follow the online instructions for using any of the following methods: • System for the purposes of flight accessing the docket or go to the Docket Federal eRulemaking Portal: Go to training. Operations in Room W12–140 of the http://www.regulations.gov and follow West Building Ground Floor at 1200 the online instructions for sending your [FR Doc. 2015–00048 Filed 1–7–15; 8:45 am] comments electronically. BILLING CODE 4910–13–P New Jersey Avenue SE., Washington, • DC, between 9 a.m. and 5 p.m., Monday Mail: Send comments to Docket through Friday, except Federal holidays. Operations, M–30; U.S. Department of Transportation (DOT), 1200 New Jersey DEPARTMENT OF TRANSPORTATION FOR FURTHER INFORMATION CONTACT: Jake Avenue SE., Room W12–140, West Troutman, (202) 267–9521. 800 Building Ground Floor, Washington, DC Federal Aviation Administration Independence Avenue SW., 20590–0001. Washington, DC 20591. [Summary Notice No. 2014–150] • Hand Delivery or Courier: Take This notice is published pursuant to comments to Docket Operations in Petition for Exemption; Summary of 14 CFR 11.85. Room W12–140 of the West Building Petition Received; Altavian, Inc. Issued in Washington, DC, on January 2, Ground Floor at 1200 New Jersey AGENCY: Federal Aviation 2015. Avenue SE., Washington, DC, between 9 Administration (FAA), DOT. Lirio Liu, a.m. and 5 p.m., Monday through ACTION: Director, Office of Rulemaking. Friday, except Federal holidays. Notice. • Petition for Exemption Fax: Fax comments to Docket SUMMARY: This notice contains a Operations at 202–493–2251. summary of a petition seeking relief Docket No.: FAA–2014–1016. Privacy: In accordance with 5 U.S.C. from specified requirements of Title 14 Petitioner: Brandau, Jerry. 553(c), DOT solicits comments from the of the Code of Federal Regulations. The Section(s) of 14 CFR Affected: public to better inform its rulemaking purpose of this notice is to improve the §§ 103.1(a) and (b), and 103.21. process. DOT posts these comments, public’s awareness of, and participation Description of Relief Sought: The without edit, including any personal in, the FAA’s exemption process. petitioner is requesting relief to information the commenter provides, to Neither publication of this notice nor commercially operate its Phantom 2 http://www.regulations.gov, as the inclusion or omission of information Vision plus, small lightweight described in the system of records in the summary is intended to affect the unmanned aircraft system (UAS), as an notice (DOT/ALL–14 FDMS), which can legal status of the petition or its final ultralight vehicle, for aerial be reviewed at http://www.dot.gov/ disposition. photography, agriculture field privacy. inspection, and aerial property DATES: Comments on this petition must Docket: Background documents or identify the petition docket number and monitoring. comments received may be read at [FR Doc. 2015–00045 Filed 1–7–15; 8:45 am] must be received on or before January http://www.regulations.gov at any time. 28, 2015. BILLING CODE 4910–13–P Follow the online instructions for ADDRESSES: Send comments identified accessing the docket or go to the Docket by docket number FAA–2014–1054 Operations in Room W12–140 of the DEPARTMENT OF TRANSPORTATION using any of the following methods: West Building Ground Floor at 1200 • Federal eRulemaking Portal: Go to Federal Aviation Administration New Jersey Avenue SE., Washington, http://www.regulations.gov and follow DC, between 9 a.m. and 5 p.m., Monday the online instructions for sending your [Summary Notice No. 2014–149] through Friday, except Federal holidays. comments electronically. FOR FURTHER INFORMATION CONTACT: • Petition for Exemption; Summary of Jake Mail: Send comments to Docket Petition Received; Kansas State Troutman, (202) 267–9521. 800 Operations, M–30; U.S. Department of University Independence Avenue SW., Transportation (DOT), 1200 New Jersey Washington, DC 20591. Avenue SE., Room W12–140, West AGENCY: Federal Aviation This notice is published pursuant to Building Ground Floor, Washington, DC Administration (FAA), DOT. 14 CFR 11.85. 20590–0001.

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• Hand Delivery or Courier: Take DEPARTMENT OF TRANSPORTATION West Building Ground Floor at 1200 comments to Docket Operations in New Jersey Avenue SE., Washington, Room W12–140 of the West Building Federal Aviation Administration DC, between 9 a.m. and 5 p.m., Monday Ground Floor at 1200 New Jersey [Summary Notice No. 2014–151] through Friday, except Federal holidays. Avenue SE., Washington, DC, between 9 FOR FURTHER INFORMATION CONTACT: For a.m. and 5 p.m., Monday through Petition for Exemption; Summary of technical questions concerning this Friday, except Federal holidays. Petition Received; Bowhead Mission action, contact Nia Daniels, Office of Solutions, LLC • Fax: Fax comments to Docket Rulemaking, 800 Independence Avenue SW., Washington, DC 20591; telephone: Operations at 202–493–2251. AGENCY: Federal Aviation (202) 267–9677. Administration (FAA), DOT. Privacy: In accordance with 5 U.S.C. This notice is published pursuant to 553(c), DOT solicits comments from the ACTION: Notice. 14 CFR 11.85. public to better inform its rulemaking SUMMARY: This notice contains a Issued in Washington, DC, on January 2, process. DOT posts these comments, 2015. without edit, including any personal summary of a petition seeking relief from specified requirements of Title 14 Lirio Liu, information the commenter provides, to of the Code of Federal Regulations. The Director, Office of Rulemaking. http://www.regulations.gov, as purpose of this notice is to improve the Petition for Exemption described in the system of records public’s awareness of, and participation notice (DOT/ALL–14 FDMS), which can in, the FAA’s exemption process. Docket No.: FAA–2014–0916. be reviewed at http://www.dot.gov/ Neither publication of this notice nor Petitioner: Bowhead Mission privacy. the inclusion or omission of information Solutions, LLC. Docket: Background documents or in the summary is intended to affect the Sections of 14 CFR Affected: 45.23(b); comments received may be read at legal status of the petition or its final part 21; 61.113(a) and (b); 91.7(a); http://www.regulations.gov at any time. disposition. 91.9(b)(2); 91.103(b); 91.109; 91.119; 91.121; 91.151(a); 91.203(a) and (b); Follow the online instructions for DATES: Comments on this petition must 91.405(a); 91.407(a)(1); 91.409(a)(2); accessing the docket or go to the Docket identify the petition docket number and 91.417(a) and (b). Operations in Room W12–140 of the must be received on or before January Description of Relief Sought: West Building Ground Floor at 1200 28, 2015. New Jersey Avenue SE., Washington, Bowhead Mission Solutions, LLC, ADDRESSES: Send comments identified operator of the small unmanned aircraft DC, between 9 a.m. and 5 p.m., Monday by docket number FAA–2014–0916 system Cinestar 8 Okto XL, would like through Friday, except Federal holidays. using any of the following methods: an exemption to conduct aerial • FOR FURTHER INFORMATION CONTACT: For Federal eRulemaking Portal: Go to photography for the University of technical questions concerning this http://www.regulations.gov and follow Nevada—Las Vegas’ athletic department action, contact Nia Daniels, Office of the online instructions for sending your for activities at the Sam Boyd Stadium Rulemaking, 800 Independence Avenue comments electronically. for major sporting events. • Mail: Send comments to Docket SW., Washington, DC 20591; telephone: [FR Doc. 2015–00044 Filed 1–7–15; 8:45 am] Operations, M–30; U.S. Department of (202) 267–9677. BILLING CODE 4910–13–P Transportation (DOT), 1200 New Jersey This notice is published pursuant to Avenue SE., Room W12–140, West 14 CFR 11.85. Building Ground Floor, Washington, DC DEPARTMENT OF TRANSPORTATION Issued in Washington, DC, on January 2, 20590–0001. • 2015. Hand Delivery or Courier: Take Federal Motor Carrier Safety Lirio Liu, comments to Docket Operations in Administration Room W12–140 of the West Building Director, Office of Rulemaking. Ground Floor at 1200 New Jersey [Docket No. FMCSA–2014–0445] Petition for Exemption Avenue SE., Washington, DC, between 9 Hours of Service of Drivers; California a.m. and 5 p.m., Monday through Farm Bureau Federation; Application Docket No.: FAA–2014–1054 Friday, except Federal holidays. for Exemption Petitioner: Altavian, Inc. • Fax: Fax comments to Docket Operations at 202–493–2251. AGENCY: Federal Motor Carrier Safety Section(s) of 14 CFR Affected: Privacy: In accordance with 5 U.S.C. Administration (FMCSA), DOT. 91.151(a)(1); 91.405(a); 91.407(a)(1); 553(c), DOT solicits comments from the 91.409(a)(1) and (a)(2); and 91.417(a) ACTION: Notice of application for public to better inform its rulemaking exemption; request for comments. and (b) process. DOT posts these comments, Description of Relief Sought: Altavian, without edit, including any personal SUMMARY: FMCSA announces that it has Inc. seeks an exemption to information the commenter provides, to received an application from the commercially operate the Altavian Nova http://www.regulations.gov, as California Farm Bureau Federation F6500 unmanned aircraft system for described in the system of records (CFBF) on behalf of its members and data collection, inspection, and notice (DOT/ALL–14 FDMS), which can other agricultural organizations for an monitoring, while having a maximum be reviewed at http://www.dot.gov/ exemption from the 30-minute rest operating altitude of 1,200 feet above privacy. break provision of the Agency’s hours- ground level. Docket: Background documents or of-service regulations for certain comments received may be read at commercial motor vehicle (CMV) [FR Doc. 2015–00046 Filed 1–7–15; 8:45 am] http://www.regulations.gov at any time. drivers transporting bees. The BILLING CODE 4910–13–P Follow the online instructions for exemption would enable CMV drivers accessing the docket or go to the Docket transporting bees to operate without Operations in Room W12–140 of the taking a 30-minute break during the

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workday. FMCSA considers the request FOR FURTHER INFORMATION CONTACT: Mr. pollination, the United States could lose to be on behalf of all motor carriers and Robert F. Schultz, Jr., FMCSA Driver one third of its crops. CFBF states that drivers when transporting bees. and Carrier Operations Division; Office the number of bee colonies has been DATES: Comments must be received on of Carrier, Driver and Vehicle Safety declining for several decades. Recently, or before February 9, 2015. Standards; Telephone: 202–366–4325. the Obama administration established Email: [email protected]. ADDRESSES: You may submit comments the Pollinator Health Task Force chaired identified by Federal Docket SUPPLEMENTARY INFORMATION: by the Secretaries of Agriculture and Environmental Protection to address Management System Number FMCSA– Background 2014–0445 by any of the following problems related to this decline. FMCSA has authority under 49 U.S.C. methods: Because of the reduced number of 31136(e) and 31315 to grant exemptions • Federal eRulemaking Portal: colonies available to pollinate, bees are from certain parts of the Federal Motor www.regulations.gov. Follow the online transported long distances to provide Carrier Safety Regulations. Before doing instructions for submitting comments. crop pollination. CFBF states that the so, the Agency must provide an • Fax: 1–202–493–2251. CMVs transporting bees must maintain opportunity for public comment. The • Mail: Docket Management Facility, a flow of cool, fresh air to the hives on Agency is required to publish a notice U.S. Department of Transportation, 1200 board and that excessive heat in the of each exemption request in the New Jersey Avenue SE., West Building, CMV interior can jeopardize the health Federal Register (49 CFR 381.315(a)), Ground Floor, Room W12–140, and welfare of the bees. CFBF maintains providing the public an opportunity to Washington, DC 20590–0001. that if CMVs transporting hives were inspect the information relevant to the • Hand Delivery or Courier: West stopped for 30 minutes, particularly in application, including any safety Building, Ground Floor, Room W12– warm weather, the risk of harm to the analyses that have been conducted, and 140, 1200 New Jersey Avenue SE., bees would be significant, and possibly to comment on the request. FMCSA between 9 a.m. and 5 p.m. E.T., Monday fatal. A copy of the application for must review the safety analyses and exemption is available for review in the through Friday, except Federal holidays. public comments submitted and Instructions: All submissions must docket for this notice. determine whether granting the include the Agency name and docket exemption would likely achieve a level Request for Comments number. For detailed instructions on of safety equivalent to, or greater than, In accordance with 49 U.S.C. 31136(e) submitting comments and additional the level that would be achieved by the information on the exemption process, and 31315(b)(4), FMCSA requests public current regulation (49 CFR 381.305). comment on CFBF’s application for an see the Public Participation heading The Agency must publish its decision in below. Note that all comments received exemption from the rest-break the Federal Register (49 CFR requirement of 49 CFR 395.3(a)(3)(ii). will be posted without change to 381.315(b)) and state the reasons for www.regulations.gov, including any The Agency will consider all comments denying or granting the application. If received by close of business on personal information provided. Please the exemption is granted, the notice also see the Privacy Act heading below. February 9, 2015. Comments will be must include the name of the person or available for examination in the docket Docket: For access to the docket to entity, or class of persons, receiving the read background documents or at the location listed under the exemption, and the regulation from ADDRESSES section of this notice. The comments received, go to which the exemption is granted. The www.regulations.gov, and follow the Agency will consider to the extent notice must also specify the effective practicable comments received in the online instructions for accessing the period of the exemption and state the dockets, or go to the street address listed public docket after the closing date of terms and conditions of the exemption, the comment period. above. if any. The exemption may be renewed Privacy Act: In accordance with 5 (49 CFR 381.300(b)). Issued on: December 31, 2014. U.S.C. 553(c), DOT solicits comments On December 27, 2011, FMCSA Larry W. Minor, from the public to better inform its published a final rule establishing Associate Administrator for Policy. rulemaking process. DOT posts these mandatory rest breaks for CMV drivers [FR Doc. 2015–00101 Filed 1–7–15; 8:45 am] comments, without edit, including any (76 FR 81133). Effective July 1, 2013, BILLING CODE 4910–EX–P personal information the commenter drivers were barred from operating a provides, to www.regulations.gov, as CMV if 8 hours or more had elapsed described in the system of records since the end of their last off-duty or DEPARTMENT OF TRANSPORTATION notice (DOT/ALL–14 FDMS), which can sleeper-berth period of at least 30 be reviewed at www.dot.gov/privacy. minutes [49 CFR 395.3(a)(3)(ii)]. FMCSA Federal Motor Carrier Safety Public participation: The Federal did not specify when drivers must take Administration eRulemaking Portal is available 24 the 30-minute break. hours each day, 365 days each year. You [FMCSA Docket No. FMCSA–2014–0307] Request for Exemption can obtain electronic submission and Qualification of Drivers; Exemption retrieval help and guidelines under the CFBF is a trade organization Applications; Diabetes Mellitus ‘‘help’’ section of the Federal representing various stakeholders in the eRulemaking Portal Web site. If you beekeeping industry, including those AGENCY: Federal Motor Carrier Safety want us to notify you that we received who provide bee-pollination services Administration (FMCSA), DOT. your comments, please include a self- and those who benefit from these ACTION: Notice of final disposition. addressed, stamped envelope or services. Many crops in the U.S. require postcard, or print the acknowledgement bee pollination, including almonds, SUMMARY: FMCSA confirms its decision page that appears after submitting apples, lettuce, and several varieties of to exempt 32 individuals from its rule comments online. Comments received berries. There is no substitute for the prohibiting persons with insulin-treated after the comment closing date will be pollination provided by bees. CFBF diabetes mellitus (ITDM) from operating included in the docket and will be cites a report in Scientific American commercial motor vehicles (CMVs) in considered to the extent practicable. concluding that in the absence of bee interstate commerce. The exemptions

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enable these individuals to operate provides that ‘‘A person is physically To evaluate the effect of these CMVs in interstate commerce. qualified to drive a commercial motor exemptions on safety, FMCSA DATES: The exemptions were effective vehicle if that person has no established considered medical reports about the on November 22, 2014. The exemptions medical history or clinical diagnosis of applicants’ ITDM and vision, and expire on November 22, 2016. diabetes mellitus currently requiring reviewed the treating endocrinologists’ FOR FURTHER INFORMATION CONTACT: insulin for control’’ (49 CFR medical opinion related to the ability of Elaine M. Papp, R.N., Chief, Medical 391.41(b)(3)). the driver to safely operate a CMV while Programs Division, (202) 366–4001, FMCSA established its diabetes using insulin. [email protected], FMCSA, Room exemption program, based on the Consequently, FMCSA finds that in W64–224, Department of Agency’s July 2000 study entitled ‘‘A each case exempting these applicants Transportation, 1200 New Jersey Report to Congress on the Feasibility of from the diabetes requirement in 49 CFR Avenue SE., Washington, DC 20590– a Program to Qualify Individuals with 391.41(b)(3) is likely to achieve a level 0001. Office hours are from 8:30 a.m. to Insulin-Treated Diabetes Mellitus to of safety equal to that existing without 5 p.m., Monday through Friday, except Operate in Interstate Commerce as the exemption. Federal holidays. Directed by the Transportation Act for VI. Conditions and Requirements the 21st Century.’’ The report concluded SUPPLEMENTARY INFORMATION: that a safe and practicable protocol to The terms and conditions of the I. Electronic Access allow some drivers with ITDM to exemption will be provided to the applicants in the exemption document You may see all the comments online operate CMVs is feasible. The September 3, 2003 (68 FR 52441), and they include the following: (1) That through the Federal Document each individual submit a quarterly Management System (FDMS) at: http:// Federal Register notice in conjunction with the November 8, 2005 (70 FR monitoring checklist completed by the www.regulations.gov. treating endocrinologist as well as an Docket: For access to the docket to 67777), Federal Register notice provides the current protocol for allowing such annual checklist with a comprehensive read background documents or medical evaluation; (2) that each comments, go to http:// drivers to operate CMVs in interstate commerce. individual reports within 2 business www.regulations.gov and/or Room days of occurrence, all episodes of W12–140 on the ground level of the These 32 applicants have had ITDM over a range of 1 to 34 years. These severe hypoglycemia, significant West Building, 1200 New Jersey Avenue complications, or inability to manage SE., Washington, DC, between 9 a.m. applicants report no severe hypoglycemic reactions resulting in loss diabetes; also, any involvement in an and 5 p.m., Monday through Friday, accident or any other adverse event in except Federal holidays. of consciousness or seizure, requiring the assistance of another person, or a CMV or personal vehicle, whether or Privacy Act: In accordance with 5 not it is related to an episode of U.S.C. 553(c), DOT solicits comments resulting in impaired cognitive function that occurred without warning hypoglycemia; (3) that each individual from the public to better inform its provide a copy of the ophthalmologist’s rulemaking process. DOT posts these symptoms, in the past 12 months and no recurrent (2 or more) severe or optometrist’s report to the medical comments, without edit, including any examiner at the time of the annual personal information the commenter hypoglycemic episodes in the past 5 years. In each case, an endocrinologist medical examination; and (4) that each provides, to www.regulations.gov, as individual provide a copy of the annual described in the system of records verified that the driver has demonstrated a willingness to properly medical certification to the employer for notice (DOT/ALL–14 FDMS), which can retention in the driver’s qualification be reviewed at www.dot.gov/privacy. monitor and manage his/her diabetes mellitus, received education related to file, or keep a copy in his/her driver’s II. Background diabetes management, and is on a stable qualification file if he/she is self- employed. The driver must also have a On October 22, 2014, FMCSA insulin regimen. These drivers report no other disqualifying conditions, copy of the certification when driving, published a notice of receipt of Federal for presentation to a duly authorized diabetes exemption applications from including diabetes-related complications. Each meets the vision Federal, State, or local enforcement 32 individuals and requested comments official. from the public (79 FR 63214). The requirement at 49 CFR 391.41(b)(10). public comment period closed on The qualifications and medical VII. Conclusion November 21, 2014, and no comments condition of each applicant were stated Based upon its evaluation of the 32 were received. and discussed in detail in the October exemption applications, FMCSA FMCSA has evaluated the eligibility 22, 2014, Federal Register notice and exempts the following drivers from the of the 32 applicants and determined that they will not be repeated in this notice. diabetes requirement in 49 CFR granting the exemptions to these IV. Discussion of Comments 391.41(b)(10), subject to the individuals would achieve a level of requirements cited above 949 CFR safety equivalent to or greater than the FMCSA received no comments in this 391.64(b)): proceeding. level that would be achieved by Jeffrey S. Argabright (OH) complying with the current regulation V. Basis for Exemption Determination Darrell G. Brave (WA) 49 CFR 391.41(b)(3). Domingo Cantu (WA) Under 49 U.S.C. 31136(e) and 31315, Nicholas M. Cooper (FL) III. Diabetes Mellitus and Driving FMCSA may grant an exemption from Experience of the Applicants James L. Crane (MS) the diabetes requirement in 49 CFR Bobby O. Devaney (AL) The Agency established the current 391.41(b)(3) if the exemption is likely to Donald L. Feltman (MN) requirement for diabetes in 1970 achieve an equivalent or greater level of Benjamin T. Filip (ND) because several risk studies indicated safety than would be achieved without Harold L. Gomez (LA) that drivers with diabetes had a higher the exemption. The exemption allows Arthur Gonzalez (TX) rate of crash involvement than the the applicants to operate CMVs in Charles W. Guillory (LA) general population. The diabetes rule interstate commerce. Bernard Heffern (NJ)

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John W. Hurlbert (NJ) exemption renewals will provide a level FOR FURTHER INFORMATION CONTACT: Roosevelt Isaiah (SC) of safety that is equivalent to or greater Elaine M. Papp, Chief, Medical William T. Jensen (NJ) than the level of safety maintained Programs Division, 202–366–4001, Robert W. Johnson, Sr. (NY) without the exemptions for these [email protected], FMCSA, Joseph H. Karas (NJ) commercial motor vehicle (CMV) Department of Transportation, 1200 Randy C. Lee (NY) drivers. New Jersey Avenue SE., Room W64– Gerald R. Lewis (TN) DATES: This decision is effective January 224, Washington, DC 20590–0001. John R. Miller, II (OR) 12, 2015. Comments must be received Office hours are from 8:30 a.m. to 5 p.m. Robert A. Nicolai (MO) on or before February 9, 2015. Monday through Friday, except Federal William P. Pearson, II (WI) ADDRESSES: You may submit comments holidays. Alan M. Primus (IA) bearing the Federal Docket Management SUPPLEMENTARY INFORMATION: Otto E. Reimer (MT) System (FDMS) numbers: Docket No. Background Danny L. Reimers (NM) [Docket No. FMCSA–2012–0154], using Michael L. Reynolds (NC) any of the following methods: Under 49 U.S.C. 31136(e) and 31315, Samuel H. Schmidt (MN) • Federal eRulemaking Portal: Go to FMCSA may renew an exemption from Timothy W. Selk (AK) http://www.regulations.gov. Follow the the hearing requirement in 49 CFR Dennis J. Stanley (IL) on-line instructions for submitting 391.41(b)(11), which applies to drivers Howard J. Steinberg (MA) comments. of CMVs in interstate commerce, for a Steven M. Weimer (PA) • Mail: Docket Management Facility; two-year period if it finds ‘‘such Michael L. Westbury (SC) U.S. Department of Transportation, 1200 exemption would likely achieve a level In accordance with 49 U.S.C. 31136(e) New Jersey Avenue SE., West Building of safety that is equivalent to or greater and 31315 each exemption is valid for Ground Floor, Room W12–140, than the level that would be achieved two years unless revoked earlier by Washington, DC 20590–0001. absent such exemption.’’ The FMCSA. The exemption will be revoked • Hand Delivery or Courier: West procedures for requesting an exemption if the following occurs: (1) The person Building Ground Floor, Room W12–140, (including renewals) are set out in 49 fails to comply with the terms and 1200 New Jersey Avenue SE., CFR part 381. conditions of the exemption; (2) the Washington, DC, between 9 a.m. and 5 Exemption Decision exemption has resulted in a lower level p.m., Monday through Friday, except of safety than was maintained before it Federal Holidays. This notice addresses 15 individuals was granted; or (3) continuation of the • Fax: 1–202–493–2251. who have requested renewal of their exemption would not be consistent with Instructions: Each submission must exemptions in accordance with FMCSA the goals and objectives of 49 U.S.C. include the Agency name and the procedures. FMCSA has evaluated these 31136(e) and 31315. If the exemption is docket number for this notice. Note that applications for renewal on their merits still effective at the end of the 2-year DOT posts all comments received and decided to extend each exemption period, the person may apply to FMCSA without change to http:// for a renewable two-year period. They for a renewal under procedures in effect www.regulations.gov, including any are: at that time. personal information included in a David W. Bateman (MN) comment. Please see the Privacy Act Issued on: December 30, 2014. William B. Britt, Jr. (TN) heading below. Tyjuan M. Davis (FL) Larry W. Minor, Docket: For access to the docket to Randall R. Doane (TX) Associate Administrator for Policy. read background documents or Alvin L. Johnson (GA) comments, go to http:// [FR Doc. 2015–00097 Filed 1–7–15; 8:45 am] Jerry D. Jones (TX) www.regulations.gov at any time or BILLING CODE 4910–EX–P Christopher Kuller (PA) Room W12–140 on the ground level of Kathy K. Miller (IA) the West Building, 1200 New Jersey Larry J. Moss (CA) DEPARTMENT OF TRANSPORTATION Avenue SE., Washington, DC, between 9 Jeremy R. Reams (KY) a.m. and 5 p.m., Monday through Daniel Schoultz (PA) Federal Motor Carrier Safety Friday, except Federal holidays. The James M. Skinner (FL) Administration Federal Docket Management System Justin J. Tretheway (WI) [Docket No. FMCSA–2012–0154] (FDMS) is available 24 hours each day, 365 days each year. If you want Mark Valimont (IA) Holly Cameron Wright, Jr. (NC) Qualification of Drivers; Exemption acknowledgment that we received your Applications; Hearing comments, please include a self- The exemption will be rescinded if: addressed, stamped envelope or (1) The person fails to comply with the AGENCY: Federal Motor Carrier Safety postcard or print the acknowledgement terms and conditions of the exemption; Administration (FMCSA), DOT. page that appears after submitting (2) the exemption has resulted in a ACTION: Notice of renewal of comments on-line. lower level of safety than was exemptions; request for comments. maintained before it was granted; or (3) C. Privacy Act continuation of the exemption would SUMMARY: FMCSA announces its In accordance with 5 U.S.C. 553(c), not be consistent with the goals and decision to renew the exemptions from DOT solicits comments from the public objectives of 49 U.S.C. 31136(e) and the hearing requirement in the Federal to better inform its rulemaking process. 31315. Motor Carrier Safety Regulations for 15 DOT posts these comments, without individuals. FMCSA has statutory edit, including any personal information Basis for Renewing Exemptions authority to exempt individuals from the commenter provides, to Under 49 U.S.C. 31315(b)(1), an the hearing requirement if the www.regulations.gov, as described in exemption may be granted for no longer exemptions granted will not the system of records notice (DOT/ALL– than two years from its approval date compromise safety. The Agency has 14 FDMS), which can be reviewed at and may be renewed upon application concluded that granting these www.dot.gov/privacy. for additional two year periods. In

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accordance with 49 U.S.C. 31136(e) and Submitting Comments 2015 concerning the development of the 31315, each of the 15 applicants has You may submit your comments and Test Device for Human Occupant satisfied the entry conditions for material online or by fax, mail, or hand Restraint (THOR). NHTSA has been obtaining an exemption from the delivery, but please use only one of developing the THOR anthropomorphic hearing requirement (77 FR 31427). these means. FMCSA recommends that test device (ATD) in order to better Each of these 15 applicants has you include your name and a mailing understand the causal mechanisms for requested renewal of the exemption and address, an email address, or a phone injury and develop countermeasures to CDLIS and MCMIS were searched for number in the body of your document prevent injuries and fatalities in motor crash and violation data on the 15 so that FMCSA can contact you if there vehicle crashes. The purpose of this applicants. For non-CDL holders, the are questions regarding your public meeting is to provide a forum for Agency reviewed the driving records submission. open communication and data sharing from the State licensing agency. These To submit your comment online, go to on the THOR ATD towards the common factors provide an adequate basis for http://www.regulations.gov and in the goal of improving the safety of predicting each driver’s ability to search box insert the docket number passenger vehicle occupants. This continue to drive safely in interstate FMCSA–2012–0154 and click the search notice announces the date and location commerce. Therefore, FMCSA button. When the new screen appears, of the meeting and explains how those concludes that extending the exemption click on the blue ‘‘Comment Now!’’ who wish to attend can register for the for each renewal applicant for a period button on the right hand side of the meeting. of two years is likely to achieve a level page. On the new page, enter DATES: The public meeting is scheduled of safety equal to that existing without information required including the from 9 a.m. to 3 p.m. on Tuesday, the exemption. specific section of this document to January 20, 2015. If you would like to Request for Comments which each comment applies, and attend the public meeting (either in FMCSA will review comments provide a reason for each suggestion or person or via teleconference), you must received at any time concerning a recommendation. If you submit your register no later than Thursday, January particular driver’s safety record and comments by mail or hand delivery, 15, 2015. For further information about determine if the continuation of the submit them in an unbound format, no registration, please see the information exemption is consistent with the larger than 81⁄2 by 11 inches, suitable for provided under FOR FURTHER requirements at 49 U.S.C. 31136(e) and copying and electronic filing. If you INFORMATION CONTACT. Please submit all 31315. However, FMCSA requests that submit comments by mail and would written comments no later than March interested parties with specific data like to know that they reached the 15, 2015. concerning the safety records of these facility, please enclose a stamped, self- ADDRESSES: The meeting will be held at: drivers submit comments by February 9, addressed postcard or envelope. We will Department of Transportation, 1200 2015. consider all comments and material New Jersey Ave SE., Washington, DC FMCSA believes that the received during the comment period. 20590. This facility is accessible to individuals with disabilities. requirements for a renewal of an Viewing Comments and Documents exemption under 49 U.S.C. 31136(e) and Written comments. You may submit 31315 can be satisfied by initially To view comments, as well as any comments to the docket number granting the renewal and then documents mentioned in this notice, or NHTSA–2014–0133 by any of the requesting and evaluating, if needed, to submit your comment online, go to following methods: subsequent comments submitted by http://www.regulations.gov and in the • Federal eRulemaking Portal: Go to interested parties. As indicated above, search box insert the docket number http://www.regulations.gov. Follow the the Agency previously published FMCSA–2012–0154 and click ‘‘Search.’’ online instructions for submitting notices of final disposition announcing Next, click ‘‘Open Docket Folder’’ and comments. its decision to exempt these 15 you will find all documents and • Mail: Docket Management Facility: individuals from the hearing comments related to this document. U.S. Department of Transportation, 1200 requirement in 49 CFR 391.41(b)(11). Issued on: December 31, 2014. New Jersey Avenue SE., West Building The final decision to grant an exemption Larry W. Minor, Ground Floor, Room W12–140, to each of these individuals was made Associate Administrator for Policy. Washington, DC 20590–0001. on the merits of each case and made • Hand Delivery or Courier: 1200 only after careful consideration of the [FR Doc. 2015–00093 Filed 1–7–15; 8:45 am] New Jersey Avenue SE., West Building comments received to its notices of BILLING CODE 4910–EX–P Ground Floor, Room W12–140, between applications. That information is 9 a.m. and 5 p.m. ET, Monday through available by consulting the above cited DEPARTMENT OF TRANSPORTATION Friday, except Federal holidays. Federal Register publications. • Fax: 202–493–2251. Interested parties or organizations National Highway Traffic Safety Instructions: All submissions must possessing information that would Administration include the agency name and docket otherwise show that any, or all, of these number. Note that all comments drivers are not currently achieving the [Docket No. NHTSA–2014–0133] received will be posted without change statutory level of safety should to http://www.regulations.gov, including Public Meeting Concerning Test immediately notify FMCSA. The any personal information provided. Device for Human Occupant Restraint Agency will evaluate any adverse Please see the Privacy Act discussion evidence submitted and, if safety is AGENCY: National Highway Traffic below. being compromised or if continuation of Safety Administration (NHTSA), Docket: For access to the docket, go to the exemption would not be consistent Department of Transportation (DOT). http://www.regulations.gov at any time with the goals and objectives of 49 ACTION: Meeting announcement. or to 1200 New Jersey Avenue SE., West U.S.C. 31136(e) and 31315, FMCSA will Building Ground Floor, Room W12–140, take immediate steps to revoke the SUMMARY: This notice announces a Washington, DC 20590, between 9 a.m. exemption of a driver. public meeting on Tuesday, January 20, and 5 p.m., Monday through Friday,

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except Federal Holidays. Telephone: adult male ATD in frontal and frontal pursuant to an amended agreement (202) 366–9826. oblique crash test modes. The purpose between PSCC and the Franklin County Privacy Act: Anyone is able to search of this public meeting is to provide a General Authority (FCGA). the electronic form of all comments forum for open communication and data PSCC states that it currently operates received into any of our dockets by the sharing on the THOR ATD towards the over the Rail Lines pursuant to an name of the individual submitting the common goal of improving the safety of operation exemption issued in comment (or signing the comment, if passenger vehicle occupants. Potential Pennsylvania & Southern Railway— submitted on behalf of an association, topics for discussion at the meeting Operation Exemption—Franklin County business, labor union, etc.). You may include qualification procedures, General Authority, FD 34461 (STB review DOT’s complete Privacy Act repeatability and reproducibility, served Feb. 12, 2004). PSCC and FCGA Statement in the Federal Register biofidelity evaluation, injury criteria, have entered into an amended rail published on April 11, 2000, (Volume and computational models. operating agreement that extends the 65, Number 70; Pages 19477–78) or you Registration is necessary for all term of the current agreement until may visit http://www.dot.gov/ attendees. Please see registration October 31, 2039, and makes other privacy.html. instructions under DATES and FOR minor changes to the existing Confidential Business Information: If FURTHER INFORMATION CONTACT. Should agreement. PSCC states that the you wish to submit information under a it be necessary to cancel the meeting amended terms will promote stability claim of confidentiality, you should due to inclement weather or any other for the rail operations and justify further submit two copies of your complete emergencies, a decision to cancel will investment in the operations. be made as soon as possible and submission and one copy of the PSCC also states that it will continue emailed to the registered attendees. If submission containing only the portions to interchange with CSXT and certifies you do not have access to email, you for which no claim of confidential that no interchange commitments will may call the contacts listed in this treatment is made and from which those be required as part of this transaction. portions for which confidential announcement and leave your telephone number and/or email address. PSCC certifies that its projected treatment is claimed have been revenues as a result of the transaction redacted, to the Office of Chief Counsel You will be contacted only if the meeting is postponed or canceled. will not result in the creation of a Class (NCC–111), National Highway Traffic I or Class II rail carrier. Safety Administration, Room W41–227, Written comments can be submitted PSCC states that it intends to begin 1200 New Jersey Avenue SE., to the docket. See information under DATES FOR FURTHER INFORMATION operations under the amended rail Washington, DC 20590. You should and CONTACT operating agreement on or after the include a cover letter setting forth the . The final agenda, as well as material presented at the public effective date of the exemption, which information specified in our meeting, will be posted to the NHTSA is January 22, 2015 (30 days after the confidential business information Web site at http://www.nhtsa.gov/ verified notice was filed). regulation (49 CFR part 512). In Research/Biomechanics+&+Trauma/ addition, you should submit two copies If the verified notice contains false or THOR+50th+Male+ATD. The agenda from which you have redacted the misleading information, the exemption will be posted one week prior to the claimed confidential business is void ab initio. Petitions to revoke the meeting. A teleconference will be information to Docket Management at exemption under 49 U.S.C. 10502(d) arranged for those who cannot attend the address given above. may be filed at any time. The filing of the meeting in person. a petition to revoke will not FOR FURTHER INFORMATION CONTACT: To automatically stay the effectiveness of register for the public meeting, please Tim Johnson, Acting Associate Administrator for Vehicle the exemption. Petitions to stay must be send your name, affiliation, phone filed no later than January 15, 2015 (at number, email address, and whether Safety Research. [FR Doc. 2015–00150 Filed 1–7–15; 8:45 am] least seven days before the exemption you will attend in person or over becomes effective). teleconference to [email protected] BILLING CODE 4910–59–P An original and ten copies of all by the date stated under DATES. Teleconference information will be pleadings, referring to Docket No. FD distributed to the pre-registered remote DEPARTMENT OF TRANSPORTATION 35893, must be filed with the Surface Transportation Board, 395 E Street SW., participants. For questions about Surface Transportation Board registering for, or general questions Washington, DC 20423–0001. In about, the public meeting, please [Docket No. FD 35893] addition, a copy of each pleading must contact Dan Parent (202) 366–1724 or be served on Eric M. Hocky, Clark Hill Stephen Ridella (202) 366–4703. Pennsylvania & Southern Railway, PLC, One Commerce Square, 2005 LLC—Operation Exemption—Franklin Market Street, Suite 1000, Philadelphia, SUPPLEMENTARY INFORMATION: The Test County General Authority PA 19103. Device for Human Occupant Restraint Board decisions and notices are (THOR) is an advanced Pennsylvania & Southern Railway, available on our Web site at anthropomorphic test device (ATD, or LLC (PSCC), a Class III carrier, has filed www.stb.dot.gov. test dummy). It is designed to better a verified notice of exemption under 49 represent the automotive occupants in CFR 1150.41 to acquire extended Decided: January 5, 2015. the sophisticated restraint systems operating rights over approximately 25 By the Board, Rachel D. Campbell, developed since the advent of the miles of track and associated right-of- Director, Office of Proceedings. Hybrid III test dummy, such as force- way within the Cumberland Valley Jeffrey Herzig, limited three-point belts and air bags. Business Park and the Letterkenny Clearance Clerk. NHTSA has been researching the Army Depot near Chambersburg, [FR Doc. 2015–00075 Filed 1–7–15; 8:45 am] application of the THOR 50th percentile Franklin County, Pa. (the Rail Lines), BILLING CODE 4915–01–P

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Part II

Department of Transportation

Pipeline and Hazardous Materials Safety Administration 49 CFR Parts 171, 172, 173, et al. Hazardous Materials: Harmonization With International Standards (RRR); Final Rule

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DEPARTMENT OF TRANSPORTATION III. Incorporation by Reference Discussion reduces regulatory compliance costs and Under 1 CFR Part 51 helps to avoid costly frustrations of Pipeline and Hazardous Materials IV. Comment Discussion international shipments. PHMSA’s Safety Administration V. Section-by-Section Review continued leadership in maintaining VI. Regulatory Analyses and Notices A. Statutory/Legal Authority for the consistency with international 49 CFR Parts 171, 172, 173, 175, 176, Rulemaking regulations enhances the hazardous 178 and 180 B. Executive Orders 12866 and 13563 and materials safety program and assists in DOT Regulatory Policies and Procedures maintaining a favorable trade balance. [Docket Nos. PHMSA–2013–0260 (HM– C. Executive Order 13132 215M)] D. Executive Order 13175 II. Background E. Regulatory Flexibility Act, Executive RIN 2137–AF05 PHMSA published a notice of Order 13272, and DOT Policies and proposed rulemaking (NPRM) under Procedures Docket HM–215M (79 FR 50741, August Hazardous Materials: Harmonization F. Paperwork Reduction Act With International Standards (RRR) G. Regulatory Identifier Number (RIN) 25, 2014) to incorporate various H. Unfunded Mandates Reform Act amendments to harmonize the HMR AGENCY: Pipeline and Hazardous I. Environment Assessment with recent changes to the UN Model Materials Safety Administration J. Privacy Act Regulations, the IMDG Code, and the (PHMSA), DOT. K. Executive Order 13609 and International ICAO Technical Instructions. When ACTION: Final rule. Trade Analysis considering alignment of the HMR with I. Executive Summary international standards, we review and SUMMARY: PHMSA is amending the evaluate each amendment on its own Hazardous Materials Regulations to In this final rule, PHMSA is amending merit, on the basis of its overall impact maintain alignment with international the Hazardous Materials Regulations on transportation safety, and on the standards by incorporating various (HMR; 49 CFR parts 171–180) to basis of the economic implications amendments, including changes to incorporate changes adopted in the associated with its adoption into the proper shipping names, hazard classes, IMDG Code, the ICAO Technical HMR. Our goal is to harmonize without packing groups, special provisions, Instructions, and the UN Model diminishing the level of safety currently packaging authorizations, air transport Regulations, effective January 1, 2015. provided by the HMR or imposing quantity limitations, and vessel stowage These changes ensure the domestic undue burdens on the regulated requirements. These revisions are hazard classification, hazard community. necessary to harmonize the Hazardous communication and packaging Based on this review and evaluation, Materials Regulations with recent requirements are consistent with those in this final rule, PHMSA is amending changes made to the International employed throughout the world. the HMR to incorporate changes from Maritime Dangerous Goods (IMDG) Federal law and policy strongly favor the 18th Revised Edition of the UN Code, the International Civil Aviation the harmonization of domestic and Model Regulations, Amendment 37–14 Organization’s Technical Instructions international standards for hazardous to the IMDG Code, and the 2015–2016 (ICAO TI) for the Safe Transport of materials transportation. The Federal ICAO Technical Instructions, which Dangerous Goods by Air, the United hazardous materials transportation law become effective January 1, 2015 (The Nations Recommendations on the (Federal hazmat law; 49 U.S.C. 5101 et IMDG Code is effective January 1, 2015; Transport of Dangerous Goods (UN seq.) directs PHMSA to participate in however, Amendment 36–12 may Model Regulations) and subsequently relevant international standard-setting continue to be used until January 1, address three petitions for rulemaking. bodies and encourages alignment of the 2016). Notable amendments to the HMR DATES: Effective Date: January 1, 2015. HMR with international transport in this final rule include the following: • Voluntary compliance date: PHMSA standards to the extent practicable while Updating references to international is authorizing voluntary compliance recognizing that deviations may at times regulations including the ICAO beginning January 1, 2015. be necessary to be consistent with the Technical Instructions, the IMDG Code, Delayed compliance date: Unless public interest (see 49 U.S.C. 5120). the UN Model Regulations, the UN otherwise specified, compliance with Harmonization facilitates international Manual of Tests and Criteria the the amendments adopted in this final trade by minimizing the costs and other Canadian Transportation of Dangerous rule is required beginning January 1, burdens of complying with multiple or Goods Regulations and various inconsistent safety requirements for technical standards. 2016. • Incorporation by reference date: The transportation of hazardous materials. Adding, revising, or removing incorporation by reference of certain Harmonization has also become certain proper shipping names, hazard publications listed in this rule is increasingly important as the volume of classes, packing groups, special approved by the Director of the Federal hazardous materials transported in provisions, packaging authorizations, Register as of January 1, 2015. international commerce grows. Safety is bulk packaging requirements, and often enhanced by creating a uniform passenger and cargo aircraft maximum FOR FURTHER INFORMATION CONTACT: framework for compliance. PHMSA quantity limits from the Hazardous Steven Webb, Office of Hazardous actively participates in relevant Materials Table (HMT). Materials Standards or Vincent Babich, international standard-setting bodies • Adopting an exception from the International Standards, telephone (202) and promotes the adoption of standards HMR for marine pollutants up to 5 L 366–8553, Pipeline and Hazardous consistent with the high safety (1.3 gal) for liquids or 5 kg (11 lbs.) for Materials Safety Administration, U.S. standards set by the HMR. solids when these materials are Department of Transportation, 1200 The foreign trade of chemicals is a packaged in accordance with the general New Jersey Avenue SE., 2nd Floor, large segment of the United States packaging requirements of §§ 173.24 Washington, DC 20590–0001. economy. In 2000, U.S. foreign trade in and 173.24a. These exceptions are SUPPLEMENTARY INFORMATION: chemicals totaled $154 billion and consistent with the UN Model I. Executive Summary generated a $6 billion positive trade Regulations, the IMDG Code, and the II. Background balance. The consistency of regulations ICAO TI.

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• Modifying the list of marine IV. Comment Discussion general support from the commenters on pollutants in Appendix B to § 172.101. In response to PHMSA’s August 25, the principle of harmonizing the U.S. • Adding minimum sizes for the 2014 NPRM (79 FR 50741), PHMSA regulations with international transport OVERPACK and SALVAGE markings. received comments from the following and technical standards. We did not • Revising and adding vessel stowage receive any comments that opposed our codes listed in column 10B of the HMT organizations and individuals: • Aaron Adamczyk proposals to incorporate these standards and segregation requirements in • Alaska Airlines and will adopt them in this final rule. § 176.83 consistent with the IMDG • American Chemistry Council (ACC) Code. Exceptions for Marine Pollutants • American Society of Travel Agents • Adsorbed gases: Adopting new In the NPRM, PHMSA proposed to • Anonymous entries into the HMR; adding a add a new exception from the HMR to • Autoliv definition; authorizing packagings; and • Carla Clark § 171.4 for marine pollutants up to 5 L adding safety requirements including • The Council on Safe Transportation (1.3 gallons) for liquids or 5 kg (11 lbs) quantity limitations and filling limits. of Hazardous Articles, Inc. (COSTHA) for solids when these materials are • Harmonizing with the latest version • The Dangerous Goods Advisory packaged in accordance with the general of the ICAO TI to ensure that the Council (DGAC) packaging requirements of §§ 173.24 information currently authorized by the • Dow Chemical and 173.24a. HMR to be provided by means of an • Edward Altemos PHMSA received comments from alternative document be included on a • Entegris Gregory Sutherland, DGAC, IVODGA, shipping paper for batteries transported • Gregory Sutherland and COSTHA concerning our proposed under the provisions of • The Institute of Makers of amendments to this section. General § 173.185(c)(4)(v) equivalent to Section Explosives (IME) support for the harmonization effort was IB of ICAO TI Packing Instructions 965 • International Vessel Operators provided by COSTHA, IVODGA, and and 968. PHMSA is also harmonizing Dangerous Goods Association (IVODGA) DGAC. with the latest version of the ICAO TI • James Lynch Mr. Sutherland asks if the intent of by requiring a ‘‘CARGO AIRCRAFT • Jeffery Richmond the proposal was to eliminate limited ONLY’’ label on packages containing • Katherine Whelan quantity and excepted quantity small lithium metal batteries not packed • Key Safety Systems shipments of marine pollutants, and in or with equipment. • further asks why anyone would offer a • Paul Rankin/RIPA Amending the HMR definition of • Sally Mitchell marine pollutant as a limited or non-bulk packaging by adding a new • Shondra Hector excepted quantity with the new paragraph (4) to include bags and boxes • TK Holdings Inc. (Takata) exception in place. PHMSA is not conforming to the applicable • TRW Automotive proposing to remove the ability to offer requirements for specification • Veolia ES Technical Solutions, marine pollutants as limited or excepted packagings in subpart L of part 178 of L.L.C. (Veolia) quantities, but does agree with the this subchapter, if they have a • United Parcel Service (UPS) commenter that the vast majority of maximum net mass of 400 kg (882 Below is a listing of major shippers of limited or excepted quantity pounds) or less. amendments to the international amounts of marine pollutants will transportation regulations that we choose to utilize the new exception III. Incorporation by Reference instead of existing limited or excepted Discussion Under 1 CFR Part 51 proposed for adoption into the HMR, a brief synopsis of the comments we quantity provisions. Mr. Sutherland The United Nations received regarding those proposals, and notes that as proposed there would be Recommendations on the Transport of PHMSA’s position regarding the no restriction on the number of 5 L Dangerous Goods—Model Regulations, comments. Additional comments are containers that are permitted in a Manual of Tests and Criteria, all of the addressed in the section-by-section combination package, so a package Transport Canada Clear Language analysis section.1 containing four 5 L bottles would Amendments, and the IAEA Regulations contain 20 L of non-regulated marine are all free and easily accessible for the Incorporation by Reference pollutants, but a 10 L jerrican would be public to access on the internet, with In the NPRM, PHMSA proposed to fully regulated. Mr. Sutherland is access provided via Web sites provided incorporate by reference the latest correct. There is no limit to the number by the parent organization. The editions of various international of up to 5 L or 5 kg single or inner International Civil Aviation transport standards including the 2015– packagings that may be placed inside of Organization Technical Instructions for 2016 ICAO TI, Amendment 37–14 of the a package under the conditions of the the Safe Transport of Dangerous Goods IMDG Code, the 18th Revised Edition of exception. Lastly, Mr. Sutherland notes by Air, International Maritime the UN Model Regulations, the that as proposed there would be no Organization International Maritime International Atomic Energy Agency requirement to mark a freight container Dangerous Goods Code, and all of the Safety Standards for Protecting People with the large marine pollutant marking International Organization for and the Environment; Regulations for even if that freight container contains Standardization references are available the Safe Transport of Radioactive nothing but packages of excepted for interested parties to purchase in Material, No. SSR–6, and the Canadian marine pollutants. Mr. Sutherland is either print or electronic versions Transportation of Dangerous Goods correct. If the shipments of marine through the parent organization Web Regulations. Finally, PHMSA proposed pollutants are below the provided sites. The price charged for these the incorporation by reference of new quantity thresholds per inner or single standards not freely available to and updated standards published by the packaging and meet the applicable interested parties helps to cover the cost International Organization for general packaging provisions no of developing, maintaining, hosting, and Standardization (ISO). PHMSA received marking would be required on a cargo accessing these standards. The specific transport unit, regardless of the number standards are discussed in greater detail 1 Comments which were outside the scope of this of packages being offered under the in the following analysis. rulemaking are not addressed in this final rule. exception.

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DGAC noted that they believe the National Response Center (NRC) committees of the International language in the proposed paragraph incident reporting since 2009 shows 415 Maritime Organization prior to adoption (c)(l) could be clarified, as a partial initial reports to the NRC involving into amendment 37–14 of the IMDG reading could imply that single or inner containership during that period. 78 of Code. The Group of Experts on the packagings of 5 L or 5 kg of any material those reports involved leaking Scientific Aspects of Marine are excepted from the HMR. PHMSA containers on deck, with 5 of the leaks Environmental Protection (GESAMP) agrees. The wording of the proposed reaching the water. Thirteen of those data assigns all dodecene isomers a B1 exception is not clear enough to indicate reports involved the loss of containers numerical rating of 4. This rating of 4 that all shipments of marine pollutants or pallets over the side. None of the indicates acute aquatic toxicity, and meeting the quantity thresholds and incidents over the time period involved thus merits inclusion of dodecene (all general packaging provisions can utilize marine pollutants that would be isomers) to the list of marine pollutants the exception assuming they are not also excepted as a result of this final rule. in Appendix B to § 172.101. hazardous substances or hazardous Modification of Marine Pollutant List in Adsorbed Gas HMT Entries wastes. The use of the exception for Appendix B to § 172.101 single or inner packagings of 5 L or 5 kg In the NPRM, PHMSA proposed to or less is not limited to materials offered In the NPRM, PHMSA proposed the revise the Hazardous Materials Table under the UN identification numbers addition of 62 new entries consistent (HMT) in § 172.101 to include seventeen UN 3077 and UN 3082, but would also with the IMDG Code and removing the new entries for adsorbed gases apply to marine pollutants that meet the entry ‘‘Chlorotoluenes (meta-;para-)’’ consistent with amendments adopted definition of other hazard classes (i.e. based on its removal from the IMDG into the UN Model Regulations. We also paints or n.o.s. entries that meet the Code. proposed to add into the HMR a definition of more than one hazard PHMSA received two comments from definition, authorized packagings, and class). PHMSA is amending the the ACC regarding our proposed safety requirements including quantity exception in 171.4 for clarification. addition of dodecene, to the list of limitations and filling limits. IVODGA, while providing general marine pollutants. In its first comment, PHMSA received three comments support for harmonization on this issue, the ACC requests a 30 day extension of from COSTHA, DGAC, and Entegris notes the reporting requirements under the comment period to better noting that the entry for ‘‘Arsine, the International Convention for the understand ‘‘dodecene’s place on other adsorbed’’ was not added to the HMT in Prevention of Pollution from Ships lists referenced in the proposed rule.’’ the NPRM as intended. As a result, (MARPOL) and the Environmental ACC notes that it would use the time to PHMSA is adding the entry ‘‘UN3522, Protection Agency (EPA) Vessel’s coordinate with industry to better Arsine, adsorbed’’ to the HMT. Entegris General Permit (VGP) Plan requirements understand the information contained also provided comment suggesting that and has some concern regarding the in the dodecene Regulation on § 173.302c cannot be referenced in the vessel operator’s ability to identify these Registration, Evaluation, Authorization HMT as a packaging instruction for bulk marine pollutants. Vessel owners or and Restriction of Chemicals (REACH) shipments of adsorbed gases, as there is operators may be caught in a situation dossiers. PHMSA is denying the ACC’s no internationally accepted standard or where they are transporting materials request for a 30 day extension of the authorization for bulk receptacles which may be excepted from various comment period for this rulemaking as containing such gases. PHMSA agrees transport requirements, but still require the revision to include dodecene in the with the Entegris comment that bulk reporting under domestic and Marine Pollutant List is consistent with packagings for adsorbed gases are not international mandates. IVODGA states our standard practice of aligning presently authorized. As a result, that some consideration of these Appendix B with the indicative list of PHMSA is revising Column (8C) of the reporting requirements should be marine pollutants found in the IMDG HMT for the Adsorbed gas entries to addressed since these substances in Code. In its second comment, the ACC indicate ‘‘None.’’ small packages still represent a hazard notes that the use of the name In addition, Entegris and COSTHA if spilled from or on a vessel during ‘‘dodecene’’ in both the IMDG Code and requested that PHMSA incorporate operational phases especially when PHMSA’s proposed rule makes it provisions for the use of DOT transported in container load quantities. unclear exactly what substance is being specification cylinders to transport PHMSA asserts that excepting up to 5 regulated. When manufactured, adsorbed gasses. PHMSA agrees with L for liquids and 5 kg for solids provides dodecene may represent a number of the commenters that appropriate significant benefit to the shipper and Chemical Abstracts Service (CAS) provisions for the use of DOT cylinders aligns with requirements of other modes numbers and different chemical should be considered. However this of transportation and international properties. In other words, this single action was not proposed in the NPRM. regulations. EPA’s VGP Plan regulates description of dodecene may not reflect Continued transportation of adsorbed discharges incidental to normal what ACC panel members currently gases is provided for under the operations. Reporting requirements manufacture and ship. The ACC also provisions of Special Permit 14237 and under the VGP Plan are for reportable notes that the REACH registration of a PHMSA will consider inclusion of DOT quantities of substances as listed in close analog of dodecene, 1-dodecene/ specification cylinder authorizations Appendix A in 49 CFR 172.101, and dodec-1-ene, indicates that dodecene under a future rulemaking. does not cover marine pollutants. would not meet the criteria of a Marine Pollutant, as set forth in the PHMSA Lithium Battery Harmonization PHMSA data over the past 10 years Proposals contains just one record of a marine list, based on aquatic toxicity data. The pollutant released on a vessel.2 REACH dossier indicates ‘‘conclusive In the NPRM, PHMSA proposed Furthermore, that one incident involved but not sufficient for classification’’ on harmonization with the latest version of a 55 gallon drum which would not be both acute and chronic environmental the ICAO TI to ensure that the impacted by the proposed amendment. categories associated with this information currently authorized by the compound. The inclusion of all entries HMR, to be provided by means of an 2 Incident data can be accessed at https://hazmat proposed for addition in the NPRM was alternative document, be included on a online.phmsa.dot.gov/IncidentReportsSearch/. thoroughly vetted by several sub- shipping paper for batteries transported

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under the provisions of from the current ICAO TI and previous materials liable to give off a flammable § 173.185(c)(4)(v) which is equivalent to requirements of the HMR. In this final or toxic gas in contact with water) and Section IB of ICAO TI Packing rule, PHMSA is revising Class 3 flammable liquids and Division Instructions 965 and 968. PHMSA § 173.185(c)(1)(iii) as proposed in the 2.1 flammable gases. PHMSA received a specifically requested input as to the NPRM with an additional editorial comment from IVODGA providing costs and benefits of harmonizing the revision to clarify that lithium metal general support for this harmonization provisions of the HMR with the cells or batteries packed with or effort. provisions of the ICAO TI by requiring contained in equipment in quantities shipping papers as opposed to ‘‘not exceeding’’ as opposed to ‘‘less V. Section-by-Section Review alternative documentation. PHMSA than’’ 5 kg net weight are not subject to The following is a section-by-section received comments from UPS and the marking or ‘‘CARGO AIRCRAFT review of the amendments adopted in Alaska Airlines concerning removal of ONLY’’ label requirement. This this final rule: the alternative document. UPS provides editorial consistency with the Part 171 supported our proposed change to the provisions of the ICAO TI. documentation requirement for In the NPRM, PHMSA proposed to Section 171.4 amend the lithium battery requirements packages containing smaller lithium Section 171.4 prohibits the batteries transported in accordance with by authorizing use of a large packaging transportation of materials meeting the § 173.185(c)(4)(v). UPS also commented for a single large lithium battery or definition of a marine pollutant except that the proposal to introduce a batteries contained in equipment. in accordance with HMR requirements. shipping paper requirement for PHMSA received one comment from Paragraph (c) provides that marine shipments offered under COSTHA in support of this proposal. pollutants transported in non-bulk § 173.185(c)(4)(v) could be interpreted Definition of Non-Bulk Packaging packagings are excepted from the HMR to conflict with the statement in the unless the transportation is by vessel. preceding paragraph § 173.185(c) in that To harmonize with the 18th Revised PHMSA is adding a new exception from such shipments are excepted from the Edition of the UN Model Regulations, in the HMR for marine pollutants up to 5 requirements in subparts C through H of the NPRM, PHMSA proposed to amend part 172. UPS suggests that § 173.185(c) the definition of non-bulk packaging in L (1.3 gallons) for liquids or 5 kg (11 should be clarified in this regard. We § 171.8 to include a bag or box having pounds) for solids when these materials agree clarification is warranted. Alaska a capacity of greater than 450 liters (119 are packaged in accordance with the Airlines commented that it would like gallons) provided the net mass of the general packaging requirements of to see increased harmonization between bag or box is 400 kg (882 pounds) or §§ 173.24 and 173.24a. This the HMR and the ICAO TI with regard less. PHMSA received comments from amendment, applicable to all modes, to the documentation required while Key Safety Systems, RIPA, TK Holdings exempts small packages of hazardous stating there is no reason to deviate from Inc., and TRW Automotive in support of material from the HMR that are the ICAO TI. We agree, and note that the this proposal. However, RIPA regulated only because of the presence amendments proposed do provide for conditioned their support on the of one or more marine pollutants. such consistency. presumption that the references to Comments received on this issue are Taking into account the comments ‘‘bag’’ and ‘‘box’’ in the definition do discussed in detail in the Section IV from Alaska Airlines, PHMSA limit users to all the conditions ‘‘Comment Discussion’’ portion of this confirmed that the proposed stipulated in subpart L of part 178. For final rule. As a result of comments from amendments align with the example, the standard for each of the DGAC, PHMSA is amending the requirements of the ICAO TI with regard different bags provided in subpart L of exception in 171.4 to indicate that the to documentation. However, based on part 178 imposes a maximum net mass use of the exception for single or inner the comment from UPS, in this final limitation of 50 kg (110 pounds). packagings of 5 L or 5 kg or less is not rule PHMSA is revising PHMSA agrees that the text proposed in limited to materials offered under the § 173.185(c)(4)(v) as suggested by UPS the revised definition of non-bulk UN identification numbers UN 3077 and for clarity. This editorial amendment packaging requiring the bag or box to UN 3082, but also applies to marine will clarify that packages offered in conform to all applicable requirements pollutants that meet the definition of accordance with § 173.185(c)(4)(v) are for the specification packagings in other hazard classes (i.e. paints or subject to the shipping paper subpart L of part 178 should be clarified N.O.S. entries that meet the definition of requirements of subpart C of Part 172. and has revised the definition to include more than one hazard class). In the NPRM, PHMSA proposed that the packaging may not exceed the Section 171.7 revision of § 173.185(c)(1)(iii) to maximum net mass limitation provided harmonize with the latest version of the in subpart L of part 178. Section 171.7 provides a listing of all ICAO TI by providing the option to use standards incorporated by reference into a ‘‘CARGO AIRCRAFT ONLY’’ label or Vessel Stowage and Segregation the HMR. For this rulemaking, we the existing HMR marking requirement Changes evaluated updated international on packages containing small lithium In the NPRM, PHMSA proposed to consensus standards pertaining to metal batteries excluding those packed revise and add vessel stowage codes proper shipping names, hazard classes, with or contained in equipment. listed in column 10B of the HMT and packing groups, special provisions, PHMSA received comments from UPS segregation requirements in § 176.83 packaging authorizations, air transport and COSTHA in support of the consistent with the IMDG Code. These quantity limitations, and vessel stowage proposal. UPS commented that the changes harmonize the HMR with the requirements and determined that the provision in this paragraph excepting IMDG Code and provide additional revised standards provide an enhanced lithium metal cells or batteries packed guidance on the loading and stowage of level of safety without imposing with or contained in equipment in various materials. Additionally, we significant compliance burdens. These quantities ‘‘less than 5 kg net weight’’ proposed to increase the required standards have a well-established and from the § 173.185(c)(1)(iii) marking segregation distances between Division documented safety history and their requirement differs slightly in wording 4.3 dangerous when wet material (i.e. adoption will maintain the high safety

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standard currently achieved under the the adoption of Amendments 8, 9 and considered non-bulk packagings under HMR. Therefore, we are adding and 10, along with the adoption of the most the HMR. This was based on recognition revising the incorporation by reference recent, Amendment 11. by the UN Transport of Dangerous materials under the following Paragraph (dd)(1), the United Nations Goods Sub-Committee that there are organizations: Recommendations on the Transport of packagings suitable for the Paragraph (s)(1) which incorporates Dangerous Goods— Model Regulations, transportation of high volume, low mass the International Atomic Energy Agency 17th Revised Edition (2011), Volumes I materials (e.g., airbags) where the (IAEA) Regulations for the Safe and II, is revised to incorporate the 18th capacity of a box may exceed 450 liters Transport of Radioactive Material 1996 Revised Edition (2013), Volumes I and (119 gallons) while the net mass of the edition is revised to incorporate the II. box is less than 400 kg (882 pounds). SSR–6 2012 Edition. The SSR–6 2012 Paragraph (dd)(2), the United Nations Absent a corresponding amendment to Edition is replacing TS–R–1 (ST–1, Recommendations on the Transport of the HMR, U.S. manufacturers and Revised) 1996 Edition to address Dangerous Goods—Manual of Tests and shippers would be placed at a concerns over domestic and Criteria, Fifth Revised Edition (2009), competitive disadvantage by not being international differences in the transport including Amendment 1 (2011), is authorized to use the same packaging conditions applicable to shipments of revised to reference § 171.24, and sub- configurations other than as authorized excepted fissile materials, PHMSA is paragraph (iii) is added to incorporate for use by Part 171 Subpart C (use of adding additional requirements to Amendment 2 (2013). international transport standards and § 171.23 to ensure domestic concerns Section 171.8 regulations). Therefore, to maintain are addressed. Please see the discussion consistency with the UN Model in the Section-by-Section Review under This section defines terms generally Regulations, and to authorize the use of § 171.23 for a summary of changes. used throughout the HMR that have Paragraph (t)(1) which incorporates broad or multi-modal applicability. these packaging configurations for the International Civil Aviation PHMSA is adding the following defined domestic transport, PHMSA is revising Organization Technical Instructions for terms: the HMR definition of non-bulk the Safe Transport of Dangerous Goods Adsorbed gas: The adoption of this packaging by adding a new paragraph by Air, 2013–2014 Edition is revised to term directs the reader to § 173.115 for (4) to include bags and boxes incorporate the 2015–2016 Edition. the definition. See the § 173.115 entry of conforming to the applicable Paragraph (v)(2), which incorporates the Section-by-Section Review for a requirements for specification the International Maritime Organization complete discussion of the adoption of packagings in subpart L of part 178 of International Maritime Dangerous the definition of adsorbed gas. this subchapter, if they have a Goods Code, 2012 Edition, Bundle of cylinders: Consistent with maximum net mass of 400 kg (882 Incorporating Amendment 36–12, the ICAO TI, PHMSA is amending this pounds) or less. Based on our review of English Edition, Volumes 1 and 2, is definition to clarify that a ‘‘bundle of the UN Model Regulations, these are the revised to incorporate the 2014 Edition, cylinders’’ is not permitted for air only packagings affected by the UN Amendment 37–14. transport. amendment, as only bags and boxes do In paragraph (w) various International Large salvage packaging: Consistent not have specified volumetric Organization for Standardization (ISO) with the UN Model Regulations, limitations. entries which contain standards for the PHMSA is defining a large salvage PHMSA received comments from Key specifications, design, construction, packaging. A large salvage packaging is Safety Systems, RIPA, TK Holdings Inc., testing and use of gas cylinders are a special packaging into which and TRW Automotive in support of this incorporated by reference. ISO 9809– damaged, defective or leaking hazardous proposal. However, RIPA conditioned 1:2010 (E), ISO 9809–2:2010 (E), ISO materials packages, or hazardous their support on the presumption that 9809–3:2010 (E), ISO 10297:1999 (E), materials that have spilled or leaked are the references to ‘‘bag’’ and ‘‘box’’ in the ISO 11114–1:2012 (E), ISO placed for the purpose of transport for definition do limit users to all the 11117:1998(E), and ISO 11513:2011(E) recovery or disposal. The general conditions stipulated in subpart L of are added. requirements for a large salvage part 178. For example, the standard for In paragraph (bb)(1), the Transport packaging are consistent with the Canada, Transportation of Dangerous each of the different bags provided in existing requirements for a ‘‘large subpart L of part 178 imposes a Goods Regulations, including Clear packaging.’’ Large salvage packagings Language Amendments 1 through 7 sub- maximum net mass limitation of 50 kg are not authorized for air transport. (110 pounds). PHMSA believes that the paragraphs (ix), (x), (xi), and (xii), are PHMSA received a comment from RIPA added to include Amendment 8 (SOR/ text proposed in the revised definition providing general support for the of non-bulk packaging requiring the bag 2011–239) which was published on addition of this definition. or box to conform to all applicable November 9, 2011; Amendment 9 (SOR/ Neutron radiation detector: requirements for the specification 2011–60) published March 16, 2011; Consistent with the UN Model Amendment 10 (SOR/2011–210) Regulations, PHMSA is defining a packagings in subpart L or part 178 is published October 12, 2011; and neutron radiation detector. A neutron clear in requiring the bags and boxes to Amendment 11 (SOR/2012–245) radiation detector is a device that completely conform to the specification, published December 5, 2012 detects neutron radiation. In such a including the questioned maximum net respectively. In the preamble of our device, a gas may be contained in a mass limitation of 50 kg (110 pounds) January 7, 2013 final rule (HM215–L [78 hermetically sealed electron tube for bags. FR 987]) we indicated we were adopting transducer that converts neutron Radiation Detection System: Amendments 8, 9 and 10 of the radiation into a measurable electric Consistent with the UN Model Transportation of Dangerous Goods signal. Regulations, PHMSA is defining a Regulations, however this adoption Non-bulk packaging: Part 6 of the UN radiation detection system. A radiation inadvertently did not appear in the Model regulations was revised to detection system is an apparatus that published regulatory text. To correct remove the volumetric limit for certain contains radiation detectors as this oversight, we are again including packaging types that would be components.

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Section 171.23 Paragraph (b)(11) of this section aircraft to be expressed through the Section 171.23 prescribes prescribes additional requirements for current marking or by using a CARGO requirements for specific materials and shipments of radioactive materials made AIRCRAFT ONLY label as shown in packagings transported under various under authorized international § 172.448. standards or regulations. PHMSA is international standards. Section Part 172 171.22(b)(2) requires shipments made in incorporating by reference the 2012 accordance with an authorized IAEA SSR–6 regulations to replace the Section 172.101 international standard or regulation to TS–R–1 (ST–1, Revised) 1996 Edition to allow shipments to be offered for Section 172.101 provides instructions conform to all applicable requirements for using the Hazardous Materials Table of Subpart C of Part 171 which includes transportation or transported under the most recent IAEA regulations. Several (HMT) and the HMT itself. In this final any requirements found in § 171.23. rule, PHMSA is revising the Paragraph (b)(2) of this section changes to the definition of excepted fissile materials and the requirements instructional text that precedes the HMT requires the shipping paper description for paragraph (k) of this section. of items such as air bag inflators, air bag for its transport were adopted by the modules, and seat-belt pretensioners to IAEA. Under their respective statutory Paragraph (k) of § 172.101 explains conform to the requirements in authorities, DOT and the Nuclear the purpose of column (10) of the HMT § 173.166(c). Consistent with the UN Regulatory Commission (NRC) jointly and prescribes the vessel stowage and Model Regulations, PHMSA is revising regulate the transportation of segregation requirements for specific the proper shipping name of these items radioactive materials to, from, and entries in the HMT. Column (10) is within the United States. The NRC has to read ‘‘Safety device,’’ with the divided into two columns: column not initiated any rulemaking activities addition of the term ‘‘pyromechanical (10A) [Vessel stowage] specifies the to address changes made by the IAEA device’’ being included as a ‘‘Safety authorized stowage locations on board regarding the transportation of excepted device.’’ Paragraph (b)(2) is being cargo and passenger vessels and column fissile materials. In order to maintain revised to reference the new proper (10B) [Other provisions] specifies uniform treatment for shippers of shipping name, ‘‘Safety device’’ and the special stowage and segregation excepted fissile materials, PHMSA is new term ‘‘pyromechanical device.’’ As provisions. PHMSA is amending this amending § 171.23 to require that a consequence of the addition of the instructional text to note that the codes shipments of excepted fissile materials proper shipping name ‘‘Safety devices, in column 10B address not only codes offered in accordance with the IAEA pyrotechnic,’’ and special provision 161 for stowage requirements, but also, in SSR–6 regulations must also conform to certain instances, handling being removed, paragraph (b)(2)(ii) is the requirements of § 173.453. removed. requirements that need to be observed PHMSA received one comment from Section 171.24 during loading of the hazardous materials. The IMO, in amendment 37– DGAC concerning paragraph (b)(2)(i). Section 171.24 details additional 14 of the IMDG Code, has split their Paragraph (b)(2)(i) states that an EX requirements for the use of the ICAO TI. stowage and segregation column (16) in number or product code number must PHMSA is amending the marking the dangerous goods list into two be included as part of the shipping requirement for packages containing columns and assigned codes to the description. DGAC notes that safety primary lithium batteries and cells that existing stowage, handling, and devices tested and certified as Class 9 in meet the exceptions in paragraph accordance with § 173.166(b) do not (d)(1)(ii). Packages meeting these segregation text. The new first column require EX numbers and that the exceptions currently are required to be (16a) in the IMDG Code is entitled wording in this paragraph is confusing marked with an indication that they stowage and handling, and the second as it conveys that all safety devices contain lithium batteries, and that these column (16b) is titled segregation. require either an EX number or product lithium batteries are forbidden for PHMSA is maintaining the HMR’s code in association with the basic transport aboard passenger aircraft. current column 10A and 10B system, description on a shipping paper. We PHMSA is making this change to allow with text in this section and § 176.84 agree with DGAC that the EX number or the message that these batteries are indicating that handling/loading of product code shipping paper forbidden for transport aboard passenger hazardous materials is also covered by requirements when offering under aircraft to be expressed through the certain codes in column 10B. See international standards in accordance current marking or by using a CARGO Section 176.84 other requirements for with § 171.23(b) may be confusing when AIRCRAFT ONLY label as shown in stowage, cargo handling, and compared to the corresponding § 172.448. segregation for cargo vessels and domestic requirements in § 173.166(c) passenger vessels for a detailed that only require the EX number or Section 171.25 discussion of changes. product code on a shipping paper for Section 171.25 details additional Hazardous Materials Table (HMT) safety devices classed as Class 1, but requirements for the use of the IMDG excepts Class 9 safety devices from this Code. PHMSA is amending the marking In this final rule, PHMSA is proposing requirement. Taking into account the requirement for packages containing to amend the HMT. Readers should comments from DGAC, in this final rule, primary lithium batteries and cells that review all changes for a complete PHMSA is removing § 171.23(b)(2)(i) as meet the exceptions in § 173.185(c) in understanding of the amendments. For the preceding paragraph (b)(2) requires paragraph (b)(3). Packages meeting these purposes of the Government Printing that for each safety device, the shipping exceptions currently are required to be Office’s typesetting procedures, changes paper description must conform to the marked with an indication that they to the HMT appear under three sections requirements in § 173.166(c). By contain lithium batteries, and that these of the Table, ‘‘remove,’’ ‘‘add,’’ and removing (b)(2)(i) and directing readers lithium batteries are forbidden for ‘‘revise.’’ Certain entries in the HMT, to the EX number and product code transport aboard passenger aircraft. such as those with revisions to the requirements prescribed in § 173.166(c), PHMSA is proposing to allow the proper shipping names, appear as a any potential conflict between the two message that these batteries are ‘‘remove’’ and ‘‘add.’’ Amendments to sections is removed. forbidden for transport aboard passenger the HMT include the following:

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New HMT Entries UN3524—Phosphorus pentafluoride, tremolite, actinolite, anthophyllite, UN3507—Uranium hexafluoride, adsorbed crocidolite)’’ and ‘‘Asbestos, chrysotile,’’ UN3525—Phosphine, adsorbed radioactive material, excepted and removing shipping descriptions for UN3526—Hydrogen selenide, adsorbed package, less than 0.1 kg per package, Blue, Brown, and White Asbestos. These non-fissile or fissile-excepted The ‘‘Adsorbed gas’’ HMT entries are new international proper shipping added to address shipments of gas, names for ‘‘Asbestos, amphibole’’ and This new HMT entry addresses small which when packaged for transport, are ‘‘Asbestos, chrysotile’’ have an ‘‘I’’ quantities of uranium hexafluoride adsorbed onto a solid porous material in assigned in column one. PHMSA is also having corrosive properties by assigning a pressure receptacle. Entries classified assigning a ‘‘G’’ to the ‘‘Asbestos, the material to Class 8 with a subsidiary as Division 2.3 gases are forbidden for amphibole’’ entry. The ‘‘G’’ indicates risk of Class 7, since this is more transport by aircraft. PHMSA received that the technical name(s) of the consistent with the general rule of three comments from COSTHA, DGAC, hazardous material must be entered in classification of radioactive material in and Entegris noting that the entry for parentheses, in association with the limited quantities possessing other ‘‘Arsine, adsorbed’’ was not added to basic description. In the case of this hazards per § 173.423. Shipments must the HMT in the NPRM as intended. As proper shipping name, the technical comply with new special provision 369 a result, in this final rule PHMSA is name shown should be selected from and requirements found in § 173.420(d). adding the entry ‘‘UN3522, Arsine, the list of five different minerals PHMSA received one comment from adsorbed’’ to the HMT. Entegris also (amosite, tremolite, actinolite, Veolia requesting that the proper provided a comment suggesting that anthophyllite, crocidolite) indicated in shipping name be amended to read § 173.302c cannot be referenced in the italics after the proper shipping name. ‘‘Radioactive material, uranium HMT as a packaging instruction for bulk See the amendments to column (2) of hexafluoride, excepted package, less shipments of adsorbed gases, as there is the HMT for additional discussion than 0.1 kg per package, non-fissile or no internationally accepted standard or regarding the revision of the proper fissile excepted’’ in order to maintain authorization for bulk receptacles shipping names for these entries. the listing of all radioactive material containing such gases. PHMSA agrees In this final rule PHMSA is assigning proper shipping names in a manner that with the Entegris comment that bulk an ‘‘A’’ to column 1 for ‘‘Fish meal, they appear in succession in the HMT. packagings for adsorbed gases are not stabilized or Fish scrap, stabilized’’ PHMSA is maintaining the proper presently authorized. As a result, in this consistent with changes made to the shipping name as proposed for the final rule, PHMSA is revising Column ICAO TI. PHMSA received one purpose of international harmonization (8C) of the HMT for the Adsorbed gas comment from Alaska Airlines of shipping descriptions. It is important entries to indicate ‘‘None.’’ . supporting the assignment of an ‘‘A’’ to to note that the primary hazard Duplicate entries for UN0214 column one for this material. indicated in the HMT and all applicable Trinitrobenzene, dry or wetted with less Amendments to the Column (2) international dangerous goods lists is a than 30 percent water, by mass Hazardous Materials Descriptions and Class 8 hazard. As such, there is no currently exist in the HMT; while the Proper Shipping Names need to amend the proper shipping UN1354 entry has been inadvertently name to maintain a sequential list of all overwritten by one of these UN0214 Section 172.101(c) describes column entries having a Class 7 primary hazard. entries in an unidentified previous (2) of the HMT and the requirements for UN3508—Capacitor, asymmetric with rulemaking. PHMSA is removing one of hazardous materials descriptions and an energy storage capacity greater the duplicate UN0214 entries, and proper shipping names. than 0.3Wh reinserting the correct UN1354 entry. In the NPRM, the proper shipping This new HMT entry covers name for ‘‘UN0222, Ammonium nitrate, Amendments to the Column (1) with more than 0.2 percent combustible asymmetric capacitors with an energy Symbols storage capacity greater than 0.3 Wh. substances, including any organic Asymmetric capacitors are assigned as a Section 172.101(b) describes column substance calculated as carbon, to the Class 9 miscellaneous hazardous (1) of the HMT and the associated exclusion of any other added material. symbols that may be indicated in the substance’’ was proposed to be UN3510—Adsorbed gas, flammable, column. In accordance with amended by removing the italicized text n.o.s. § 172.101(b), the symbol ‘‘G’’ identifies and placing the text into the new special UN3511—Adsorbed gas, n.o.s. proper shipping names for which one or provision 370. PHMSA received one UN3512—Adsorbed gas, toxic, n.o.s. more technical names of the hazardous comment from IME stating that the UN3513—Adsorbed gas, oxidizing, material must be entered in parentheses NPRM did not provide an adequate n.o.s. in association with the basic description explanation to justify why the UN Sub- UN3514—Adsorbed gas, toxic, on a shipping paper. The symbol ‘‘I’’ Committee of Experts on the Transport flammable, n.o.s. indicates these proper shipping names of Dangerous Goods (UNSCETDG) UN3515—Adsorbed gas, toxic, are appropriate for describing materials recommends this change. IME provides oxidizing, n.o.s. in international transportation, but that several reasons that this amendment UN3516—Adsorbed gas, toxic, an alternate proper shipping name may should not be adopted. IME notes that corrosive, n.o.s. be selected when only domestic while the italicized text is not ‘‘lost’’ UN3517—Adsorbed gas, toxic, transportation is involved. The letter when placed in the new special flammable, corrosive, n.o.s. ‘‘A’’ denotes a material that is subject to provision 370, the absence of the text UN3518—Adsorbed gas, toxic, the requirements of this subchapter only from the proper shipping name will add oxidizing, corrosive, n.o.s. when offered or intended for to confusion about this form of UN3519—Boron trifluoride, adsorbed transportation by aircraft, unless the ammonium nitrate as UN0222 is one of UN3520—Chlorine, adsorbed material is a hazardous substance or a six classifications of solid ammonium UN3521—Silicon tetrafluoride, hazardous waste. nitrate. Of the six, only UN0222 and adsorbed In this final rule, PHMSA is adding NA0331 are Class 1 entries and all of UN3522—Arsine, adsorbed international proper shipping names for these entries have been distinguished UN3523—Germane, adsorbed ‘‘Asbestos, amphibole (amosite, from each other by italicized text. IME

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further notes there was no proposal to one comment from DGAC noting that names may continue to be used in remove clarifying italicized text from the entry in the proposed HMT association with the relevant UN other entries. contained italicized text inconsistent number. COSTHA believes a 1-year A review of the change to the UN with the amendment discussed in the transition (until January 1, 2016) would Model Regulations revealed that the NPRM (79 FR 50750). We agree and are be sufficient to re-mark packages italicized text assigned to the proper correcting the italicized text as part of already in the supply chain. PHMSA shipping name for UN0222 was the proper shipping name consistent notes that this final rule provides for a removed to resolve a potential with the NPRM preamble discussion. one year delayed compliance date from contradiction with the new special Two new proper shipping names the date of publication. It is also provision 370 assigned to UN0222. The ‘‘Asbestos, amphibole (amosite, important to note that § 172.101(l)(ii) qualifying italicized text associated with tremolite, actinolite, anthophyllite, provides for the ability to use preprinted this entry applies to materials with more crocidolite)’’ and ‘‘Asbestos, chrysotile’’ shipping papers and package markings, than 0.2 percent combustible are assigned to identification numbers until depleted or for a one year period, substances; however, special provision UN2212 and UN2590, respectively. subsequent to the effective date of a 370 provides that Ammonium nitrate These new proper shipping names more rulemaking change, whichever is less. with not more than 0.2% combustible appropriately describe the material than The proper shipping name for substances that give a positive result the present ‘‘UN2212, Blue asbestos ‘‘UN1082, Trifluorochloroethylene, when tested in accordance with Test (Crocidolite) or Brown asbestos stabilized’’ is amended by adding Series 2 of the UN Manual of Tests and (amosite, mysorite)’’ and ‘‘UN2590, ‘‘Refrigerant gas R 1113’’ as an Criteria must also be assigned to White asbestos (chrysotile, actinolite, alternative proper shipping name for UN0222. In this scenario, a user of the anthophyllite, tremolite).’’ In the consistency with the dangerous goods HMT with a material containing less scientific community, Asbestos is lists of the various international than 0.2 percent combustible substances divided into two chemical group names, standards and the HMT of the HMR. (see UN1942) may not be immediately ‘‘Amphiboles’’ and ‘‘Chrysotile’’. The The adopted proper shipping name for aware that UN0222 should be used if amphibole group includes five different UN1082 is ‘‘Trifluorochloroethylene, the material simultaneously gives a minerals (amosite, tremolite, actinolite, stabilized or Refrigerant gas R 1113’’. positive result when tested in anthophyllite, crocidolite). The PHMSA received one comment from accordance with Test Series 2. By chrysotile group includes only the DGAC noting that this entry is not listed moving the italicized text from the mineral chrysotile. in the proposed HMT under the proper shipping name to the special The proper shipping name for ‘‘REMOVE’’ instruction; however, the provision this contradiction is avoided ‘‘UN3499, Capacitor, electric double new entry is listed under the ‘‘ADD’’ by providing instruction for Ammonium layer (with an energy storage capacity instruction. As a result, in this final nitrate containing both more than, and greater than 0.3 Wh)’’ is amended by rule, PHMSA is adding ‘‘UN1082, less than 0.2 percent combustible placing the phrase ‘‘electric double Trifluorochloroethylene, stabilized’’ to substances. Following the review layer’’ in Roman type. This amendment the entries under ‘‘REMOVE’’ in the PHMSA determined that any minor is necessary to differentiate this HMT instructions to amend the HMT. This contradiction that may exist between entry from the new HMT entry, will correct the regulatory instruction maintaining the qualifying text as part Capacitor, asymmetric. for amending the proper shipping name. of the proper shipping name or in the A new proper shipping name ‘‘Safety special provision is negligible. We agree devices, electrically initiated’’ is Amendments to Column (5) Packing with the comment submitted by IME assigned to identification number Group that retaining the italicized text in UN3268. Current proper shipping Section 172.101(f) describes Column association with the proper shipping names assigned to UN3268 are ‘‘Air bag (5) of the HMT and the designation of name does have a benefit, and as such, inflators, or Air bag modules, or Seat- the packing group(s) assigned to each we are retaining the italicized text ‘‘with belt pretensioners.’’ The adopted proper proper shipping name. more than 0.2 percent combustible shipping name more appropriately For the entries ‘‘UN3316, Chemical substances, including any organic describes materials authorized under kits’’ and ‘‘UN3316, First aid kits’’ the substance calculated as carbon, to the this HMT entry in conjunction with the Packing Groups II and III designations exclusion of any other added revision to special provision 160 to are adopted. The assignment of packing substance’’ as part of the proper include a number of automotive groups to these entries are not a new shipping name. industry life-saving appliances that are requirement; however, including The proper shipping name for actuated by the electric signal of the packing group assignments in the HMT ‘‘UN1942, Ammonium nitrate, with not crash sensor. will ensure that shippers are aware that more than 0.2% combustible materials, A new proper shipping name of the most stringent packing group must including any organic substance, ‘‘Safety devices, pyrotechnic’’ is be assigned to any individual substance calculated as carbon to the exclusion of assigned to identification number in the kit in accordance with any other added substance’’ is amended UN0503. The current proper shipping § 173.161(b)(2). by replacing the word ‘‘materials’’ in names assigned to UN0503 are ‘‘Air bag PHMSA received one comment from italicized text with ‘‘substances’’ and inflators, or Air bag modules, or Seat- DGAC noting that the Packing Group III the comma following ‘‘substance’’ is belt pretensioners.’’ The adopted proper designation for ‘‘UN3316, First aid kits’’ placed after the word ‘‘carbon.’’ Due to shipping name more appropriately was not added to the HMT. In this final the present placement of the comma in describes Class 1 materials authorized rule, we are adding the Packing Group the description for the two ammonium under this HMT entry. III entry to the HMT accordingly. nitrate entries, the 0.2% combustible PHMSA received a comment from The HMT entries for several articles materials/substances are measured COSTHA noting that stocks of these are revised to remove packing group differently. This amendment ensures materials are well into the millions, and assignments. For articles, the packing that the 0.2% combustible level is therefore they requested that PHMSA group does not relate to the degree of calculated as carbon in the case of identify a transition period during hazard posed by the material but rather organic substances. PHMSA received which the previous proper shipping is assigned generically to the article.

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There is limited value in requiring an rationale, some articles are assigned listed in the HMT. In this final rule, indication of the packing group in packing groups while others are not. PHMSA is removing packing group association with the shipment. This change provides a level of assignments from the following HMT Currently and without specific consistency for all articles specifically entries:

Proper shipping name UN No.

Ammunition, tear-producing, non-explosive, without burster or expelling charge, non-fuzed ...... UN2017 Ammunition, toxic, non-explosive, without burster or expelling charge, non-fuzed ...... UN2016 Batteries, containing sodium ...... UN3292 Batteries, wet, filled with acid, electric storage ...... UN2794 Batteries, wet, filled with alkali, electric storage ...... UN2795 Batteries, wet, non-spillable, electric storage ...... UN2800 Lithium ion batteries including lithium ion polymer batteries ...... UN3480 Lithium ion batteries contained in equipment including lithium ion polymer batteries ...... UN3481 Lithium ion batteries packed with equipment including lithium ion polymer batteries ...... UN3481 Lithium metal batteries including lithium alloy batteries ...... UN3090 Lithium metal batteries contained in equipment including lithium alloy batteries ...... UN3091 Lithium metal batteries packed with equipment including lithium alloy batteries ...... UN3091 Mercury contained in manufactured articles ...... UN3506 Oxygen generator, chemical (including when contained in associated equipment, e.g., passenger service units (PSUs), portable breathing equipment (PBE), etc) ...... UN3356 Safety devices, electrically initiated * ...... UN3268 Tear gas candles ...... UN1700 * See amendments to Column 2

PHMSA received comment from DGAC and deletions to the special provisions This was an inadvertent omission. noting that for UN2794, UN2795, and addressed in this final rule. Special provision 338 has been UN2800, the Column (5) packing group In this final rule, special provision reestablished. assignments were removed in the HMT 134 is added to the HMT entry Several HMT entries are revised to but not discussed in the NPRM ‘‘UN3072, Life-saving appliances, not include new special provision 367. preamble. The entries for these articles self-inflating containing dangerous Special provision 367 authorizes the use have been added to the above table for goods as equipment.’’ The addition of of the ‘‘Paint related material’’ entries clarity. this special provision will clarify that for consignments of packages containing equipment containing only lithium ‘‘Paint’’ and ‘‘Paint related material’’ in Amendments to the Column (7) Special batteries must be consigned under the the same package. This special Provisions entries ‘‘Lithium batteries contained in provision also authorizes the proper Section 172.101(h) describes Column equipment’’ or ‘‘Lithium batteries shipping name ‘‘Printing ink related (7) of the HMT and § 172.102(c) the packed with equipment,’’ as material’’ for consignments of packages special provisions assigned to specific appropriate. containing ‘‘Printing Ink’’ and ‘‘Printing entries in the HMT. The particular PHMSA received one comment from ink related material’’ in the same modifications to the entries in the HMT DGAC noting for the entry ‘‘UN2990, package. are discussed below. See Section Life-Saving Appliances, Self Inflating,’’ In this final rule, new special 172.102 special provisions for a detailed that ‘‘Special Provision 338 is missing provision 367 is assigned to the discussion of the additions, revisions, from Column 7 in the proposed HMT.’’ following entries:

Proper shipping name UN No.

Paint including paint, lacquer, enamel, stain, shellac solutions, varnish, polish, liquid filler, and liquid lacquer base ...... UN1263 Paint or Paint related material ...... UN3066 Paint, corrosive, flammable (including paint, lacquer, enamel, stain, shellac solutions, varnish, polish, liquid filler, and liquid lacquer base) ...... UN3470 Paint, flammable, corrosive, (including paint, lacquer, enamel, stain, shellac, varnish, polish, liquid filler and liquid lacquer base) .... UN3469 Paint related material including paint thinning, drying, removing, or reducing compound ...... UN1263 Paint related material corrosive, flammable (including paint thinning or reducing compound) ...... UN3470 Paint related material, flammable, corrosive (including paint thinning or reducing compound) ...... UN3469 Printing ink, flammable or Printing ink related material (including printing ink thinning or reducing compound), flammable ...... UN1210

PHMSA received one comment from excepted package-limited quantity of This special provision addresses a DGAC regarding the UN1210 PG II entry material.’’ situation where Ammonium Nitrate, in the proposed HMT. DGAC noted that In this final rule, new special with not more than 0.2% carbon, does 367 inserted before 149 in Column (7) provision 369 is assigned to the new not satisfy Test Series 2 and therefore and is in non-sequential order. We agree HMT entry ‘‘UN3507, Uranium cannot be accommodated under the and have amended the entry hexafluoride, radioactive material, entry for ‘‘UN1942, Ammonium accordingly. excepted package, less than 0.1 kg per nitrate.’’ package, non-fissile or fissile-excepted.’’ In this final rule, we are adding new In this final rule, new special In this final rule, new special special provision 368 to the HMT entry provision 370 is assigned to the HMT provision 371 is assigned to the HMT ‘‘UN2910, Radioactive material, entry ‘‘UN0222, Ammonium nitrate.’’ entry ‘‘UN3164, Articles, pressurized

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pneumatic or hydraulic containing non- dangerous Packing Group III substance. waived or substituted by other test flammable gas.’’ These revisions will correct the methods or inspection procedures In this final rule, special provision inconsistency. specified by the competent authority or In this final rule, new special IB6 is replaced with IB8 and special its authorized body, provided that the provision A61 is assigned to the HMT provisions IP2, and IP4 are added for portable tank is dedicated to the entries ‘‘UN 3107, Organic peroxide transport of the organometallic. the HMT Packing Group III entry type E, liquid’’ and ‘‘UN 3109, Organic ‘‘UN3089, Metal powders, flammable, However, this examination is required peroxide type F, liquid’’ when the conditions of § 180.605(f) are n.o.s.’’ IB8 is presently assigned to the Several HMT entries are revised to met. Packing Group II entry, therefore, include new portable tank special fiberboard, wooden and flexible IBCs provision TP47. Special provision TP47 In this NPRM, new special provision are allowed for the Packing Group II indicates that the 2.5 year internal TP47 is assigned to the following materials, but are forbidden for the less portable tank examination may be entries:

Proper shipping name UN No.

Organometallic substance, liquid, pyrophoric, water-reactive ...... UN3394 Organometallic substance, liquid, water-reactive ...... UN3398 Organometallic substance, liquid, water-reactive, flammable ...... UN3399 Organometallic substance, solid, pyrophoric, water-reactive ...... UN3393 Organometallic substance, solid, water-reactive ...... UN3395 Organometallic substance, solid, water-reactive, flammable ...... UN3396 Organometallic substance, solid, water-reactive, self-heating ...... UN3397

PHMSA received one comment from not described in the amendments to adopted for columns (9A) and (9B) DGAC noting that for the entry Column (8B) of the NPRM, the revision respectively. Previously, there was no ‘‘UN3375, Ammonium nitrate from 231 to 214 was intentional as limit to the amount authorized to be emulsion,’’ IB2 and TP32 are listed in discussed in the section-by-section shipped in one package. These new Column (7) in the changes to the review of § 173.231 (79 FR 50764). quantity limits are consistent with proposed HMR. DGAC notes that ‘‘these authorized quantity limits found in the Amendments to Column (8C) Bulk special provisions are not present in ICAO TI. Packaging Authorizations. Column (7) in the 10–1–13 version of At the 24th meeting the ICAO DGP, it the HMR.’’ Although the addition of IB2 PHMSA received one comment from was agreed to incorporate certain UN to Column (7) was not described in the DGAC noting that for the entry ‘‘UN numbers contained in the UN Model amendments to Column (7) of the 3375, Ammonium nitrate emulsion,’’ Regulations, but not currently listed in NPRM, this revision was intentional. 231 is listed in Column (8C) in the the ICAO TI. For the entries ‘‘UN2216, PHMSA is aligning with international changes to the proposed HMT. The UN Fish meal, stabilized or Fish scrap, standards to add IBCs as an authorized Sub-Committee of Experts on the stabilized,’’ and ‘‘UN1374 Fish meal, packaging for UN3375. In the NPRM, Transportation of Dangerous Goods unstabilized or Fish scrap, unstabilized’’ portable tank special provision TP32 added authorizations for certain IBCs in the panel determined that they should was inadvertently added to this HMT the UN Model regulations for UN 3375. be forbidden for transport on both cargo entry in error. While this portable tank This authorization necessitates the and passenger aircraft. In this final rule, special provision was assigned to incorporation of a bulk packaging PHMSA is aligning with the ICAO TI by UN3375 in the UN Model Regulations authorization for this HMT entry. In this revising columns (9A) and (9B) to and the IMDG Code, the HMR do not final rule PHMSA is creating a new ‘‘Forbidden.’’ PHMSA received one authorize UN3375 in portable tanks and § 173.251 and assigning it to column comment from Alaska Airlines in therefore a portable tank special (8C) for this entry to authorize the use support of this revision. provision is not appropriate. In this of IBC’s. DGAC commented that for the HMT final rule, for the entry UN3375, Amendments to the Column (9) entry ‘‘UN3221, Self-reactive liquid type Ammonium nitrate emulsion,’’ PHMSA Quantity Limitations. B,’’ columns (9A) and (9B) in the is adding special provisions IB2, IP16, current HMT contain a (2) footnote, and and removing TP32 as proposed in the Section 172.101(j) describes Column that in the NPRM, PHMSA proposed NPRM. New special provision IP16 is (9) of the HMT and the quantity revising these limitations to indicate described in the Section 172.102 special limitations for specific entries in the ‘‘Forbidden’’ without any preamble provisions discussion for IBC Codes and HMT. Furthermore, Columns (9A) and discussion. This entry was revised in a IP Codes. (9B) specify the maximum quantities Federal Register correction document that may be offered for transportation in Amendments to Column (8B) Non-Bulk (78 FR 17874), but due to a publication one package by passenger-carrying Packaging Authorizations. error was not transitioned into the aircraft or passenger-carrying rail car printed or electronic versions of the PHMSA received one comment from (Column (9A) or by cargo-only aircraft CFR. In this rulemaking PHMSA is DGAC noting that for the entry (Column (9B). The indication of reinstating the correct quantity ‘‘UN3375, Ammonium nitrate ‘‘forbidden’’ means the material may not limitation notation of ‘‘Forbidden’’ in emulsion,’’ 231 is listed in is listed in be offered for transportation or columns 9A and 9B for this entry. Column (8B) in the changes to the transported in the applicable mode of Amendments to the Column (10) Vessel proposed HMT. DGAC notes that transport. Stowage Requirements. packaging authorization 214 is present For the entry ‘‘UN3497, Krill meal’’ in Column (8B) in the 10–1–13 version quantity limits of 15 kg and 50 kg for PG Section 172.101(k) explains the of 49 CFR. Although this revision was II, and 25 kg and 100 kg for PG III, are purpose of column (10) of the HMT and

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prescribes the vessel stowage and in amendment 37–14 of the IMDG Code. the codes found in the HMT’s column segregation requirements for specific There are several instances where (10B) [Other provisions] as a result of entries in the HMT. Column (10) is PHMSA is maintaining additional codes this review. The majority of the changes divided into two columns: column (see UN numbers 0019, 0020, 0021, are a result of work done at the IMO to (10A) [Vessel stowage] specifies the 0301, 0303, 1017, 1131, 1389, 1392, eliminate duplicate and unnecessary authorized stowage locations on board 1420, 1422, 1780, 1942, 1950, 2679, provisions. Some of the proposed cargo and passenger vessels and column 2912, 3015, 3071, 3101–3106, 3108– changes to column (10B) are adopted to (10B) [Other provisions] specifies 3110, 3242, 3323, and 3497) that vary harmonize existing differences in special stowage and segregation from IMDG Code stowage and stowage, handling, and segregation provisions. segregation requirements. These provisions between the HMR and the The IMO, in amendment 37–14 of the additional stowage and segregation IMDG Code. A table of changes, listed IMDG Code, split their stowage and provisions vary by UN number, but are segregation column (16) in the considered additional precautions in alphabetical order, showing the dangerous goods list into two columns deemed necessary to ensure the safe proper shipping name, UN and assigned codes to the existing transport of these commodities during identification number, any stowage stowage, handling, and segregation text. transportation by vessel. codes adopted for removal, and any The new first column (16a) in the IMDG During the preparation of the NPRM stowage codes adopted for addition is Code is titled stowage and handling, and final rule, PHMSA and the United provided below. If a column is blank, no and the second column (16b) is titled States Coast Guard conducted an changes were adopted. The meaning of segregation. PHMSA is maintaining the extensive review of all HMT entries to the codes in column (10B) can be found HMT’s current column (10A) and (10B), verify that domestic entries correspond either in § 176.84 or are listed in the while also harmonizing our vessel as closely as possible with the § 176.84 Section-by-Section change stowage codes in columns (10A) and provisions found in the IMDG Code. portion of this final rule. (10B) as closely as possible with those PHMSA is making numerous changes to

Proposed Proposed Proper shipping name UN ID No. removals additions

Aircraft hydraulic power unit fuel tank ...... UN3165 ...... 21, 40, 49, 100 Acrylamide, solid ...... UN2074 ...... 25 Acrylamide solution ...... UN3426 ...... 25 Aldol ...... UN2839 ...... 25 Alkali metal alloys, liquid, n.o.s...... UN1421 ...... 13, 148 Alkali metal amalgam, liquid ...... UN1389 ...... 13, 148 Alkali metal amalgam, solid ...... UN3401 ...... 13, 148 Alkali metal amides ...... UN1390 ...... 13, 148 Alkali metal dispersions, flammable or Alkaline earth metal dispersions, flammable ...... UN3482 ...... 13, 148 Alkali metal dispersions, or Alkaline earth metal dispersions ...... UN1391 ...... 13, 148 Alkaline earth metal alloys, n.o.s...... UN1393 ...... 13, 148 Alkaline earth metal amalgams, liquid ...... UN1392 ...... 13, 148 Alkaline earth metal amalgams, solid ...... UN3402 ...... 13, 148 Allyl chloroformate ...... UN1722 ...... 21, 100 Aluminum borohydride or Aluminum borohydride in devices ...... UN2870 ...... 13, 148 Aluminum carbide ...... UN1394 ...... 13, 148 Aluminum ferrosilicon powder (PG II and III) ...... UN1395 ...... 13, 148 Aluminum hydride ...... UN2463 ...... 13, 148 Aluminum phosphide ...... UN1397 ...... 13, 148 Aluminum powder, coated (PG II and III) ...... UN1309 ...... 147, 148 Aluminum powder, uncoated (PG II and III) ...... UN1396 ...... 13, 148 Aluminum silicon powder, uncoated ...... UN1398 ...... 13, 148 Aluminum smelting by-products or Aluminum remelting by-products (PG II and III) ...... UN3170 ...... 13, 148 N-Aminoethylpiperazine ...... UN2815 ...... 25 Aminopyridines (o-; m-; p-) ...... UN2671 ...... 25 Ammonium nitrate based fertilizer ...... UN2067 ...... 124 Ammonium nitrate, liquid ...... UN2426 ...... 124 Ammonium nitrate ...... UN1942 ...... 66, 124 Ammonium polysulfide, solution (PG II and III) ...... UN2818 ...... 25 Ammonium sulfide solution ...... UN2683 ...... 25 Anisoyl chloride ...... UN1729 ...... 40 Antimony pentafluoride ...... UN1732 ...... 40 Arsenic bromide ...... UN1555 ...... 25 Barium ...... UN1400 ...... 13, 148 Barium alloys, pyrophoric ...... UN1854 ...... 13, 148 Barium azide, wetted ...... UN1571 ...... 36 Barium peroxide ...... UN1449 56 66, 148 Batteries, containing sodium ...... UN3292 ...... 13, 148 Beryllium, powder ...... UN1567 ...... 13, 147, 148 Boron tribromide ...... UN2692 ...... 25 Boron trifluoride dihydrate ...... UN2851 ...... 25 Boron trifluoride dimethyl etherate ...... UN2965 ...... 25 Bromoform ...... UN2515 ...... 25 Bromine ...... UN1744 ...... 25 Bromine solutions (both PG I entries) ...... UN1744 ...... 25 Bromobenzyl cyanides, liquid ...... UN1694 ...... 25

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Proposed Proposed Proper shipping name UN ID No. removals additions

Bromobenzyl cyanides, solid ...... UN3449 ...... 25 tert-Butyl hypochlorite ...... UN3255 ...... 40 Butyl mercaptan ...... UN2347 ...... 102 5-tert-Butyl-2,4,6-trinitro-m-xylene or Musk xylene ...... UN2956 ...... 40 Butyric acid ...... UN2820 ...... 25 Calcium ...... UN1401 ...... 13, 148 Calcium carbide (PG I and II) ...... UN1402 ...... 13, 148 Calcium cyanamide with more than 0.1 percent of calcium carbide ...... UN1403 ...... 13, 148 Calcium hydride ...... UN1404 ...... 13, 148 Calcium manganese silicon ...... UN2844 ...... 13, 148 Calcium peroxide ...... UN1457 56 66, 148 Calcium phosphide ...... UN1360 ...... 13, 148 Calcium, pyrophoric or Calcium alloys, pyrophoric ...... UN1855 ...... 13, 148 Calcium silicide (PG II and III ...... UN1405 ...... 13, 148 Carbon, activated ...... UN1362 ...... 25 Carbon (PG II and III) ...... UN1361 ...... 25 Castor beans or Castor meal or Castor pomace or Castor flake ...... UN2969 ...... 44, 122 Cerium, slabs, ingots, or rods ...... UN1333 ...... 13, 147, 148 Cerium, turnings or gritty powder ...... UN3078 ...... 13, 148 Cesium or Caesium ...... UN1407 ...... 13, 148 Chloroacetonitrile ...... UN2668 ...... 25 Chloroacetophenone, liquid, (CN) ...... UN3416 ...... 25 Chloroacetophenone, solid, (CN) ...... UN1697 ...... 25 Chlorocresols solution (PG II and III) ...... UN2669 ...... 25 Chloromethyl chloroformate ...... UN2745 21, 100 ...... Chloronitrobenzenes, liquid ...... UN3409 ...... 44, 89, 100, 141 Chlorosilanes, water-reactive, flammable, corrosive, n.o.s ...... UN2988 ...... 13, 147, 148 Corrosive liquids, water-reactive, n.o.s. (PG I and II) ...... UN3094 ...... 13, 148 Corrosive solids, toxic, n.o.s. (PG III) ...... UN2923 95 ...... Corrosive solids, water-reactive, n.o.s. (PG I and II) ...... UN3096 ...... 13, 148 Crotonic acid, liquid ...... UN3472 ...... 25 Crotonic acid, solid ...... UN2823 ...... 25 Cyanogen bromide ...... UN1889 ...... 52 Cyanuric chloride ...... UN2670 ...... 25 Cyclohexyl mercaptan ...... UN3054 ...... 102 1,1-Dichloro-1-nitroethane ...... UN2650 ...... 25 1,3-Dichloroacetone ...... UN2649 ...... 25 1,3-Dichloropropanol-2 ...... UN2750 ...... 25 Diethylthiophosphoryl chloride ...... UN2751 ...... 25 Dipicryl sulfide, wetted ...... UN2852 ...... 36 2-Ethylhexyl chloroformate ...... UN2748 21, 100 ...... Ferrocerium ...... UN1323 ...... 13, 147, 148 Ferrosilicon with 30 percent or more but less than 90 percent silicon ...... UN1408 ...... 148 Ferrous metal borings or Ferrous metal shavings or Ferrous metal turnings or Ferrous metal cuttings in a form liable to self-heating ...... UN2793 ...... 13, 148 Fuel cell cartridges or Fuel cell cartridges contained in equipment or Fuel cell cartridges packed with equipment, containing water-reactive substances ...... UN3476 ...... 13, 148 Hafnium powder, dry (PG I, II, and III) ...... UN2545 ...... 13, 148 Hexachlorocyclopentadiene ...... UN2646 ...... 25 Hexamethylenediamine, solid ...... UN2280 ...... 25 Hydrofluoric acid, with more than 60 percent strength ...... UN1790 ...... 25 Hydrofluoric acid, with not more than 60 percent strength ...... UN1790 ...... 25 Hydrogen, refrigerated liquid (cryogenic liquid) ...... UN1966 ...... 57 Hypochlorites, inorganic, n.o.s ...... UN3212 106 ...... Iron oxide, spent, or Iron sponge, spent obtained from coal gas purification ...... UN1376 ...... 13, 148 Isopropyl chloroformate ...... UN2407 ...... 21, 100 Life-saving appliances, not self inflating ...... UN3072 ...... 122 Life-saving appliances ...... UN2990 ...... 122 Lithium ...... UN1415 ...... 13, 148 Lithium aluminum hydride ...... UN1410 ...... 13, 148 Lithium aluminum hydride, ethereal ...... UN1411 ...... 13, 148 Lithium borohydride ...... UN1413 ...... 13, 148 Lithium ferrosilicon ...... UN2830 ...... 13, 148 Lithium hydride ...... UN1414 ...... 13, 148 Lithium hydride, fused solid ...... UN2805 ...... 13, 148 Lithium peroxide ...... UN1472 ...... 148 Lithium silicon ...... UN1417 ...... 13, 148 Magnesium aluminum phosphide ...... UN1419 ...... 13, 148 Magnesium diamide ...... UN2004 ...... 13, 148 Magnesium granules, coated, particle size not less than 149 microns ...... UN2950 ...... 13, 148 Magnesium hydride ...... UN2010 ...... 13, 148 Magnesium or Magnesium alloys with more than 50 percent magnesium in pellets, turnings or ribbons ...... UN1869 ...... 13, 147, 148

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Proposed Proposed Proper shipping name UN ID No. removals additions

Magnesium peroxide ...... UN1476 ...... 148 Magnesium phosphide ...... UN2011 ...... 13, 148 Magnesium, powder or Magnesium alloys, powder (PG I, II, and III) ...... UN1418 ...... 13, 148 Magnesium silicide ...... UN2624 ...... 13, 148 Maleic anhydride ...... UN2215 ...... 95, 102 Maleic anhydride, molten ...... UN2215 ...... 95, 102 Malononitrile ...... UN2647 ...... 25 Maneb or Maneb preparations with not less than 60 percent maneb ...... UN2210 ...... 13. 148 Maneb stabilized or Maneb preparations, stabilized against self-heating ...... UN2968 ...... 13, 148 Mercaptans, liquid, flammable, n.o.s. or Mercaptan mixture, liquid, flammable, n.o.s (PG I, II, and III) ...... UN3336 ...... 102 Mercaptans, liquid, flammable, toxic, n.o.s. or Mercaptan mixtures, liquid, flammable, toxic, n.o.s. (PG II and III) ...... UN1228 ...... 102 Mercaptans, liquid, toxic, flammable, n.o.s. or Mercaptan mixtures, liquid, toxic, flam- mable, n.o.s., flash point not less than 23 degrees C ...... UN3071 ...... 102 Metal catalyst, dry (PG I, II, and III) ...... UN2881 ...... 13, 147, 148 Metal hydrides, water reactive, n.o.s.(PG I and II) ...... UN1409 ...... 13, 148 Metal powder, self-heating, n.o.s. (PG II and III) ...... UN3189 ...... 13, 148 Metal powders, flammable, n.o.s. (PG II and III) ...... UN3089 ...... 13, 74, 147, 148 Metallic substance, water-reactive, n.o.s. (PG I, II, and III) ...... UN3208 ...... 13, 148 Metallic substance, water-reactive, self-heating, n.o.s. (PG I, II, and III) ...... UN3209 ...... 13, 148 Methyl iodide ...... UN2644 ...... 25 Methyl magnesium bromide, in ethyl ether ...... UN1928 ...... 13, 148 Methyl vinyl ketone, stabilized ...... 21, 100 Organic peroxide type B, liquid ...... UN3101 40 25 Organic peroxide type B, liquid, temperature controlled ...... UN3111 40 25 Organic peroxide type B, solid ...... UN3102 40 25 Organic peroxide type B, solid, temperature controlled ...... UN3112 40 25 Organic peroxide type C, liquid ...... UN3103 40 25 Organic per0oxide type C, liquid, temperature controlled ...... UN3113 40 25 Organic peroxide type C, solid ...... UN3104 40 25 Organic peroxide type C, solid, temperature controlled ...... UN3114 40 25 Organic peroxide type D, liquid ...... UN3105 40 25 Organic peroxide type D, liquid, temperature controlled ...... UN3115 40 25 Organic peroxide type D, solid ...... UN3106 40 25 Organic peroxide type D, solid, temperature controlled ...... UN3116 40 25 Organic peroxide type E, liquid ...... UN3107 40 25 Organic peroxide type E, liquid, temperature controlled ...... UN3117 40 25 Organic peroxide type E, solid ...... UN3108 40 25 Organic peroxide type E, solid, temperature controlled ...... UN3118 40 25 Organic peroxide type F, liquid ...... UN3109 40 25 Organic peroxide type F, liquid, temperature controlled ...... UN3119 40 25 Organic peroxide type F, solid ...... UN3110 40 25 Organic peroxide type F, solid, temperature controlled ...... UN3120 ...... 25 Organometallic substance, liquid, pyrophoric ...... UN3392 ...... 13, 148 Organometallic substance, liquid, pyrophoric, water-reactive ...... UN3394 ...... 13, 52, 148 Organometallic substance, liquid, water-reactive (PG I, II, and III) ...... UN3398 ...... 13, 148 Organometallic substance, liquid, water-reactive, flammable (PG I, II, and III) ...... UN3399 ...... 13, 148 Organometallic substance, solid, pyrophoric ...... UN3391 ...... 13, 148 Organometallic substance, solid, pyrophoric, water-reactive ...... UN3393 ...... 13, 148 Organometallic substance, solid, water-reactive (PG I, II, and III) ...... UN3395 ...... 13, 148 Organometallic substance, solid, water-reactive, flammable (PG I, II, and III) ...... UN3396 ...... 13, 148 Organometallic substance, solid, water-reactive, self-heating (PG I, II, and III) ...... UN3397 ...... 13, 148 Oxidizing liquid, corrosive, n.o.s. (PG I) ...... UN3098 106 ...... Oxidizing liquid, corrosive, n.o.s. (PG II and III) ...... UN3098 106, 34 ...... Oxidizing liquid, n.o.s. (PG I, II, and III) ...... UN3139 106 ...... Oxidizing liquid, toxic, n.o.s (PG I, II, and III) ...... UN3099 106 ...... Oxidizing solid, corrosive, n.o.s (PG I, II, and III) ...... UN3085 106 ...... Oxidizing solid, flammable, n.o.s...... UN3137 ...... 13, 147, 148 Oxidizing solid, toxic, n.o.s. (PG I) ...... UN3087 106 ...... Oxidizing solid, toxic, n.o.s. (PG II and III) ...... UN3087 95, 106 ...... Oxidizing solid, water reactive, n.o.s...... UN3121 ...... 13, 148 Pentaborane ...... UN1380 ...... 13, 148 Peroxides, inorganic, n.o.s. (PG II and III) ...... UN1483 ...... 148 Persulfates, inorganic, aqueous solution, n.o.s...... UN3216 ...... 58 Pesticides, liquid, flammable, toxic, flash point less than 23 degrees C (PG I and II) ...... UN3021 ...... 40 Phenyl chloroformate ...... UN2746 21, 100 ...... Phosphorus heptasulfide, free from yellow or white phosphorus ...... UN1339 ...... 13, 147, 148 Phosphorus pentasulfide, free from yellow or white phosphorus ...... UN1340 ...... 13, 148 Phosphorus oxybromide ...... UN1939 ...... 25 Phosphorus pentabromide ...... UN2691 ...... 25 Phosphorus trioxide ...... UN2578 ...... 25 Phosphorus trisulfide, free from yellow or white phosphorus ...... UN1343 ...... 13, 147, 148

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Proposed Proposed Proper shipping name UN ID No. removals additions

Piperazine ...... UN2579 ...... 25 Potassium ...... UN2257 ...... 13, 148 Potassium borohydride ...... UN1870 ...... 13, 148 Potassium, metal alloys, liquid ...... UN1420 ...... 13, 148 Potassium, metal alloys, solid ...... UN3403 ...... 13, 52, 148 Potassium peroxide ...... UN1491 ...... 148 Potassium phosphide ...... UN2012 ...... 13, 148 Potassium sodium alloys, liquid ...... UN1422 ...... 13, 148 Potassium sodium alloys, solid ...... UN3404 ...... 13, 148 Potassium superoxide ...... UN2466 ...... 148 Pyrophoric liquid, inorganic, n.o.s ...... UN3194 ...... 13, 148 Pyrophoric liquids, organic, n.o.s ...... UN2845 ...... 13, 148 Pyrophoric metals, n.o.s., or Pyrophoric alloys, n.o.s...... UN1383 ...... 13, 148 Pyrophoric solid, inorganic, n.o.s...... UN3200 ...... 13, 148 Pyrophoric solids, organic, n.o.s...... UN2846 ...... 13, 148 Quinoline ...... UN2656 ...... 25 Rubidium ...... UN1423 ...... 13, 148 Seed cake with not more than 1.5 percent oil and not more than 11 percent moisture .... UN2217 ...... 120 Self-reactive liquid type B ...... UN3221 ...... 25, 127 Self-reactive liquid type B, temperature controlled ...... UN3231 ...... 25 Self-reactive liquid type C ...... UN3223 ...... 25 Self-reactive liquid type C, temperature controlled ...... UN3233 ...... 25 Self-reactive liquid type D ...... UN3225 ...... 25 Self-reactive liquid type D, temperature controlled ...... UN3235 ...... 25 Self-reactive liquid type E ...... UN3227 ...... 25 Self-reactive liquid type E, temperature controlled ...... UN3237 ...... 25 Self-reactive liquid type F ...... UN3229 ...... 25 Self-reactive liquid type F, temperature controlled ...... UN3239 ...... 25 Self-reactive solid type B ...... UN3222 ...... 25, 127 Self-reactive solid type B, temperature controlled ...... UN3232 ...... 25 Self-reactive solid type C ...... UN3224 ...... 25 Self-reactive solid type C, temperature controlled ...... UN3234 ...... 25 Self-reactive solid type D ...... UN3226 ...... 25 Self-reactive solid type D, temperature controlled ...... UN3236 ...... 25 Self-reactive solid type E ...... UN3228 ...... 25 Self-reactive solid type E, temperature controlled ...... UN3238 ...... 25 Self-reactive solid type F ...... UN3230 ...... 25 Self-reactive solid type F, temperature controlled ...... UN3240 ...... 25 Sodium ...... UN1428 ...... 13, 148 Sodium aluminum hydride ...... UN2835 ...... 13, 148 Sodium borohydride ...... UN1426 ...... 13, 148 Sodium dinitro-o-cresolate, wetted ...... UN3369 ...... 28 Sodium hydride ...... UN1427 ...... 13, 148 Sodium peroxide ...... UN1504 ...... 148 Sodium phosphide ...... UN1432 ...... 13, 148 Stannic phosphide ...... UN1433 ...... 13, 148 Strontium peroxide ...... UN1509 ...... 148 Strontium phosphide ...... UN2013 ...... 13, 148 Sodium superoxide ...... UN2547 ...... 148 Titanium powder, dry (PG I, II, and III) ...... UN2546 ...... 13, 148 Titanium sponge granules or Titanium sponge powders ...... UN2878 ...... 13, 147, 148 Titanium trichloride, pyrophoric or Titanium trichloride mixtures, pyrophoric ...... UN2441 ...... 13, 148 Toxic by inhalation liquid, water-reactive, n.o.s. with an LC50 lower than or equal to 200 ml/m3 and saturated vapor concentration greater than or equal to 500 LC50 ...... UN3385 ...... 13, 148 Toxic by inhalation liquid, water-reactive, n.o.s. with an LC50 lower than or equal to 1000 ml/m3 and saturated vapor concentration greater than or equal to 10 LC50 ...... UN3386 ...... 13, 148 Toxic by inhalation liquid, water-reactive, flammable, n.o.s. with an LC50 lower than or equal to 200 ml/m3 and saturated vapor concentration greater than or equal to 500 LC50 ...... UN3490 ...... 13, 148 Toxic by inhalation liquid, water-reactive, flammable, n.o.s. with an LC50 lower or equal to 1000 ml/m3 and saturated vapor concentration greater than or equal to 10 LC50 ... UN3491 ...... 13, 148 Toxic liquid, corrosive, inorganic, n.o.s. (PG I and II) ...... UN3289 ...... 40 Toxic liquid, inorganic, n.o.s (PG I, II, and III) ...... UN3287 ...... 40 Toxic liquids, water-reactive, n.o.s. (PG I and II) ...... UN3123 ...... 13, 148 Toxic solid, corrosive, inorganic, n.o.s. (PG I and II ...... UN3290 ...... 40 Toxic solid, inorganic, n.o.s. (PG I, II, and III) ...... UN3288 ...... 40 Toxic solids, water-reactive, n.o.s. (PG I and II) ...... UN3125 ...... 13, 148 Trifluoroacetic acid ...... UN2699 ...... 25 Trimethylacetyl chloride ...... UN2438 ...... 21, 100 Trinitrobenzene, wetted, with not less than 10% water, by mass ...... UN3367 ...... 28 Trinitrobenzoic acid, wetted with not less than 10% water by mass ...... UN3368 ...... 28 Trinitrobenzoic acid, wetted with not less than 30 percent water, by mass ...... UN1355 ...... 28 Trinitrochlorobenzene (picryl chloride), wetted, with not less than 10% water by mass .... UN3365 ...... 28

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Proposed Proposed Proper shipping name UN ID No. removals additions

Trinitrophenol (picric acid), wetted, with not less than 10 percent water by mass ...... UN3364 ...... 28 Trinitrotoluene (TNT), wetted, with not less than 10 percent water by mass ...... UN3366 ...... 28 Urea nitrate, wetted, with not less than 10 percent water by mass ...... UN3370 ...... 28 Vinylpyridines, stabilized ...... UN3073 ...... 100 Water-reactive liquid, corrosive, n.o.s. (PG I, II, and III) ...... UN3129 ...... 13, 148 Water-reactive liquid, n.o.s. (PG I, II, and III) ...... UN3148 ...... 13, 148 Water-reactive liquid, toxic, n.o.s. (PG I, II, and III) ...... UN3130 ...... 13, 148 Water-reactive solid, corrosive, n.o.s. (PG I, II, and III) ...... UN3131 ...... 13, 148 Water-reactive solid, flammable, n.o.s. (PG I, II, and III) ...... UN3132 ...... 13, 148 Water-reactive solid, n.o.s. (PG I, II, and III) ...... UN2813 ...... 13, 148 Water-reactive, solid, oxidizing, n.o.s. (PG II and III) ...... UN3133 ...... 13, 148 Water-reactive solid, self-heating, n.o.s. (PG I, II, and III) ...... UN3135 ...... 13, 148 Water-reactive solid, toxic, n.o.s. (PG I, II, and III) ...... UN3134 ...... 13, 148 Zinc ashes ...... UN1435 ...... 13, 148 Zinc dithionite or Zinc hydrosulfite ...... UN1931 49 13, 26, 123 Zinc peroxide ...... UN1516 ...... 148 Zinc phosphide ...... UN1714 ...... 13, 148 Zinc powder or Zinc dust (PG I, II, and III) ...... UN1436 ...... 13, 148 Zirconium, dry, coiled wire, finished metal sheets, strip (thinner than 254 microns but not thinner than 18 microns) ...... UN2858 ...... 13, 147, 148 Zirconium, dry, finished sheets, strip or coiled wire ...... UN2009 ...... 13, 148 Zirconium powder, dry (PG I, II, and III) ...... UN2008 ...... 13, 148 Zirconium powder, wetted with not less than 25 percent water (a visible excess of water must be present) (a) mechanically produced, particle size less than 53 microns; (b) chemically produced, particle size less than 840 microns ...... UN1358 ...... 13, 147, 148 Zirconium scrap ...... UN1932 ...... 13, 148

PHMSA received two comments the Vessel Stowage Location listed in ‘‘Boron Trifluoride Dimethyl Etherate concerning amendments to column Column 10A is A.’’ Although not (UN2965) This entry is listing Vessel (10B) of the HMT. IVODGA commented specifically identified in the preamble Stowage Codes 13, 21, 25, 28, 40, 49, providing full support for the changes as to the NPRM the stowage category for 100, 147, 148 in column 10B in the proposed in the NPRM. DGAC provided this UN number has been amended by proposed HMT . . . Vessel Stowage multiple editorial comments related to the IMO in amendment 37–14 of the Codes 21, 28, 40, 49, 100 are present in the assignment of various vessel IMDG Code. As a result PHMSA is the 10–1–13 version of 49 CFR. Per the stowage codes primarily based on the revising column (10A) to read C. Table of 176.84 changes, only 25 was to codes indicated in the above table when ‘‘Batteries, Dry, Containing Potassium be added for this entry. [There is no compared to what was proposed in the Hydroxide Solid (UN3028) Vessel mention of adding 13, 147, 148] . . .’’ NPRM. The DGAC comments are as stowage code 52 is removed in column Codes 13, 147, and 148 should not have follows: 10B in the proposed HMT for this entry been proposed for addition in ‘‘Aluminum Ferrosilicon Powder . . . There is no entry in the Table of association with this entry and the HMT (UN1395) The PG III entry is missing 176.84 Changes . . .’’ Code 52 should has been amended accordingly. Vessel Stowage Code 148 in column 10B not have been proposed for removal in ‘‘Bromine (UN1744) This entry is in the Docket HMT . . .’’ PHMSA agrees association with this entry and is listing Vessel Stowage Codes 12, 25, 40, and has amended column (10B) reinserted in the HMT. 66, 74 in column 10B in the proposed accordingly. ‘‘Batteries, Wet, Filled With Acid HMT . . . Vessel stowage codes 12, 40, ‘‘Aluminum Powder Coated (UN1309) (UN2794) Vessel Stowage Code 146 is 66, 74, 89, 90 are present in the 10–1– Per the table of 176.84 changes, 13, 147, removed in column 10B in the proposed 13 version of 49 CFR. Per the table of and 148 are to be added in column 10B HMT for this entry . . . There is no 176.84 changes, only 25 was to be added for this entry (PG II and III) . . . The entry in the table of 176.84 changes for this entry. [There is no mention of addition of 13 is not necessary as this . . .’’ Code 146 should not have been removing 89 and 90] . . .’’ DGAC is entry (PG II and III) already lists a proposed for removal in association correct and codes 89 and 90 are Vessel Stowage Code 13 in column 10B with this entry and it has been reinserted in the HMT. per the 10–1–13 version of 49 CFR.’’ reinserted in the HMT. PHMSA agrees and code 13 is removed ‘‘Batteries, Wet, Filled With Alkali Bromoform (UN2515) There is no UN from the table of changes. (UN2795) Vessel stowage codes 52 and number shown in the table of 176.84 ‘‘Ammonium Sulfide Solution 146 are removed in column 10B in the changes. The appropriate UN number (UN2683) The vessel stowage codes proposed HMT for this entry . . . There has been added to the table. listed in column 10B in the proposed is no entry in the table of 176.84 ‘‘Calcium Peroxide (UN1457) The HMT for this entry are not in numerical changes . . .’’ Codes 52 and 146 should Vessel Stowage Location listed in order . . . The vessel stowage codes are not have been proposed for removal in column 10A in the proposed HMT is C listed as 12, 25, 22, 52, 100 versus 12, association with this entry and they . . . In the 10–1–13 version of 49 CFR, 22, 25, 52, 100.’’ PHMSA agrees and the have been reinserted in the HMT. the Vessel Stowage Location listed in codes are reordered. Boron Trifluoride Dihydrate (UN2851) column 10A is A.’’ Although not ‘‘Barium Peroxide (UN1449) The This entry is incorrectly identified in specifically identified in the preamble Vessel Stowage Location listed in the table of 176.84 changes as Boron to the NPRM, the stowage category for column 10A in the proposed HMT is C Trifluoride Dehydrate. PHMSA agrees this UN number has been amended by . . . In the 10–1–13 Version of 49 CFR, and has modified the table accordingly. the IMO in amendment 37–14 of the

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IMDG Code. As a result PHMSA is ‘‘Lithium Peroxide (UN1472) Per the listed in Column 10B in the proposed revising column (10A) to read C. Table of 176.84 Changes, Vessel HMT for this entry. Vessel Stowage ‘‘Cerium (UN1333) This entry is Stowage Codes 13 and 148 are proposed Code 25 is not listed in Column 10B in listing Vessel Stowage Codes 13, 66, 74, to be added for this entry . . . The the proposed HMT for this entry . . . 91, 147, 148 in column 10B in the addition of 13 is not necessary as this Per the Table of 176.84 Changes, 40 was proposed HMT . . . Vessel stowage entry already lists a Vessel Stowage to be removed and 25 was to be added codes 74 and 91 are present in the 10– Code 13 in Column 10B per the 10–1– for this entry . . .’’ The commenter is 1–13 version of 49 CFR. Per the table of 13 Version of 49 CFR. The Vessel correct. Code 40 has been removed from 176.84 changes, only 13, 147, and 148 Stowage Location listed in Column 10A the HMT. are to be added for this entry and there in the Docket HMT is C . . . In the 10– ‘‘Organic Peroxide Type F, Solid, is no mention of adding 66 . . .’’ Code 1–13 Version of 49 CFR, the Vessel Temperature Controlled (UN3120) Per 66 should not have been proposed for Stowage Location listed in Column 10A the table of 176.84 changes, Vessel addition in association with this entry is A.’’ Code 13 has been removed from Stowage Code 40 was to be removed and and has been removed from the HMT. the table of changes. Although not 25 was to be added for this entry . . . ‘‘Chlorocresols, Solid (UN3437) This specifically identified in the preamble The removal of 40 is not necessary as entry is listing Vessel Stowage Codes 12 to the NPRM, the stowage category for this entry does not list a Vessel Stowage and 25 in column 10B in the proposed this UN number has been amended by Code 40 in Column 10B per the 10–1– HMT . . . Vessel Stowage Code 12 is the IMO in amendment 37–14 of the 13 version of 49 CFR.’’ Code 40 has been present in the 10–1–13 version of 49 IMDG Code. As a result PHMSA is removed from the table of changes. CFR. There is no entry in the table of revising column (10A) to read C. ‘‘Organometallic Substance, Liquid, 176.84 changes for Chlorocresols, Solid ‘‘Magnesium Peroxide (UN1476) Per Water-Reactive (UN3398) The PG II . . .’’ This proposed change was noted the table of 176.84 changes, Vessel entry for this entry is listing IP2 as a in the NPRM table of proposed changes. Stowage Codes 13 and 148 are proposed Special Provision in Column 7 and D versus E in Column 10A . . . These No action needed. to be added for this entry . . . The changes are not present in the 10–1–13 Chlorocresols Solution (UN2669) This addition of 13 is not necessary as this version of 49 CFR.’’ The commenter is entry is incorrectly identified in the entry already lists a Vessel Stowage correct. Special provision IP2 has been table of 176.84 changes as having the Code 13 in column 10B per the 10–1– 13 Version of 49 CFR. The Vessel removed from column 7 of the HMT and UN number UN3437 assigned instead of Stowage Location listed in column 10A the correct stowage category for this UN2669. PHMSA agrees and has in the Docket HMT is C . . . In the 10– entry is E. modified the table accordingly. 1–13 Version of 49 CFR, the Vessel ‘‘Organometallic Substance, Solid, ‘‘Chloromethyl Chloroformate Stowage Location listed in column 10A Pyrophoric (UN3391) This entry is (UN2745) Per the table of 176.84 is A.’’ Code 13 has been removed from listing Vessel Stowage Codes 13 and 148 changes, Vessel Stowage Code 12 is the table of changes. Although not in column 10B in the proposed HMT proposed to be added for this entry . . . specifically identified in the preamble . . . In the 10–1–13 version of 49 CFR, The addition of 12 is not necessary as to the NPRM the stowage category for there are no entries for Vessel Stowage this entry already lists a Vessel Stowage this UN number has been amended by Codes in Column 10B. There is no entry Code 12 in column 10B per the 10–1– the IMO in amendment 37–14 of the in the table of 176.84 changes . . . for 13 version of 49 CFR.’’ Code 12 should IMDG Code. As a result PHMSA is this PSN.’’ DGAC is correct. Codes 13 not have been listed in the table of revising column (10A) to read C. and 148 have been added to the table of changes in association with this entry ‘‘Metal Powder, Self-Heating, N.O.S. changes. and has been removed from the table of (UN3189) Per the table of 176.84 ‘‘Oxidizing Liquid, Toxic, N.O.S. changes. changes, Vessel Stowage Codes 13, 147, (UN3099) Per the table of 176.84 ‘‘Corrosive Solids, Water-Reactive, and 148 are proposed to be added for changes, Vessel Stowage Code 106 was N.O.S. (UN3096) Per the table of 176.84 this entry (PG II and III) . . . This entry to be removed for this entry (PG I, II, changes, Vessel Stowage Codes 13 and (PG II and III) is only listing Vessel and III) . . . This entry is not listing a 148 are proposed to be added for this Stowage Codes 13 and 148 in Column Vessel Stowage Code of 95 in Column entry (PG I, II, and III) . . . There is no 10B in the Docket HMT . . .’’ Only 10B for the PG II and PG III entries in PG III entry for this PSN per the 10–1– codes 13 and 148 are assigned to this the proposed HMT . . . In the 10–1–13 13 version of 49 CFR. In addition, the entry, and the table of changes has been version of 49 CFR, Vessel Stowage Code text listed for the PG II and III entries updated accordingly. 95 is listed for the PG II and PG III in the proposed HMT is actually the ‘‘Metal Powders, Flammable, N.O.S. entries for this entry.’’ DGAC is correct same as the above HMT entry for (UN3089) This entry (PG II and III) is and code 95 has been placed in column UN2923—Corrosive Solids, Toxic, listing Vessel Stowage Codes 13, 74, (10B) for these entries. N.O.S. . . .’’ The commenter is correct. 147, and 148 in column 10B in the ‘‘Oxidizing Solid, Corrosive, N.O.S. The PG III entry has been removed from proposed HMT . . . In the 10–1–13 (UN3085) Per the table of 176.84 the HMT and the PG II entry has been version of 49 CFR, there are no entries changes, Vessel Stowage Code 106 was updated to include codes 13 and 148. for Vessel Stowage Codes in column to be removed for this entry (PG I, II, ‘‘Ferrosilicon (UN1408) Per the table 10B. Per the Table of 176.84 Changes and III) . . . This entry is not listing a of 176.84 changes, Vessel Stowage (1st entry), Vessel Stowage Code 74 is Vessel Stowage Code of 34 in column Codes 13 and 148 are proposed to be proposed to be added for this entry . . . 10B for the PG II and PG III entries in added for this entry . . . The addition Per the table of 176.84 changes (2nd the proposed HMT . . . In the 10–1–13 of 13 is not necessary as this entry entry), Vessel Stowage Codes 13, 74, version of 49 CFR, Vessel Stowage Code already lists a Vessel Stowage Code 13 147, and 148 are proposed to be added 34 is listed for the PG II and PG III in column 10B per the 10–1–13 version for this entry . . .’’ The table of changes listings for this entry.’’ DGAC is correct of 49 CFR . . .’’ Code 13 should not has been updated to reflect only one and code 34 has been placed in column have been listed in the table of changes HMT entry changing. (10B) for these entries. in association with this entry and has ‘‘Organic Peroxide Type E liquid ‘‘Peroxides, Inorganic, N.O.S. been removed from the table of changes. (UN3107) Vessel Stowage Code 40 is (UN1483) The Vessel Stowage Location

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listed in Column 10A in the proposed of 49 CFR, the Vessel Stowage Location Stowage Location listed in Column 10A HMT is C . . . In the 10–1–13 Version listed in Column 10A is B.’’ Code 13 is in the Docket HMT is C . . . In the 10– of 49 CFR, the Vessel Stowage Location removed from the table of changes. 1–13 Version of 49 CFR, the Vessel listed in column 10A is A.’’ Although Although not specifically identified in Stowage Location listed in Column 10A not specifically identified in the the preamble to the NPRM, the stowage is A.’’ Code 13 has been removed from preamble to the NPRM, the stowage category for this UN number has been the table of changes. Although not category for this UN number has been amended by the IMO in amendment 37– specifically identified in the preamble amended by the IMO in amendment 37– 14 of the IMDG Code. Further review of to the NPRM, the stowage category for 14 of the IMDG Code. As a result the change made at IMO indicates the this UN number has been amended by PHMSA is revising column (10A) to correct stowage category to be E. As a the IMO in amendment 37–14 of the read C. result PHMSA is revising column 10A IMDG Code. As a result PHMSA is ‘‘Phenyl Chloroformate (UN2746) Per to read E. revising column (10A) to read C. the table of 176.84 Changes, Vessel ‘‘Self-Reactive Liquid Type B, ‘‘Zinc Peroxide (UN1516) Per the Stowage Codes 21 and 10 are to be Temperature Controlled (UN3231) Table of 176.84 Changes, Vessel removed for this entry . . . Per the 10– Vessel Stowage Code 25 is added in Stowage Codes 13 and 148 are proposed 1–13 version of 49 CFR, this entry does Column 10B in the proposed HMT . . . to be added for this entry. The addition not list a Vessel Stowage Code 10 in There is no entry in the Table of 176.84 of 13 is not necessary as this entry Column 10B. In the 10–1–13 version of Changes . . . for this PSN.’’ DGAC is already lists a Vessel Stowage Code 13 49 CFR, this entry does however list a correct and an entry for this PSN has in Column 10B per the 10–1–13 Version Vessel Stowage Code 100 in Column been added to the table of changes. of 49 CFR. The Vessel Stowage Location 10B.’’ DGAC is correct. Code 100 is ‘‘Sodium Peroxide (UN1504) Per the listed in column 10A in the Docket removed from the HMT. Table of 176.84 changes, Vessel Stowage HMT is C . . . In the 10–1–13 version ‘‘Phosphorus Pentasulfide (UN1340) Codes 13 and 148 are proposed to be of 49 CFR, the Vessel Stowage Location This entry is listing Vessel Stowage added for this entry . . . The addition listed in Column 10A is A.’’ Code 13 has Codes 13 and 148 in Column 10B in the of 13 is not necessary as this entry been removed from the table of changes. proposed HMT . . . There is no entry in already lists a Vessel Stowage Code 13 Although not specifically identified in the Table of 176.84 Changes . . . for this in Column 10B per the 10–1–13 version the preamble to the NPRM, the stowage PSN.’’ DGAC is correct in that codes 13 of 49 CFR. The Vessel Stowage Location category for this UN number has been and 148 were added by the IMO and listed in Column 10A in the Docket amended by the IMO in amendment 37– have been added to the table of changes. HMT is C . . . In the 10–1–13 Version 14 of the IMDG Code. As a result ‘‘Potassium Peroxide (UN1491) The of 49 CFR, the Vessel Stowage Location PHMSA is revising column (10A) to Vessel Stowage Location listed in listed in Column 10A is B.’’ Code 13 is read C. column 10A in the proposed HMT is C removed from the table of changes. . . . In the 10–1–13 Version of 49 CFR, Although not specifically identified in Appendix B to § 172.101 the Vessel Stowage Location listed in the preamble to the NPRM, the stowage Appendix B to § 172.101 lists Marine Column 10A is B.’’ Although not category for this UN number has been Pollutants regulated under the HMR. In specifically identified in the preamble amended by the IMO in amendment 37– this final rule, PHMSA is revising the to the NPRM, the stowage category for 14 of the IMDG Code. As a result List of Marine Pollutants by adding this UN number has been amended by PHMSA is revising column (10A) to sixty-two new entries consistent with the IMO in amendment 37–14 of the read C. the IMDG Code. These changes include IMDG Code. As a result PHMSA is ‘‘Sodium Superoxide (UN2547) In the those substances that, by virtue of revising column (10A) to read C. proposed HMT, Vessel Stowage Codes meeting the Group of Experts on the ‘‘Potassium, Metal Alloys, Solid 13, 52, 66, 75, and 148 are listed in Scientific Aspects of Marine (UN3403) This entry is listed in Column 10B. Per the 10–1–13 version of Environmental Protection (GESAMP) proposed HMT with Vessel Stowage 49 CFR, 13, 52, 66, and 75 are listed as defining criteria for marine pollutants, Codes 13, 52, and 148 in Column 10B Vessel Stowage Codes in Column 10B. were either assigned a ‘‘P’’ in the . . . Per the 10–1–13 version of 49 CFR, This entry is not listed in the Table of dangerous goods list or identified in the this entry does not list any Vessel 176.84 Changes . . . The Vessel alphabetical index to amendment 37–14 Stowage Codes in column 10B. Per the Stowage Location listed in Column 10A of the IMDG Code. The entry Table of 176.84 changes (1st entry), is D . . . In the 10–1–13 Version of 49 ‘‘Chlorotoluenes (meta-;para-)’’ is Vessel Stowage Codes 13 and 148 are to CFR, the Vessel Stowage Location listed removed based on its removal from the be added for this entry . . . Per the in column 10A is E.’’ DGAC is correct IMDG Code. Table of 176.84 changes (2nd entry), that code 148 was added by the IMO PHMSA received two comments from Vessel Stowage Codes 13, 52, and 148 and thus, has been added to the table of the ACC regarding our proposed are to be added for this entry . . .’’ changes. Although not specifically addition of one specific material, There should have only been one entry identified in the preamble to the NPRM, dodecene, to the list of marine for the PSN in the table of changes. The the stowage category for this UN pollutants. In its first comment, the ACC entries are consolidated and codes 13, number has been amended by the IMO requests a 30 day extension of the 52, and 148 are added. in amendment 37–14 of the IMDG Code. comment period to better understand ‘‘Potassium Superoxide (UN2466) Per As a result PHMSA is revising column ‘‘dodecene’s place on other lists the Table of 176.84 Changes, Vessel (10A) to read D. referenced in the proposed rule.’’ ACC Stowage Codes 13 and 148 are to be ‘‘Strontium Peroxide (UN1509) Per notes that it would use the time to added for this entry . . . The addition the Table of 176.84 Changes, Vessel coordinate with industry to better of 13 is not necessary as this entry Stowage Codes 13 and 148 are proposed understand the information contained already lists a Vessel Stowage Code 13 to be added for this entry . . . The in the dodecene Regulation on in Column 10B per the 10–1–13 Version addition of 13 is not necessary as this Registration, Evaluation, Authorisation of 49 CFR. The Vessel Stowage Location entry already lists a Vessel Stowage and Restriction of Chemicals (REACH) listed in Column 10A in the proposed Code 13 in Column 10B per the 10–1– dossiers. PHMSA is denying the ACC’s HMT is D . . . In the 10–1–13 Version 13 Version of 49 CFR. The Vessel request for a 30 day extension of the

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comment period for this rulemaking as 9, environmentally hazardous entry is revised to clarify that it applies the revision to include dodecene in the substance. Some formulations of the to safety devices used in vehicles Marine Pollutant List is consistent with dihydrated sodium salt of including vessels and aircraft, and our standard practice of aligning dichloroisocyanuric acid meet the pyromechanical devices that are added Appendix B with the indicative list of criteria for classification as an to the list of authorized devices. The marine pollutants found in the IMDG environmentally hazardous substance. development of safety products has seen Code. In its second comment, the ACC significant progress since the Special Provision 52 notes that the use of the name introduction of UN3268 and the range of ‘‘dodecene’’ in both the IMDG Code and Special provision 52 authorizes use of current products extends beyond what PHMSA proposed rule makes it unclear the HMT entry ‘‘UN2067, Ammonium can presently be assigned to UN3268. exactly what substance is being nitrate based fertilizer’’ for substances Some of the newer safety products regulated. When manufactured, that do not exhibit explosive properties include elements that are actuated by ‘‘dodecene’’ may represent a number of of Class 1 when tested in accordance the electrical signal of the crash sensor Chemical Abstracts Service (CAS) with Test Series 1 and 2 of the UN (e.g. pyromechanical devices). Examples numbers and different chemical Manual of Tests and Criteria, Part I. In include: Devices that interrupt the properties. In other words, this single this final rule, PHMSA is revising electrical connection in case of description of dodecene may not reflect special provision 52 by removing the emergency by disconnecting the main what the Panel members currently requirement to test in accordance with power cable in the vehicle from the manufacture and ship. The ACC also Test Series 1 because Test Series 2 battery to prevent short circuit and notes that the REACH registration of a determines whether such properties are consequentially minimize the risk of fire close analog of dodecene, 1-dodecene/ indeed those of Class 1, not Test Series in the vehicle; and actuators which are dodec-1-ene, indicates that dodecene 1. used for active headrests or for would not meet the criteria of a Marine Special Provision 147 pedestrian protection to release special Pollutant, as set forth in the PHMSA hinges of the engine hood. In addition, list, based on aquatic toxicity data. The This special provision describes the PHMSA is clarifying that this entry does REACH dossier indicates ‘‘conclusive composition of the material for which not apply to life saving appliances but not sufficient for classification’’ on the use of the HMT entry ‘‘UN3375, described in § 173.219 (UN Nos. 2990 both acute and chronic environmental Ammonium nitrate emulsion or and 3072). categories associated with this Ammonium nitrate suspension or PHMSA received comments from Key compound. The inclusion of all entries Ammonium nitrate gel, intermediate for Safety Systems, TK Holdings Inc., and proposed for addition in the NPRM blasting explosives’’ is authorized and TRW Automotive requesting that special were thoroughly vetted by several sub- prohibits the material from being provision 160 be revised to note that if committees of the International classified and transported unless the air bag inflator unit and or Maritime Organization prior to adoption approved by the Associate pyromechanical device satisfactorily into amendment 37–14 of the IMDG Administrator. Special provision 147 passes the series 6(c) test, it is not Code. The GESAMP data assigns all requires that these substances must necessary to repeat the test on the air dodecene isomers a B1 numerical rating satisfactorily pass Test Series 8 of the bag module. PHMSA is not convinced of 4. This rating of 4 indicates acute UN Manual of Tests and Criteria, Part I, the requested change is necessary. The aquatic toxicity, and thus merits Section 18. Test Series 8 contains four purpose of the exception from testing in inclusion of dodecene to the list of test types. Tests 8(a), (b) and (c) are used this special provision is to state that air marine pollutants in Appendix B to for classification purposes while Test bag modules do not need to be tested if § 172.101. 8(d) is used to assess suitability for the air bag inflators were tested. Air bag transport in portable tanks. The use of inflators are any article used to inflate Section 172.102 Special Provisions this entry (UN 3375) therefore requires a module, which includes inflators that Section 172.102 lists special only that Tests 8(a), (b) and (c) are use compressed gas, gas generant provisions applicable to the satisfactorily passed. In this final rule, tablets, or a hybrid design. transportation of specific hazardous PHMSA is revising special provision Pyromechanical devices are generally materials. Special provisions contain 147 by clarifying that Tests 8(a), (b) and piston type devices and would not be packaging requirements, prohibitions, (c), not the entire Test Series 8, are used to inflate modules. Therefore the and exceptions applicable to particular required for use in classification and addition of ‘‘pyromechanical devices’’ quantities or forms of hazardous subsequent approval by the Associate to the sentence in SP160 excepting air materials. PHMSA is adopting the Administrator. PHMSA received one bag modules from being re-tested would following revisions to § 172.102, special comment from IME in support of this not be appropriate. provisions: revision. Special Provision 161 Special Provision 28 Special Provision 160 Special provision 161 required that Special provision 28 states that the Special provision 160 is presently for domestic transportation the alternate dihydrated sodium salt of assigned to ‘‘UN3268, Air bag inflators, shipping description ‘‘Articles, dichloroisocyanuric acid is not subject or Air bag modules, or Seat-belt pyrotechnic for technical purposes’’ be to the requirements of this subchapter. pretensioners’’ in Class 9. Special used to describe air bag inflators, air bag In this final rule, PHMSA is revising provision 160 includes the requirement modules and seat-belt pretensioners special provision 28 to convey that the that air bag inflators and modules must (UN0503) meeting the criteria for a dihydrated sodium salt of be tested in accordance with Test series Division 1.4G explosive. This was done dichloroisocyanuric acid does not meet 6 (c) of Part I of the UN Manual of Tests to ensure a different shipping name was the definition of a Division 5.1 and Criteria. In this final rule, PHMSA used to describe these articles to (oxidizer) and is not subject to the is revising special provision 160 in differentiate them from air bag inflators, requirements of the subchapter unless it conjunction with revising the proper air bag modules and seat-belt meets the criteria for inclusion in shipping name for UN3268 to ‘‘Safety pretensioners (UN3268) in Class 9. In another Class or Division, such as Class devices, electrically initiated.’’ The this final rule, PHMSA, consistent with

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the UN Model Regulations, is adopting PHMSA received a comment from and (9B) of the § 172.101 HMT listing new proper shipping names for these James Lynch asking how the 1 × 10¥10 the material as forbidden, ethylene items, ‘‘Safety devices’’ (UN3268) for cm3/s leaktightness prior to filling limit oxide conforming to the conditions in those articles assigned to Class 9, and was arrived at and proposing an the special provision is eligible for air ‘‘Safety Devices, pyrotechnic’’ (UN0503) alternative limit amount. The limit, as transport. Specifically, we are for those articles assigned to Division proposed and adopted, was determined supplementing the language in this 1.4G. Since the proper shipping names by the UN Committee of Experts on the special provision ‘‘irrespective of the for these items would no longer be the Transport of Dangerous Goods to restriction of § 173.4a(b)’’ with ‘‘and the same, there would be no need to use a provide an appropriate level of safety to indication of ‘‘forbidden’’ in columns different proper shipping name for these ensure essentially no gas will leak from (9A) and (9B) of the § 172.101 table.’’ articles assigned to Division 1.4G. the detector once filled. In the interest Therefore the need for this special harmonization is maintaining the limit Special Provision 362 provision would be obsolete and we are as proposed in the NPRM. Mr. Lynch deleting it from the regulations and also commented that in paragraph Special provision 362 specifies when deleting its reference from the UN0503 (a)(1)(iii) that the 1800 kPa should a material can be considered a chemical entry in the HMT. Under this revision, specify ‘‘gauge.’’ While Mr. Lynch is under pressure. Specifically, the special for domestic transportation, air bag correct that paragraph (a)(1)(iii) is provision states that classification of inflators, air bag modules and seat-belt applicable pressure at the ‘‘gauge,’’ in these materials is to be based on hazard pretensioners (UN0503) meeting the the interest of harmonization PHMSA is characteristics of the components in the criteria for a Division 1.4G explosive, maintaining the revisions as proposed propellant, the liquid, or the solid that are currently described as ‘‘Articles, in the NPRM. forms. In this final rule, PHMSA is pyrotechnic for technical purposes’’ PHMSA received a comment from revising special provision 362 by adding would be described as ‘‘Safety devices, Bechtel Plant Machinery Inc. requesting a new paragraph (f) to clarify that pyrotechnic’’ (UN0503). a 90 day extension of the final rule chemicals under pressure containing comment period to further review the Special Provision 238 components forbidden for transport on logistical and technical impact of these both passenger and cargo aircraft must Special provision 238 addresses the proposed regulation changes for the not be transported by air. PHMSA shipment of neutron radiation detectors. transportation of neutron radiation received one comment from DGAC In this final rule, PHMSA is revising detectors. PHMSA is denying Bechtel noting that as proposed special special provision 238 to align with the Plant Machinery Inc.’s request for an provision 362 has two paragraph d’s. UN Model Regulations special provision extension of the comment period for PHMSA has amended the final rule text 373 by expanding the transport this final rule. We are revising the HMR to ensure proper paragraph sequencing. conditions for neutron radiation to maintain alignment with detectors and radiation detection international standards by incorporating Special Provision 367 systems containing such detectors. various amendments, including revision Paragraph a. is restructured into: (a)(1), of the transport conditions for neutron A new special provision 367 is added general transport requirements; (a)(2), radiation detectors in special provision to clarify that the proper shipping name requirements for radiation detectors 238. In addition, the revisions to special ‘‘Paint related material’’ or ‘‘Printing ink transported as individual components; provision 238 do not invalidate existing related material’’ may be used for and (a)(3), requirements for completed special permits or de minimis consignments of packages containing neutron radiation detection systems interpretations issued by PHMSA. both ‘‘Paint’’ and ‘‘Paint related containing detectors. Consistent with Further, for reasons mentioned material’’ or ‘‘Printing Ink’’ and the UN Model Regulations, PHMSA is elsewhere in this rulemaking, it is ‘‘Printing ink related material’’ in the adopting the following revisions to the imperative that a harmonization same package and sharing the same transport conditions: [1] In (a)(1), rulemaking be published on or near identification number (UN 1210, UN increase the total amount of gas January 1st, 2015 to facilitate 1263, UN 3066, UN 3469, or UN 3470). authorized per detector from 12.8 grams unencumbered commerce. It is For example, ‘‘UN1263, Paint including to 13 grams; clarify that the minimum important to note that the transport paint, lacquer, enamel, stain, shellac burst pressure is demonstrated by provisions for these detectors in the solutions, varnish, polish, liquid filler, design type qualification testing; and ICAO TI, which this final rule and liquid lacquer base’’ and ‘‘UN1263, add a new leaktightness standard; [2] in harmonizes with, will become effective Paint related material’’ contained in the (a)(2), clarify that in addition to being January 1st, 2015. packed in a strong outer package, that same package, may be consigned under the completed package must be capable Special Provision 342 the entry ‘‘UN1263, Paint related of withstanding a drop of 1.8 meters (6- This special provision, assigned to material including paint thinning, foot) without leakage of gas contents; ‘‘UN1040, Ethylene oxide or Ethylene drying, removing, or reducing and increase the total amount of gas oxide with nitrogen’’ allows sterilization compound.’’ Paint mainly consists of from all detectors per outer packaging devices containing ethylene oxide, resin, pigment and solvent. Thinning from 51.2 grams to 52 grams; and [3], in conforming to the conditions in the compounds consist primarily of solvent (a)(3), add a new requirement that for special provision, and packaged in as well. Thus, under the same UN entry, completed neutron radiation detection accordance with § 173.4a of the HMR to there is no difference between ‘‘Paint’’ systems, the detectors must be be offered for transportation and and ‘‘Paint related material’’ with regard contained in a strong sealed outer transported by all modes even though to transport requirements. PHMSA casing; and adding a new requirement Column (9A) of the § 172.101 HMT lists received one comment from COSTHA that the completed system must be the material as forbidden by passenger providing support for this new capable of withstanding a 1.8 meter (6- aircraft. provision. COSTHA noted that this foot) drop test without leakage unless a Consistent with the ICAO TI, in this provision will greatly enhance the system’s outer casing affords equivalent final rule PHMSA is further clarifying efficiencies of businesses transporting protection. that irrespective of both Columns (9A) these materials.

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Special Provision 368 rubber and a metal cap for closing the and ‘‘UN 3109, Organic peroxide type F, In this final rule, PHMSA is adding receptacle, and different types of liquid.’’ PHMSA is aligning with new special provision 368 and assigning confetti. By turning a ring, or the bottom Packing Instruction 570 of the ICAO TI it to ‘‘UN2910, Radioactive material, part of the shooter, a mechanism is to allow for limited venting of oxygen in excepted package-limited quantity of unlocked and the pressurized gas is the case of specialized peroxyacetic acid material’’ to clarify that in the case of discharged so that the confetti is shot packagings when transported by cargo non-fissile or fissile-excepted uranium away for a few meters. This type of aircraft, provided the packaging hexafluoride, the material must be shooter does not contain any amount of requirements of this special provision classified under UN3507 or UN2978. explosives and therefore cannot be are met. It was reported to the ICAO assigned to Class 1, and does not meet DGP that peroxyacetic acid was Special Provision 369 the requirements for gas cartridges or commonly used as a sterilizer for health The 18th Revised Edition of the UN small pressure receptacles. The care purposes and that there is a need Model Regulations has adopted a new requirements set forth in the special to transport the material by air for use proper shipping name of ‘‘UN3507, provision ensure the same level of safety in sterilizing medical equipment using Uranium hexafluoride, radioactive as for confetti-shooters with custom packagings. The basis for the material, excepted package, less than pyrotechnics. requirements that these specialized packagings must meet originated from 0.1 kg per package, non-fissile or fissile- Special Provision 372 excepted’’, to address small quantities of exemptions to permit the transport of uranium hexafluoride containing In this final rule, PHMSA is adding a this substance in small containers corrosive properties, thus a new special new special provision 372 and assigning approved by several national provision is necessary in the HMR. In it to the new HMT entry ‘‘UN3508, authorities. The inclusion of this new this final rule, PHMSA assigns special Capacitor, asymmetric.’’ This special special provision will eliminate the provision 369 to UN3507 to specify a provision states that this entry applies need for these exemptions and facilitate primary hazard of Class 8 with to asymmetric capacitors with an energy international transport. storage capacity greater than 0.3 watt subsidiary risk of Class 7, subject to IBC Codes and IP Codes certain conditions. hours (Wh) and that asymmetric capacitors with an energy storage Section 172.102(c)(4) prescribes Special Provision 370 capacity of 0.3 Wh or less are not situations where Large Packagings are In this final rule, PHMSA is adding subject to the requirements of this authorized. In this final rule, PHMSA is new special provision 370 and assigning subchapter. This special provision also authorizing the use of large packagings it to the revised HMT entry ‘‘UN0222, provides that nickel-carbon asymmetric for lithium batteries without assigning Ammonium Nitrate.’’ In the NPRM, capacitors containing Class 8 alkaline IB3 or IB8 to the corresponding entries PHMSA proposed revising the proper electrolytes must be transported as UN in the § 172.101 Table by adding a shipping name for UN0222 by removing 2795, Batteries, wet, filled with alkali, reference to § 173.185 before the the qualifying italicized text assigned to electric storage. PHMSA received one reference to § 173.225(e). See Section UN0222 and including it in this special comment from COSTHA supporting the 173.185 Lithium batteries for a detailed provision. Based on a comment amendment as proposed noting that this discussion of the proposed a use of rigid submitted by IME and discussed in the provision now gives clear guidance on large packagings for lithium batteries. In section-by-section review of how manufacturers are to ship these this final rule, PHMSA is authorizing amendments to Column (2) of the HMT, articles. the use of large packagings for lithium we are not moving the qualifying batteries without assigning IB3 or IB8 to Special Provision A60 italicized text from the proper shipping the corresponding entries in the name to the special provision in this Special provision A60 permits § 172.101 Table by revising by adding a final rule. In this final rule, we are ‘‘UN2014, Hydrogen peroxide, aqueous reference to § 173.185 before the maintaining paragraph b. of special solution,’’ to be transported in excepted reference to § 173.225(e). See Section provision 370 as proposed in the NPRM quantities. The special provision 173.185 Lithium batteries for a detailed to clarify that ammonium nitrate with authorizes packagings to include a vent discussion of the proposed a use of rigid not more than 0.2% combustible to permit the slow escape of gas (i.e. not large packagings for lithium batteries. substances, including any organic more than 0.1 mL/hour per 30 mL inner In two final rules published in the substance calculated as carbon, to the packaging at 20 °C (68 °F) produced Federal Register on January 19, 2011 exclusion of any added substance, that from gradual decomposition. As venting (76 FR 3308; HM–215K) and January 7, gives a positive result when tested in is permitted, the requirements of 2013 (78 FR 988; HM–215L) the Table accordance with Test Series 2 of the UN §§ 173.24(g)(1) and 173.27(c) are 1 (IBC Codes) in paragraph (c)(4) were Manual of Tests and Criteria, Part I must impracticable and should not apply. To editorially revised to remove UN be assigned to UN0222. address the issue, the ICAO DGP Specifications 31A, 31B, 31N, 31H1, adopted a proposal to clarify that these 31H2, 31HZ1, and 31HZ2 from IBC Special Provision 371 general requirements prohibiting Codes IB4 through IB8. The revisions In this final rule, PHMSA is adding a venting should not be applicable. In this were consistent with amendments to the new special provision 371 and assigning final rule, we are harmonizing with the UN Model Regulations that removed the it to ‘‘UN3164, Articles, pressurized ICAO TI and waiving the general specifications from the indicated codes pneumatic or hydraulic containing non- requirements of §§ 173.24(g)(1) and in the table because IBC Codes IB4 flammable gas.’’ This special provision 173.27(c). Special provision A60 is through IB8 are assigned to solids, sets forth the requirements for confetti- revised accordingly. whereas, UN Specifications 31A, 31B, shooters pressurized with gas instead of 31N, 31H1, 31H2, 31HZ1, and 31HZ2 pyrotechnics. The shooter consists in Special Provision A61 are authorized for transportation of principle, of a jacket of cardboard, the In this final rule, PHMSA is adding a liquids and IBC Codes IB1 through IB3 pressurized receptacle filled with new special provision A61 and and are assigned to liquid materials compressed air or nitrogen, a lock assigning it to the HMT entries ‘‘UN only. Information presented to the UN mechanism made of plastics, a plug of 3107, Organic peroxide type E, liquid’’ Committee of Experts on the Transport

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of Dangerous Goods (UNCOE) in this organometallic substances and the tank to § 172.315 to read ‘‘For domestic last biennium indicated that the does exhibit damaged or corroded areas, transportation, a packaging marked removal of the above UN Specifications leakage, or other conditions that prior to January 1, 2017 and in from IBC Codes IB4 through IB8 has indicate a deficiency in accordance with conformance with the requirements of created a problem. Prior to § 180.605(f). PHMSA received one this paragraph in effect on December 31, implementation of these revisions, comment from Dow Chemical in 2014, may continue in service until the certain liquid IBC types were used to support of this special provision. end of its useful life.’’ transport powdery solids and solids that Section 172.204 Section 172.317 become liquid under conditions of transport. These solids may be loaded This section describes the text that To promote the uniformity of the and unloaded from the IBC in liquid must be contained within the shipper’s ‘‘Keep Away From Heat’’ handling mark form raising the question of whether the certification on a shipping paper. throughout the international remaining IBCs, which are intended for PHMSA received a comment from transportation community, the ICAO gravity or pressure discharge, are Gregory Sutherland noting that PHMSA Technical Instructions have adopted appropriate. The UN sub-committee did not propose in the NPRM to align revisions to clarify and standardize the adopted a proposal to reinstate the IBCs the text with the requirements of the UN specifications for this hazard that were previously authorized. In this Model Regulations and the IMDG Code communications element. In this final final rule, we are harmonizing with the in Section 172.204(a)(2) to allow the rule, PHMSA is revising the UN Model Regulations by revising the shipper’s certification to be either below specifications in § 172.317(b) to be IBC Codes IB4 through IB8 in paragraph or above the required elements of a consistent with the revised (c)(4), Table 1 (IBC Codes) to reinstate shipping paper. PHMSA agrees that specifications in the ICAO TI. Thus, we IBC’s previously authorized. harmonizing provisions for shipper’s are adopting provisions to allow A new IP Code 16 is added and certification placement and language, by manufacturers and printers necessary assigned to UN3375. Consistent with providing the allowance to place the time to produce markings that conform international regulations, this special certification either below or above other to the revised specifications, and to provision would authorize require IBCs required elements, is necessary to deplete supplies of existing markings. of type 31A and 31N if approved by the facilitate international commerce. As a We are also adopting a transitional Associate Administrator. result, PHMSA is adding a note period to authorize a ‘‘Keep Away From following § 172.204(a)(2) to allow Heat’’ handling mark that is in Special Provision TP47 substitution of the word ‘‘below’’ for the conformance with the requirements of In this final rule, PHMSA is adding a currently authorized ‘‘above’’ if the regulations in effect on December new special provision TP47 and appropriate. 31, 2014, to be used until December 31, assigning it to the organometallic Section 172.315 2016. For domestic transportation, we substance HMT entries UN3393 through are authorizing a packaging marked UN3399. The special provision waives In this final rule, PHMSA is revising with a ‘‘Keep Away From Heat’’ the 2.5 year internal inspection for the specifications for the limited handling mark prior to January 1, 2017 portable tanks used for the transport of quantity markings prescribed in and in conformance with the liquid and solid organometallic § 172.315(a)(2) and (b)(2) to be requirements of the regulations in effect substances provided that the portable consistent with the revised on December 31, 2014, to continue in tank remains in the dedicated service of specifications in the UN Model service until the end of its useful life. transporting organometallic substances. Regulations. To promote uniformity and However, all other required 2.5 year consistency with the UN Model Section 172.322 inspections and tests would still be Regulations we are allowing In this final rule, PHMSA is clarifying performed, as well as the full 5 year manufacturers and printers necessary in § 172.322(a)(2) and (b), that the periodic test and inspection, which time to produce markings that conform marking requirements for marine would include an internal inspection. to the revised specifications, and to pollutants are required unless otherwise Before an internal inspection can be deplete supplies of existing markings. provided for in the regulations. performed, the tank must be cleaned PHMSA is adding a transitional period In § 172.322(e), PHMSA is deleting and purged. In this process, it is to authorize a limited quantity marking the obsolete date of January 14, 2010 for difficult to ensure that water, that is in conformance with the the requirements for the marine impurities, or contaminants introduced requirements of the regulations in effect pollutant mark. during cleaning are fully removed on December 31, 2014, to be used until To promote the uniformity of the before organometallic substances are December 31, 2016. PHMSA received marine pollutant mark throughout the again introduced into the tank, which one comment from DGAC noting that international transportation community, could potentially result in a dangerous many packages, especially those the UN Model Regulations have adopted reaction or have an effect on the purity containing consumer products, may be revisions to clarify and standardize the of the product. Since these permanently marked with the limited specifications for this hazard organometallic substances are fully quantity marking and remain in the communications element. In this final compatible with and are not corrosive to distribution cycle for an extended rule, PHMSA is revising § 172.322(e) to the materials of construction used in period of time. DGAC recommended be consistent with the revised such tanks, the likelihood that an that a provision be added which specifications for this marking in the internal inspection will reveal any authorizes limited quantity markings UN Model Regulations. We are also corrosion, pitting or other deterioration conforming to the current requirements adopting a transitional period to of the tank is unlikely. To increase and permanently affixed to a package to authorize a marine pollutant mark that safety and avoid the risk of a dangerous be authorized for the useful life of the is in conformance with the requirements reaction or product contamination the package. PHMSA agrees that there may of the regulations in effect on December 2.5 year internal inspection is waived, be packages or packagings marked for an 31, 2014, to be used until December 31, provided the portable tank remains in indefinite period of time and is adding 2016, so that manufacturers and printers the dedicated service of transporting a new paragraph (a)(2)(ii) and (b)(2)(ii) will have the necessary time to deplete

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existing supply and to produce Model Regulations. In addition, PHMSA revising the specifications for placards markings that conform to the revised is revising (d)(2)(iii) that provides a prescribed in § 172.519(c) to be specifications. For domestic color alternative for the symbol on the consistent with the UN Model transportation, we are authorizing a ORGANIC PEROXIDE LABEL to be Regulations. Additionally, to allow packaging marked with a marine consistent with the UN Model manufacturers and printers necessary pollutant mark prior to January 1, 2017 Regulations. Also to be consistent with time to produce placards that conform and in conformance with the the UN Model Regulations, and to allow to the revised specifications, and to requirements of the regulations in effect manufacturers and printers necessary allow for the depletion of supplies of on December 31, 2014, to continue in time to produce labels that conform to existing placards, we are providing a service until the end of its useful life. the revised specifications, and to allow transitional period. This transitional for the depletion of supplies of existing Section 172.326 period authorizes a placard that is in labels, we are adopting a transitional conformance with the requirements of Section 172.326 prescribes marking period to authorize a label that is in the regulations in effect on December requirements for portable tanks. PHMSA conformance with the requirements of 31, 2014, to be used until December 31, received a comment from Edward the regulations in effect on December 2016. Finally, PHMSA realizes that in Altemos noting that in the NPRM 31, 2014, to be used until December 31, domestic transportation, numerous PHMSA did not propose to harmonize 2016. placards of a semi-permanent nature are this section with recent changes PHMSA received one comment from in service. PHMSA is allowing, that for adopted into Amendment 37–14 of the DGAC noting that many packages may domestic transportation, a placard IMDG Code. Amendment 37–14 of the be permanently labeled and remain in manufactured prior to January 1, 2017, IMDG Code adopted a reduced size service for an extended period of time. in conformance with the requirements proper shipping name exception for DGAC recommended that a provision be of the regulations in effect on December portable tanks having a capacity of less added which authorizes labels 31, 2014, may continue in domestic than 3,000 L (792.52 gallons). Prior to conforming to the current requirements service until the end of its useful life this amendment proper shipping name and permanently affixed to a package to provided the color tolerances are markings on all portable tanks were be authorized for the life of the package. maintained and are in accordance with required to be at least 65 mm (2.5 PHMSA agrees that there may be the display requirements of the inches) high. Mr. Atlemos requests packages or packagings labeled for an subchapter. PHMSA harmonize with the IMDG Code indefinite period of time and in on this issue. PHMSA agrees and is response is adding a new paragraph Part 173 amending paragraph (a) accordingly. (c)(1)(iv) to § 172.407 to read ‘‘For Section 173.2a Section 172.327 domestic transportation, a packaging labeled prior to January 1, 2017 and in Section 173.2a outlines classification To promote the uniformity of conformance with the requirements of requirements for materials having more markings, in this final rule, PHMSA is this paragraph in effect on December 31, than one hazard. In this final rule, revising and clarifying the specifications 2014, may continue in service until the PHMSA is amending paragraph (a)(1) to for the ‘‘petroleum sour crude oil’’ mark end of its useful life.’’ note that shipments of ‘‘UN3507, prescribed in § 172.327(a) to be Finally, PHMSA is adding paragraph Uranium hexafluoride, radioactive consistent with the revised (d)(2)(iv) to permit, consistent with the material, excepted package, less than 0.1 specifications for markings in the UN UN Model Regulations, a FLAMMABLE kg per package’’ are not required to Model Regulations. Also, to allow GAS label to be displayed on cylinders apply the radioactive hazard as the manufacturers and printers necessary and gas cartridges for liquefied primary hazard. This change is adopted time to produce markings that conform petroleum gases, where the symbol may to incorporate the transportation to the revised specifications, and to be shown in the background color of the provisions for excepted packages of allow for the depletion of supplies of receptacle if adequate contrast is uranium hexafluoride adopted in the existing markings, we are adopting a provided. 18th Revised Edition of the UN Model transitional period to authorize a Regulations, the IMDG Code and the ‘‘petroleum sour crude oil’’ mark that is Section 172.512 ICAO TI. in conformance with the requirements The placarding requirements for Section 173.3 of the regulations in effect on December freight containers and aircraft unit load 31, 2014, to be used until December 31, devices are described in § 172.512. The The UN Model Regulations have 2016. For domestic transportation, we reference in § 172.512(a)(3) to part 7; adopted revisions to clarify and are authorizing a packaging marked chapter 2, section 2.7 of the ICAO TI in standardize the specifications for with a ‘‘petroleum sour crude oil mark’’ this paragraph is inaccurate. This markings. In this final rule, PHMSA is prior to January 1, 2017 and in reference became inaccurate because revising the specifications for markings conformance with the requirements of part 7; chapter 2, section 2.7 of the for salvage packagings prescribed in the regulations in effect on December ICAO TI now refers to replacement of § 173.3(c)(3); salvage cylinders 31, 2014, to continue in service until the labels, whereas section 2.8 refers to prescribed in § 173.3(d)(3); and end of its useful life. identification of unit load devices prescribing requirements for the containing dangerous goods. PHMSA is marking of the proposed large salvage Section 172.407 revising this paragraph for the correct packaging in § 173.3(f) to be consistent The UN Model Regulations have reference to cite part 7; chapter 2, with the revised specifications for adopted revisions to clarify and section 2.8. salvage packaging markings in the UN standardize the specifications for labels Model Regulations. Also, to be to promote the uniformity of hazard Section 172.519 consistent with the UN Model communications labels throughout the The UN Model Regulations have Regulations, and to allow shippers international transportation community. adopted revisions to clarify and necessary time to implement the new In this final rule, PHMSA is revising standardize the specifications for marking requirements, we are adopting § 172.407(c) to be consistent with UN placards. In this final rule, PHMSA is a transitional period to authorize a

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marking that is in conformance with the UN Model Regulations. Also consistent revised § 173.24(c)(2) to clarify that requirements of the regulations in effect with the UN Model Regulations, to appropriate suitable cushioning is only on December 31, 2014, to be used until allow manufacturers and printers required when necessary. December 31, 2016. PHMSA also necessary time to produce markings that Section 173.25 realizes that salvage packagings and conform to the revised specifications, salvage cylinders are typically marked and to allow for the depletion of To promote the uniformity of in a durable manner. PHMSA is supplies of existing markings, we are markings, the UN Model Regulations authorizing, for domestic transportation, authorizing a transitional period to have been revised to clarify and a salvage packaging or a salvage authorize a fumigant marking that is in standardize the specifications for the cylinder that is marked prior to January conformance with the requirements of overpack marking. In this final rule, 1, 2017 in conformance with the the regulations in effect on December PHMSA is revising § 173.25(a)(4) to be requirements of the regulations in effect 31, 2014, to be used until December 31, consistent with the revised on December 31, 2014, to continue in 2016. specifications for these markings in the service until the end of its useful life. Section 173.11 UN Model Regulations. Also consistent PHMSA received one comment from with the UN Model Regulations, to RIPA supporting the transition period In this final rule, PHMSA is adding a allow manufacturers and printers for ‘‘already fabricated and durably new § 173.11 that provides exceptions necessary time to produce markings that marked salvage packagings,’’ but to the regulations for certain light bulbs conform to the revised specifications, requesting an additional transition year containing hazardous materials based and to allow for the depletion of for embossed packagings. PHMSA notes on their transport conditions, the supplies of existing markings, we are however, that as is being adopted in this quantity of hazardous materials adopting a transitional period to final rule a salvage cylinder that is contained in each light bulb or package, authorize an overpack marking that is in marked prior to January 1, 2017 in and the type of packaging. This new conformance with the requirements of conformance with the requirements of section is consistent with newly the regulations in effect on December the regulations in effect on December adopted provisions in the UN Model 31, 2014, to be used until December 31, 31, 2014, may continue in service until Regulations. In the NPRM, PHMSA 2016. For domestic transportation, we the end of its useful life. proposed using the term ‘‘lamp’’ in this are authorizing an overpack marked Also PHMSA is adding a new section for consistency with the with an overpack marking prior to paragraph (f) to § 173.3 authorizing and language contained in the UN Model January 1, 2017 and in conformance Regulations. However, a reference to prescribing the use of large salvage with the requirements of the regulations ‘‘light bulbs’’ remained in packaging for all modes of in effect on December 31, 2014, to § 173.307(a)(6). PHMSA received one transportation other than air. PHMSA continue in service until the end of its comment from Alaska Airlines noting received one comment from RIPA useful life. PHMSA received one that this may be confusing for shippers providing general support for the comment from RIPA providing general and suggested defining the terms lamp amendments as proposed. support for this amendment. and light bulb. We agree that using both Section 173.4a of these terms may be confusing; Section 173.62 The UN Model Regulations have been however we do not believe there is a Consistent with the UN Model revised to clarify and standardize the need for defining these two terms as specifications for the marking of they apply to the same commodity. Regulations, in this final rule, PHMSA excepted quantities of packaged Therefore, in this final rule, PHMSA is is revising § 173.62 relating to specific hazardous materials. In this final rule, revising the language in § 173.11 and packaging requirements for explosives PHMSA is revising § 173.4a(g)(2) to be § 173.307 to include the term ‘‘lamp’’ in as follows: consistent with the revised association with ‘‘light bulb.’’ In paragraph (b), in the Explosives specifications for these markings in the Table, the entry for UN0222 is revised Section 173.24 UN Model Regulations. We are adding to expand the packaging authorizations a transition period so that In this final rule, PHMSA is revising to include Packing Instruction 117 in manufacturers and printers can produce § 173.24 to authorize the use of addition to the existing Packaging markings that conform to the revised supplementary packagings within an Instructions 112(b) and 112(c). specifications, and deplete existing outer packaging (e.g., an intermediate In paragraph (c), in the Table of supplies. An excepted quantities packaging or a receptacle inside a Packing Methods, Packing Instruction marking that is in conformance with the required inner packaging) in addition to 116 is revised to delete provision 5, requirements of the regulations in effect what is required by the regulations which states that woven plastic bags on December 31, 2014, can be used until provided all applicable requirements are (5H2 or 5H3) must be used only for UN December 31, 2016. For domestic met and, if appropriate, suitable 0082, 0241, 0331 and 0332. Packing transportation, we are authorizing a cushioning is used to prevent movement Instruction 117 is revised to add packaging marked with an excepted within the packaging. This revision is provision 5 which states, ‘‘For UN0222, quantities marking prior to January 1, consistent with newly adopted when other than metal or rigid plastics 2017 and in conformance with the provisions in the UN Model IBCs are used, they must be offered for requirements of the regulations in effect Regulations. PHMSA received one transportation in a closed freight on December 31, 2014, to continue in comment from Veolia requesting container or a closed transport service until the end of its useful life. clarification that the newly proposed vehicle.’’; and provision 6 which states, requirement under § 173.24(c)(2) for the ‘‘For UN0222, flexible IBCs must be sift- Section 173.9 use of ‘‘appropriate suitable proof and water-resistant or must be In this final rule, PHMSA is revising cushioning’’ is only required when fitted with a sift-proof and water- the specifications for the fumigant movement of the inner receptacles resistant liner.’’ Packing Instructions marking prescribed in § 173.9(e) to be within the outer packaging would result 131 and 137 are revised to expand the consistent with the revised in breakage of the inner receptacles authorization for outer packagings to specifications for these markings in the during transportation. PHMSA has include solid plastic boxes (4H2).

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Section 173.115 briquettes (NA1361) that was revised proper shipping names and Section 173.115 prescribes the inadvertently deleted in the final rule revising § 173.166 to adopt the term definitions for Class 2 materials. In this dated January 7, 2013 (HM–215K; 78 FR ‘‘Safety Devices’’ for these items. An final rule a new paragraph (m) is added 1101). entry for the existing proper shipping name ‘‘Air bag inflators, or Air bag to define the term ‘‘Adsorbed gas.’’ The Section 173.161 term means a gas which when packaged modules, or Seat-belt pretensioners’’ has Section 173.161 prescribes packaging for transport is adsorbed onto a solid been left in the § 172.101 Hazardous requirements for chemical kits and first porous material resulting in an internal Materials Table to direct the reader to aid kits that contain small amounts of receptacle pressure of less than 101.3 the new proper shipping names ‘‘Safety hazardous materials. Paragraph (b)(2) kPa at 20 °C and less than 300 kPa at devices, electrically initiated’’ and contains the requirement that ‘‘The 50 °C. ‘‘Safety devices, pyrotechnic.’’ PHMSA Currently the HMR do not prescribe packing group assigned to the chemical received multiple comments (Takata, requirements for the transport of kit and first aid kit as a whole must be Autoliv, TRW Automotive, and adsorbed gases. In this final rule, the most stringent packing group COSTHA) supporting the inclusion of PHMSA is adopting various assigned to any individual substance in new proper shipping names for ‘‘Safety transportation requirements for the kit . . .’’ This requirement creates devices.’’ adsorbed gases. Therefore in this final problems for shippers and air transport The current § 173.166(b)(1)(iv) rule we are adopting the above acceptance personnel because it does provides that under certain conditions a definition of an adsorbed gas based on not specify what must be shown for the Class 9 (UN3268) air bag inflator, air bag the definition found in the 18th Revised packing group on the shipping paper, or module, or seat-belt pretensioner design Edition of the UN Model Regulations, what packaging standard must be is not required to be submitted to the the IMDG Code and the ICAO TI. applied to kits containing hazardous Associate Administrator for approval or materials to which no packing group is assigned an EX number. In the NPRM, Section 173.121 assigned. In this final rule, PHMSA is PHMSA proposed not extending this Section 173.121 prescribes the revising paragraph (b)(2) to require that exception to all Class 9 safety devices requirements for the selection of for kits containing only hazardous and maintaining this exception only for packing groups for Class 3 flammable materials to which no packing group is air bag inflators, air bag modules, and liquids. Paragraph (b) of this section assigned, a packing group need not be seat-belt pretensioners. All other types describes the criteria for inclusion of indicated on the shipping paper of safety devices, such as viscous Class 3 materials in Packing although such packagings shall meet the pyromechanical devices, that are Group III. Paragraph (b)(1)(ii) currently Packing Group II performance level. candidates for Class 9 must be states that the mixture cannot contain PHMSA received one comment from submitted to the Associate any substances with a primary or UPS providing full support for the Administrator for approval. Takata, subsidiary risk of Division 6.1 or Class amendments as proposed. Autoliv, TRW Automotive, and COSTHA provided comments opposing 8. In this final rule, PHMSA is revising Section 173.164 paragraph (b)(1)(ii) to clarify that a PHMSA’s proposal to not extend this mixture or any separated solvent cannot Section 173.164 prescribes exception to all ‘‘Safety, devices.’’ A contain any substances with a primary requirements for the transportation of summary of the commenters’ positions or subsidiary risk of Division 6.1 or Mercury (metallic and articles follows: • Class 8. This change is consistent with containing mercury). In this final rule, Employees who prepare shipping the current language in the 18th Revised PHMSA is eliminating the existing papers will have a difficult task to Edition of the UN Model Regulations, exception for lamps containing mercury determine when an EX number is or is the IMDG Code and the ICAO TI. in paragraph (a)(5) since this exception not required to be contained on the will be covered in the new § 173.11 shipping paper, and training for this Section 173.127 relating to exceptions for shipment of requirement by January 1, 2015 will be In this final rule, PHMSA is revising light bulbs containing hazardous difficult to achieve. § 173.127(a) to authorize an alternative materials. • Automated software used to prepare shipping papers for hazardous materials test for assigning packing groups to Section 173.166 Division 5.1 oxidizing solids. The test is will not be capable of differentiating in addition to the currently authorized Section 173.166 prescribes between air bag inflators, air bag test using potassium bromate/cellulose requirements for the transportation of modules, seat-belt pretensioners and all mixture. The alternative test uses air bag inflators, air bag modules and other Class 9 (UN3268) safety devices. calcium peroxide as a reference seat-belt pretensioners, UN3268 and Software programs are written to either substance which is neither carcinogenic UN0503. Due to technological require an EX number or not require an nor as acutely toxic as potassium developments, new safety devices for EX number for UN3268 (Class 9) bromate. In addition, the alternative test vehicles are becoming available. The devices. replaces the highly subjective visual devices include pyromechanical devices • Carriers are not capable of determination of the burning time with that meet the definition of a hazardous determining when a Class 9, UN3268 a gravimetric determination of the material but are not accurately ‘‘Safety Device’’ does or does not require burning rate. This change is consistent described by the proper shipping names an EX number on the shipping papers. with the test adopted into the UN Model Air bag inflators, Air bag modules, or • PHMSA approved explosives test Regulations. Seat-belt pretensioners. The proper labs will witness testing of Safety shipping name for these devices has Devices, other than air bag inflators, air Section 173.151 been revised in the UN Model bag modules and seat-belt pretensioners, Section 173.151 provides exceptions Regulations to ‘‘Safety devices, to determine proper classification. The for Class 4 hazardous materials. In this electrically initiated’’ for UN 3268 and devices will either pass criteria for final rule, PHMSA is revising paragraph ‘‘Safety devices, pyrotechnic’’ for classification as Class 9 (UN3268), Class (b) to replace a pre-existing paragraph UN0503. Consistent with the UN Model 1.4G (UN0503) or they will fail to obtain (b)(2) relating to exceptions for charcoal Regulations, PHMSA is adopting these classification as a Safety Device. There

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will be no increased risk to safety based either currently in transportation or in package will be considered to have on the explosives examiner’s storage awaiting further offering in passed the drop test if the outer classification determination. transportation, are both marked and packaging does not exhibit any damage • The new Safety Devices, other than described with the new proper shipping liable to affect safety during transport air bag inflators, air bag modules and names ‘‘Safety devices’’ or ‘‘Safety and there is no leakage from the inner seat-belt pretensioners, have already devices, pyrotechnic’’ as appropriate. packaging(s). been manufactured and shipped for COSTHA notes that while the majority Section 173.176 several years, but with classifications of shippers of these devices are such as Class 1.4S (UN0323) or ‘‘Not transitioning to the new authorized This section addresses capacitors by regulated as a Class 1 Explosive’’. These shipping names for documentation prescribing the testing, marking, safety, devices typically contain significantly purposes, ensuring proper shipping and packaging requirements for electric lower amounts of pyrotechnics, and name markings on packages are double layer capacitors with energy therefore pose less risk to safety when consistent with the new shipping names storage capacity greater than 0.3 watt shipping and handling. The commenters may prove difficult. COSTHA asks for a hours (Wh). In this final rule, PHMSA are not aware of any incidents or transitional period for packages is revising § 173.176 to include accidents involving these devices. containing ‘‘Air bag inflators’’, ‘‘Air bag provisions for asymmetric capacitors in • Adding the requirement for certain modules’’, and ‘‘Seat-belt pretensioners’’ accordance with the new HMT entry Safety Devices to be submitted to allowing them to be marked with ‘‘UN3508, Capacitor, asymmetric (with PHMSA for approval and an EX number previously authorized proper shipping an energy storage capacity greater than will add to PHMSA’s approval names while shipping papers would 0.3Wh).’’ In addition, paragraph (a)(5) workload. Current processing time for indicate the new proper shipping names presently requires that capacitors must approvals is 180 to 200 days. This delay as proposed in the NPRM. be marked with the energy storage in bringing new products to market will PHMSA agrees that this situation may capacity in Wh. Many pre-existing hurt U.S. manufacturers and carriers occur, and in this final rule PHMSA is capacitors do not have Wh marking and because new products will be sourced to adding a new paragraph (d)(6) to are not permitted to be transported even other nations. § 173.166 to permit until January 1, when all other requirements of this As noted in the proposed rule, the 2016, the domestic transportation by section are met. PHMSA is amending three items currently excepted have a highway, rail, and vessel of packages paragraph (a)(5) to require that the Wh long history of safety in their design and containing ‘‘Air bag inflators’’, ‘‘Air bag marking is required for non-asymmetric manufacture. New devices do not yet modules’’, or ‘‘Seat-belt pretensioners’’ capacitors manufactured after December have such an established safety history. that are marked or documented either 31, 2013 and for asymmetric capacitors PHMSA, in the interest of safety, is with a previously authorized proper manufactured after December 31, 2015. limiting use of the exception to articles shipping name (Air bag inflators, Air Section 173.181 and devices currently authorized under bag modules, or Seat-belt pretensioners) the exception. PHMSA is not opposed to for these articles; or with the This section prescribes the non-bulk reexamining the exception from appropriate new proper shipping name packaging requirements applicable to Associate Administrator approval for all authorized under this rulemaking pyrophoric liquids. On January 7, 2013, safety devices, once a sufficient number (Safety devices or Safety devices, PHMSA published final rule PHMSA– of these new devices have been pyrotechnic). This exception can be 2012–0027 (HM–215L) [78 FR 987] to evaluated and the data provides applied in part or in whole. Packages maintain alignment with international assurance that an appropriate level of may be marked with a previously standards by incorporating various safety is maintained. PHMSA is authorized proper shipping name (e.g., amendments, including changes to however excepting these new types of Air bag inflators) and declared on proper shipping names, hazard classes, safety devices classified as Class 9 shipping papers with a proper shipping packing groups, special provisions, materials from the requirement to mark name authorized under this rulemaking packaging authorizations, air transport the EX number on shipping papers and (e.g., Safety devices). Conversely, quantity limitations, and vessel stowage packages by revising § 173.166(c)(2). packages may be marked with a proper requirements. In that final rule, PHMSA This revision addresses the commenters shipping name authorized under this revised paragraphs (b) and (c) to add concerns about the ability for carriers rulemaking (e.g., Safety devices) and authorized packagings for these and downstream offerors to know when declared on shipping papers with a materials. Paragraphs (c)1–3 were a safety device classified as a Class 9 previously authorized proper shipping inadvertently deleted due to an material does or does not require an EX name (e.g., Air bag inflators). It is also incorrect amendatory instruction and in number to be indicated on important to note that in accordance this final rule, PHMSA is placing documentation or packages. with the January 1, 2016 delayed paragraphs (c)1–3 back into § 173.181 as Additionally, in this final rule, compliance date of this rulemaking, they were prior to the publication of PHMSA is adding a new paragraph packages that are both marked and HM–215L. (d)(5) to § 173.166 to permit the declared using a proper shipping name Section 173.185 continued transportation of an air bag in effect on December 31, 2014 may inflator, air bag module, or seat-belt continue to be offered for transport and In this final rule, PHMSA is adding pretensioner that was classed and transported until January 1, 2016. paragraph (b)(6) and revising approved for transportation prior to paragraph(f)(3) to authorize and January 1, 2015 under the terms of the Section 173.167 prescribe the use of a large packaging for existing approval, using the proper Section 173.167 prescribes the a single large lithium battery or a battery shipping name ‘‘Safety Devices’’ or requirements for consumer commodities contained in equipment. This ‘‘Safety Devices, Pyrotechnic’’ as intended for air transportation. In this authorization does not include appropriate. final rule, PHMSA is revising the drop transportation by aircraft. The addition PHMSA received a comment from test requirements in (a)(4) by including of this packaging type into this section COSTHA noting potential logistical the criteria for passing the test. A is consistent with provisions for lithium problems ensuring that all packages, completed consumer commodity batteries in the UN Model Regulations.

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PHMSA received one comment from documentation amendments do align ‘‘not exceeding’’ as opposed to ‘‘less COSTHA in support of this proposal. with the requirements of the ICAO TI. than’’ 5 kg net weight are not subject to The ICAO DGP took a decision during However, in this final rule PHMSA is the marking or ‘‘CARGO AIRCRAFT the most recent biennium to remove the revising § 173.185(c)(4)(v) as suggested ONLY’’ label requirement. This alternative written documentation by UPS for clarity. This editorial provides editorial consistency with the option in Section IB of ICAO TI Packing amendment will clarify that packages provisions of the ICAO TI. Instructions 965 and 968 and instead offered in accordance with Section 173.199 require a standard transport document § 173.185(c)(4)(v) are subject to the (shipping paper). Section IB is shipping paper requirements of subpart In this final rule, PHMSA is revising applicable to packages that exceed the C of Part 172. the specifications for the Category B number or quantity (mass) limits for At the April 2014 meeting, the ICAO infectious substance marking in smaller lithium batteries in Section II of Working Group on Lithium Batteries, § 173.199(a)(5) to be consistent with the Packing Instructions 965 and 968, thus forbade the shipment of lithium metal revised specifications for these markings excepting such packages from cells and batteries as cargo on passenger in the UN Model Regulations. Also specification packaging requirements aircraft with the exception of lithium consistent with the UN Model when containing no more than 2.5 kg of metal cells and batteries packed with or Regulations, to allow manufacturers and lithium metal cells or batteries or 10 kg contained in equipment not exceeding 5 printers necessary time to produce of lithium ion cells or batteries per kg net weight. This prohibition of markings that conform to the revised package. As this revision will appear in lithium metal batteries as cargo on specifications, and to allow for the the 2015–2016 Edition of the ICAO TI, passenger aircraft is consistent with depletion of supplies of existing in this final rule PHMSA is amending current HMR requirements. As a markings, we are adopting a transitional paragraph (c)(4)(v) to require a shipping consequence to this prohibition, Section period to authorize a Category B paper for these packages containing no II of Packing Instruction 968 in the infectious substance marking that is in more than 2.5 kg of lithium metal cells ICAO TI was amended to require conformance with the requirements of or batteries or 10 kg of lithium ion cells shipments of small lithium metal cells the regulations in effect on December or batteries per package. PHMSA sought and batteries to display the ‘‘CARGO 31, 2014, to be used until December 31, input as to the costs and benefits of AIRCRAFT ONLY’’ label where 2016. For domestic transportation, we harmonizing the provisions of the HMR previously only a lithium battery are authorizing a packaging marked with the provisions of the ICAO handling marking was required. with a Category B infectious substance Technical Instructions by requiring Presently under the HMR, a package marking prior to January 1, 2017 and in shipping papers as opposed to containing such lithium metal cells or conformance with the requirements of alternative documentation. PHMSA also batteries as provided in the regulations in effect on December solicited comments on the costs and § 173.185(c)(1)(iii), is required to be 31, 2014, to continue in service until the benefits of maintaining a domestic marked ‘‘PRIMARY LITHIUM end of its useful life. difference within the HMR to continue BATTERIES—FORBIDDEN FOR Section 173.225 to allow the use of the alternative TRANSPORT ABOARD PASSENGER documentation in lieu of a shipping AIRCRAFT’’ or ‘‘LITHIUM METAL This section prescribes packaging paper as required by the ICAO BATTERIES—FORBIDDEN FOR requirements and other provisions for Technical Instructions. PHMSA TRANSPORT ABOARD PASSENGER organic peroxides. In this final rule, received comments from UPS and AIRCRAFT.’’ In this final rule, PHMSA PHMSA is revising the Organic Peroxide Alaska Airlines concerning removal of is providing an alternative to the Portable Tank Table in paragraph (g). the alternative document. UPS existing marking requirement in PHMSA is revising the entry in the supported our proposed change to the § 173.185(c)(1)(iii) with the option to second column of the table pertaining to documentation requirement for display a ‘‘CARGO AIRCRAFT ONLY’’ the hazardous material ‘‘Peroxyacetic packages containing smaller lithium label. This allowance to either utilize acid, distilled, stabilized, not more than batteries transported in accordance with the current marking or the ‘‘CARGO 41%’’ to include a Note 1, that a § 173.185(c)(4)(v). UPS also commented AIRCRAFT ONLY’’ label provides ‘‘Corrosive’’ subsidiary risk placard is that the proposal to introduce a shippers with the flexibility to utilize required.’’ The adoption of this shipping paper requirement for supplies of preprinted markings or requirement is consistent with the shipments offered under packagings, while also allowing requirements in the UN Model § 173.185(c)(4)(v) could be interpreted shippers to transition to the use of the Regulations. to conflict with the statement in the ‘‘CARGO AIRCRAFT ONLY’’ if desired. Section 173.231 preceding paragraph § 173.185(c) that PHMSA received comments from UPS such shipments are excepted from the and COSTHA in support of the Currently, the § 172.101 HMT Column requirements in subparts C through H of proposal. UPS also commented that the (8B) packaging authorization for part 172. UPS suggests that § 173.185(c) provision in this paragraph excepting Ammonium nitrate emulsion, should be clarified in this regard. We lithium metal cells or batteries packed suspension, or gel, UN3375, directs the agree clarification is warranted. Alaska with or contained in equipment in reader to § 173.214 which requires that Airlines commented that they would quantities ‘‘less than 5 kg net weight’’ packagings and methods of shipment like to see increased harmonization from the § 173.185(c)(1)(iii) marking must be approved by the Associate between the 49 CFR and ICAO TI with requirement differs slightly in wording Administrator prior to the first regard to the documentation required from the current ICAO TI and previous shipment. In this final rule, PHMSA is while stating there is no reason to requirements of the HMR. In this final adding a new § 173.231 titled deviate from the ICAO TI. We agree, and rule, PHMSA is revising ‘‘Ammonium nitrate emulsion, note that the amendments proposed do § 173.185(c)(1)(iii) as proposed in the suspension, or gel’’ and assigning this provide for such consistency. NPRM with an additional editorial section to UN3375 to authorize and Taking into account the comments revision to clarify that lithium metal prescribe the use of non-bulk from Alaska Airlines, PHMSA cells or batteries packed with or packagings for this material. The confirmed that the proposed contained in equipment in quantities requirements of the new section are

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consistent with the requirements in the consistent with the requirements in the PHMSA is amending paragraph (b) to UN Model Regulations. UN Model Regulations. reflect the incorporation by reference (IBR) of the IAEA Regulations for the Section 173.251 Section 173.307 Safe Transport of Radioactive Material, Currently, the § 172.101 HMT Column Section 173.307 provides exceptions SSR–6 2012 Edition. Please see the (8C) packaging authorization for from the regulations for compressed Section-by-Section Review under Ammonium nitrate emulsion, gases. In this final rule, PHMSA is § 171.7 for a discussion of the suspension, or gel, UN3375, directs the revising paragraph (a)(5) relating to incorporation by reference. manufactured articles or apparatuses to reader to § 173.214 which requires that Section 173.417 packagings and method of shipment clarify that the exception for must be approved by the Associate manufactured articles does not include Section 173.417 authorizes fissile Administrator prior to the first light bulbs. The exceptions for light materials packages for the transport of shipment. In this final rule, PHMSA is bulbs are contained in the new § 173.11 Class 7 (radioactive) materials. In this adding a new § 173.251 titled ‘‘Bulk relating to exceptions for shipment of final rule, PHMSA is amending packaging for ammonium nitrate light bulbs containing hazardous paragraphs (a)(1)(iii) and (b)(2) to reflect emulsion, suspension, or gel’’ and materials. Also, we are revising the incorporation by reference (IBR) of assigning this section to UN3375 to paragraph (a)(6) relating to light bulbs to the IAEA Regulations for the Safe authorize and prescribe the use of IBC’s clarify that the exceptions do not apply Transport of Radioactive Material, SSR– for this material. The requirements of to light bulbs as described in the new 6 2012 Edition. Please see the Section- the new section are consistent with the § 173.11 relating to exceptions for by-Section Review under § 171.7 for a requirements in the UN Model shipment of light bulbs containing discussion of the incorporation by Regulations. hazardous materials. reference. Section 173.301b Section 173.309 Section 173.420 In this final rule, PHMSA is revising Section 173.309 prescribes Section 173.420 prescribes the paragraph (c) relating to pressure requirements for fire extinguishers. In transport conditions for uranium receptacle valve requirements to include this final rule, we are adding a new hexafluoride. In this final rule, PHMSA that a valve manufactured on or before introductory paragraph describing fire is amending this paragraph to note that December 31, 2008, conforming to the extinguisher types authorized for fissile-excepted shipments less than 0.1 requirements in ISO 10297:1999 is transport in accordance with this kg may be offered under UN3507. These authorized. This proposed revision is section and covered by the HMT entry requirements align with IAEA SSR–6 consistent with the requirements in the ‘‘UN1044, Fire extinguishers.’’ PHMSA requirements, while maintaining general UN Model Regulations. The received one comment from UPS packaging requirements from §§ 173.24 redesignation of several paragraphs in providing general support for the and 173.24a. proposed amendments as proposed. § 178.71 requires an amendment to Section 173.435 paragraph (g) of § 173.301b. The current Section 173.403 Section 173.435 provides a table of A reference for marking requirements for 1 Consistent with the UN Model and A2 values for radionuclides for cylinders manufactured in accordance regulations, in this final rule, PHMSA is Class 7 (radioactive) materials. In this with the requirements for underwater revising two definitions in § 173.403 final rule, PHMSA is amending note a to use direct the user to § 178.71(o)(17). relating to the transportation of Class 7 the table to reflect the incorporation by This citation is incorrect prior to the (Radioactive Materials). ‘‘Exclusive reference (IBR) of the IAEA Regulations publication of this rule and should have Use’’ is revised to clarify that it also for the Safe Transport of Radioactive been (p)(18). With the redesignation of applies to the shipment of the load and Material, SSR–6 2012 Edition. Please § 178.71(p) as paragraph (q), this that exclusive use only applies when see the Section-by-Section Review reference is being changed to compliance is required by the under § 171.7 for a discussion of the § 178.71(q)(18). regulations. ‘‘Freight Container’’ is incorporation by reference. revised to eliminate the requirement Section 173.302 Section 173.466 that a ‘‘small freight container’’ has one In this final rule, PHMSA is adopting outer dimension less than 1.5 m (4.9 Section 173.466 specifies additional the new UN Model Regulation feet). tests for Type A packagings designed for requirements for the transportation of liquids and gases. During the review of adsorbed gases in cylinders. This Section 173.415 this section, we found that paragraphs section specifies requirements for the Section 173.415 authorizes Type A (a)(1) and (a)(2) were inadvertently filling of cylinders with non-liquefied packages for the transport of Class 7 removed in a final rule published in the (permanent) compressed gases. PHMSA (radioactive) materials. In this final rule, Federal Register on July 11, 2014 (79 FR is amending the title of this section and PHMSA is amending paragraph (d) to 40589; HM–250). As a result, PHMSA is paragraph (a) to include and specify reflect the incorporation by reference reinstating (a)(1) and (a)(2) as they read requirements for the transportation of (IBR) of the IAEA Regulations for the prior to publication of the HM–250 final adsorbed gases. Safe Transport of Radioactive Material, rule. SSR–6 2012 Edition. Please see the Section 172.302c Section 173.473 Section-by-Section Review under In this final rule, PHMSA is adding a § 171.7 for a discussion of the Section 173.473 provides the new § 173.302c to adopt the new incorporation by reference. requirements for foreign made packages authorization in the UN Model for the transport of Class 7 (radioactive) Regulations for the transportation of Section 173.416 materials. In this final rule, PHMSA is adsorbed gases in UN pressure Section 173.416 authorizes Type B amending the introductory paragraph receptacles. The adoption of these packages for the transport of Class 7 and paragraph (a)(1) to reflect the requirements into this new section is (radioactive) materials. In this final rule, incorporation by reference (IBR) of the

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IAEA Regulations for the Safe Transport PHMSA is revising paragraph (a)(24), 7;5.1.1 of the ICAO TI. By removing the of Radioactive Material, SSR–6 2012 applicable to small cartridges for other examples in conjunction with other Edition. Please see the Section-by- devices, by amending the phrase ‘‘small revisions to paragraph (b) it is now clear Section Review under § 171.7 for a cylinders’’ to ‘‘small cartridges,’’ and that passenger notification is required discussion of the incorporation by restricting the carriage of small gas for all ticket purchases; however, for reference. cartridges to only those without a assisted ticket purchase transactions via subsidiary risk. The existing operator the telephone, the hazardous materials Part 175 approval requirement was moved to information may be provided to the Section 175.9 make it more clearly align with the passenger using any suitable method ICAO TI. prior to the check-in process and Section 175.9 prescribes the passenger acknowledgement is not applicability of the HMR to special Section 175.25 required. These revisions represent full aircraft and rotocraft operations. This Section 175.25 prescribes the harmonization with the ICAO TI and section also prescribes the conditions notification that operators must provide additional flexibility in meeting the under which certain operations may be to passengers regarding restrictions on passenger notification requirements performed in accordance with 14 CFR the types of hazardous material they and, therefore, the previous effective and 49 CFR (e.g., avalanche and weather may or may not carry aboard an aircraft date of January 1, 2015 is waived as of control). Consistent with the ICAO TI, on their person or in checked or carry- publication of the rule. in this final rule, PHMSA is revising on baggage. Consistent with revisions to In addition, the revision is consistent paragraphs (b)(6) and (b)(6)(v) by the ICAO TI, in this final rule, PHMSA with a petition for rulemaking (P–1623) including ‘‘ice jam control’’ and is revising paragraph (b) as follows: (1) filed by COSTHA since it provides ‘‘landslide clearance’’ for operations For all ticket purchases, clarify that the clarification for ticket purchases made where explosives are used in a similar hazardous materials notification must via the telephone, permitting the manner to avalanche control. be presented at the point of ticket hazardous materials notification to be Section 175.10 purchase, or if this is not practical, made available in another manner to made available to passengers in another passengers prior to the check-in process. Section 175.10 specifies the manner prior to the check-in process PHMSA received comments from conditions for which passengers, crew and; (2) for such internet purchases, Jeffery Richmond, COSTHA, and the members, or an operator may carry require that the final ticket purchase ASTA on the proposed amendments. hazardous materials aboard an aircraft. cannot be completed until the passenger Jeffery Richmond and ASTA both Consistent with revisions to the ICAO or a person acting on the passenger’s provide general support for the TI, in this final rule, PHMSA is making behalf has been presented with this amendments. Mr. Richmond notes that several revisions to this section. information, in addition to the existing the changes as proposed would bring PHMSA is revising paragraph (a)(11), requirement to indicate that they § 175.25(b) into full compliance with applicable to passenger provisions for understand the restrictions on the ICAO TI. COSTHA also provided self-inflating life jackets, to include hazardous materials in baggage. PHMSA support for the proposed amendments, different types of self-inflating personal is revising paragraph (c) as follows: (1) but would like to note that there is a safety devices in order to account for Replace the text ‘‘provided’’ with question of how the Advisory Circular those carried by, but not limited to, ‘‘presented’’ to make it clear that (AC) will be drafted after motorcycle and horseback riders. In passengers must see information on the implementation date of the final rule. addition, PHMSA is clarifying that a types of hazardous material forbidden to COSTHA further asked if the FAA will passenger is limited to one self-inflating be transported before proceeding with continue to update the circular after the safety device, in addition to two spare check-in and; (2) require that the check- final rule comes into force or if this cartridges, and is requiring that both the in process cannot be completed until guidance information be eliminated. safety device and spares be packed in the passenger or a person acting on the Lastly, COSTHA asked if PHMSA would such a manner that they cannot be passenger’s behalf has been presented continue to communicate with the FAA accidently activated. with the hazardous materials in the future on this issue. PHMSA is adding a new information, in addition to the existing The FAA chartered an Aviation subparagraph (a)(18)(iv) to clarify that requirement to indicate that they Rulemaking Committee (ARC), which articles containing lithium metal or understand the restrictions on then developed recommendations for an lithium ion cells or batteries, with a hazardous materials in baggage. It was AC on Passenger Notification of primary function to provide power to reported that some operators published Hazardous Materials Regulations. another device, must be carried as spare the required information in areas on a PHMSA notes that the referenced ARC batteries in accordance with the Web site that were not always visible to recommendations were submitted to the provisions of this paragraph. Examples the passenger, believing that this met FAA on November 1, 2013, and a of such articles are portable power the requirement of being ‘‘provided.’’ request for comments was issued by the banks, portable charging stations, In paragraphs (b) and (c) PHMSA is FAA in the Federal Register on March portable battery chargers, portable removing the present effective dates of 4, 2014 (See 79 FR 12133). The ARC rechargers, back-up battery power January 1, 2015 and the word ‘‘phone’’ recommendations are considered open stations, battery power packs, and used as an example of a ticket purchase pending FAA review and are beyond the auxiliary power sources containing or check-in completed remotely. scope of this rulemaking. PHMSA will lithium batteries. During the review of Furthermore, PHMSA is removing the continue to communicate with the FAA this provision, we found that the words ‘‘regardless if the process is on all matters relating to the safe preceding paragraph (a)(18)(iii) was completed remotely (e.g., via the transportation of hazardous materials by inadvertently removed in a final rule Internet and Phone) or when completed aircraft. published in the Federal Register on at the airport, with or without assistance August 6, 2014 (79 FR 46011; HM– from another person (e.g., automated Section 175.30 224F). As a result, PHMSA is reinstating check in facility)’’ in order to bring Section 175.30 prescribes inspection (a)(18)(iii). paragraph (b) into full alignment with procedures for operators. Paragraph

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(e)(1) prohibits an overpack from revising paragraph (a)(1)(i) to state that and the HMR, the packing instructions containing a package bearing the technical names are not required to be were much less detailed than they are ‘‘CARGO AIRCRAFT ONLY’’ label provided on the notification of pilot-in- at present. The UN Model Regulations unless certain conditions are met and command. This clarification aligns the do not impose segregation requirements the overpack affords clear visibility of HMR with changes adopted in the ICAO for Division 6.2 infectious substances. and easy access to the package TI and supports the overall goal of The segregation requirements for contained within. In this final rule, harmonization. Harmonization of the infectious substances under the ICAO TI PHMSA is removing paragraph (e)(1) notification of pilot-in-command and HMR only apply to UN2814 and consistent with revisions made to the requirements ensures consistency across UN2900 which already require robust ICAO TI in which current provisions all air operators thus reducing triple packagings. For Division 6.1, the require accessibility to the overpack impediments in commerce and reducing UN Recommendations allow the when loaded aboard an aircraft, not the costs associated with training to two segregation requirements to be relaxed individual packages contained within, different sets of standards. In addition, for substances in Packing Groups II and making reference to packages the technical name is not referenced in III, provided the competent authority is redundant. As the loading requirements the Emergency Response Guidance for satisfied that the packing and in § 175.75(d)(1) require a package Aircraft Incidents Involving Dangerous segregation are adequate to prevent bearing the ‘‘CARGO AIRCRAFT Goods (Doc 9481) or the North contamination. In addition, the ONLY’’ label to be accessible once American Emergency Response inspection procedures prescribed in loaded on the aircraft, but do not require Guidebook (ERG). The ICAO panel § 175.30 require a physical check to that they are visible, the requirements in determined that the technical names ensure that the packagings are free from (e)(1) place an unnecessary burden on provided little benefit to safety, damage. The revisions adopted in this offerors without any additional safety particularly during the initial stage of final rule are consistent with a petition function in the loading process. emergency response while the number for rulemaking (P–1631) filed by UPS, Paragraph (a)(5) states that no person of materials requiring a technical name Inc., who voiced strong support for such may accept for transportation aboard an is on the rise, thereby increasing the action. aircraft shipments of lithium batteries burden on operators to provide this PHMSA received comments from described with an alternative written information. In addition, the technical COSTHA, DGAC, and UPS concerning document authorized in name is not referenced in the our proposed removal of the segregation § 173.185(c)(4)(v) unless the aircraft Emergency Response Guidance for requirement. Both COSTHA and UPS operator ensures the hazardous material Aircraft Incidents Involving Dangerous support this proposal. DGAC is described on alternative written Goods (Doc 9481) or the North commented that authorizing materials documentation when authorized in American Emergency Response identified as Division 6.1 or 6.2 to be accordance with § 173.185(c)(4)(v). The Guidebook (ERG). loaded in the same compartment as removal of the alternative written Paragraphs (a)(12) and (c)(5) both materials known to be food or foodstuffs document from § 173.185(c)(4)(v) mention the alternative written may have a disruptive and necessitates the removal of this document authorized in underappreciated effect on companies paragraph. § 173.185(c)(4)(v). The removal of the that must operate under Food Safety PHMSA received comments from alternative written document from Management Systems. The possibility of COSTHA and UPS addressing our § 173.185(c)(4)(v) necessitates the mixed loads of food products and Class proposed amendments to § 175.30. removal of these paragraphs. Any 6 materials will require a re-evaluation COSTHA supported the removal of information required to be a part of the of Hazard Analysis and Critical Control (e)(1) noting that this requirement is not notification of the pilot-in-command Point (HACCP) plans for companies relevant and leads to confusion. previously under paragraph (a)(12) will shipping food in the air mode. PHMSA COSTHA also supported the removal of be detailed on a shipping paper and be has reviewed the removal of the (a)(5) as the allowance of an alternate included on the notification of the pilot- segregation requirement with regard to document in the HMR would create in-command. the effect on HACCP plans and has significant confusion for air carrier PHMSA received two comments determined that the removal of acceptance agents. UPS supports the concerning our proposed amendments § 175.630(a) is suitable for incorporation amendments as proposed in the interest to § 175.33. COSTHA and UPS support as proposed. To ensure consumers do of global consistency. the removal of the technical name from not get sick, an HACCP plan requires the notification of pilot-in-command companies shipping food to identify Section 175.33 requirements. critical control points and establish Section 175.33 establishes safety protocols. These critical control Section 175.630 requirements for shipping papers and points include transportation and for the notification of the pilot-in- Section 175.630 prescribes special transportation related activities such as command when hazardous materials are requirements for Division 6.1 (Toxic) temperature control during transit, transported by aircraft. and 6.2 (Infectious) materials in the storage, loading, unloading and physical With the exception of package type, HMT. Consistent with revisions to the security. Our review has determined paragraph (a)(1)(i) currently requires ICAO TI, in this final rule, PHMSA is that HACCP plan requirements are not any additional shipping paper removing paragraph (a) which specific to any particular hazardous description requirements provided in prescribes segregation requirements for material class when properly packaged §§ 172.202, and 172.203 to be included certain Division 6.1 or Division 6.2 in accordance with the HMR or on the notification of the pilot-in- materials in the same compartment of corresponding international standard. command. Section 172.203(k) requires an aircraft with material marked as or the use of technical names for ‘‘n.o.s.’’ known to be a foodstuff, feed, or any Section 175.705 and generic descriptions for proper other edible material intended for Section 175.705 prescribes shipping names identified by the letter consumption by humans or animals. At requirements for aircraft that have been ‘‘G’’ in column (1) of the § 172.101 the time these segregation requirements contaminated with radioactive material Table. In this final rule, PHMSA is were initially included in the ICAO TI and the procedures that must be

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followed prior to returning the aircraft The segregation changes adopted in of two container spaces athwartship to service. Consistent with revisions to this final rule are based on amendments shall be maintained, when stowed on the ICAO TI, in this final rule, PHMSA adopted by the IMO and are aimed at ro-ro ships a distance of 6 m is revising paragraph (c) by stating that enhancing efforts to prevent the spread athwartship shall be maintained.’’ the dose rate at every accessible surface of fire in an emergency situation. Fire Section 176.905 ‘‘must not exceed’’ 0.005 mSv per hour, extinguishing methods available to where it presently states ‘‘is less than.’’ vessel crews are often quite limited. Due Section 176.905 prescribes specific to these limited fire extinguishing requirements for motor vehicles or Part 176 options, the only recommended option mechanical equipment powered by Section 176.80 to control the consequences of a fire internal combustion engines that are originating from these goods is to let the offered for transportation and Section 176.80 details segregation fire burn and to prevent the spread of transported by vessel. In this final rule, requirements in addition to any fire to other cargo or equipment which PHMSA is proposing to align our segregation requirements set forth is crucial for the safe operation of the exceptions with those recently adopted elsewhere in subchapter C. In this final ship. These changes are intended to by the IMO. rule, PHMSA is adopting a prohibition address situations where a fire PHMSA is amending paragraphs on stowing goods of Division 1.4, originates in a shipment of flammable (i)(1), (i)(2), (i)(4), and (i)(5) to require as compatibility group S, in the same liquids or gases and is likely to spread a condition of exception from the compartment, hold, or cargo transport to goods which cannot be extinguished, subchapter that batteries installed in unit with hazardous materials of Class or when a fire originates in goods which motor vehicles or mechanical 1 of compatibility groups A and L. cannot be extinguished and threatens to equipment powered by internal Limited quantity shipments are spread to highly flammable goods. The combustion engines be protected from currently excepted from segregation new segregation distances will enhance short circuit. PHMSA is also revising requirements for vessel transport by efforts to control the emergency paragraph (i)(2), which provides both the IMDG Code and the HMR. The situation. conditions that must be met for vehicles IMO noted that when creating this PHMSA received one comment from or mechanical equipment with an exception, a long standing prohibition IVODGA fully supporting the internal combustion engine that uses on stowing limited quantity goods of amendments as proposed. liquid fuel with a flashpoint of 38 °C Division 1.4, compatibility group S, in (100 °F) or higher. Currently up to 418 the same compartment, hold, or cargo Section 176.84 L (110 gallons) may remain in the transport unit with hazardous materials Section 176.84 prescribes the equipment or vehicle, and if other noted of Class 1, compatibility groups A and meanings and requirements for conditions are met the vehicle is L, was not carried over into amendment numbered or alpha-numeric stowage excepted from all other requirements of 36–12 of the IMDG Code. Amendment provisions for vessel shipments listed in subchapter C. PHMSA is raising this 37–14 of the IMDG Code reinstates these column 10B of the § 172.101 Hazardous fuel threshold to 450 L (119 gallons). segregation provisions, and PHMSA is Materials Table. The provisions in PHMSA is adding paragraph (i)(6) to adopting an equivalent change. § 176.84 are broken down into general add exceptions for fuel cell powered stowage provisions whose meanings are Section 176.83 vehicles or mechanical equipment with defined in the ‘‘table of provisions’’ in an internal combustion engine powered Section 176.83 details segregation paragraph (b), and the stowage by fuel cells. When the engine is requirements for hazardous materials provisions applicable to vessel protected from inadvertent operation by vessel transport. Paragraph (b) includes shipments of Class 1 explosives, which closing fuel supply lines or by other a table for users to determine are defined in the table to paragraph means, and the fuel supply reservoir has segregation requirements between (c)(2). various Classes (Divisions) of hazardous In this final rule, PHMSA is amending been drained and sealed, the vehicle or materials. In this final rule, PHMSA is the title of the section to note that the mechanical equipment is excepted from amending the segregation requirements codes in column 10B address not only the requirements of subchapter C. PHMSA received one comment from for vessel transportation between codes for stowage requirements, but also IVODGA fully supporting the proposed hazardous materials of Class 4.3 handling requirements that need to be changes to § 176.905 and relevant (dangerous when wet) and Class 2.1 observed during loading of the exceptions as well as the proposed (flammable gas), and Class 3 (flammable hazardous materials. PHMSA is also clarifications as presented. IVODGA liquid). Changes in the segregation table creating footnote 3 and assigning it to noted that ‘‘by requiring the batteries to in paragraph (b) are to change the stowage provision 12 and 13. Footnote be protected from short circuiting, and segregation requirements between goods 3 is added to note that these provisions to increase the amount of fuel to the of Class 4.3 and Class 2.1 from an ‘‘x’’ apply not only to stowage of the cargo maximum of 119 liters would effectively (segregation, if any, is shown in the transport unit, but also to the loading of create a uniform standard and eliminate § 172.101 table) to a ‘‘2’’ (separated hazardous materials into the cargo frustrated shipments where prior from), and between goods of Class 4.3 transport unit. and Class 3 from a ‘‘1’’ (away from) to PHMSA is additionally creating new differences created different a ‘‘2’’ (separated from). The meaning of stowage provisions 147 and 148 requirements.’’ these terms differs depending on the consistent with changes adopted in Part 178 method of transport onboard a vessel Amendment 37–14 of the IMDG Code. (shipping break-bulk cargo versus Stowage provision 147 is adopted to Section 178.71 segregation of cargo transport units on read ‘‘Stow ‘‘separated from’’ flammable Consistent with the UN Model board container vessels). PHMSA gases and flammable liquids.’’ Stowage Regulations, in this final rule PHMSA is assumes the majority of commodities provision 148 is adopted to read ‘‘In revising paragraph (a) to clarify that UN transported by vessel that will be addition: from flammable gases and pressure receptacles and service affected are offered in closed cargo flammable liquids when stowed on deck equipment constructed according to the transport units (CTU). of a containership a minimum distance standards applicable at the date of

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manufacture may continue in use Section 178.75 large packagings to include markings for subject to the continuing qualification Consistent with the UN Model large salvage packagings. Following the and maintenance provisions of part 180 Regulations, PHMSA is revising large packaging design type of the subchapter. paragraph (d)(3) to reflect the adoption identification code on a large packaging, PHMSA is revising paragraphs (d)(2), of the latest ISO standards for the a large salvage packaging conforming to (g), and (k) to reflect the adoption of the design, construction, and testing of gas the requirements of subpart P of part latest ISO standards for the design, cylinders that are part of multiple- 178 is to be marked with the letter ‘‘T.’’ construction, and testing of gas element gas containers (MEGCs). This This change is consistent with the UN cylinders and their associated service Model Regulations. equipment. These paragraphs also paragraph also contains end dates when contain end dates when cylinders and the cylinders that are part of MEGCs are In addition, to promote the uniformity service equipment are no longer no longer authorized to be of markings throughout the authorized to be manufactured in manufactured in accordance with the international transportation community, accordance with the outdated ISO outdated ISO standard. the UN Model Regulations have adopted standard. PHMSA received one Section 178.703 revisions to clarify and standardize the comment from Sally Mitchell specifications for markings, including The UN Model Regulations have questioning the accuracy of the the marking of large packagings and adopted revisions to clarify and statement in § 178.71(d)(2), ‘‘Until large salvage packaging. In this final standardize the specifications for December 31, 2008, the manufacture of rule, PHMSA is revising the a valve conforming to the requirements markings, including the marking of specifications for the markings in ISO 10297:1999 (IBR, see § 171.7 of IBCs, and to promote the uniformity of prescribed in § 178.910(b). Also this subchapter) is authorized.’’ This markings throughout the international consistent with the UN Model statement is accurate and consistent transportation community. In this final Regulations, we are adopting a with the language contained in the UN rule, PHMSA is revising the transitional period to authorize Model Regulations to authorize valves specifications for the markings markings in conformance with the that were manufactured prior to January prescribed in § 178.703(b)(7)(iii) to be requirements of this paragraph in effect 1, 2009 and conform with the consistent with the UN Model on December 31, 2014, to continue to be requirements of ISO 10297:1999. Sally Regulations. Also consistent with the applied to all large packagings Mitchell also suggested revising UN Model Regulations, a transitional manufactured, repaired or § 178.71(g)(1), (g)(2) and (g)(3) to permit period is being proposed to authorize remanufactured between January 1, the continued manufacture of a cylinder markings in conformance with the 2015 and December 31, 2016. For conforming to the requirements of the requirements of this paragraph in effect domestic transportation, we are applicable the 1999 publication of ISO on December 31, 2014, to continue to be authorizing a large packaging marked 9809–1 and the 2000 publication of ISO applied to all IBCs manufactured, prior to January 1, 2017 and in 9809–2 and 9809–3 until the later of repaired or remanufactured between conformance with the requirements of December 31, 2018 or 10 years from the January 1, 2011 and December 31, 2016. the regulations in effect on December initial DOT design approval to allow For domestic transportation, we are 31, 2014, to continue in service until the manufacturers to recover their type authorizing an IBC marked prior to end of its useful life. approval expenses over the 10 year life January 1, 2017 and in conformance of the approval instead of just 4 years. with the requirements of the regulations Part 180 in effect on December 31, 2014, to PHMSA does not believe this change is Section 180.207 necessary, as a design approval is continue in service until the end of its independent of the regulations and is useful life. Section 180.207 prescribes the authorized for the valid life of the PHMSA received one comment from requirements for requalification of UN approval regardless of the limitations RIPA providing general support for the pressure receptacles. Table 1 in imposed by the regulations. amended IBC stacking or not designed paragraph (c) of § 180.207 provides Consistent with the UN Model for stacking marking specifications. requalification intervals for UN pressure Regulations PHMSA is adding a new RIPA did however recommend PHMSA receptacles. In this final rule, PHMSA is paragraph (n) and redesignating existing extend the requirement to mark IBCs adding an additional entry to the end of paragraphs (n) through (s). The new with the stacking or not designed for Table 1 to prescribe a requalification paragraph (n) adopts design and stacking mark to include IBC’s interval of 5 years for UN culinders used construction requirements of UN undergoing routine maintenance. for adsorbed gases. This requalification cylinders for the transportation of Currently the HMR requires this period is consistent with the adsorbed gases, consistent with those marking to be applied to all IBCs requalification period adopted in the adopted into the UN Model Regulations. manufactured, repaired, or UN Model Regulations for the use of remanufactured prior to January 1, 2011. Consistent with the UN Model these cylinders. Section 173.302c The amendments proposed in the Regulations, PHMSA is revising the relating to authorization for the use of NPRM were consistent with those redesignated paragraph (o) to adopt the cylinders for adsorbed gases directs the adopted by international standards. current ISO standards relating to reader to this section for the Expanding the marking requirement to material compatibility. requalification period for these Paragraphs (r) and (t) are being IBCs undergoing routine maintenance cylinders. revised to change references to was not the intent of this regulatory paragraph (p) to the newly redesignated amendment and would be inconsistent A new paragraph (d)(5) provides that paragraph (q). with the requirements of the each UN cylinder used for adsorbed Finally, PHMSA is adding new international standards. gases must be inspected and tested in paragraphs (u) and (v) to adopt the accordance with § 173.302c and ISO marking requirements for bundles of Section 178.910 11513:2011. Both § 173.302c and ISO cylinders that have been adopted in the In this final rule, PHMSA is revising 11513:2011 have been addressed in this UN Model regulations. paragraph (a) relating to the marking of final rule.

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VI. Regulatory Analyses and Notices material in international commerce. As assumptions where possible. 2012 discussed in detail above, PHMSA is Commodity Flow Survey data on A. Statutory/Legal Authority for This incorporating changes into the HMR hazardous materials are not yet Rulemaking based on the 18th Revised Edition of the available as of the date of this regulatory This final rule is published under the UN Model Regulations, Amendment 37– evaluation. following statutory authorities: 14 to the IMDG Code, and the 2015– The 12.4 percent proportion of total 1. 49 U.S.C. 5103(b) authorizes the 2016 Edition of the ICAO TI, which shipment values classed as hazardous Secretary of Transportation to prescribe becomes effective January 1, 2015. The materials estimated in the earlier regulations for the safe transportation, large volume of hazardous materials regulatory evaluation may have had a including security, of hazardous transported in international commerce high-side bias due to the variety of materials in intrastate, interstate, and warrants the harmonization of domestic different classes of products classified foreign commerce. This final rule and international requirements to the as hazardous. In actuality, the amends regulations to maintain greatest extent possible. percentage of shipments properly alignment with international standards B. Executive Orders 12866 and 13563 classified as hazardous is likely lower, by incorporating various amendments, particularly for medicinal/dental/ including changes to proper shipping and DOT Regulatory Policies and Procedures pharmaceuticals. Here, we assume a names, hazard classes, packing groups, slightly lower proportion to arrive at an special provisions, packaging This final rule is not considered a estimate of benefits of 10 percent. authorizations, air transport quantity significant regulatory action under We update our estimate of value of limitations and vessel stowage section 3(f) of Executive Order 12866 hazardous materials involved in requirements. To this end, the final rule (‘‘Regulatory Planning and Review’’) international trade by using U.S. Trade amends the HMR to more fully align and, therefore, was not reviewed by the in Goods seasonally adjusted, Census- with the biennial updates of the UN Office of Management and Budget. This based total gross imports and gross Model Regulations, the IMDG Code and final rule is not considered a significant exports in the fuels and lubricants, the ICAO TI. rule under the Regulatory Policies and chemicals, and medicinal/dental/ Harmonization serves to facilitate Procedures of the Department of pharmaceutical products industries for international commerce and promotes Transportation (44 FR 11034). the fourth quarter of 2013, the most the safety of people, property, and the Additionally, E.O. 13563 (‘‘Improving recent quarter available— environment by reducing the potential Regulation and Regulatory Review’’) • Gross imports: $134 billion for confusion and misunderstanding supplements and reaffirms E.O. 12866, that could result if shippers and (rounded) stressing that, to the extent permitted by Æ Fuels and lubricants: $94.744 transporters were required to comply law, an agency rulemaking action must with two or more conflicting sets of billion be based on benefits that justify its Æ Chemicals: $18.637 billion regulatory requirements. While the costs, impose the least burden, consider Æ intent of this rulemaking is to align the Medicinal/dental/pharmaceutical cumulative burdens, maximize benefits, products: $20.613 billion HMR with international standards, we use performance objectives, and assess • review and consider each amendment Gross exports: $85.8 billion available alternatives. (rounded) on its own merit based on its overall Æ impact on transportation safety and the Benefits to Harmonization Fuels and lubricants: $44.301 economic implications associated with In an earlier regulatory evaluation,3 billion Æ Chemicals: $30.089 billion its adoption into the HMR. Our goal is we estimated a proxy for benefits of Æ to harmonize without sacrificing the harmonization of the HMR with Medicinal/dental/pharmaceutical products: $11.416 billion current HMR level of safety and without international standards of $62 million. • More specifically, this $62 million was Gross imports plus gross exports: imposing undue burdens on the 7 regulated community. Thus, as estimated by multiplying a hazard $219.8 billion explained in the corresponding sections communication cost per dollar of Multiplying the quarterly estimate of above, we are not harmonizing with hazardous materials output—$0.001— $219.8 billion by 4 gives an annual certain specific provisions of the UN by the value of hazardous materials estimate of gross imports plus gross Model Regulations, the IMDG Code, and involved in international trade, as exports in the three industries of $879.2 the ICAO TI. Moreover, we are estimated by the proportion of trade (the billion. Multiplying this figure by 10 maintaining a number of current total of gross imports and gross exports) percent (the estimated proportion of exceptions for domestic transportation in the fuels and lubricants, chemicals, annual trade in these three industries that should minimize the compliance and medicinal/dental/pharmaceutical that are hazardous products) by the burden on the regulated community. products industries ($498 billion in average hazard communication cost per Additionally, the U.S. Coast Guard, U.S. 2010) 4 that are hazardous products (i.e., dollar of hazardous materials produced Department of Energy, and U.S. 12.4 percent).56 in the United States ($0.001) results in Department of Interior were consulted For estimating benefits of this final an estimate of benefits from adoption in the development of this rule. rule, we follow a nearly identical and incorporation of international 2. 49 U.S.C. 5120(b) authorizes the approach with updated data and using standards of $87.9 million (rounded) Secretary of Transportation to ensure annually. that, to the extent practicable, 3 HM–215L: Hazardous Materials: Harmonization If U.S. regulations are not harmonized regulations governing the transportation with International Standards (RRR), Final Rule, with international standards, we Section V.B., 78 FR 1023 et seq., January 7, 2013. estimate that it will cost U.S. companies of hazardous materials in commerce are 4 As reported in the quarterly trade data of the consistent with standards adopted by U.S. Bureau of Economic Analysis, available at: an additional $87.9 million per year to international authorities. This final rule http://www.bea.gov/international/detailed_trade_ comply with both the HMR and the is amending the HMR to maintain data.htm. 5 U.S. Census Bureau’s 2007 Commodity Flow 7 Bureau of Economic Analysis, U.S. Department alignment with international standards Survey, Table 10. of Commerce, U.S. Trade in Goods (IDS–0008), by incorporating various amendments to 6 See Section V.B. for more detailed calculations available at: http://www.bea.gov/international/ facilitate the transport of hazardous of these figures. detailed_trade_data.htm.

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international standards. Harmonizing the 31,598 highway-only registrants maintenance, recondition, repair, or the HMR with the international would total $32.99 million ($1,543— testing of a packaging or container standards, however, will avert these $155 [ICAO TI]—$344 [IMDG Code] * represented, marked, certified, or sold $87.9 million in additional costs, and 31,598 highway-only registrants). as qualified for use in transporting these averted costs are therefore Conservatively (i.e., overestimating hazardous material in commerce. considered the primary benefit costs and underestimating benefits) This final rule addresses covered attributable to this rulemaking. assuming all other registrants (while subject items (1), (2), (3), (4) and (5) Costs of Harmonization. The primary acknowledging that, in fact, some will above and preempts State, local, and cost of updating references in the U.S. purchase all standards copies and some Indian tribe requirements not meeting HMR (to incorporate the most recent will purchase none) will purchase the ‘‘substantively the same’’ standard. international hazardous material updated copies of all standards This final rule is necessary to standards) is the purchase of updated publications listed here indicates a total incorporate changes adopted in copies of the international standards cost of this Amendment 1 of $40.91 international standards, effective being incorporated by reference in the million, incurred once ($32.99 million + January 1, 2015. If the changes in this HMR. These costs will be borne by $1,543 * [36,731 total registrants— final rule are not adopted in the HMR, offerors and transporters of hazmat if 31,598 highway-only registrants], U.S. companies, including numerous this rulemaking were finalized. rounded). small entities competing in foreign It is unknown how many individuals Net Benefit. Based on the discussions markets, would be at an economic and firms involved in shipping hazmat of benefits and costs provided above, disadvantage. These companies would will purchase copies of these the estimated net benefit associated be forced to comply with a dual system international standards as a result of with the international harmonization of regulations. The changes in this final finalizing this rulemaking. We take a final rule (2137–AF05) is $47 million in rulemaking are intended to avoid this conservative approach to estimating the first year after publication and $87.9 result. Federal hazardous materials such a figure by using the number of million in the second year after transportation law provides at 49 U.S.C. shippers, carriers, or other offerors or publication. Please see the complete 5125(b)(2) that, if DOT issues a transporters of hazmat in commerce regulatory analysis, a copy of which has regulation concerning any of the with a PHMSA registration expiring in been placed in the docket for this covered subjects, DOT must determine 2014 as a proxy. Currently, PHMSA’s rulemaking, for a more detailed analysis and publish in the Federal Register the registration database indicates 36,731 of the costs and benefits of this final effective date of Federal preemption. registrants as of May 20, 2014.8 Of these, rule. The effective date may not be earlier than the 90th day following the date of 29,877 (approximately 81 percent) are C. Executive Order 13132 small businesses as defined by the U.S. issuance of the final rule and not later Small Business Administration. Further, This final rule has been analyzed in than two years after the date of issuance. 31,598 registrants (approximately 86 accordance with the principles and PHMSA is setting the effective date of percent) indicated that they offer or criteria contained in Executive Order Federal preemption to be 90 days from transport hazmat solely by highway. 13132 (‘‘Federalism’’). This final rule publication of this final rule. For conservative estimation purposes, preempts State, local and Indian tribe D. Executive Order 13175 if we that all registrants will purchase requirements but does not propose any This final rule was analyzed in copies of all publications, this indicates regulation that has substantial direct accordance with the principles and an estimated cost of this amendment of effects on the States, the relationship criteria contained in Executive Order $56.68 million (rounded, $1,543 cost of between the national government and 13175 (‘‘Consultation and Coordination all publications * 36,731 registrants). In the States, or the distribution of power with Indian Tribal Governments’’). reality, all of the ISO standards and responsibilities among the various Because this final rule does not have incorporated will not be purchased by levels of government. Therefore, the tribal implications, does not impose the majority of shippers and carriers, consultation and funding requirements substantial direct compliance costs, and and will likely only impact a small of Executive Order 13132 do not apply. is required by statute, the funding and subset of the regulated community. The Federal hazardous material consultation requirements of Executive Further, it is likely that many transportation law, 49 U.S.C. 5101– Order 13175 do not apply. companies will purchase multiple 5128, contains an express preemption copies of the IMDG Code and ICAO TI, provision (49 U.S.C. 5125(b)) that E. Regulatory Flexibility Act, Executive rather than only one copy. We do not preempts State, local and Indian tribe Order 13272, and DOT Procedures and believe we have sufficient data to requirements on certain covered Policies subjects, as follows: estimate the precise number of The Regulatory Flexibility Act (5 registrants. However, we use one copy (1) The designation, description, and classification of hazardous material; U.S.C. 601 et seq.) requires an agency to per registrant as a reasonably review regulations to assess their impact conservative estimate on costs of the (2) The packing, repacking, handling, labeling, marking, and placarding of on small entities, unless the agency proposed rulemaking. determines that a rule is not expected to However, further assuming that those hazardous material; (3) The preparation, execution, and have a significant impact on a who indicated that they offer or use of shipping documents related to substantial number of small entities. transport in commerce hazmat only via hazardous material and requirements This final rule facilitates the highway, two publications included in related to the number, contents, and transportation of hazardous materials in the $1,543 cost will not apply to such placement of those documents; international commerce by providing registrants (ICAO TI [for air] and IMDG (4) The written notification, consistency with international Code [by vessel]). Therefore, costs for recording, and reporting of the standards. This final rule applies to offerors and carriers of hazardous 8 unintentional release in transportation See PHMSA Hazardous Materials Registration materials, some of whom are small Program Registration Data Files, link available at of hazardous material; and http://www.phmsa.dot.gov/hazmat/registration, (5) The design, manufacture, entities, such as chemical accessed on May 20, 2014. fabrication, inspection, marking, manufacturers, users and suppliers,

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packaging manufacturers, distributors, Annual Increase in Number of provisions of the international and training companies. As discussed Respondents: 150. regulations. above, under Executive Order 12866, the Annual Increase in Annual Number of Purpose and Need majority of amendments in this final Responses: 13,167. rule should result in cost savings and Annual Increase in Annual Burden This action is necessary to integrate ease the regulatory compliance burden Hours: 219. into the HMR recent changes to the for shippers engaged in domestic and Annual Increase in Annual Burden International Maritime Dangerous international commerce, including Costs: $4,380. Goods Code (IMDG Code), the trans-border shipments within North PHMSA will submit the revised International Civil Aviation America. information collection and Organization’s Technical Instructions Many companies will realize recordkeeping requirements to OMB for for the Safe Transport of Dangerous economic benefits as a result of these approval. Goods by Air (ICAO TI), and the United Nations Recommendations on the amendments. Additionally, this final G. Regulation Identifier Number (RIN) rule will relieve U.S. companies, Transport of Dangerous Goods—Model including small entities competing in A regulation identifier number (RIN) Regulations (UN Model Regulations) foreign markets, from the burden of is assigned to each regulatory action effective January 1, 2015. If the changes complying with a dual system of listed in the Unified Agenda of Federal in this final rule are not adopted in the regulations. Therefore, we certify that Regulations. The Regulatory Information HMR by this effective date, U.S. these amendments will not have a Service Center publishes the Unified companies, including numerous small significant economic impact on a Agenda in April and October of each entities competing in foreign markets, substantial number of small entities. year. The RIN contained in the heading would be at an economic disadvantage. of this document can be used to cross- These companies would be forced to This final rule has been developed in reference this action with the Unified comply with a dual system of transport accordance with Executive Order 13272 Agenda. regulations that could result in shippers (‘‘Proper Consideration of Small Entities and carriers segmenting domestic and in Agency Rulemaking’’) and DOT’s H. Unfunded Mandates Reform Act international operations to procedures and policies to promote This final rule does not impose accommodate differing requirements. compliance with the Regulatory unfunded mandates under the The changes to the HMR contained in Flexibility Act to ensure that potential Unfunded Mandates Reform Act of this rulemaking are intended to avoid impacts of draft rules on small entities 1995. It does not result in costs of this result. are properly considered. $141.3 million or more, adjusted for The intended effect of this action is to F. Paperwork Reduction Act inflation, to either State, local, or tribal align the HMR with international governments, in the aggregate, or to the hazardous material transport standards PHMSA currently has approved private sector in any one year, and is the and requirements to the extent information collection under Office of least burdensome alternative that practicable in accordance with Federal Management and Budget (OMB) Control achieves the objective of the rule. Hazardous Materials transportation law Number 2137–0034, ‘‘Hazardous (49 U.S.C. 5210). When considering the Materials Shipping Papers and I. Environmental Assessment adoption of international hazardous Emergency Response Information.’’ We The National Environmental Policy material standards under the HMR, anticipate that this final rule will result Act, 42 U.S.C. 4321–4375, requires that PHMSA reviews and evaluates each in an increase in the annual information federal agencies analyze actions to amendment on its own merit, on the collection burden due to an increase in determine whether the action will have basis of its overall impact on the number of shipping papers prepared a significant impact on the human transportation safety, and the economic for packages containing batteries that environment. The Council on implications associated with its exceeds the number or quantity (mass) Environmental Quality (CEQ) adoption into the HMR. Our goal is to limits in the table shown in regulations require federal agencies to harmonize without diminishing the § 173.185(c)(4), but containing no more conduct an environmental review level of safety currently provided by the than 2.5 kg of lithium metal cells or considering: (1) The need for the action; HMR and without imposing undue batteries or 10 kg of lithium ion cells or (2) alternatives to the action; (3) burdens on the regulated public. batteries per package. Shipments probable environmental impacts of the In this final rule, PHMSA is amending utilizing this allowance currently action and alternatives; and (4) the the HMR to maintain alignment with provide alternative documentation agencies and persons consulted during international standards by incorporating containing the name and address of the the consideration process. 40 CFR various amendments, including changes offeror and consignee, the UN number, 1508.9(b). to proper shipping names, hazard an indication of compliance with this classes, packing groups, special paragraph (c)(4) (or the applicable ICAO Description of Action provisions, packaging authorizations, air Packing Instruction), and the number of Docket No. PHMSA–2013–0260 (HM– transport quantity limitations, and packages and the gross mass of each 215M), Final Rule. The transportation of vessel stowage requirements. These package. hazardous materials in commerce is revisions are necessary to harmonize This rulemaking identifies a revised subject to the HMR, issued under and align the HMR with recent information collection that PHMSA will authority of Federal hazardous materials amendments adopted in the UN Model submit to OMB for approval based on transportation law, codified at 49 U.S.C. Regulations, IMDG Code, and the ICAO the requirements in this final rule. 5001 et seq. To facilitate the safe and TI. The amendments in this final rule PHMSA has developed burden efficient transportation of hazardous are intended to facilitate the safe and estimates to reflect changes in this final materials in international commerce, the efficient transportation of hazardous rule, and estimates the information HMR provides that both domestic and materials in international commerce, collection and recordkeeping burden in international shipments of hazardous provide clarity to encourage and this rule are as follows: materials may be offered for increase regulatory compliance, and OMB Control Number: 2137–0034. transportation and transported under improve the efficacy of emergency

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response in the event of a hazardous would not be realized. Foregone understanding of the regulations, an materials incident. efficiencies in the No Action Alternative increased level of industry compliance, include freeing up limited resources to the smooth flow of hazardous materials Alternatives concentrate on vessel transport hazard from their points of origin to their In developing this rule, we considered communication (hazcom) issues of points of destination, and consistent the following alternatives: potentially much greater environmental emergency response in the event of a No Action Alternative impact. hazardous materials incident. Additionally, the Preferred Enhanced environmental protection If PHMSA chose this alternative, it Alternative encompasses enhanced and will also be achieved through more would not proceed with any rulemaking clarified regulatory requirements, which targeted and effective training. This on this subject and the current would result in increased compliance adopted amendment will eliminate regulatory standards would remain in and fewer environmental and safety inconsistent hazardous materials effect. incidents. Not adopting the proposed regulations, which hamper compliance Preferred Alternative environmental and safety requirements training efforts. For ease of compliance in the final rule under the No Action with appropriate regulations, air and This alternative is the current rule as Alternative would result in a lost vessel carriers engaged in the it appears in this final rule, applying to opportunity for reducing environmental transportation of hazardous materials the transportation of hazardous and safety-related incidents. generally elect to comply with the ICAO materials by various transport modes Greenhouse gas emissions would TI and IMDG Code as appropriate. By (highway, rail, vessel and aircraft). The remain the same under the No Action maintaining consistency between these amendments included in this alternative Alternative. international regulations and the HMR, are more fully addressed in the Preferred Alternative shippers and carriers are able to train preamble and regulatory text sections of their hazmat employees in a single set this final rule. However, they generally PHMSA selected the preferred of requirements for classification, include: alternative. Potential environmental packaging, hazard communication, (1) Updates to references to various impacts of each proposed amendment in handling, stowage, etc., thereby international hazardous materials the preferred alternative are discussed minimizing the possibility of transport standards; below: improperly preparing and transporting a (2) Amendments to the hazardous 1. Updates to references to various shipment of hazardous materials materials table to add, revise, or remove international hazardous materials because of differences between domestic certain proper shipping names, packing transport standards, including the and international regulations. groups, special provisions, packaging 2015–2016 Edition of the ICAO TI; Greenhouse gas emissions would authorizations, bulk packaging Amendment 37–14 to the IMDG Code; remain the same under this amendment. requirements and vessel stowage the 18th Revised Edition of the UN 2. Amendments to the HMT to add, requirements; Model Regulations; Amendment 2 to the revise, or remove certain proper (3) Amendments to add and delete 5th revised edition of the UN Manual of shipping names, packing groups, special various substances to the list of marine Tests and Criteria; incorporation by provisions, packaging authorizations, pollutants in Appendix B to § 172.101; reference of the Canadian bulk packaging requirements and vessel (4) Changes throughout the Part 173 Transportation of Dangerous Goods stowage requirements: packaging requirements to authorize Regulations to include amendments PHMSA believes that this more flexibility when choosing through Amendment 11 (SOR/2012– amendment, which will increase packages for hazardous materials; 245) December 5, 2012 and; adding two standardization and consistency of (5) An exception from the HMR for new references standards and update regulations, will result in greater marine pollutants up to 5 liters (1.3 four other references to standards protection of human health and the gallons) for liquids or 5 kg (11 pounds) applicable to the manufacture, use, and environment. Consistency between U.S. for solids when these materials are requalification of pressure vessels and international regulations enhances packaged in accordance with the general published by the International the safety and environmental protection packaging requirements of §§ 173.24 Organization for Standardization: of international hazardous materials and 173.24a; The HMR authorize shipments transportation through better (6) Minimum sizes for the prepared in accordance with the ICAO understanding of the regulations, an OVERPACK and SALVAGE markings; TI and transported by motor vehicle increased level of industry compliance, and; either before or after being transported the smooth flow of hazardous materials (7) Revisions and additions to vessel by aircraft. Similarly, the HMR from their points of origin to their stowage codes listed in column 10B of authorize shipments prepared in points of destination, and consistent the HMT and segregation requirements accordance with the IMDG Code if all or emergency response in the event of a in § 176.83 consistent with the IMDG part of the transportation is by vessel. hazardous materials incident. New and Code. The authorizations to use the ICAO TI revised entries to the HMT reflect and the IMDG code are subject to certain emerging technologies, and a need to No Action Alternative conditions and limitations outlined in better describe or differentiate between If PHMSA had selected the No Action part 171 subpart C. PHMSA believes existing entries. These changes mirror Alternative, current regulations would that this adopted amendment, which changes in the Dangerous Goods list of remain in place, and no new provisions will increase standardization and The 18th Revised Edition of the UN would be added. However, efficiencies consistency of regulations, will result in Model Regulations, the 2015–2016 gained through harmonization in greater protection of human health and Edition of the ICAO TI and the 37–14 updates to transport standards, lists of the environment. Consistency between amendments to the IMDG Code. It is regulated substances, definitions, U.S. and international regulations extremely important for the domestic packagings, stowage requirements/ enhances the safety and environmental HMR to mirror the UN Model codes, flexibilities allowed, enhanced protection of international hazardous Regulations, the ICAO TI, and the IMDG markings, and segregation requirements materials transportation through better Code with respect to the entries in the

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HMT to ensure consistent naming atmospheric pressure. Sub-atmospheric regulations and the HMR, shippers and conventions across modes and transport of gas minimizes potential carriers are able to train their hazmat international borders. leaks of gas during transportation, thus employees in a single set of Enhanced environmental protection providing significant safety and requirements for classification, will also be achieved through more environmental improvements over packaging, hazard communication, targeted and effective training. This traditional high-pressure cylinders. This handling, stowage, etc., thereby amendment will eliminate inconsistent method of transporting gas is a proven minimizing the possibility of hazardous materials regulations, which safe method authorized through a improperly preparing and transporting a hamper compliance training efforts. For PHMSA special permit for over ten shipment of hazardous materials ease of compliance with appropriate years and recently adopted into the UN because of differences between domestic regulations, international carriers Model Regulations, the ICAO TI and the and international regulations. engaged in the transportation of IMDG Code. Greenhouse gas emissions would hazardous materials by vessel generally Greenhouse gas emissions would remain the same under this amendment. elect to comply with the IMDG Code. By remain the same under this amendment. 4. Adopting changes throughout the maintaining consistency between these 3. Additions and deletions of various HMR Part 173 packaging requirements international regulations and the HMR, substances to/from the list of Marine to authorize more flexibility when shippers and carriers are able to train Pollutants in HMR, Appendix B to choosing packages for hazardous their hazmat employees in a single set 172.101: materials: of requirements for classification, As for the above amendments, These changes adopt manufacturing packaging, hazard communication, PHMSA believes that this amendment, and performance standards for small gas handling, stowage, etc., thereby which will increase standardization and pressure receptacles without a relief minimizing the possibility of consistency of regulations, will result in device, clarify the use of the HMT entry improperly preparing and transporting a greater protection of human health and ‘‘fire extinguisher’’, authorize the use of shipment of hazardous materials the environment. Consistency between large salvage packagings and provide a because of differences between domestic U.S. and international regulations list of authorized packagings for and international regulations. enhances the safety and environmental ammonium nitrate emulsions. As for the The packing group assignment reflects protection of international hazardous above amendments, PHMSA believes a degree of danger associated with a materials transportation through better that these amendments, which increase particular material and identifies understanding of the regulations, an standardization and consistency of appropriate packaging. However, increased level of industry compliance, regulations, will result in greater assignment of a packing group is not the smooth flow of hazardous materials protection of human health and the appropriate in all cases (e.g. explosives, from their points of origin to their environment. Consistency between US gases, radioactive material). In such points of destination, and consistent and international regulations enhances cases the packing group does not emergency response in the event of a the safety and environmental protection indicate a degree of danger and the hazardous materials incident. The of international hazardous materials packaging requirements for those additions and deletions are based on the transportation through better materials are specified in the criteria contained in the IMDG code for understanding of the regulations, an appropriate section in part 173. substances classified as toxic to the increased level of industry compliance, Similarly for articles, the packing group aquatic environment. The HMR the smooth flow of hazardous materials only reflects the degree of the danger maintain a list as the basis for regulating from their points of origin to their posed by the hazardous component, but substances toxic to the aquatic points of destination, and consistent may not reflect danger of the article environment and allow use of the emergency response in the event of a itself, which may be substantially criteria in the IMDG Code if a listed hazardous materials incident. PHMSA is reduced or changed when compared to material does not meet the criteria for a adopting changes throughout the Part shipping the hazardous component marine pollutant. PHMSA periodically 173 packaging requirements to authorize alone. Currently and without specific updates its list based on changes to the more flexibility when choosing rationale, some articles are assigned IMDG code and evaluation of listed packages for hazardous materials. This packing groups while others are not. materials against the IMDG code action is consistent with amendments The inconsistent application of packing criteria. Amending the marine pollutant adopted into the UN Model Regulations. groups to articles can create problems list facilitates consistent communication These amendments permit additional for trainers when trying to explain of the presence of marine pollutants and flexibility for authorized packages regulatory structure to students. This safe and efficient transportation without without compromising environmental change provides a level of consistency imposing significant burden associated protection or safety. Manufacturing and for all articles specifically listed in the with characterizing mixtures as marine performance standards for small gas HMT, without diminishing pollutants. pressure receptacles ensure a safe environmental protection and safety. Also similar to the above packaging that is capable of retaining its For adsorbed gases, PHMSA is adding amendments, enhanced environmental contents without being overly into the HMR a definition, HMT entries, protection will also be achieved through prescriptive. The clarification for fire authorized packagings and safety more targeted and effective training. extinguishers increases the transparency requirements including but not limited This amendment will eliminate of the regulations, which will in turn to quantity limitations and filling limits. inconsistent hazardous materials result in increased compliance, reduced PHMSA believes that this amendment regulations, which hamper compliance incidents of undeclared or misdeclared will result in greater protection of training efforts. For ease of compliance hazardous material and enhanced human health and the environment by with appropriate regulations, environmental protection and safety. facilitating the safe and efficient international carriers engaged in the Increased flexibility also adds to transport of gases adsorbed onto a transportation of hazardous materials by environmental protection by increasing porous media within cylinders. This vessel generally elect to comply with the ease of regulatory compliance. technology allows the cylinder to be the IMDG Code. By maintaining Also similar to the above filled and transported with gas at sub- consistency between these international amendments, enhanced environmental

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protection will be achieved through documents would still have to PHMSA believes that this more targeted and effective training. communicate the presence of a marine amendment, which will provide for This amendment eliminates pollutant. By reducing the hazard enhanced hazard communication, will inconsistent hazardous materials communication (hazcom) burdens for result in greater protection of human regulations, which hamper compliance lower risk commodities, industry, health and the environment. An training efforts. By maintaining shippers, and transporters can focus overpack is an enclosure to provide consistency between the UN Model hazcom resources on areas with protection or convenience of handling Regulations and the HMR, shippers and potentially greater environmental and for one or more packages such as pallets carriers are able to train their hazmat safety consequences. and crates. A salvage package is used to employees in a single set of This action is consistent with recent contain a damaged, leaking or non- requirements for classification, revisions to the IMDG Code. PHMSA conforming package. The HMR require packaging, hazard communication, believes that this amendment will these packages to be marked handling, stowage, etc., thereby increase standardization and OVERPACK or SALVAGE, as minimizing the possibility of consistency of regulations, may also appropriate. This communicates the improperly preparing and transporting a result in greater protection of human nature of these specialized packaging shipment of hazardous materials health and the environment. configurations to package handlers and because of differences between domestic Consistency between US and emergency responders. However, and international regulations. international regulations enhances the because there is currently no minimum Greenhouse gas emissions would safety and environmental protection of size requirement for these marks, this remain the same under this amendment. international hazardous materials information is not always readily 5. Exception from the HMR for marine transportation through better visible. This amendment would ensure pollutants up to 5 liters (1.3 gallons) for understanding of the regulations, an that these hazard markings are visible, liquids or 5 kg (11 lbs.) for solids when increased level of industry compliance, thus resulting in decreased incidents these materials are packaged in the smooth flow of hazardous materials with impacts to the environment and accordance with the general packaging from their points of origin to their safety. requirements of §§ 173.24 and 173.24a: points of destination, and consistent Greenhouse gas emissions would PHMSA believes that this amendment emergency response in the event of a remain the same under this amendment. provides for a slight net increase in 7. Amendments to revise and add hazardous materials incident. Excepting environmental protection and safety by vessel stowage codes listed in column these quantities of marine pollutants reducing confusion and simplifying 10B of the HMT and segregation from the HMR will facilitate consistent multi-modal hazardous material requirements in HMR § 176.83 communication of the presence of transportation requirements. Currently, consistent with the IMDG Code. These marine pollutants and facilitate safe and packages containing less than 5 liters changes are designed to harmonize with efficient transportation without (1.3 gallons) for liquids or 5 kg (11 lbs.) the IMDG Code and would provide imposing significant burden associated of material containing marine pollutants additional guidance on the loading and with characterizing mixtures as marine are subject to additional requirements stowage of various materials. such as shipping papers, Class 9 pollutants. Additionally, proposed amendments to labeling and UN packaging when Also similar to the above increase the required segregation offered for transport by air or vessel in amendments, enhanced environmental distances between Division 4.3 accordance with the ICAO TI or the protection will also be achieved through dangerous when wet material (i.e. IMDG Code. However, these same more targeted and effective training. materials liable to give off a flammable materials would not be subject to the This amendment will eliminate or toxic gas in contact with water) and HMR when transported by motor inconsistent hazardous materials Class 3 flammable liquids and Division vehicle, rail car or aircraft in the US. regulations, which hamper compliance 2.1 flammable gases: The presence of these labels in one training efforts. For ease of compliance As discussed for previous mode of transport can cause confusion with appropriate regulations, amendments herein, PHMSA believes in the US supply chain. international carriers engaged in the that this amendment, which will This amendment exempts from the transportation of hazardous materials by increase standardization and HMR small packages of hazardous vessel generally elect to comply with consistency of regulations, will result in material that are regulated because of the IMDG Code. By maintaining greater protection of human health and the presence of one or more marine consistency between these international the environment. Consistency between pollutants. Materials in these quantities regulations and the HMR, shippers and US and international regulations pose a low risk in transportation. In carriers are able to train their hazmat enhances the safety and environmental addition, these low quantities of employees in a single set of protection of international hazardous materials present even lower risks in requirements for classification, materials transportation through better transportation because they often packaging, hazard communication, understanding of the regulations, an contain low concentrations of marine handling, stowage, etc., thereby increased level of industry compliance, pollutant constituents. Lastly, risks of minimizing the possibility of the smooth flow of hazardous materials incidents are very low. In the past 10 improperly preparing and transporting a from their points of origin to their years, in tens of thousands of vessel shipment of hazardous materials points of destination, and consistent shipments, PHMSA’s data contains only because of differences between domestic emergency response in the event of a one record of marine pollutant released and international regulations. hazardous materials incident. New and on a vessel that caused environmental Greenhouse gas emissions would revised entries to the HMT reflect damage. In this incident, the material remain the same under this amendment. emerging technologies, and a need to was packaged in a 55-gallon drum and 6. Amendments to add minimum better describe or differentiate between would not be impacted by this sizes for the OVERPACK and SALVAGE existing entries. These proposed amendment, since the package would markings. These markings would be changes mirror the IMDG Code. It is still be required to display the marine characters at least 12 mm (.47 inches) extremely important for the domestic pollutant mark and the shipping high: HMR and HMT to mirror the IMDG

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Code to ensure consistent naming aircraft and vessel, thereby reducing the Accordingly, this rulemaking is conventions across modes and risks of an accidental or intentional consistent with E.O. 13609 and international borders. release of hazardous materials and PHMSA’s obligations under the Trade Enhanced environmental protection consequent environmental damage. Agreement Act, as amended. will also be achieved through more PHMSA believes the net environmental List of Subjects targeted and effective training. This impact will be positive. PHMSA amendment will eliminate inconsistent believes that there are no significant 49 CFR Part 171 hazardous materials regulations, which environmental impacts associated with Exports, Hazardous materials hamper compliance training efforts. For this final rule. transportation, Hazardous waste, ease of compliance with appropriate Imports, Incorporation by reference, regulations, international carriers J. Privacy Act Reporting and recordkeeping engaged in the transportation of In accordance with 5 U.S.C. 553(c), requirements. hazardous materials by vessel generally DOT solicits comments from the public elect to comply with the IMDG Code. By to better inform its rulemaking process. 49 CFR Part 172 DOT posts these comments, without maintaining consistency between these Education, Hazardous materials edit, including any personal information international regulations and the HMR, transportation, Hazardous waste, the commenter provides, to shippers and carriers are able to train Incorporation by reference, Labeling, www.regulations.gov, as described in their hazmat employees in a single set Markings, Packaging and containers, of requirements for classification, the system of records notice (DOT/ALL– 14 FDMS), which can be reviewed at Reporting and recordkeeping packaging, hazard communication, requirements. handling, stowage, etc., thereby www.dot.gov/privacy. minimizing the possibility of K. Executive Order 13609 and 49 CFR Part 173 improperly preparing and transporting a International Trade Analysis Hazardous materials transportation, shipment of hazardous materials Under E.O. 13609, agencies must Incorporation by reference, Packaging because of differences between domestic and containers, Radioactive materials, and international regulations. consider whether the impacts associated with significant variations between Reporting and recordkeeping PHMSA also believes that this group requirements, Uranium. of amendments will increase domestic and international regulatory environmental protection and safety approaches are unnecessary or may 49 CFR Part 175 impair the ability of American business through its increased segregation Air carriers, Hazardous materials to export and compete internationally. distance requirements and enhanced transportation, Incorporation by In meeting shared challenges involving guidance, which will better prevent reference, Radioactive materials, health, safety, labor, security, materials from contacting each other Reporting and recordkeeping environmental, and other issues, and/or water in transportation. requirements. Increased segregation distances prevent international regulatory cooperation can the mixing of incompatible material and identify approaches that are at least as 49 CFR Part 176 the subsequent evolution of flammable protective as those that are or would be Maritime carriers, Hazardous or toxic gases, along with attendant fires adopted in the absence of such materials transportation, Incorporation and explosions. Together, stowage and cooperation. International regulatory by reference, Radioactive materials, segregation help manage the risks cooperation can also reduce, eliminate, Reporting and recordkeeping associated with the transport of or prevent unnecessary differences in requirements. hazardous materials by water. While the regulatory requirements. risk associated with the transport of Similarly, the Trade Agreements Act 49 CFR Part 178 these materials is relatively low, these of 1979 (Pub. L. 96–39), as amended by Hazardous materials transportation, measures would further reduce that risk the Uruguay Round Agreements Act Incorporation by reference, Motor and prevent the spread of a fire between (Pub. L. 103–465), prohibits Federal vehicle safety, Packaging and flammable materials and materials that agencies from establishing any containers, Reporting and recordkeeping react dangerously with water. standards or engaging in related requirements. Greenhouse gas emissions would activities that create unnecessary 49 CFR Part 180 remain the same under this amendment. obstacles to the foreign commerce of the United States. For purposes of these Hazardous materials transportation, Agencies Consulted requirements, Federal agencies may Incorporation by reference, Motor This final rule represents PHMSA’s participate in the establishment of carriers, Motor vehicle safety, Packaging first action in the US for this program international standards, so long as the and containers, Railroad safety, area. PHMSA has coordinated with the standards have a legitimate domestic Reporting and recordkeeping US Federal Aviation Administration objective, such as providing for safety, requirements. and the US Coast Guard, in the and do not operate to exclude imports In consideration of the foregoing, development of this final rule. PHMSA that meet this objective. The statute also PHMSA is amending 49 CFR Chapter I has considered the views expressed in requires consideration of international as follows: comments to the NPRM submitted by standards and, where appropriate, that members of the public, state and local they be the basis for U.S. standards. PART 171—GENERAL INFORMATION, governments, and industry. PHMSA participates in the REGULATIONS, AND DEFINITIONS establishment of international standards Conclusion to protect the safety of the American ■ 1. The authority citation for part 171 The provisions of this final rule build public, and we have assessed the effects continues to read as follows: on current regulatory requirements to of the proposed rule to ensure that it Authority: 49 U.S.C. 5101–5128, 44701; enhance the transportation safety and does not cause unnecessary obstacles to Pub. L. 101–410 section 4 (28 U.S.C. 2461 security of shipments of hazardous foreign trade. In fact, the rule is note); Pub. L. 104–134, section 31001; 49 materials transported by highway, rail, designed to facilitate international trade. CFR 1.81 and 1.97.

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■ 2. In § 171.4, paragraph (c) is revised Regulations for the Safe Transport of (10) ISO 3036–1975(E) Board— to read as follows: Radioactive Material, No. SSR–6, (IAEA Determination of puncture resistance, Regulations), 2012 Edition, into 1975, into § 178.708. § 171.4 Marine pollutants. §§ 171.22; 171.23; 171.26; 173.415; (11) ISO 3405:2000(E), Petroleum * * * * * 173.416; 173.417; 173.435; 173.473. products—Determination of distillation (c) Exceptions. (1) Except when all or * * * * * characteristics at atmospheric pressure, part of the transportation is by vessel, (t) * * * Third Edition, 2000–03–01, into the requirements of this subchapter (1) Technical Instructions for the Safe § 173.121. specific to marine pollutants do not Transport of Dangerous Goods by Air (12) ISO 3574–1986(E) Cold-reduced apply to non-bulk packagings (ICAO Technical Instructions), 2015– carbon steel sheet of commercial and transported by motor vehicle, rail car or 2016 Edition, copyright 2014, into drawing qualities, into § 178.503; Part aircraft. §§ 171.8; 171.22; 171.23; 171.24; 178, appendix C. (2) Single or combination packagings (13) ISO 3679:2004(E), Determination 172.101; 172.202; 172.401; 172.512; containing a net quantity per single or of flash point—Rapid equilibrium 172.519; 172.602; 173.56; 173.320; inner packaging of 5 L or less for liquids closed cup method, Third Edition, 175.10, 175.33; 178.3. or having a net mass of 5 kg or less for 2004–04–01, into § 173.120. solids, are not subject to any other * * * * * (14) ISO 3680:2004(E), Determination requirements of this subchapter (v) * * * of flash/no flash—Rapid equilibrium provided the packagings meet the (2) International Maritime Dangerous closed cup method, Fourth Edition, general requirements in §§ 173.24 and Goods Code (IMDG Code), Incorporating 2004–04–01, into § 173.120. 173.24a. This exception does not apply Amendment 37–14 (English Edition), (15) ISO 3807–2(E), Cylinders for to marine pollutants that are a 2014 Edition, into §§ 171.22; 171.23; acetylene—Basic requirements—Part 2: hazardous waste or a hazardous 171.25; 172.101; 172.202; 172.203 Cylinders with fusible plugs, First substance. In the case of marine 172.401; 172.502; 172.519; 172.602; edition, March 2000, into §§ 173.303; pollutants also meeting the criteria for 173.21; 173.56; 176.2; 176.5; 176.11; 178.71. inclusion in another hazard class, all 176.27; 176.30; 176.83; 176.84; 176.140; (16) ISO 3924:1999(E), Petroleum provisions of this subchapter relevant to 176.720; 178.3; 178.274. products—Determination of boiling any additional hazards continue to * * * * * range distribution—Gas chromatography apply. (w) * * * method, Second Edition, 1999–08–01, * * * * * (1) ISO 535–1991(E) Paper and into § 173.121. (17) ISO 4126–1:2004(E): Safety ■ board—Determination of water 3. In § 171.7 devices for protection against excessive ■ absorptiveness—Cobb method, 1991, a. Revise paragraphs (a)(1), (s)(1), pressure—Part 1: Safety valves, Second (t)(1), (v)(2), (w)(1) through (52), and into §§ 178.516; 178.707; 178.708. (2) ISO 1496–1: 1990 (E)—Series 1 edition 2004–02–15, into § 178.274. (dd)(1) and (dd)(2) introductory text. (18) ISO 4126–7:2004(E): Safety ■ b. Add paragraphs (w)(53) through freight containers—Specification and testing, Part 1: General cargo containers. devices for protection against excessive (w)(58), (bb)(1)(ix), (bb)(1)(x), (bb)(1)(xi), pressure—Part 7: Common data, First (bb)(1)(xii), and (dd)(2)(iii). Fifth Edition, (August 15, 1990), into § 173.411. Edition 2004–02–15 into § 178.274. The revisions and additions are to (19) ISO 4126–7:2004/Cor.1:2006(E): (3) ISO 1496–3(E)—Series 1 freight read as follows: Safety devices for protection against containers—Specification and testing— excessive pressure—Part 7: Common § 171.7 Reference material. Part 3: Tank containers for liquids, gases data, Technical Corrigendum 1, 2006– (a) Matter incorporated by reference— and pressurized dry bulk, Fourth 11–01, into § 178.274. edition, March 1995, into §§ 178.74; (1) General. There is incorporated, by (20) ISO 4626:1980(E), Volatile 178.75; 178.274. reference in parts 170 through 189 of organic liquids—Determination of this subchapter, matter referred to that (4) ISO 1516:2002(E), Determination boiling range of organic solvents used as is not specifically set forth. This matter of flash/no flash—Closed cup raw materials, First Edition, 1980–03– is hereby made a part of the regulations equilibrium method, Third Edition, 01, into § 173.121. in parts 170 through 189 of this 2002–03–01, into § 173.120. (21) ISO 4706:2008(E), Gas subchapter. The matter subject to (5) ISO 1523:2002(E), Determination cylinders—Refillable welded steel change is incorporated only as it is in of flash point—Closed cup equilibrium cylinders—Test pressure 60 bar and effect on the date of issuance of the method, Third Edition, 2002–03–01, below, First Edition, 2008–04–15, regulation referring to that matter. The into § 173.120. Corrected Version, 2008–07–01, into materials listed in paragraphs (b) (6) ISO 2431–1984(E) Standard Cup § 178.71. through (ee) of this section have been Method, 1984, into § 173.121. (22) ISO 6406(E), Gas cylinders— approved for incorporation by reference (7) ISO 2592:2000(E), Determination Seamless steel gas cylinders—Periodic by the Director of the Federal Register of flash and fire points—Cleveland open inspection and testing, Second edition, in accordance with 5 U.S.C. 552(a) and cup method, Second Edition, 2000–09– February 2005, into § 180.207. 1 CFR part 51. Material is incorporated 15, into § 173.120. (23) ISO 6892 Metallic materials— as it exists on the date of the approval (8) ISO 2719:2002(E), Determination Tensile testing, July 15, 1984, First and a notice of any change in the of flash point—Pensky-Martens closed Edition, into § 178.274. material will be published in the cup method, Third Edition, 2002–11– (24) ISO 7225(E), Gas cylinders— Federal Register. Matters referenced by 15, into § 173.120. Precautionary labels, Second Edition, footnote are included as part of the (9) ISO 2919:1999(E), Radiation July 2005, into § 178.71. regulations of this subchapter. Protection—Sealed radioactive (25) ISO 7866(E), Gas cylinders— * * * * * sources—General requirements and Refillable seamless aluminum alloy gas (s) * * * classification, (ISO 2919), second cylinders—Design, construction and (1) IAEA Safety Standards for edition, February 15, 1999, into testing, First edition, June 1999, into Protecting People and the Environment; § 173.469. § 178.71.

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(26) ISO 8115 Cotton bales— Edition, 2006–01–15, into §§ 173.301b; cylinders with non-load-sharing Dimensions and density, 1986 Edition, 178.71. metallic or non-metallic liners, First into § 172.102. (38) ISO 10461:2005(E), Gas edition, September 2002, into § 178.71. (27) ISO 9809–1:1999(E): Gas cylinders—Seamless aluminum-alloy (50) ISO 11120(E), Gas cylinders— cylinders—Refillable seamless steel gas gas cylinders—Periodic inspection and Refillable seamless steel tubes of water cylinders—Design, construction and testing, Second Edition, 2005–02–15 capacity between 150 L and 3000 L— testing—Part 1: Quenched and tempered and Amendment 1, 2006–07–15, into Design, construction and testing, First steel cylinders with tensile strength less § 180.207. edition, March 1999, into §§ 178.71; than 1100 MPa., First edition, June (39) ISO 10462 (E), Gas cylinders— 178.75. 1999, into §§ 178.37; 178.71; 178.75. Transportable cylinders for dissolved (51) ISO 11513:2011(E), Gas (28) ISO 9809–1:2010(E): Gas acetylene—Periodic inspection and cylinders—Refillable welded steel cylinders—Refillable seamless steel gas maintenance, Second edition, February cylinders containing materials for sub- cylinders—Design, construction and 2005, into § 180.207. atmospheric gas packaging (excluding testing—Part 1: Quenched and tempered (40) ISO 10692–2:2001(E), Gas acetylene)—Design, construction, steel cylinders with tensile strength less cylinders—Gas cylinder valve testing, use and periodic inspection, than 1 100 MPa., Second edition, 2010– connections for use in the micro- First edition, 2011–09–12, into 04–15, into §§ 178.37; 178.71; 178.75. electronics industry—Part 2: §§ 173.302c; 178.71; 180.207. (29) ISO 9809–2:2000(E): Gas Specification and type testing for valve (52) ISO 11621(E), Gas cylinders— cylinders—Refillable seamless steel gas to cylinder connections, First Edition, Procedures for change of gas service, cylinders—Design, construction and 2001–08–01, into §§ 173.40; 173.302c. First edition, April 1997, into testing—Part 2: Quenched and tempered (41) ISO 11114–1:2012(E), Gas §§ 173.302, 173.336, 173.337. steel cylinders with tensile strength cylinders—Compatibility of cylinder (53) ISO 11623(E), Transportable gas greater than or equal to 1 100 MPa., First and valve materials with gas contents— cylinders—Periodic inspection and edition, June 2000, into §§ 178.71; Part 1: Metallic materials, Second testing of composite gas cylinders, First 178.75. edition, 2012–03–15, into §§ 173.301b; edition, March 2002, into § 180.207. (30) ISO 9809–2:2010(E): Gas 178.71. (54) ISO 13340:2001(E) Transportable cylinders—Refillable seamless steel gas (42) ISO 11114–2(E), Transportable gas cylinders—Cylinder valves for non- cylinders—Design, construction and gas cylinders—Compatibility of cylinder refillable cylinders—Specification and testing—Part 2: Quenched and tempered and valve materials with gas contents— prototype testing, First edition, 2004– steel cylinders with tensile strength Part 2: Non-metallic materials, First 04–01, into §§ 173.301b; 178.71. greater than or equal to 1100 MPa., edition, December 2000, into (55) ISO 13736:2008(E), Second edition, 2010–04–15, into §§ 173.301b; 178.71. Determination of flash point—Abel §§ 178.71; 178.75. (43) ISO 11117:1998(E): Gas closed-cup method, Second Edition, (31) ISO 9809–3:2000(E): Gas cylinders—Valve protection caps and 2008–09–15, into § 173.120. cylinders—Refillable seamless steel gas valve guards for industrial and medical (56) ISO 16111:2008(E), Transportable cylinders—Design, construction and gas cylinders.—Design, construction gas storage devices—Hydrogen absorbed testing—Part 3: Normalized steel and tests, First edition, 1998–08–01, in reversible metal hydride, First cylinders, First edition, December 2000, into § 173.301b. Edition, 2008–11–15, into §§ 173.301b; into §§ 178.71; 178.75. (44) ISO 11117:2008(E): Gas 173.311; 178.71. (32) ISO 9809–3:2010(E): Gas cylinders—Valve protection caps and (57) ISO 18172–1:2007(E), Gas cylinders—Refillable seamless steel gas valve guards—Design, construction and cylinders—Refillable welded stainless cylinders—Design, construction and tests, Second edition, 2008–09–01, into steel cylinders—Part 1: Test pressure 6 testing—Part 3: Normalized steel § 173.301b. MPa and below, First Edition, 2007–03– cylinders, Second edition, 2010–04–15, (45) ISO 11117:2008/Cor.1:2009(E): 01, into § 178.71. into §§ 178.71; 178.75. Gas cylinders—Valve protection caps (58) ISO 20703:2006(E), Gas (33) ISO 9978:1992(E)—Radiation and valve guards—Design, construction cylinders—Refillable welded protection—Sealed radioactive and tests, Technical Corrigendum 1, aluminum-alloy cylinders—Design, sources—Leakage test methods. First 2009–05–01, into § 173.301b. construction and testing, First Edition, (46) ISO 11118(E), Gas cylinders— Edition, (February 15, 1992), into 2006–05–01, into § 178.71. § 173.469. Non-refillable metallic gas cylinders— (34) ISO 10156:2010(E): Gases and gas Specification and test methods, First * * * * * mixtures—Determination of fire edition, October 1999, into § 178.71. (bb) * * * potential and oxidizing ability for the (47) ISO 11119–1(E), Gas cylinders— (1) * * * selection of cylinder valve outlets, Third Gas cylinders of composite (ix) SOR/2011–239 November 9, 2011. edition, 2010–04–01, into § 173.115. construction—Specification and test (x) SOR/2011–60 March 16, 2011. (35) ISO 10156:2010/Cor.1:2010(E): methods—Part 1: Hoop-wrapped (xi) SOR/2011–210 October 12, 2011. Gases and gas mixtures—Determination composite gas cylinders, First edition, (xii) SOR/2012–245 December 5, of fire potential and oxidizing ability for May 2002, into § 178.71. 2012. the selection of cylinder valve outlets, (48) ISO 11119–2(E), Gas cylinders— * * * * * Technical Corrigendum 1, 2010–09–01, Gas cylinders of composite (dd) * * * into § 173.115. construction—Specification and test (1) UN Recommendations on the (36) ISO 10297:1999(E), Gas methods—Part 2: Fully wrapped fibre Transport of Dangerous Goods, Model cylinders—Refillable gas cylinder reinforced composite gas cylinders with Regulations (UN Recommendations), valves—Specification and type testing, load-sharing metal liners, First edition, 18th revised edition, Volumes I and II First Edition, 1995–05–01, into May 2002, into § 178.71. (2013), into §§ 171.8; 171.12; 172.202; §§ 173.301b; 178.71. (49) ISO 11119–3(E), Gas cylinders of 172.401; 172.407; 172.502; 173.22; (37) ISO 10297:2006(E), Transportable composite construction—Specification 173.24; 173.24b; 173.40; 173.56; gas cylinders—Cylinder valves— and test methods—Part 3: Fully 173.192; 173.302b; 173.304b; 178.75; Specification and type testing, Second wrapped fibre reinforced composite gas 178.274.

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(2) UN Recommendations on the (3) A water capacity of 454 kg (1000 ABOARD PASSENGER AIRCRAFT’’ or Transport of Dangerous Goods, Manual pounds) or less as a receptacle for a gas ‘‘LITHIUM METAL BATTERIES— of Tests and Criteria, (Manual of Tests as defined in § 173.115 of this FORBIDDEN FOR TRANSPORT and Criteria), into §§ 171.24, 172.102; subchapter; or ABOARD PASSENGER AIRCRAFT’’, or 173.21; 173.56; 173.57; 173.58; 173.60; (4) Regardless of the definition of bulk labeled with a CARGO AIRCRAFT 173.115; 173.124; 173.125; 173.127; packaging, a maximum net mass of 400 ONLY label specified in § 172.448 of 173.128; 173.137; 173.185; 173.220; kg (882 pounds) or less for a bag or a this subchapter. 173.225, part 173, appendix H; 178.274: box conforming to the applicable * * * * * * * * * * requirements for specification ■ 7. In § 171.25, paragraph (b)(3) is (iii) Fifth revised edition, amendment packagings, including the maximum net revised to read as follows: 2 (2013). mass limitations, provided in subpart L * * * * * of part 178 of this subchapter. § 171.25 Additional requirements for the use of the IMDG Code. ■ 4. In § 171.8, the definitions for * * * * * ‘‘Adsorbed gas,’’ ‘‘Large salvage Radiation detection system means an * * * * * packaging,’’ ‘‘Neutron Radiation apparatus that contains radiation (b) * * * Detector’’ and ‘‘Radiation Detection detectors as components. (3) The outside of each package System’’ are added in alphabetical * * * * * containing lithium metal cells or batteries (UN3090) transported in order, and the definitions for ‘‘Bundle of ■ 5. In § 171.23 revise paragraphs (b)(2), accordance with special provision 188 cylinders’’ and ‘‘Non-bulk packaging’’ (b)(11)(iv) and add paragraph (b)(11)(ix) of the IMDG Code must be marked are revised to read as follows: to read as follows: ‘‘PRIMARY LITHIUM BATTERIES— § 171.8 Definitions and abbreviations. § 171.23 Requirements for specific FORBIDDEN FOR TRANSPORT * * * * * materials and packagings transported ABOARD PASSENGER AIRCRAFT’’ or Adsorbed gas. See § 173.115 of this under the ICAO Technical Instructions, ‘‘LITHIUM METAL BATTERIES— subchapter. IMDG Code, Transport Canada TDG FORBIDDEN FOR TRANSPORT Regulations, or the IAEA Regulations. * * * * * ABOARD PASSENGER AIRCRAFT’’, or Bundle of cylinders means assemblies * * * * * labeled with a CARGO AIRCRAFT of UN cylinders fastened together and (b) * * * ONLY label specified in § 172.448 of interconnected by a manifold and (2) Safety devices for vehicles, vessels this subchapter. The provisions of this transported as a unit. The total water or aircraft, e.g. air bag inflators, air bag paragraph do not apply to packages that capacity for the bundle may not exceed modules, seat-belt pretensioners, and contain 5 kg (11 pounds) net weight or 3,000 L, except that a bundle intended pyromechanical devices. For each safety less of lithium metal cells or batteries for the transport of gases in Division 2.3 device, the shipping paper description that are packed with, or contained in, is limited to a water capacity of 1,000 must conform to the requirements in equipment. L. Not permitted for air transport. § 173.166(c) of this subchapter. * * * * * * * * * * * * * * * Large salvage packaging means a (11) * * * PART 172—HAZARDOUS MATERIALS special packaging into which damaged, (iv) The country of origin for the TABLE, SPECIAL PROVISIONS, defective or leaking hazardous materials shipment must have adopted the edition HAZARDOUS MATERIALS packages, or hazardous materials that of SSR–6 of the IAEA Regulations COMMUNICATIONS, EMERGENCY have spilled or leaked are placed for the referenced in § 171.7. RESPONSE INFORMATION, TRAINING purpose of transport for recovery or * * * * * REQUIREMENTS, AND SECURITY disposal, that— (ix) Packages containing fissile PLANS (1) Is designed for mechanical materials must conform to the ■ 8. The authority citation for part 172 handling; and requirements of § 173.453 to be (2) Has a net mass greater than 400 kg otherwise excepted from the continues to read as follows: (882 pounds) or a capacity of greater requirements of Subpart I of Part 173 for Authority: 49 U.S.C. 5101–5128, 44701; 49 than 450 L (119 gallons), but has a fissile materials. CFR 1.81, 1.96 and 1.97. volume of not more than 3 cubic meters * * * * * ■ 9. In § 172.101, revise paragraphs (f) (106 cubic feet). ■ 6. In § 171.24 paragraph (d)(1)(ii) is and (k) introductory text to read as * * * * * revised to read as follows: follows: Neutron Radiation Detector means a device that detects neutron radiation. In § 171.24 Additional requirements for the § 172.101 Purpose and use of the such a device, a gas may be contained use of the ICAO Technical Instructions. hazardous materials table. in a hermetically sealed electron tube * * * * * * * * * * transducer that converts neutron (d) * * * (f) Column 5: Packing group. Column radiation into a measurable electric (1) * * * 5 specifies one or more packing groups signal. (ii) Lithium metal cells and batteries. assigned to a material corresponding to * * * * * Lithium metal cells and batteries the proper shipping name and hazard Non-bulk packaging means a (UN3090) are forbidden for transport class for that material. Class 2, Class 7, packaging which has: aboard passenger-carrying aircraft. The Division 6.2 (other than regulated (1) A maximum capacity of 450 L (119 outside of each package that contains medical wastes), and ORM–D materials, gallons) or less as a receptacle for a lithium metal cells or lithium metal do not have packing groups. Articles in liquid; batteries (UN3090) transported in other than Class 1 are not assigned to (2) A maximum net mass of 400 kg accordance with Packing Instruction packing groups. For packing purposes, (882 pounds) or less and a maximum 968, Section II must be marked any requirement for a specific packaging capacity of 450 L (119 gallons) or less ‘‘PRIMARY LITHIUM BATTERIES— performance level is set out in the as a receptacle for a solid; FORBIDDEN FOR TRANSPORT applicable packing authorizations of

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Part 173. Packing Groups I, II and III modified to read ‘‘III’’ on those The meaning of each code in Column indicate the degree of danger presented occasions when the material is offered 10B is set forth in § 176.84 of this by the material is great, medium or for transportation or transported by a subchapter. Section 176.63 of this minor, respectively. If more than one mode in which its transportation is not subchapter sets forth the physical packing group is indicated for an entry, otherwise subject to requirements of this requirements for each of the authorized the packing group for the hazardous subchapter. locations listed in Column 10A. (For material is determined using the criteria * * * * * bulk transportation by vessel, see 46 CFR parts 30 to 40, 70, 98, 148, 151, 153 for assignment of packing groups (k) Column 10: Vessel stowage and 154.) The authorized stowage specified in subpart D of part 173. When requirements. Column 10A [Vessel locations specified in Column 10A are a reevaluation of test data or new data stowage] specifies the authorized defined as follows: indicates a need to modify the specified stowage locations on board cargo and packing group(s), the data should be passenger vessels. Column 10B [Other * * * * * submitted to the Associate provisions] specifies codes for stowage ■ 10. In § 172.101, the Hazardous Administrator. Each reference in this and handling requirements for specific Materials Table is amended by removing column to a material which is a hazardous materials. Hazardous the entries under ‘‘[REMOVE]’’, by hazardous waste or a hazardous materials offered for transportation as adding the entries under ‘‘[ADD]’’ and substance, and whose proper shipping limited quantities are allocated stowage revising entries under ‘‘[REVISE]’’ in the name is preceded in Column 1 of the category A and are not subject to the appropriate alphabetical sequence to Table by the letter ‘‘A’’ or ‘‘W’’, is stowage codes assigned by column 10B. read as follows:

VerDate Sep<11>2014 19:02 Jan 07, 2015 Jkt 235001 PO 00000 Frm 00043 Fmt 4701 Sfmt 4700 E:\FR\FM\08JAR2.SGM 08JAR2 mstockstill on DSK4VPTVN1PROD with RULES2 1118 Federal Register / Vol. 80, No. 5 / Thursday, January 8, 2015 / Rules and Regulations (10) Vessel stowage ...... 25 Location Other A. en 04 ...... 25 it ..... A. craft only Cargo air- (9) 175.75) Quantity limitations (see §§ 173.27 and aircraft/rail (8) (§ 173.***) Packaging Exceptions Non-bulk Bulk Passenger 155 ...... 216 ...... 240 ...... 200 kg ...... 200 kg ...... A ...... 34, 40 155 ...... 216 ...... 240 ...... Forbidden Forbidden A ...... 34, 40 152 ...... 213 ...... 240 ...... 25 kg ...... 100 kg ...... A ...... 25, 59, 60, 116 Special provisions (§ 172.102) TP33. TP33. T1, TP33. 3, B14, T50 ...... None ...... 304 ...... 314, 315 ... Forbidden Forbidden D ...... 40 2.1. Label codes PG tion Nos. Identifica- 9 UN2590 .... III .. 9 ...... 156, IB8, IP2, IP3, T1, 9 UN3268 .... III .. 9 ...... 160, A200 ...... 166 ...... 166 ...... 166 ...... 25 kg ...... 100 kg ...... 9 UN3499 ...... 9 ...... 361 ...... 176 ...... 176 ...... 176 ...... No limit ..... No lim 9 UN2212 .... II ... 9 ...... 156, IB8, IP2, IP4, T3, ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* 5.1 UN1942 .... III .. 5.1 ..... A1, A29, B120, IB8, IP3, 2.3 UN1082 ...... 2.3, 1.1D UN0214 .... II ... 1.1D ...... None ...... 62 ...... None ...... Forbidden Forbidd 1.4G UN0503 ...... 1.4G .. 161, A200 ...... None ...... 62 ...... None ...... Forbidden 75 kg ...... 02 . Hazard division class or Air Air Seat- Seat- dry or electric dou- materials Hazardous shipping names wetted with less than 30 percent water, by mass . stabilized. (chrysotile, actinolite, anthophyllite, tremolite) . ble layer (with an en- ergy storage capacity greater than 0.3 Wh) . olite) or Brown asbes- tos (amosite, mysorite). bag modules, or belt pretensioners. belt pretensioners. bag modules, or not more than 0.2% total combustible ma- terial, including any organic substance, calculated as carbon to the exclusion of any other added sub- stance . descriptions and proper Chemical kits ...... First aid kits ...... 9 UN3316Trinitrobenzene, ...... 9 9 ...... UN3316 .... 15 ...... 161 9 ...... 161 15 ...... None 161 ...... 10 kg 161 ...... 10 kg None ...... A. 10 kg ...... 10 kg ...... A. Trifluorochloroethylene, Capacitor, Air bag inflators, or [REMOVE]. Ammonium nitrate, with (1) (2) (6) (5) (3) (7) (4) (10A) (9A) (9B) (8C) (8A) (8B) (10B) bols Sym- I ...... White asbestos I ...... Blue asbestos (Crocid- I ...... Air bag inflators, or

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...... None ...... 302c ...... None ...... 75 kg ...... 150 kg ...... D. 1 ...... None ...... 302c ...... None2, B9, B14 ...... Forbidden None ...... 302c Forbidden ...... None3, B14 ...... D ...... Forbidden None 40 ...... Forbidden 302c ...... None4 D ...... Forbidden None 40 ...... 302c Forbidden ...... None ...... D ...... Forbidden 40 Forbidden D ...... 40 1 ...... None ...... 302c ...... None2, B9, B14 ...... Forbidden None ...... 302c Forbidden ...... None3, B14 ...... D ...... Forbidden None 17, 40 ...... Forbidden 302c ...... None4 D ...... Forbidden None 17, 40 ...... 302c Forbidden ...... None ...... D ...... Forbidden 17, 40 Forbidden D ...... 17, 40 5.1. 2.1. 2.1. 2.1. 2.1. 2.1, 8. 2.1, 8. 2.1, 8. 2.1, 8...... 2.3, ******* 2.3 UN3512 ...... 2.3 .....2.3 UN3512B14...... 3, None ...... 2.3 302c .....2.3 UN3516 ...... 4 None ...... 8 None Forbidden ...... 2.3, 2.3 302c 1 ...... UN3516 ...... Forbidden .... None None ...... D ... Forbidden 302c 2.3, 82.3 ...... UN3516 None .... Forbidden ...... 2, B9, B14 ...... Forbidden None 2.3, 82.3 UN3516 ...... Forbidden 302c ...... 3, B148 ...... None 2.3, D ...... None ...... 4 Forbidden ...... 302c ...... None ...... Forbidden None ...... 302c ...... Forbidden D ...... None ...... Forbidden Forbidden D Forbidden ..... D ...... 40 2.2 UN3513 ...... 2.2, 2.3 UN3512 ...... 2.3 .....2.3 UN3512 1 ...... None ...... 2.3 302c ...... 2, B9, B14 None ...... None Forbidden ...... 302c ...... Forbidden None ...... Forbidden Forbidden D ..... 2.3 UN3514 ...... 2.3, 2.3 UN3514 ...... 2.3, 2.3 UN3514 ...... 2.3, 2.3 UN3514 ...... 2.3, 2.3 UN3517 2.3 UN3517 ...... 2.3, 2.3 UN3517 ...... 2.3, 2.3 UN3517 ...... 2.3, 2.1 UN3510 ...... 2.1 ...... None ...... 302c ...... None ...... Forbiddenkg. 150 Inhalation haz- Inhalation haz- Inhalation haz- Inhalation haz- Inhalation haz- Inhalation haz- Inhalation haz- Inhalation haz- n.o.s. ard zone B . n.o.s. ard zone C . n.o.s. ard zone D . corrosive, n.o.s. Inha- lation hazard zone A . corrosive, n.o.s. Inha- lation hazard zone B . corrosive, n.o.s. Inha- lation hazard zone C . corrosive, n.o.s. Inha- lation hazard zone D . flammable, n.o.s. In- halation hazard zone A . flammable, n.o.s. In- halation hazard zone B . flammable, n.o.s. In- halation hazard zone C . flammable, n.o.s. In- halation hazard zone D . flammable, corrosive, n.o.s. ard zone A . n.o.s. ard zone A . flammable, corrosive, n.o.s. ard zone B . flammable, corrosive, n.o.s. ard zone C . flammable, corrosive, n.o.s. ard zone D . mable, n.o.s. n.o.s. [ADD]. G ...... Adsorbed gas, toxic, G ...... Adsorbed gas, toxic, G ...... Adsorbed gas, toxic, G ...... Adsorbed gas, toxic, G ...... Adsorbed gas, toxic, G ...... Adsorbed gas, toxic, G ...... Adsorbed gas, toxic, G ...... Adsorbed gas, toxic, G ...... Adsorbed gas, toxic, G ...... Adsorbed gas, toxic, G ...... Adsorbed gas, toxic, G ...... Adsorbed gas, toxic, G ...... Adsorbed gas, toxic, G ...... Adsorbed gas, toxic, G ...... Adsorbed gas, toxic, G ...... Adsorbed gas, toxic, G ...... G Adsorbed gas, n.o.s ...... Adsorbed gas, flam- 2.2 UN3511 ...... 2.2 ...... None ...... 302c ...... None ...... 75 kg ...... 150 kg ...... A. G ...... Adsorbed gas, oxidizing,

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craft only Cargo air- (9) 175.75) Quantity limitations (see §§ 173.27 and aircraft/rail (8) (§ 173.***) Packaging Exceptions Non-bulk Bulk Passenger 152 ...... 213 ...... 240 ...... 25 kg ...... 100 kg ...... A ...... 25, 59, 60, 66, 116, Special provisions (§ 172.102) T1, TP33. 1 ...... None ...... 302c ...... None ...... Forbidden Forbidden D. 4 ...... None ...... 302c ...... None ...... Forbidden Forbidden D ...... 40, 89, 90 3, B14 ...... None ...... 302c ...... None ...... Forbidden Forbidden D ...... 40, 89, 90 4 ...... None ...... 302c ...... 1 ...... None ...... None ...... Forbidden 302c ...... Forbidden None2, B9, B14 ...... Forbidden D None ...... 40 302c Forbidden ...... None ...... D ...... Forbidden 40, 89, 90 Forbidden D ...... 40, 89, 90 3, B14 ...... None ...... 302c ...... None ...... Forbidden Forbidden D ...... 40 1 ...... None ...... 302c ...... 2, B9, B14 ...... None ...... None ...... Forbidden 302c ...... Forbidden None ...... Forbidden D ...... 40 Forbidden D ...... 40 2.1. 5.1, 8. 5.1, 8. 5.1. 5.1, 8. 5.1, 8. 5.1. 5.1. 5.1. Label codes PG tion Nos. Identifica- ******* ******* ******* 2.3 UN3518 ...... 2.3, 2.3 UN3518 ...... 2.3, 5.1 UN1942 .... III .. 5.1 ..... A1, A29, B120, IB8, IP3, 2.3 UN3515 ...... 2.3, 2.3 UN3515 ...... 2.3, 2.3 UN3518 ...... 2.3, 2.3 UN3518 ...... 2.3, 2.3 UN3515 ...... 2.3, 2.3 UN3515 ...... 2.3, Hazard division class or Inhalation haz- Inhalation haz- Inhalation haz- Inhalation haz- materials Hazardous Safety devices, shipping names bag modules, or Seat- belt pretensioners, see electrically initiated or Safety devices, pyro- technic. not more than 0.2% combustible sub- stances, including any organic substance cal- culated as carbon, to the exclusion of any other added sub- stance . dizing, corrosive, n.o.s. ard zone D . dizing, corrosive, n.o.s. ard zone A . dizing, corrosive, n.o.s. ard zone B . dizing, corrosive, n.o.s. ard zone C . dizing, n.o.s. Inhala- tion hazard zone D . dizing, n.o.s. Inhala- tion hazard zone B . dizing, n.o.s. Inhala- tion hazard zone C . dizing, n.o.s. Inhala- tion hazard zone A . descriptions and proper Air bag inflators, or Ammonium nitrate, with Arsine, adsorbed ...... 2.3 UN3522 ...... 2.3, (1) (2) (6) (5) (3) (7) (4) (10A) (9A) (9B) (8C) (8A) (8B) (10B) bols Sym- G ...... Adsorbed gas, toxic, oxi- G ...... Adsorbed gas, toxic, oxi- G ...... Adsorbed gas, toxic, oxi- G ...... Adsorbed gas, toxic, oxi- G ...... Adsorbed gas, toxic, oxi- G ...... Adsorbed gas, toxic, oxi- G ...... Adsorbed gas, toxic, oxi- G ...... Adsorbed gas, toxic, oxi-

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155 ...... 216 ...... 240 ...... 155 Forbidden ...... 216 Forbidden ...... 240 ...... A ...... 200 kg ...... 34, 40 200 kg ...... A ...... 34, 40 TP33. TP33. 1 ...... None ...... 302c ...... None ...... Forbidden Forbidden D ...... 40 3, B14, T50 ...... None ...... 304 ...... 314, 315 ... Forbidden Forbidden D ...... 40 1 ...... None ...... 302c ...... None ...... Forbidden Forbidden D ...... 40 2 ...... None ...... 302c ...... None ...... Forbidden Forbidden D ...... 40 2, B9, B14, N86 ...... None ...... 302c ...... None ...... Forbidden Forbidden D ...... 40, 89, 90 2.1. 2.1. 2.1. 2.1. 5.1, 8. III .. 9 ...... 15 ...... 161 ...... 161 ...... None ...... 10 kg ...... 10 kg ...... A. 9 UN3268 ...... 9 ...... 160, A200 ...... 166 ...... 166 ...... 166 ...... 25 kg ...... 100 kg ..... 9 UN33169 .... UN3316 II ...... III 9 ...... 9 15 ...... 15 161 ...... 161 161 ...... 161 None ...... None 10 kg ...... 10 kg 10 kg ...... 10 kg A...... A. 9 UN3499 ...... 9 ...... 361 ...... 176 ...... 176 ...... 176 ...... No limit ..... No lim 9 UN3316 .... II ... 9 ...... 15 ...... 161 ...... 161 ...... None ...... 10 kg ...... 10 kg ...... A. 9 UN3508 ...... 9 ...... 372 ...... 176 ...... 176 ...... 176 ...... No limit ..... No Lim 9 UN2212 .... II ... 9 ...... 156, IB8, IP2, IP4, T3, ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* 2.3 UN3524 ...... 2.3, 8 2, B9, B14 ...... None ...... 302c ...... None ...... Forbidden Forbidden D ...... 2.3 UN3521 ...... 8 2.3, 2 ...... None ...... 302c ...... None ...... Forbidden Forbidden D . 2.3 UN1082 ...... 2.3, 2.3 UN3526 ...... 2.3, 2.3 UN3519 ...... 2.3, 8 2, B9, B14 ...... None ...... 302c ...... None ...... Forbidden Forbidden D ...... 40 1.4G UN0503 ...... 1.4G .. A200 ...... None ...... 62 ...... None ...... Forbiddenkg...... 75 Refrig- or pentafluoride, ad- sorbed. trically initiated . technic. sorbed. stabilized erant gas R 1113. sorbed. ble layer with an en- ergy storage capacity greater than 0.3 Wh . sorbed. with an energy stor- age capacity greater than 0.3 Wh . amosite, tremolite, ac- tinolite, anthophyllite, or crocidolite . Phosphorus Safety devices, elec- Safety devices, pyro- Silicon tetrafluoride, ad- Trifluorochloroethylene, Phosphine, adsorbed .... 2.3 UN3525 ...... 2.3, Hydrogen selenide, ad- First aid kits ...... Germane, adsorbed ...... 2.3 UN3523 ...... 2.3, First aid kits ...... Chemical kits ...... Chlorine, adsorbed ...... 2.3 UN3520 ...... 2.3, Capacitor, electric dou- Boron trifluoride, ad- Capacitor, asymmetric I ...... Asbestos, chrysotile ...... 9 UN2590 .... III .. 9 ...... 156, IB8, IP2, IP3, T1, G I ..... Asbestos, amphibole

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.1 kg. craft only Cargo air- Less than (9) 175.75) Quantity limitations (see §§ 173.27 and .1 kg. aircraft/rail (8) (§ 173.***) Packaging Exceptions Non-bulk Bulk Passenger None ...... 211 ...... 151 ...... 242 ...... 212 ...... Forbidden 241 ...... 15 kg ...... 15 kg ...... D ...... 50 kg ...... 13, 52, 148 E ...... 13, 40, 52, 148 Special provisions (§ 172.102) TP33. IP2, T3, TP33...... None ...... 172 ...... None ...... Forbidden 42 L ...... E ...... 21, 40, 49, 100 8. Label codes PG tion Nos. Identifica- 3 UN3165 .... I ....6.1, 3, 8 UN3507 .... I .... 8, 7 .... 369 ...... 420 ...... None ...... None ...... Less than ******* ******* ******* ******* ******* ******* ******* 4.3 UN1389 .... I .... 4.3 ..... A2, A3, A7, N34 ...... None ...... 201 ...... 244 ...... Forbidden 1 L ...... D ...... 13, 40, 52, 148 4.3 UN1421 .... I .... 4.3 .....4.3 A2, A3, A7, B48, N34 UN3401 ...... None I ...... 201 4.3 ...... 244 IB4, IP1, N40, T9, TP7, ...... Forbidden 1 L ...... D ...... 13, 52, 148 4.1 UN1354 .... I .... 4.1 ..... 23, A2, A8, A19, N41 ...... None ...... 211 ...... None ...... 0.5 kg ...... 0.5 kg ...... E ...... 28, 36 4.3 UN3482 .... I .... 4.3, 34.3 UN1391 A2, A3, A7 ...... I None ...... 4.3 201 ...... A2, A3, A7 244 ...... None Forbidden ...... 201 ...... 1 L ...... 244 ...... D ...... Forbidden 13, 52, 148 1 L ...... D ...... 13, 52, 148 1.1D UN0214 .... II ... 1.1D ...... None ...... 62 ...... None ...... Forbidden Forbidd Hazard division class or dry or wetted Alkaline or materials Hazardous Alkaline earth metal shipping names solid. liquid. unit fuel tank (con- taining a mixture of anhydrous hydrazine and monomethyl hy- drazine) (M86 fuel) . uid, n.o.s. wetted with less than 30 percent water, by mass . with not less than 30 percent water, by mass . radioactive material, excepted package, less than 0.1 kg per package, non-fissile or fissile-excepted . flammable or dispersions. earth metal disper- sions, flammable. descriptions and proper Alkali metal amalgam, Alkali metal amalgam, Aircraft hydraulic power Aldol ...... Alkali metal alloys, liq- 6.1 UN2839 .... II ... 6.1 ..... IB2, T7, TP2 ...... 153 ...... 202 ...... 243 ...... 5 L ...... 60 L ...... A ...... 12, 25 Trinitrobenzene, Trinitrobenzene, Uranium hexafluoride, [REVISE]. Acrylamide, solid ...... Acrylamide solution ...... 6.1 UN2074 6.1 .... UN3426 III ...... III 6.1 ...... 6.1 IB8, IP3, T1, TP33 ...... IB3, T4, TP1 153 ...... 153 213 ...... 203 240 ...... 241 100 kg ...... 60 L 200 kg ...... 220 L A ...... A 12, 25 ...... 12, 25 Alkali metal amides ...... Alkali metal dispersions, 4.3 UN1390 .... II ... 4.3 ..... A6, A7, A8, A19, A20, IB7, Alkali metal dispersions, (1) (2) (6) (5) (3) (7) (4) (10A) (9A) (9B) (8C) (8A) (8B) (10B) bols Sym-

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...... 213 ...... 240 ...... 25 kg ...... 100 kg ...... B ...... 25, 59, 60, 66, 117, 151 ...... 212 ...... 151 ...... 242 ...... 213 ...... 15 kg ...... 241 ...... 50 kg151 ...... 25 kg ...... A ...... 213 100 kg ...... 13, 39, 52, 53, 148 241 A ...... 25 kg 13, 39, 52, 53, 148 ...... 100 kg ...... A ...... 13, 39, 40, 52, 53, None ...... 212 ...... 242None ...... 15 kg 213 ...... 50 kg 241 ...... B 25 kg ...... 13, 85, 103, 148 100 kg ...... B ...... 13, 85, 103, 148 151 ...... 212 ...... 242 ...... 15 kg ...... 50 kg ...... A ...... 13, 52, 148 152 None ...... 227 ...... 244 ...... Forbidden Forbidden D ...... 21, 40, 100 None ...... 211 ...... 242 ...... Forbidden 15 kg ...... D ...... 13, 52, 148 TP33. TP33. TP33. TP33. TP33. T1, TP33. TP33. T20, TP2, TP13, TP38, TP45. TP33. A8, A19, N40 ...... None ...... 211 ...... 242 ...... Forbidden 15 kg ...... E ...... 13, 40, 52, 85, 148 A19, A20, IB4 ...... 151 ...... 213 ...... 241 ...... 25 kg ...... 100 kg ...... A ...... 13, 39, 40, 52, 53, A19, IB5, IP2, T3, TP33 ... 151 ...... 212 ...... 242 ...... 15 kg ...... 50 kg ...... A ...... 13, 39, 40, 52, 5 B11, T21, TP7, TP33 ...... None ...... 181 ...... 244 ...... Forbidden Forbidden D ...... 13, 148 2, B9, B14, B32, N41, 6.1. 6.1. 6.1. 4.3. 8. III .. 4.1 ..... IB8, IP3, T1, TP33 ...... 151III ...... 213 4.3 ...... 240 A19, A20, IB8, IP4, T1, ...... 25 kg ...... 100 kg ...... A ...... 13, 39, 52, 53, 74, III .. 4.3, III .. 4.3 ..... 128, B115, IB8, IP4, T1, 8 UN2815 .... III .. 8 ...... IB3, T4, TP1 ...... 154 ...... 203 ...... 241 ...... 5 L ...... 60 L ...... A ...... 12, 25 ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* 4.1 UN1309 .... II ... 4.1 ..... IB8, IP2, IP4, T3, TP33 .... 151 ...... 212 ...... 240 ...... 15 kg ...... 50 kg ...... A ...... 13, 39, 52, 53, 74, 5.1 UN2067 .... III .. 5.1 ..... 52, 150, B120, IB8, IP3, 4.3 UN1396 .... II ... 4.3 ..... A19, A20, IB7, IP2, T3, 4.3 UN1398 .... III .. 4.3 ..... A1, A19, IB8, IP4, T1, 4.2 UN2870 .... I .... 4.2, 6.1 UN2671 .... II ... 6.1 ..... IB8, IP2, IP4, T3, TP33 .... 153 ...... 212 ...... 242 ...... 25 kg ...... 100 kg ...... B ...... 12, 25, 40, 52 4.3 UN3170 .... II ... 4.3 ..... 128, B115, IB7, IP2, T3, 4.3 UN1395 .... II ... 4.3, 4.3 UN1393 .... II4.3 ... UN1392 .... 4.3 ..... I .... A19, IB7, IP2, T3, TP33 ... 4.3 ..... 151 ...... A19, N34, N40 ...... 212 ...... None ...... 241 201 ...... 15 kg 244 ...... 50 kg Forbidden ...... E ...... 1 L ...... 13, 52, 148 E ...... 13, 40, 52, 148 4.3 UN3402 .... I .... 4.3 ..... A19, N34, N40, T9, TP7, (o-; m-; Aluminum or Aluminum boro- ed. uncoated. der, uncoated. products p-) . remelting by-products. powder. based fertilizer. or hydride in devices. loys, n.o.s. amalgams, liquid. amalgams, solid. Aluminum powder, coat- Aluminum powder, Aluminum silicon pow- Aluminum smelting by- Aluminum hydride ...... Aluminum phosphide ..... 4.3 UN2463 .... I .... 4.3 4.3 ..... UN1397 .... A19, N40 ...... I .... None ...... 4.3, 211 ...... 242 ...... Forbidden 15 kg ...... E ...... 13, 148 N-Aminoethyl piperazine Aminopyridines Aluminum ferrosilicon Ammonium nitrate Aluminum carbide ...... 4.3 UN1394 .... II ... 4.3 ..... A20, IB7, IP2, N41, T3, Aluminum borohydride Alkaline earth metal al- Alkaline earth metal Alkaline earth metal Allyl chloroformate ...... 6.1 UN1722 .... I .... 6.1, 3,

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craft only Cargo air- (9) 175.75) Quantity limitations (see §§ 173.27 and aircraft/rail (8) (§ 173.***) Packaging Exceptions Non-bulk Bulk Passenger 154 ...... 212 ...... 240 ...... None 15 kg ...... 202 50 kg ...... 243 A ...... Forbidden 40 30 L ...... D ...... 40, 44, 89, 100, 141 Special provisions (§ 172.102) TP33. N36, T7, TP2. IB1, T7, TP2, TP13 ...... 154 ...... 202 ...... 243 ...... 1 L ...... 30 L ...... B ...... 12, 22, 25, 52, 100 3. Label codes PG III .. 8, 6.1 IB3, T4, TP1, TP13 ...... 154 ...... 203 ...... 241 ...... 5 L ...... 60 L ...... B ...... 12, 25, 40, 52 tion Nos. Identifica- 8 UN2683 .... II ...6.1, 8, 8 UN2818 .... II ... 8, 6.1 IB2, T7, TP2, TP13 ...... 154 ...... 202 ...... 243 ...... 1 L ...... 30 L ...... B ...... 12, 25, 40, 52 8 UN1729 .... II ... 8 ...... 8 UN1732 B2, B4, IB8, IP2, IP4, T3, .... II ... 8, 6.1 A3, A6, A7, A10, IB2, N3, ******* ******* ******* ******* ******* ******* ******* ******* ******* 5.1 UN3375 .... II ... 5.1 ..... 147, 163, IB2, IP16 ...... None ...... 231 ...... 251 ...... Forbidden Forbidden D ...... 25, 59, 60, 66, 124 6.1 UN2017 ...... 6.1, 8 ...... None ...... 2126.1 UN2016 ...... None ...... 6.1 Forbidden ...... 50 kg ...... None ...... E ...... 212 ...... 13, 40 None ...... Forbiddenkg. 100 5.1 UN2426 ...... 5.1 .....T7...... B5, None ...... None ...... 243 ...... Forbidden Forbidden D ...... 59, 60, 124 1.1D UN0222 .... II ... 1.1D ... 370 ...... None ...... 62 ...... None ...... Forbidden Forbidden 04 Hazard division class or without Ammonium ni- materials Hazardous or shipping names tion. ducing, non-explosive, without burster or ex- pelling charge, non- fuzed . explosive, burster or expelling charge, non-fuzed . sion solution. trate suspension or Ammonium nitrate gel, intermediate for blast- ing explosives . more than 0.2 percent combustible sub- stances, including any organic substance cal- culated as carbon, to the exclusion of any other added sub- stance . (hot concentrated so- lution) . descriptions and proper Ammonium sulfide solu- Ammunition, tear-pro- Ammunition, toxic, non- Anisoyl chloride ...... Antimony pentafluoride .. Arsenic bromide ...... 6.1 UN1555 .... II ... 6.1 ..... IB8, IP2, IP4, T3, TP33 .... 153 ...... 212 ...... 242 ...... 25 kg ...... 100 kg ...... A ...... 12, 25, 40 Ammonium nitrate emul- Ammonium polysulfide, Ammonium nitrate, with Ammonium nitrate, liquid (1) (2) (6) (5) (3) (7) (4) (10A) (9A) (9B) (8C) (8A) (8B) (10B) bols Sym-

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mit ..... A ...... 13, 148 limit ..... A ...... None ...... 226 ...... None ...... 249 ...... 227 ...... Forbidden 249 ...... Forbidden Forbidden D ...... Forbidden 12, 25, 40, 66, 74, D ...... 12, 25, 40, 66, 74, None ...... 226 ...... 249 ...... Forbidden Forbidden D ...... 12, 25, 40, 66, 74, None ...... 227 ...... 244 ...... Forbidden Forbidden C ...... 12, 25 T22, TP2, TP10, TP13. T22, TP2, TP10, TP13. T22, TP2, TP10, TP13. T20, TP2, TP13, TP38, TP45. A19, T10, TP2, TP7, TP13 None ...... 201 ...... 243 ...... Forbidden 1 L ...... D ...... 21, 25, 28, 40, 49, IB8, IP2, IP4, T3, TP33 .... 153 ...... 212 ...... 242 ...... 15 kg ...... 50 kg ...... A ...... 13, 147, 148 A9, IB6, IP2, T3, TP33 ..... 152 ...... 212 ...... 242 ...... 5 kg ...... 25 kg ...... C ...... 13, 52, 66, 75, 148 162, A2 ...... None ...... 182 ...... None ...... Forbidden 0.5 kg ...... D ...... 28, 36 3. 4.1. 6.1. 6.1. 8 UN2692 .... I .... 8, 6.1 2, B9, B14, B32, N34, 8 UN2795 ...... 8 ...... A51 ...... 159 ...... 159 ...... 159 ...... 30 kg ...... No limit ..... A ...... 52, 146 8 UN2851 .... II ... 8 ...... IB2, T7, TP2 ...... 154 ...... 212 ...... 240 ...... 15 kg ...... 50 kg ...... B ...... 12, 25, 40 8 UN1744 .... I8 .... UN1744 .... 8, 6.1 I .... 1, B9, B85, N34, N43, 8, 6.1 2, B9, B85, N34, N43, 8 UN1744 .... I .... 8, 6.1 1, B9, B85, N34, N43, 8 UN2800 ...... 8 ...... 159a ...... 159 ...... 159 ...... limit..... No No 8 UN2794 ...... 8 ...... A51 ...... 159 ...... 159 ...... 159 ...... 30 kg ...... No limi 8 UN3028 ...... 8 ...... 237 ...... None ...... 213 ...... None ...... 25 kg ...... 230 kg .. ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* 4.3 UN2965 .... I ....8, 4.3, 4.2 UN1854 .... I .... 4.2 .....4.1 UN1571 .... T21, TP7, TP33 ...... I .... None ...... 4.1, 181 ...... None ...... Forbidden Forbidden D ...... 13, 148 4.3 UN3292 ...... 4.3 ...... 189 ...... 189 ...... 189 ...... Forbiddenli No 2.2 UN3164 ...... 2.2 ..... 371 ...... 306 ...... 302, 304 ... None ...... No limit ..... No limit . hydraulic or electric storage . electric storage . electric storage . drate. etherate. able, dium. acid, alkali, potassium hydroxide solid, electric storage. pyrophoric. with not less than 50 percent water, by mass . pneumatic containing non-flam- mable gas . Boron trifluoride dihy- Boron trifluoride dimethyl Bromoform ...... 6.1 UN2515 .... III .. 6.1 ..... IB3, T4, TP1 ...... 153 ...... 203 ...... 241 ...... 60 L ...... 220 L ...... A ...... 12, 25, 40 Batteries, wet, non-spill- Batteries, containing so- Batteries, wet, filled with Batteries, wet, filled with Beryllium, powder ...... 6.1 UN1567 .... II ... 6.1, Barium peroxide ...... 5.1 UN1449 .... II ... 5.1, Batteries, dry, containing Barium ...... Barium alloys, 4.3 Barium azide, wetted UN1400 .... II ... 4.3 ..... A19, IB7, IP2, T3, TP33 ... 151 ...... 212 ...... 241 ...... 15 kg ...... 50 kg ...... E ...... 13, 52, 148 Articles, pressurized + Boron tribromide ...... + ...... Bromine solutions ...... + ...... Bromine solutions ...... + ...... Bromine ......

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craft only Cargo air- (9) 175.75) Quantity limitations (see §§ 173.27 and aircraft/rail ...... Forbidden Forbidden D ...... 40 (8) (§ 173.***) Packaging Exceptions Non-bulk Bulk Passenger 151 ...... 213 ...... 241 ...... 25 kg ...... 100 kg ...... B ...... 13, 52, 85, 103, 148 151 ...... 213 ...... 241 ...... 25 kg ...... 100 kg ...... A ...... 151 13, 52, 148 ...... 213 ...... 241 ...... 25 kg ...... 100 kg ...... A ...... 13, 52, 85, 103, 148 None ...... 211 ...... 242151 ...... Forbidden 212 ...... 15 kg 241 ...... B 15 kg ...... 13, 52, 148 50 kg ...... B ...... 13, 52, 148 Special provisions (§ 172.102) TP33. TP33. TP33. IP1, N34, T9, TP7, TP33. IP2, N34, T3, TP33. A8, A19, N40 ...... None ...... 211 ...... 242 ...... Forbidden 15 kg ...... E ...... 13, 40, 52, 85, 6.1. Label codes PG III .. 4.3 ..... A1, A19, IB8, IP4, T1, II ... 4.3 ..... A1, A8, B55, B59, IB7, tion Nos. Identifica- 3 UN2347 .... II ... 3 ...... A3, A6, IB2, T4, TP1 ...... 150 ...... 202 ...... 242 ...... 5 L ...... 60 L ...... D ...... 52, 95, 102 8 UN2820 .... III .. 8 ...... IB3, T4, TP1 ...... 154 ...... 203 ...... 241 ...... 5 L ...... 60 L ...... A ...... 12, 25 ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* 4.3 UN1403 .... III .. 4.3 ..... A1, A19, IB8, IP4, T1, 6.1 UN1694 .... I .... 6.1 ..... T14, TP2, TP13 ...... None ...... 201 ...... 243 ...... Forbidden 30 L ...... D ...... 12, 25, 40, 52 4.3 UN2844 .... III .. 4.3 ..... A1, A19, IB8, IP4, T1, 4.2 UN1855 .... I .... 4.2 ...... None ...... 187 ...... None ...... Forbidden Forbidde 4.1 UN2956 .... III .. 4.1 ..... 159 ...... None ...... 223 ...... None ...... Forbidden Forbidden D ...... 12, 25, 40, 127 6.1 UN3449 .... I .... 6.1 ..... T6, TP33 ...... None ...... 211 ...... 242 ...... 5 kg ...... 50 kg ...... D ...... 12, 25, 40, 52 Hazard division class or Musk xy- or materials Hazardous shipping names icon. Calcium alloys, pyrophoric. m-xylene more than 0.1 percent of calcium carbide . lene. liquid. solid. descriptions and proper Calcium hydride ...... Calcium manganese sil- 4.3 UN1404 .... I ....Calcium peroxide ...... 4.3Calcium phosphide ...... A19, N40 ...... Calcium, pyrophoric or None ...... 5.1 211 UN1457 ...... 4.3 .... 242 UN1360 II ...... Forbidden I 5.1 ....Calcium silicide ...... 4.3, 15 kg IB6, IP2, T3, TP33 ...... 152 E ...... 212 13, 52, 148 ...... 4.3 UN1405 242 ...... II 5 kg ...... 4.3 25 kg ...... A19, IB7, IP2, T3, TP33 C ...... 151 13, 52, 66, 75, 148 ...... 212 ...... 241 ...... 15 kg ...... 50 kg ...... B ...... 13, 52, 85, 103, 148 5-tert-Butyl-2,4,6-trinitro- Calcium cyanamide with Butyl mercaptan ...... Butyric acid ...... Calcium ...... Calcium carbide ...... 4.3 UN1401 .... II ... 4.3 4.3 UN1402 ...... IB7, IP2, T3, TP33 I ...... 151 4.3 ...... 212 A1, A8, B55, B59, IB4, ...... 241 ...... 15 kg ...... 50kg ...... E ...... 13, 52, 148 Bromobenzyl cyanides, Bromobenzyl cyanides, tert-Butyl hypochlorite .... 4.2 UN3255 .... I .... 4.2, 8 ...... None ...... 211 ...... 243 .. (1) (2) (6) (5) (3) (7) (4) (10A) (9A) (9B) (8C) (8A) (8B) (10B) bols Sym-

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None ...... 227 ...... 244 ...... None Forbidden ...... 202 ...... ForbiddenNone ...... 243 ...... 212 A ...... Forbidden None 12, 25, 40, 52 ...... 60 L Forbidden ...... D ...... 100 kg ...... 12, 25, 40 D ...... 12, 25, 40 None ...... 211 ...... 242 ...... Forbidden 15 kg ...... D ...... 13, 52, 148 T7, TP2, TP13. N32, N33, N34, T3, TP2, TP13, TP33. TP2, TP13, TP38, TP45. N40. A2, T14, TP2, TP7, TP13 None ...... 201 ...... 244 ...... Forbidden 1 L ...... D ...... 13, 21, 28, 40, 49, 8. II ...III 8, 6.1 .. 8, 6.1 IB8, IP2, IP4, T3, TP33 .... IB8, IP3, T1, TP33II ...... 154 ...... 154 8, 4.3 ...... 212 ...... 213 IB6, IP2, T3, TP33 ...... 240 ...... 240 None ...... 15 kg ...... 212 25 kg ...... 50 kg ...... 242 100 kg ...... B ...... 15 kg B ...... 40 ...... 40 50 kg ...... D ...... 13, 148 II ... 8, 4.3 A6, A7 ...... None ...... 202 ...... 243 ...... 1 L ...... 5 L ...... E ...... 13, 148 III .. 6.1 ..... IB3, T7, TP2 ...... 153 ...... 203 ...... 241 ...... 60 L ...... 220 L ...... A ...... 12, 25 III .. 4.2 ..... IB8, IP3, T1, TP33 ...... None ...... 213 ...... 241 ...... Forbidden Forbidden A ...... 12, 25 8 UN3096 .... I .... 8, 4.3 IB4, IP1, T6, TP33 ...... None ...... 211 ...... 243 ...... 1 kg ...... 25 kg ...... D ...... 13, 148 8 UN2923 .... I .... 8, 6.1 IB7, T6, TP33 ...... None ...... 211 ...... 242 ...... 1 kg ...... 25 kg ...... B ... 8 UN3094 .... I .... 8, 4.3 A6, A7 ...... None ...... 201 ...... 243 ...... Forbidden 1 L ...... E ...... 13, 148 8 UN34728 .... UN2823 III ...... III 8 ...... 8 IB8, T1 ...... IB8, IP3, T1, TP33 ...... 154 ...... 154 ...... 203 ...... 213 ...... 241 ...... 240 ...... 5 L ...... 25 kg 60 L ...... 100 kg A ...... A 12, 25 ...... 12, 25 9 UN2969 .... II ... None .. IB8, IP2, IP4, T3, TP33 .... 155 ...... 204 ...... 240 ...... No limit ..... No limit ..... E ...... 34, 40, 44, 122 ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* 6.1 UN3409 .... II ... 6.1 ..... IB2, T7, TP2 ...... 153 ...... 202 ...... 243 ...... 5 L ...... 60 L ...... A ...... 44, 89, 100, 141 6.1 UN2745 .... II ... 6.1, 8 IB2, T7, TP2, TP13 ...... 153 ...... 2024.3 UN2988 ...... 243 I ...... 3, 4.3, 1 L ...... 30 L ...... A ...... 12, 13, 25, 40 4.1 UN1333 ....4.3 II ... UN3078 .... 4.1 ..... II ... IB8, IP2, IP4, N34 ...... 4.3 ..... None ...... A1, IB7, IP2, T3, TP33 ..... 212 ...... 151 ...... 240 ...... 212 ...... 15 kg ...... 242 ...... 50 kg ...... 15 kg ...... A ...... 50 kg ...... 13, 74, 91, 147, 148 E ...... 13, 52, 148 4.2 UN1361 .... II ... 4.2 ..... IB6, T3, TP33 ...... None ...... 212 ...... 242 ...... Forbidden Forbidden A ...... 12, 25 6.1 UN1697 .... II ... 6.1 ..... A3, IB8, IP2, IP4, N12, 6.1 UN3416 .... II ... 6.1 ..... A3, IB2, N12, N32, N33, Castor Caesium ...... 4.3 UN1407 .... I .... 4.3 ..... A7, A19, IB4, IP1, N34, Castor pom- Castor flake. (CN) . animal or vege- slabs, ingots, or turnings or gritty or (CN) . or or reactive, n.o.s. n.o.s. reactive, n.o.s. meal uid. liquid, chloroformate. active, flammable, cor- rosive, n.o.s. ace rods . powder . table origin . solid, Crotonic acid, liquid ...... Crotonic acid, solid ...... Chloroacetophenone, Chlorocresols solution ...Chlorocresols, solid ...... 6.1 Chloromethyl UN2669 .... 6.1 II ... UN3437 .... 6.1 ..... II ... IB2, T7, TP2 ...... 6.1 ..... 153 ...... IB8, IP2, IP4, T3, TP33 .... 202 153 ...... Chlorosilanes, water-re- ...... 243 212 ...... 5 L ...... 242 ...... 60 L ...... 25 kg ...... A ...... 100 kg ...... 12, 25 A ...... 12, 25 Cerium, Cerium, Cesium Chloroacetophenone, G ...... Corrosive solids, water- G ...... Corrosive solids, toxic, G ...... Corrosive liquids, water- A W ... Castor beans or + ...... Chloronitrobenzenes, liq- + ...... Chloroacetonitrile ...... 6.1 UN2668 .... I .... 6.1, 3 2, B9, B14, B32, IB9, T20, I ...... I Carbon, activated ...... Carbon, 4.2 UN1362 .... III .. 4.2 ..... IB8, IP3, T1, TP33 ...... None ...... 213 ...... 241 ...... 0.5 kg ...... 0.5 kg ...... A ...... 12, 25

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craft only Cargo air- (9) 175.75) Quantity limitations (see §§ 173.27 and aircraft/rail (8) (§ 173.***) Packaging Exceptions Non-bulk Bulk Passenger 151 ...... 212 ...... 240 ...... 15 kg ...... 50 kg ...... A ...... 13, 147, 148 151 ...... 213 ...... 240 ...... 25 kg ...... 100 kg ...... A ...... 13, 40, 52, 53, 85, None ...... 212 ...... 241 ...... Forbidden Forbidden B ...... 18, 25, 128 Special provisions (§ 172.102) TP33. T1, TP33. IP4, T3, TP33. A1, A19, B6, IB8, IP4, IP7, 6.1. Label codes PG tion Nos. Identifica- 8 UN2751 .... II ... 8 ...... B2, IB2, T7, TP2 ...... None ...... 212 ...... 240 ...... 15 kg ...... 50 kg ...... D ...... 12, 25, 40 9 UN2216 .... III .. None .. 155, IB8, IP3, T1, TP33 ... 155 ...... 218 ...... 218 ...... Forbidden Forbidden B ...... 25, 88, 122, 128 ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* 6.1 UN2650 .... II ... 6.1 ..... IB2, T7, TP2 ...... 153 ...... 202 ...... 243 ...... 5 L ...... 60 L ...... A ...... 12, 25, 40, 74 4.3 UN1408 .... III .. 4.3, 4.1 UN2852 .... I .... 4.1 ..... 162, A2, N41, N84 ...... None6.1 ...... UN2748 .... 211 ...... II ... None ...... 6.1, 8 Forbidden IB2, T7, TP2, TP13 ...... 0.5 kg ...... 153 ...... D ...... 202 28, 36 ...... 243 ...... 1 L ...... 30 L ...... A ...... 12, 13, 25, 40 4.2 UN2793 .... III .. 4.2 ..... A1, A19, IB8, IP3, IP7 ...... None ...... 213 ...... 241 ...... 25 kg ...... 4.2 UN1374 100 kg ...... II A ...... 4.2 13, 148 ..... 155, A1, A19, IB8, IP2, Hazard division class or Fer- Ferrous with 30 per- or materials Hazardous Fish scrap, shipping names Ferrous metal shavings cent or more but less than 90 percent silicon . nitroethane. chloride. with not less than 10 percent water, by mass . chloroformate. Fish scrap, stabilized. or unstabilized. metal turnings or rous metal cuttings in a form liable to self- heating . descriptions and proper Ferrous metal borings or Cyanuric chloride ...... Cyclohexyl mercaptan ... 8 UN2670 .... II ... 3 8 UN3054 ...... IB8, IP2, IP4, T3, TP33 III ...... None 3 ...... 212 B1, IB3, T2, TP1 ...... 240 150 ...... 15 kg 203 ...... 50 kg 242 ...... A 60 L ...... 12, 25, 40 220 L ...... A ...... 40, 95, 102 Ferrosilicon 1,1-Dichloro-1- 1,3-Dichloroacetone ...... 1,3-Dichloropropanol-2 .. 6.1 UN2649 ....Diethylthiophosphoryl II ... 6.1 6.1 UN2750 ...... IB8, IP2, IP4, T3, TP33 II ...... Dipicryl sulfide, wetted 153 6.1 ...... 212 IB2, T7, TP2 ...... 242 153 ...... 25 kg 202 ...... 2-Ethylhexyl 100 kg 243 ...... B 5 L ...... 12, 25, 40 60 L ...... Ferrocerium ...... A ...... 12, 25, 40 4.1 UN1323 .... II ... 4.1 ..... 59, A19, IB8, IP2, IP4, T3, Fish meal, unstablized Cyanogen bromide ...... 6.1 UN1889 .... I .... 6.1, 8 A6, A8, T6, TP33 ...... None ...... 211 ...... 242 ...... 1 kg ...... 15 kg ...... D ...... 40, 52 (1) (2) (6) (5) (3) (7) (4) (10A) (9A) (9B) (8C) (8A) (8B) (10B) bols Sym- A W ... Fish meal, stabilized or

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None ...... 227 ...... 244 ...... Forbidden Forbidden B ...... 21, 40, 100 152 ...... 212 ...... 240 ...... 5 kg ...... 25 kg ...... D ...... 4, 25, 52, 56, 58, 69, None ...... 201 ...... 243154 ...... 0.5 L 202 ...... 2.5 L 243 ...... D ...... 1 L ...... 12, 25, 40 30 L ...... D ...... 12, 25, 40 None ...... 227 ...... 244 ...... Forbidden Forbidden D ...... 25, 40 None ...... 212 ...... 241 ...... 15 kg ...... 50 kg ...... D ...... 13, 148 T20, TP2, TP13, TP38, TP44. TP33. N34, T10, TP2, TP13. N34, T8, TP2. T20, TP2, TP13, TP38, TP45. T3, TP33. 2, B9, B14, B32, B77, 8. III .. 4.2 ..... 155, IB8, IP3, T1, TP33 ... None ...... 213 ...... 242 ...... 25 kg ...... 100 kg ...... A ...... 128 II ... 4.2 ..... A19, A20, IB6, IP2, N34, III .. 4.2 ..... IB8, IP3, T1, TP33 ...... None ...... 213 ...... 241 ...... 25 kg ...... 100 kg ...... D ...... 13, 148 9 UN3072 ...... None ..9 134 UN2990 ...... None ...... 219 None ...... None 338 ...... No limit None ...... 219 No limit ...... None ...... No limit ..... No limit ... 8 UN1790 .... I .... 8, 6.1 A6, A7, B4, B15, B23, N5, 8 UN1790 .... II ... 8, 6.1 A6, A7, B15, IB2, N5, 8 UN2280 .... III .. 8 ...... IB8, IP3, T1, TP33 ...... 154 ...... 213 ...... 240 ...... 25 kg ...... 100 kg ...... A ...... 12, 25 ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* 4.2 UN1376 .... III .. 4.2 ..... B18, IB8, IP3, T1, TP33 ... None ...... 213 ...... 240 ...... Forbidden Forbidden E ...... 13, 148 6.1 UN2646 .... I .... 6.1 ..... 2, B9, B14, B32, B77, 6.1 UN2407 .... I .... 6.1, 3, 5.1 UN3212 .... II ... 5.1 ..... 349, A9, IB8, IP2, IP4, T3, 2.1 UN1966 ...... 2.1 ..... T75, TP5 ...... None ...... 316 ...... 318, 319 ... Forbidden Forbidden D ...... 40, 57 4.3 UN3476 ...... 4.3 ..... 328 ...... 230 ...... 230 ...... 230 ...... 5 kg ...... 50 kg ...... A ...... 13, 148 Iron containing Fuel cell car- (cryogenic liq- or not self inflating con- taining dangerous goods as equipment . self inflating. sponge, spent ob- tained from coal gas purification . n.o.s. liquid uid) . more than 60 percent strength . not more than 60 per- cent strength . solid. Fuel cell cartridges contained in equip- ment ene. tridges packed with equipment, water-reactive sub- stances . Life-saving appliances, Life-saving appliances, Krill meal ...... 4.2 UN3497 .... II ... 4.2 ..... 155, IB6, IP2, T3, TP33 ... None ...... 212 ...... 242 ...... 15 kg ...... 50 kg ...... B ...... 25, 88, 128 Iron oxide, spent, or Isopropyl chloroformate Hydrogen, refrigerated Hydrofluoric acid, with Hydrofluoric acid, with Hexamethylenediamine, Fuel cell cartridges or Hexachlorocyclopentadi- Hafnium powder, dry ..... 4.2 UN2545 .... I .... 4.2 ...... None ...... 211 ...... 242 ...... Forbidden Forbidden D ...... 13, 148 G ...... Hypochlorites, inorganic,

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craft only Cargo air- (9) 175.75) Quantity limitations (see §§ 173.27 and aircraft/rail (8) (§ 173.***) Packaging Exceptions Non-bulk Bulk Passenger None ...... 212 ...... 241 ...... 15 kg ...... 50 kg ...... C ...... 13, 148 151 ...... 212 ...... 241 ...... 15 kg ...... 50 kg ...... A ...... 13, 85, 103, 148 152 ...... 212 ...... None ...... 5 kg ...... 25 kg ...... C ...... 13, 52, 66, 75, 148 151 ...... 212 ...... 241 ...... 15 kg ...... 50 kg ...... E ...... 13, 52, 148 Special provisions (§ 172.102) TP33. TP33. TP33. TP33. A19, N34, N40 ...... None ...... 211 ...... 242 ...... Forbidden 15 kg ...... E ...... 13, 40, 52, 85, 1 6.1. Label codes PG tion Nos. Identifica- 9 UN3091 ...... 9 ...... A54 ...... 185 ...... 185 ...... 185 ...... 5 kg ...... 35 kg . 9 UN3481 ...... 9 ...... 9 A54 UN3481 ...... 185 ...... 9 185 ...... A54 185 ...... 185 5 kg ...... 185 35 kg ...... 185 ...... 5 kg ...... 35 kg . 9 UN3091 ...... 9 ...... A54, A101 ...... 185 ...... 185 ...... 185 ...... 5 kg ...... 35 kg ..... 9 UN3090 ...... 9 ...... 185 ...... 185 ...... 185 ...... Forbiddenkg. 35 9 UN3480 ...... 9 ...... A51 ...... 185 ...... 185 ...... 185 ...... 5 kg ...... 35 kg . ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* 4.3 UN1419 .... I .... 4.3, 4.3 UN2805 .... II ... 4.3 ..... A8, A19, A20, IB4, T3, 4.3 UN1411 .... I .... 4.3, 3 A2, A3, A11, N34 ...... None ...... 201 ...... 244 ...... Forbidden 1 L ...... D ...... 13, 40, 148 4.3 UN1410 .... I .... 4.3 ..... A19 ...... None ...... 211 ...... 242 ...... Forbiddenkg...... 15 Hazard division class or including lithium including lithium materials including lithium including lithium Hazardous shipping names phosphide. solid. packed with equip- ment alloy batteries . contained in equip- ment alloy batteries . contained in equip- ment ion polymer batteries . packed with equip- ment ion polymer batteries . including lithium alloy batteries . dride. dride, ethereal. cluding lithium ion polymer batteries . descriptions and proper Magnesium diamide ...... 4.2 UN2004 .... II ... 4.2 ..... A8, A19, A20, IB6, T3, Magnesium aluminum Lithium silicon ...... 4.3 UN1417 .... II ... 4.3 ..... A19, A20, IB7, IP2, T3, Lithium peroxide ...... 5.1 UN1472 .... II ... 5.1 ..... A9, IB6, IP2, N34, T3, Lithium hydride ...... Lithium hydride, fused 4.3 UN1414 .... I .... 4.3 ..... A19, N40 ...... None ...... 211 ...... 242 ...... Forbidden 15 kg ...... E ...... 13, 52, 148 Lithium metal batteries Lithium metal batteries Lithium ion batteries Lithium ion batteries Lithium metal batteries Lithium ...... Lithium aluminum hy- 4.3 Lithium aluminum hy- UN1415 .... I .... 4.3 .....Lithium borohydride A7, A19, IB4, IP1, N45 ...... Lithium ferrosilicon ...... None ...... Lithium ion batteries in- 211 ...... 244 4.3 ...... UN1413 .... 4.3 Forbidden UN2830 I ...... 15 kg II 4.3 ...... E 4.3 A19, N40 ...... 13, 52, 148 A19, IB7, IP2, T3, TP33 None ...... 151 211 ...... 212 242 ...... 241 Forbidden ...... 15 kg 15 kg ...... 50 kg E ...... E 13, 52, 148 ...... 13, 40, 85, 103, 148 (1) (2) (6) (5) (3) (7) (4) (10A) (9A) (9B) (8C) (8A) (8B) (10B) bols Sym-

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151 ...... 213 ...... 240 ...... 25 kg ...... 100 kg ...... A ...... 13, 52, 148 153 ...... 202 ...... 243 ...... 5 L ...... 60 L ...... C ...... 40, 102, 121 151 ...... 212 ...... 241 ...... 15 kg ...... 50 kg ...... B ...... 13, 85, 103, 148 None ...... 213 ...... 242 ...... 25 kg ...... 100 kg ...... A ...... 13, 34, 148 150 ...... 203 ...... 241 ...... 60 L ...... 220 L ...... B ...... 95, 102 None ...... 212 ...... None ...... 241 ...... 213 ...... 15 kg ...... 241 ...... 50 kg ...... 25 kg ...... A ...... 100 kg ...... 13, 39, 52, 148 A ...... 13, 39, 52, 148 151 ...... 213 ...... 242 ...... 25 kg ...... 100 kg ...... B ...... 13, 34, 52, 148 150 ...... 203 ...... 242 ...... 5 L ...... 220 L ...... A ...... 40, 95, 102 TP33. TP27. TP33. TP29. TP33. TP33. TP33. TP33. TP28. A19, N40 ...... None ...... 211 ...... None ...... Forbidden 15 kg ...... E ...... 13, 40, 52, 85, 148 57, A1, A19, IB6, T1, A19, B56 ...... None ...... 211A19, B56, IB5, IP2, T3, ...... 244 ...... A19, B56, IB8, IP4, T1, Forbidden 15 kg ...... A ...... 13, 39, 52, 1 6.1. 4.3. 4.2. 4.2. 4.2. II ...III 3 ...... 3 IB2, T7, TP1, TP8, TP28 ...... B1, B52, IB3, T4, TP1, 150 ...... 202 ...... 242 ...... 5 L ...... 60 L ...... B ...... 95, 102 II ... 4.3, III .. 4.3, III .. 3, 6.1 A6, B1, IB3, T7, TP1, UN3071 .... II ... 6.1, 3 A6, IB2, T11, TP2, TP13, 3 UN1228 .... II ... 3, 6.1 IB2, T11, TP2, TP27 ...... None ...... 202 ...... 243 ...... Forbidden 60 L ...... B ...... 40, 95, 102 8 UN2215 .... III .. 8 ...... TP3...... T4, None ...... 213 ...... 240 ...... Forbidden Forbidden A ...... 95, 102 3 UN3336 .... I .... 3 ...... T11, TP2 ...... 150 ...... 201 ...... 243 ...... 1 L ...... 30 L ...... E ...... 95, 102 ******* ******* ******* ******* ******* ******* ******* ******* 4.3 UN2950 .... III .. 4.3 ..... A1, A19, IB8, IP4, T1, 6.1 4.2 UN2210 .... III .. 4.2, 4.3 UN1418 .... I .... 4.3, 4.1 UN1869 .... III .. 4.1 ..... A1, IB8, IP3, T1, TP33 ..... 151 ...... 213 ...... 240 ...... 25 kg ...... 100 kg ...... A ...... 13, 39, 52, 53, 74, 4.3 UN2968 .... III .. 4.3 ..... 54, A1, A19, IB8, IP4, T1, Magne- or against self- with not less particle size Maneb prep- or ten. coated, not less than 149 mi- crons . arations than 60 percent maneb . Magnesium alloys, powder. sium alloys with more than 50 percent mag- nesium in pellets, turnings or ribbons . mable, n.o.s. or Mercaptan mixture, liquid, flammable, n.o.s. Maneb preparations, stabilized heating . mable, toxic, n.o.s. or Mercaptan mixtures, liquid, flammable, toxic, n.o.s. flammable, n.o.s. or Mercaptan mixtures, liquid, toxic, flam- mable, n.o.s., flash point not less than 23 degrees C . Maleic anhydride ...... Maleic anhydride, mol- Malononitrile ...... Maneb 8 UN2215 .... III 6.1 .. UN2647 .... 8 ...... II ... IB8, IP3, T1, TP33 ...... 6.1 154 ...... IB8, IP2, IP4, T3, TP33 .... 213 ...... 153 ...... 240 ...... 212 ...... 25 kg ...... 242 ...... 100 kg ...... 25 kg ...... A ...... 100 kg 95, 102 ...... A ...... 12, 25 Magnesium granules, Magnesium hydride ...... Magnesium 4.3 UN2010 .... I .... 4.3 ..... A19, N40 ...... None ...... 211 ...... 242 ...... Forbidden 15 kg ...... E ...... 13, 52, 148 Magnesium peroxide .....Magnesium phosphide ..Magnesium, powder or 5.1 UN1476 4.3 .... UN2011 II ...... I 5.1 ...... 4.3, IB6, IP2, T3, TP33 ...... 152 ...... 212 ...... 242 ...... 5 kg ...... 25 kg ...... C ...... 13, 52, 66, 75, 148 Magnesium silicide ...... 4.3 UN2624 .... II ... 4.3 ..... A19, A20, IB7, IP2, T3, Mercaptans, liquid, flam- Maneb stabilized or Mercaptans, liquid, flam- Mercaptans, liquid, toxic,

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craft only Cargo air- (9) 175.75) Quantity limitations (see §§ 173.27 and aircraft/rail (8) (§ 173.***) Packaging Exceptions Non-bulk Bulk Passenger None ...... 227 ...... 244 ...... Forbidden Forbidden D ...... None 12, 25, 40 ...... 226 ...... 244 ...... Forbidden Forbidden B ...... 21, 40, 100 151 ...... 212 ...... 242 ...... 15 kg ...... 50 kg ...... D ...... 13, 52, 148 Special provisions (§ 172.102) TP2, TP13, TP38, TP44. TP2, TP13, TP38, TP45. TP33. 1, B9, B14, B30, T22, A7, IB8, IP4, T1, TP33 ..... None ...... 213 ...... 242 ...... 25 kg ...... 100 kg ...... E ...... 13, 40, 148 A7, IB5, IP2, T3, TP33 ..... None ...... 212 ...... 242 ...... 15 kg ...... 50 kg ...... E ...... 13, 40, 148 A7 ...... None ...... 211 ...... 242 ...... Forbidden 15 kg ...... E ...... 13, 40, 1 8. 4.2. 4.2. 4.2. Label codes PG III .. 4.3, II ... 4.3, II ...III 4.2 ...... 4.2 IB6, IP2, N34, T3, TP33 ...... IB8, IP3, N34, T1, TP33 None ...... None 187 ...... II 187 ... 242 ...... 4.3 241 ..... Forbidden ...... A19, IB4, N34, N40, T3, 25 kg ...... 50 kg ...... 100 kg ...... C ...... C ...... III 13, 147, .. 13, 147, 148 4.2 ..... IB8, IP3, T1, TP33 ...... None ...... 213 ...... II ... 241 ...... III 4.3 ...... 25 kg 4.3 ...... A7, IB7, IP2, T3, TP33 ...... 100 kg A7, IB8, IP4, T1, TP33 ...... 151 ...... C 151 ...... 212 ...... 13, 148 213 242 ...... 241 15 kg ...... 25 kg 50 kg ...... 100 kg E ...... E 13, 40, 148 ...... 13, 40, 148 III .. 4.1 ..... IB8, IP2, IP4, T1, TP33 .... 151 ...... 213 ...... 240 ...... 25 kg ...... 100 kg ...... B ...... 13, 74, 147, 148 tion Nos. Identifica- 8 UN3506 ...... 8, 6.1 A191 ...... 164 ...... None ...... None ...... No limit ..... No limit ..... B ...... 40, 97 ******* ******* ******* ******* ******* ******* ******* ******* ******* 5.2 UN3101 .... II ...5.2 UN31111 .... 5.2, II 53 ...... 1 5.2, 152 ...... 53 ...... 225 ...... None ...... None ...... 225 ...... Forbidden None ...... Forbidden Forbidden D Forbidden .. D ... 4.3 UN1928 .... I .... 4.3, 3 ...... None ...... 201 ...... 243 ...... Forbidden 1 L ...... D ...... 13, 148 4.3 UN3209 .... I .... 4.3, 5.2 UN3102 .... II ...1 5.2, 53 ...... 152 ...... 225 ...... None ...... Forbidden Forbidden D .. 6.1 UN1251 .... I ....3, 6.1, 4.3 UN3208 .... I .... 4.3 ..... A7, IB4 ...... None ...... 211 ...... 242 ...... Forbidden 15 kg ...... E ...... 13, 40, 148 4.3 UN1409 .... I .... 4.3 ..... A19, N34, N40 ...... None4.2 ...... UN3189 .... 211 ...... II ... 242 ...... 4.2 ..... Forbidden IB6, IP2, T3, TP33 ...... 15 kg None ...... D 212 ...... 13, 52, 148 241 ...... 15 kg ...... 50 kg ...... C ...... 13, 148 4.1 UN3089 .... II ... 4.1 ..... IB8, IP2, IP4, T3, TP33 .... 151 ...... 212 ...... 240 ...... 15 kg ...... 50 kg ...... B ...... 13, 74, 147, 148 Hazard division class or materials Hazardous shipping names liquid. liquid, temperature controlled. solid. mide, in ethyl ether. bilized. active, n.o.s. ing, n.o.s. water-reactive, self- heating, n.o.s. manufactured articles. water-reactive, n.o.s. mable, n.o.s. descriptions and proper Methyl magnesium bro- Methyl vinyl ketone, sta- Methyl iodide ...... 6.1 UN2644 .... I .... 6.1 ..... 2, B9, B14, B32, T20, Metal hydrides, water re- Metal powder, self-heat- Metal powders, flam- (1) (2) (6) (5) (3) (7) (4) (10A) (9A) (9B) (8C) (8A) (8B) (10B) bols Sym- G ...... Organic peroxide type B, G ...... Organic peroxide type B, G ...... Organic peroxide type B, G ...... Metal catalyst, dry ...... 4.2 UN2881 .... I .... 4.2 ..... N34, T21, TP7, TP33 ...... None ...... 187 ...... None ...... Forbidden Forbidden C ...... 13, 147, 148 G ...... Metallic substance, A W ... Mercury contained in G ...... Metallic substance,

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kg ...... D ...... 12, 25, 52, 53 kg ...... D ...... 12, 25, 52, 53 kg ...... D ...... 12, 25, 52, 53 0 L ...... D ...... 12, 25, 52, 53 0 L ...... D ...... 12, 25, 52, 53 None ...... 181 ...... 244 ...... None Forbidden ...... 201 Forbidden ...... 244None ...... D ...... Forbidden 202 13, 52, 78, 148 ...... None ...... 243 1 L ...... 203 ...... None 1 L E ...... 242 ...... 201 13, 40, 52, 148 5 L ...... 5 L ...... 244 ENone ...... 60 L ...... Forbidden 202 13, 40, 52, 148 ...... ENone ...... 243 1 L ...... 13, 40, 52, 148 203 ...... 1 L D ...... 242 ...... 13, 40, 52, 148 5 L ...... 5 L ...... D ...... 60 L ...... 13, 40, 52, 148 E ...... 13, 40, 52, 148 TP36, TP47. TP47. TP47. TP47. TP47. TP36, TP47. TP36, TP47. B11, T21, TP2, TP7, 4.3. II ... 4.3, 3III .. IB1, T7, TP2, TP7, TP36, 4.3, 3 IB2, T7, TP2, TP7, TP36, II ... 4.3, 3III .. IB1, IP2, T7, TP2, TP7, 4.3, 3 IB2, IP4, T7, TP2, TP7, ******* 5.2 UN3103 .... II ... 5.2 ...... 152 ...... 225 ...... None ...... L...... 5 1 5.2 UN3113 .... II ... 5.2 ...... None ...... 225 ...... None ...... Forbidden Forbidde 5.2 UN3105 .... II ...5.2 UN3115 .... 5.2 ..... II ...... 5.2 152 ...... 225 ...... None ...... None ...... 225L...... 5 None5.2 1 ...... UN3107 .... Forbidden5.2 UN3117 II ...... Forbidde 5.2 II ...... 5.2 A61 ...... 152 ...... None ...... 225 ...... 225 ...... None ...... None ...... 10 L ...... Forbidden 25 L ...... Forbidde D ...... 12, 25, 52, 53 5.2 UN3119 .... II ... 5.2 ..... IP5 ...... None ...... 225 ...... 225 ...... Forbidden Forbidden4.2 UN3394 D . .... I .... 4.2, 5.2 UN3110 .... II ... 5.2 ..... TP33 ...... 152 ...... 225 ...... 225 ...... 10 kg ...... 25 kg ...... D ...... 12, 25, 52, 53 4.3 UN3398 .... I .... 4.3 ..... T13, TP2, TP7, TP36, 4.3 UN3399 .... I .... 4.3, 3 T13, TP2, TP7, TP36, 5.2 UN3112 .... II ...1 5.2, 53 ...... None ...... 225 ...... None ...... Forbidden Forbidden D ...... 2, 25, 52, 53 5.2 UN3114 .... II ... 5.2 ...... None ...... 225 ...... None ...... Forbidden5.2 UN3116 .... Forbidde II ... 5.2 ...... None ...... 225 ...... None ...... Forbidden Forbidde 5.2 UN3104 .... II ... 5.2 ...... 152 ...... 225 ...... None ...... kg...... 5 5.2 UN3106 10 .... II ... 5.2 ...... 152 ...... 225 ...... None ...... kg...... 5 5.2 UN3108 10 .... II ...5.2 UN3118 .... 5.2 ..... II ...... 5.25.2 152 ..... UN3109 ...... 225 II ...... None ...... None 5.2 ...... 225kg...... 10 A61, IP5 None ...... 25 ...... 152 Forbidden ...... 225 Forbidde ...... 225 ...... 10 L ...... 25 L4.2 ...... UN3392 .... D ...... I .... 12, 25, 52, 53 4.2 ..... B11, T21, TP2, TP7, TP36 None ...... 181 ...... 244 ...... Forbidden Forbidden D ...... 13, 78, 148 5.2 UN3120 .... II ... 5.2 ..... TP33 ...... None ...... 225 ...... 225 ...... Forbidden Forbidden D ... stance, liquid, water- reactive. stance, liquid, water- reactive, flammable. solid, temperature controlled. C, liquid. C, liquid, temperature controlled. C, solid, temperature controlled. D, solid, temperature controlled. C, solid. D, liquid. D, liquid, temperature controlled. D, solid. liquid. liquid, temperature controlled. solid. solid, temperature controlled. liquid. stance, liquid, pyrophoric. liquid, temperature controlled. stance, liquid, pyrophoric, water-re- active. solid. solid, temperature controlled. G ...... Organometallic sub- G ...... Organometallic sub- G ...... Organic peroxide type B, G ...... Organic peroxide type G ...... Organic peroxide type G ...... Organic peroxide type G ...... Organic peroxide type G ...... Organic peroxide type G ...... Organic peroxide type G ...... Organic peroxide type G ...... Organic peroxide type G ...... Organic peroxide type E, G ...... Organic peroxide type E, G ...... Organic peroxide type E, G ...... Organic peroxide type E, G ...... Organic peroxide type F, G ...... Organometallic sub- G ...... Organic peroxide type F, G ...... Organometallic sub- G ...... Organic peroxide type F, G ...... Organic peroxide type F,

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craft only Cargo air- (9) 175.75) Quantity limitations (see §§ 173.27 and aircraft/rail (8) (§ 173.***) Packaging Exceptions Non-bulk Bulk Passenger None ...... 211 ...... 242None ...... Forbidden 212 ...... None ...... 15 kg 242 ...... 213 ...... E 15 kg ...... 241 ...... 13, 40, 52, 148 50 kg ...... 25 kg ...... E ...... 100 kg ...... 13, 40, 52, 148 E ...... 13, 40, 52, 148 None ...... 211 ...... 242151 ...... Forbidden 212 ...... 151 ...... 15 kg 242 ...... 213 ...... E 15 kg ...... 241 ...... 13, 40, 52, 148 50 kg ...... 25 kg ...... E ...... 100 kg ...... 13, 40, 52, 148 E ...... 13, 40, 52, 148 None ...... 211 ...... 242151 ...... Forbidden 212 ...... 151 ...... 15 kg 242 ...... 213 ...... E 15 kg ...... 241 ...... 13, 40, 52, 148 50 kg ...... 25 kg ...... E ...... 100 kg ...... 13, 40, 52, 148 E ...... 13, 40, 52, 148 None ...... 187 ...... 244 ...... Forbidden Forbidden D ...... 13, 52, 148 Special provisions (§ 172.102) TP47. TP47. TP36, TP47. TP47. TP47. TP36, TP47. TP36, TP47. TP47. TP47. TP36, TP47. 62 ...... None ...... 214 ...... 214 ...... Forbidden Forbidden ...... 13, 147, 62, IB2 ...... 152 ...... 203 ...... 242 ...... 2.5 L ...... 30 L ...... B ...... 56, 58, 95, 138 62, IB1 ...... 152 ...... 202 ...... 243 ...... 1 L ...... 5 L ...... B ...... 56, 58, 95, 138 62, A6 ...... None ...... 201 ...... 244 ...... Forbidden 2.5 L ...... D ...... 56, 58, 13 IB4, T3, TP33, TP36, IB6, T1, TP33, TP36, N40, T9, TP7, TP33, IB4, T3, TP33, TP36, IB6, T1, TP33, TP36, N40, T9, TP7, TP33, B11, T21, TP7, TP33, 4.1. 6.1. 6.1. 6.1. 4.2. 4.2. 4.2. 4.1. 4.1. 4.1. 4.3. Label codes PG II ...III 5.1, 8 .. 5.1, 8 62, IB6, IP2, T3, TP33 ..... 62, IB8, IP3, T1, TP33 None ...... 152 212 ...... 213 242 ...... 240 5 kg ...... 25 kg 25 kg ...... 100 kg B ...... B 13, 34, 56, 58, 138 ...... 13, 34, F56, 58, 138 III .. 5.1, II ... 5.1, II ...III 5.1, 8 .. 5.1, 8 62, IB1II ...... 62, IB2III None ...... 5.1 ...... 152 5.1 202 ...... 62, 127, A2, IB2 ...... 203 62, 127, A2, IB2 243 ...... 152 ...... 242 152 1 L ...... 202 ...... 2.5 L 203 5 L ...... 242 ...... 30 L B 241 ...... 1 L ...... B 13, 56, 58, 138 2.5 L ...... 5 L ...... 13, 56, 58, 138 30 L B ...... B 56, 58, 138 ...... 56, 58, 138 II ... 4.3, III .. 4.3, II ... 4.3, III .. 4.3, II ... 4.3 .....III .. IB4, T3, TP33, TP36, 4.3 ..... IB6, T1, TP33, TP36, tion Nos. Identifica- ******* ******* ******* 5.1 UN3137 .... I .... 5.1, 5.1 UN3099 .... I .... 5.1, 5.1 UN3098 .... I .... 5.1, 8 62, A6 ...... None ...... 201 ...... 244 ...... Forbidden 2.5 L ...... D ...... 13, 56, 58, 138 5.1 UN3085 .... I .... 5.1, 8 62 ...... None ...... 211 ...... 242 ...... 1 kg ...... 15 kg ...... D ...... 13, 56, 58, 138 4.3 UN3397 .... I .... 4.3, 4.3 UN3396 .... I .... 4.3, 4.2 UN3391 .... I .... 4.2 ..... T21, TP7, TP33, TP36 ..... None ...... 187 ...... 244 ...... Forbidden Forbidden D ...... 13, 148 4.3 UN3395 .... I .... 4.3 ..... N40, T9, TP7, TP33, 4.2 UN3393 .... I .... 4.2, Hazard division class or materials Hazardous shipping names sive, n.o.s. mable, n.o.s. n.o.s. sive, n.o.s. stance, solid, water- reactive, self-heating. stance, solid, water- reactive. stance, solid, water- reactive, flammable. stance, solid, pyrophoric, water-re- active. stance, solid, pyrophoric. descriptions and proper (1) (2) (6) (5) (3) (7) (4) (10A) (9A) (9B) (8C) (8A) (8B) (10B) bols Sym- G ...... Oxidizing solid, corro- G ...... Oxidizing solid, flam- G ...... Oxidizing liquid, n.o.s ....G ...... Oxidizing liquid, toxic, 5.1 UN3139 .... I .... 5.1 ..... 62, 127, A2, A6 ...... None ...... 201 ...... 243 ...... Forbidden 2.5 L ...... D ...... 56, 58, 138 G ...... Oxidizing liquid, corro- G ...... Organometallic sub- G ...... Organometallic sub- G ...... Organometallic sub- G ...... Organometallic sub- G ...... Organometallic sub-

VerDate Sep<11>2014 19:02 Jan 07, 2015 Jkt 235001 PO 00000 Frm 00060 Fmt 4701 Sfmt 4700 E:\FR\FM\08JAR2.SGM 08JAR2 mstockstill on DSK4VPTVN1PROD with RULES2 Federal Register / Vol. 80, No. 5 / Thursday, January 8, 2015 / Rules and Regulations 1135 ...... 40 ...... D ...... 56, 58, 69, 106

150 ...... 173 ...... 150 ...... 242 ...... 173 ...... 5 L ...... 242 ...... 60 L ...... 60 L ...... B. 220 L ...... A. 154 ...... 173 ...... 154 ...... 242 ...... 173 ...... 154 1 L ...... 241 ...... 202 30 L ...... 5 L ...... 243 A ...... 60 L ...... 40 1 L ...... A ...... 30 L ...... 40 B ...... 40 150 ...... 202 ...... 243 ...... 1 L ...... 5 L ...... B150 ...... 40 173 ...... 150 ...... 242 ...... 173 ...... 154 5 L ...... 242 ...... 202 60 L ...... 60 L ...... 243 B...... 220 L ...... 1 L ...... A. 30 L ...... B ...... 40 TP1, TP8, TP28. TP1, TP29. TP28. TP28. TP28. TP29. TP28. TP1, TP8, TP28. TP1, TP29. 62, IB8, IP3, T1, TP33 ..... 152 ...... 62 ...... 213 None ...... 240 214 ...... 25 kg 214 ...... 100 kg Forbidden ...... B ...... Forbidden 56, 58, 138 ...... 13, 148 62, IB6, IP2, T3, TP33 ..... 152 ...... 212 ...... 242 ...... 5 kg ...... 25 kg ...... B ...... 56, 58, 138 62 ...... None ...... 211 ...... 242 ...... 1 kg ...... 15 kg ...... D ...... 56, 58, 138 6.1. 4.3. 6.1. 6.1. II ... 3 ...... 149, 367, B52, IB2, T4, III .. 3 ...... 367, B1, B52, IB3, T2, III .. 5.1, II ... 5.1, III .. 8 ...... 367, B52, IB3, T4, TP1, II ... 3, 8 ....III .. 367, IB2, T7, TP2, TP8, 3, 8 .... 367, IB3, T4, TP1, TP29 .. 150 ...... II 203 ...... 3 242 ...... III ...... 149,367, B52, IB2, T4, 5 L 3 ...... 60 L 367, B1, B52, IB3, T2, ...... A ...... 40 8 UN3066 .... II ... 8 ...... 367, B2, IB2, T7, TP2, 3 UN1263 .... I .... 3 ...... 367, T11, TP1, TP8, TP27 150 ...... 201 ...... 243 ...... 1 L ...... 30 L ...... E. 8 UN3470 .... II ... 8, 3 .... 367, IB2, T7, TP2, TP8, 3 UN3469 .... I .... 3, 8 .... 367, T11, TP2, TP27 ...... None ...... 201 ...... 243 ...... 3 UN1263 0.5 L ...... I 2.5 L ...... 3 E ...... 367, T11, TP1, TP8, TP27 150 ...... 201 ...... 8 243 UN3470 ...... 1 L II ...... 30 L 8, 3 ...... E. 367, IB2, T7, TP2, TP8, ******* ******* ******* 5.1 UN3087 .... I .... 5.1, 5.1 UN3356 ...... 5.1 ...... None ...... 168 ...... None ...... Forbiddenkg.. 25 5.1 UN3121 ...... 5.1, (including (including paint, Paint related (including paint , including paint, or chemical when contained in as- sociated equipment, e.g., passenger serv- ice units (PSUs), port- able breathing equip- ment (PBE), etc) . active, n.o.s. lacquer, enamel, stain, shellac solutions, var- nish, polish, liquid filler, and liquid lac- quer base . material. n.o.s.. mable lacquer, enamel, stain, shellac solutions, var- nish, polish, liquid filler, and liquid lac- quer base) . sive, lacquer, enamel, stain, shellac, varnish, pol- ish, liquid filler and liq- uid lacquer base) . cluding paint thinning, drying, removing, or reducing compound . corrosive, flammable (including paint thinning or reducing compound) . Oxygen generator, Paint Paint Paint, corrosive, flam- Paint, flammable, corro- Paint related material in- Paint related material G ...... Oxidizing solid, water re- G ...... Oxidizing solid, toxic,

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craft only Cargo air- (9) 175.75) Quantity limitations (see §§ 173.27 and aircraft/rail (8) (§ 173.***) Packaging Exceptions Non-bulk Bulk Passenger 154 ...... 212 ...... 240 ...... Forbidden 50 kg ...... B ...... 12, 25, 40, 53, 55 None ...... 212 ...... 240 ...... Forbidden 50 kg ...... C ...... 12, 25, 40 150 ...... 202 ...... 243 ...... 1 L ...... 60 L ...... B ...... 40 None ...... 212 ...... 152 ...... 242 ...... 213 ...... 5 kg ...... 240 ...... 25 kg ...... 25 kg ...... C ...... 100 kg ...... 13, 52, 66, 75, 148 C ...... 13, 52, 66, 75, 148 150 ...... 202 ...... 243 ...... 1 L ...... 5 L ...... B ...... 40 Special provisions (§ 172.102) TP33. N43, T3, TP33. TP27. T3, TP33. T1, TP33. TP28. A20, B59, IB4, T3, TP33 .. 151 ...... 212 ...... 242 ...... 15 kg ...... 50 kg ...... B ...... 13, 74, 148 1 ...... None ...... 205 ...... 245 ...... Forbidden Forbidden D ...... 13, 148 4.1. 6.1. Label codes PG II ... 3, 6.1 IB2, T11, TP2, TP13, III .. 5.1 ..... A7, A20, IB8, IP3, N34, II ... 3, 8 .... 367, IB2, T7, TP2, TP8, III .. 3, 8 .... 367, IB3, T4, TP1, TP29 .. 150 ...... 203 ...... 242 ...... 5 L ...... 60 L ...... A ...... 40 tion Nos. Identifica- 8 UN2691 .... II ... 8 ...... A7, IB8, IP2, IP4, N34, T3, 3 UN3469 .... I .... 3, 8 .... 367, T11, TP2, TP27 ...... None ...... 201 ...... 243 ...... 0.5 L ...... 2.5 L ...... E ..... 8 UN1939 .... II ... 8 ...... B8, IB8, IP2, IP4, N41, 3 UN3021 .... I .... 3, 6.1 B5, T14, TP2, TP13, TP27 None ...... 201 ...... 243 ...... Forbidden 30 L ...... B ...... 40 ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* 4.3 UN1340 .... II ... 4.3, 4.1 UN1339 .... II ... 4.1 ..... A20, IB4, N34, T3, TP33 .. None ...... 212 ...... 240 ...... 15 kg ...... 50 kg ...... B ...... 13, 74, 147, 148 5.1 UN1483 .... II ... 5.1 ..... A7, A20, IB6, IP2, N34, 5.1 UN3216 .... III .. 5.1 ..... IB2, T4, TP1, TP29 ...... 152 ...... 203 ...... 241 ...... 2.5 L ...... 30 L ...... A ...... 56, 58, 133 Hazard division class or free from free from materials Hazardous shipping names yellow or white phos- phorus . pentasulfide, yellow or white phos- phorus . heptasulfide, pentabromide. mable, toxic, flash point less than 23 de- grees C. n.o.s. aqueous solution, n.o.s. flammable, corrosive (including paint thinning or reducing compound) . descriptions and proper Phosphorus Phosphorus Phosphorus oxybromide Phosphorus Phenyl chloroformate .... 6.1 UN2746 .... II ... 6.1, 8 IB2, T7, TP2, TP13 ...... 153 ...... 202 ...... 243 ...... 1 L ...... 30 L ...... A ...... 12, 13, 25, 40 Peroxides, inorganic, Persulfates, inorganic, Paint related material, (1) (2) (6) (5) (3) (7) (4) (10A) (9A) (9B) (8C) (8A) (8B) (10B) bols Sym- G ...... Pesticides, liquid, flam- + ...... Pentaborane ...... 4.2 UN1380 .... I .... 4.2,

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None ...... 201 ...... 244 ...... Forbidden 1 L ...... E ...... 13, 40, 52, 148 150 ...... 173 ...... 242 ...... 5 L ...... 60 L ...... B. None ...... 211 ...... 244 ...... Forbidden 15 kg ...... D ...... 13, 52, 148 None ...... 211 ...... 244 ...... Forbidden 15 kg ...... D ...... 13, 52, 148 None ...... 211 ...... 244 ...... Forbidden 15 kg ...... D ...... 13, 52, 148 T9, TP3, TP7, TP31. TP8. TP7, TP33. T9, TP7, TP33. IP1, N6, N34, T9, TP7, TP33. A19, N40 ...... None ...... 211 ...... None ...... Forbidden 15 kg ...... E ...... 13, 40, 52, 85, 148 6.1. II ... 3 ...... 149, 367, IB2, T4, TP1, III .. 3 ...... 367, B1, IB3, T2, TP1 ...... 150 ...... 173 ...... 242 ...... 60 L ...... 220 L ...... A. 3 UN1210 .... I .... 3 ...... 367, T11, TP1, TP8 ...... 150 ...... 173 ...... 243 ...... 1 L ...... 30 L ...... E. 8 UN2578 .... III .. 8 ...... IB8, IP3, T1, TP33 ...... 8 154 ...... UN2579 .... 213 III ...... 240 8 ...... 25 kg IB8, IP3, T1, TP33 ...... 100 kg 154 ...... A 213 ...... 12, 25 240 ...... 25 kg ...... 100 kg ...... A ...... 12, 25, 52 ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* 4.3 UN1422 .... I .... 4.3 ..... A7, A19, B27, N34, N40, 4.2 UN1383 .... I .... 4.2 ..... B11, T21, TP7, TP334.2 UN2846 ...... None I ...... 187 4.2 ...... 242 ...... None Forbidden ...... 187 ...... Forbidden 242 ...... D ...... Forbidden 13, 148 Forbidd 4.3 UN1420 .... I .... 4.3 ..... A7, A19, A20, B27 ...... None ...... 201 ...... 244 ...... Forbidden 1 L ...... E ...... 13, 40, 52, 148 4.2 UN3194 .... I .... 4.2 ...... None ...... 181 ...... 244 ...... Forbidden Forbidd 4.2 UN2845 .... I .... 4.2 ..... B11, T22, TP2, TP7 ...... None ...... 181 ...... 244 ...... Forbidden Forbidden D ...... 13, 78, 148 4.3 UN3404 .... I .... 4.3 ..... A19, B27, N34, N40, T9, 4.2 UN3200 .... I .... 4.2 ..... T21, TP7, TP33 ...... None ...... 187 ...... 242 ...... Forbidden Forbidden D ...... 13, 148 4.3 UN3403 .... I .... 4.3 ..... A19, A20, B27, IB4, IP1, 4.1 UN1343 .... II ... 4.1 ..... A20, IB4, N34, T3, TP33 .. None ...... 212 ...... 240 ...... 15 kg ...... 50 kg ...... B ...... 13, 74, 147, 148 Pyrophoric (including or ganic, n.o.s. ganic, n.o.s. n.o.s., loys, liquid. or Printing ink related material printing ink thinning or reducing compound), flammable . loys, solid. alloys, n.o.s. ganic, n.o.s. ganic, n.o.s. liquid. solid. free from yellow or white phosphorus . Potassium sodium al- Potassium superoxide ...Printing ink, flammable 5.1 UN2466 .... I .... 5.1 ..... A20, IB6, IP1 ...... None ...... 211 ...... None ...... Forbidden 15 kg ...... E ...... 13, 52, 66, 75, 148 Potassium sodium al- Quinoline ...... 6.1 UN2656 .... III .. 6.1 ..... IB3, T4, TP1 ...... 153 ...... 203 ...... 241 ...... 60 L ...... 220 L ...... A ...... 12, 25 Potassium phosphide .... 4.3 UN2012 .... I .... 4.3, Potassium borohydride ..Potassium, metal alloys, 4.3 Potassium, metal alloys, UN1870 .... I .... 4.3 .....Potassium peroxide A19, N40 ...... None ...... 211 ...... 242 5.1 ...... UN1491 .... Forbidden I .... 15 kg ...... 5.1 ..... E ...... A20, IB6, IP1, N34 ...... 13, 52, 148 None ...... 211 ...... None ...... Forbidden 15 kg ...... C ...... 13, 52, 66, 75, 148 Phosphorus trioxide ...... Piperazine ...... Potassium ...... 4.3 UN2257 .... I .... 4.3 ..... A7, A19, A20, B27, IB4, Phosphorus trisulfide, G ...... Pyrophoric liquid, inor- G ...... Pyrophoric liquids, or- G ...... Pyrophoric metals, G ...... Pyrophoric solid, inor- G ...... Pyrophoric solids, or-

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L ...... D ...... 25, 52, 53 L ...... D ...... 25, 52, 53 kg ...... D ...... 25, 52, 53 kg ...... D ...... 25, 52, 53 craft only 0 L ...... D ...... 25, 52, 53 0 L ...... D ...... 25, 52, 53 Cargo air- (9) 175.75) Quantity limitations (see §§ 173.27 and aircraft/rail (8) (§ 173.***) Packaging Exceptions Non-bulk Bulk Passenger None ...... 211 ...... 242 ...... Forbidden 15 kg ...... D ...... 13, 52, 148 Special provisions (§ 172.102) N34, N40, N45. Label codes PG tion Nos. Identifica- 7 UN2910 ...... None .. 368 ...... 421, 422 ... 421, 422 ... 421, 422 ...... A. ******* ******* ******* ******* ******* 4.1 UN3231 .... II ... 4.1 ..... 53 ...... None ...... 224 ...... None ...... Forbidden Forbidden D . 4.1 UN3237 .... II ... 4.1 ...... None ...... 224 ...... None ...... Forbidden Forbidde 4.1 UN3234 .... II ... 4.1 ...... 4.1 UN3236 None ...... II 224 ...... 4.1 None ...... Forbidden ...... None ...... Forbidde 224 ...... None ...... Forbidden Forbidde 4.2 UN2217 .... III .. None .. IB8, IP3, IP7, N7 ...... None ...... 213 ...... 241 ...... Forbidden Forbidden A ...... 13, 25, 120 4.1 UN3233 .... II ... 4.1 ...... 4.1 UN3235 None ...... II 224 ...... 4.1 None ...... Forbidden ...... None ...... Forbidde 224 ...... None4.1 UN3229 ...... Forbidden II ... 4.1 Forbidde ...... 151 ...... 224 ...... None ...... L...... 10 25 4.1 UN3221 .... II ... 4.1 ..... 53 ...... 151 ...... 224 ...... None ...... Forbidden Forbidden D 4.1 UN3239 .... II ... 4.1 ...... None ...... 224 ...... None ...... Forbidden Forbidde 4.1 UN3223 .... II ... 4.1 ...... 4.1 UN3225 151 ...... II 224 ...... 4.1 None ...... L...... 5 4.1 UN3227 1 151 ...... II 224 ...... 4.1 None ...... L...... 5 1 151 ...... 224 ...... None ...... L...... 10 25 4.1 UN3232 .... II ... 4.14.1 UN3224 ...... 53 II ...... None 4.1 ...... 224 ...... 4.1 UN3226 None 151 ...... Forbidden II 224 ...... 4.1 None Forbidden ...... kg...... 5 D . 10 151 ...... 224 ...... None ...... kg...... 5 10 Hazard division class or materials Hazardous shipping names B. B, temperature con- trolled. E, temperature con- trolled. F, temperature con- trolled. C, temperature con- trolled. D, temperature con- trolled. more than 1.5 percent oil and not more than 11 percent moisture . C. C, temperature con- trolled. D. D, temperature con- trolled. E. F. B, temperature con- trolled. C. D. cepted package-lim- ited quantity of mate- rial. descriptions and proper Radioactive material, ex- (1) (2) (6) (5) (3) (7) (4) (10A) (9A) (9B) (8C) (8A) (8B) (10B) bols Sym- ...... Rubidium ...... 4.3 UN1423 .... I .... 4.3 ..... 22, A7, A19, IB4, IP1, G ...... Self-reactive liquid type G ...... Self-reactive liquid type G ...... Self-reactive liquid type G ...... Self-reactive liquid type G ...... Self-reactive solid type G ...... Self-reactive solid type I ...... Seed cake with not G ...... Self-reactive liquid type G ...... Self-reactive liquid type G ...... Self-reactive liquid type G ...... Self-reactive liquid type G ...... Self-reactive liquid type G ...... Self-reactive liquid type G ...... G Self-reactive solid type B ...... Self-reactive solid type G ...... 4.1 Self-reactive solid type UN3222 .... II ... 4.1G ...... 53 ...... Self-reactive solid type 151 ...... 224 ...... None ...... (1) ...... (2) ...... D ...... 25, 52, 53, 127

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None ...... 212 ...... 241 ...... 15 kg ...... 50 kg ...... D ...... 13, 148 151 ...... 212 ...... 242 ...... Forbidden 50 kg ...... E ...... 13, 52, 148 None ...... 211 ...... 244 ...... Forbidden 15 kg ...... D ...... 13, 52, 148 N34, T3, TP33. TP33. B48, B68, IB4, IP1, N34, T9, TP7, TP33, TP46...... None ...... 340 ...... None ...... Forbidden 50 kg ...... D ...... 40 A19, N40 ...... None ...... 211 ...... None ...... Forbidden 15 kg ...... E ...... 13, 40, 52, 85, 148 A19, N40 ...... None ...... 211 ...... 242 ...... Forbidden 15 kg ...... E ...... 13, 40, 52, 85, 148 A19, N40 ...... None ...... 211 ...... None ...... Forbidden 15 kg ...... E ...... 13, 40, 52, 85, 148 4.1. 6.1. 6.1. 6.1. II ... 4.2 ..... A19, A20, IB6, IP2, N5, III .. 4.2 ..... IB8, IP3, T1, TP33 ...... None ...... 213 ...... 241 ...... 25 kg ...... 100 kg ...... D ...... 13, 148 ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* 4.1 UN2878 .... III .. 4.1 ..... A1, IB8, IP3, T1, TP33 ..... None ...... 213 ...... 240 ...... 25 kg ...... 100 kg ...... D ...... 13, 74, 147, 148 4.1 UN3369 .... I .... 4.1 ..... 162, A8, A19, N41, N84 ... None ...... 211 ...... None ...... 0.5 kg ...... 0.5 kg ...... E ...... 28, 36 4.3 UN2835 .... II ... 4.3 ..... A8, A19, A20, IB4, T3, 4.1 UN3240 .... II ... 4.1 ...... None ...... 224 ...... None ...... Forbidden Forbidde 4.1 UN3238 .... II ... 4.1 ...... None ...... 224 ...... None ...... Forbidden Forbidde Titanium or ules sponge powders. cresolate, wetted with not less than 10% water, by mass . dride. E, temperature con- trolled. F, temperature con- trolled. Titanium sponge gran- Titanium powder, dry ..... 4.2 UN2546 .... I .... 4.2 ...... None ...... 211 ...... 242 ...... Forbidden Forbidden D ...... 13, 148 Tear gas candles ...... 6.1 UN1700 ...... 6.1, Strontium peroxide ...... Strontium phosphide ..... 5.1 UN1509 4.3 .... UN2013 II ...... I 5.1 ...... 4.3, IB6, IP2, T3, TP33 ...... 152 ...... 212 ...... 242 ...... 5 kg ...... 25 kg ...... C ...... 13, 52, 66, 75, 148 Stannic phosphide ...... 4.3 UN1433 .... I .... 4.3, Sodium superoxide ...... 5.1 UN2547 .... I .... 5.1 ..... A20, IB6, IP1, N34 ...... None ...... 211 ...... None ...... Forbidden 15 kg ...... D ...... 13, 52, 66, 75, 148 Sodium borohydride ...... Sodium dinitro-o- 4.3 UN1426 .... I .... 4.3 .....Sodium hydride N40 ...... None ...... 211Sodium peroxide ...... 242 4.3 ...... UN1427 Forbidden ....Sodium phosphide I ...... 15 kg 5.1 ...... 4.3 UN1504 ..... E ...... A19, N40 ...... I 13, 52, 148 .... None 4.3 ...... 5.1 UN1432 ..... 211 ...... A20, IB5, IP1, N34 I ...... 242 ...... None 4.3, ...... Forbidden 211 ...... 15 kg None ...... E Forbidden ...... 13, 52, 148 15 kg ...... C ...... 13, 52, 66, 75, 148 Sodium aluminum hy- Sodium ...... 4.3 UN1428 .... I .... 4.3 ..... A7, A8, A19, A20, B9, G ...... G Self-reactive solid type E ...... Self-reactive solid type 4.1 UN3228 .... II ... 4.1 ...... 151 ...... 224 ...... None ...... 10 kg ...... 25 kg ...... D ...... 25, 52, 53 G ...... G Self-reactive solid type F ...... Self-reactive solid type 4.1 UN3230 .... II ... 4.1 ...... 151 ...... 224 ...... None ...... 10 kg ...... 25 kg ...... D ...... 25, 52, 53

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craft only Cargo air- (9) 175.75) Quantity limitations (see §§ 173.27 and aircraft/rail (8) (§ 173.***) Packaging Exceptions Non-bulk Bulk Passenger None ...... 227 ...... 244 ...... Forbidden Forbidden D ...... 13, 21, 28, 40, 49, None ...... 227 ...... 244 ...... Forbidden Forbidden D ...... None ...... 13, 40, 148 226 ...... 244 ...... Forbidden Forbidden D ...... 13, 21, 28, 40, 49, None ...... 226 ...... 244 ...... Forbidden Forbidden D ...... 13, 40, 148 Special provisions (§ 172.102) TP2, TP13, TP27, TP38, TP45. TP2, TP13, TP38, TP44. TP2, TP13, TP27, TP38, TP44. TP2, TP13, TP38, TP44. A4 ...... None ...... 201 ...... 243 ...... Forbidden 1 L ...... E ...... 13,40, 2, B9, B14, B32, T20, 2, B9, B14, B32, T20, 1, B9, B14, B30, T22, 1, B9, B14, B30, T22, 4.3. 4.3, 3. 4.3. 4.3, 3. 4.3. Label codes PG II ...III 6.1 ...... 6.1 IB2, T11, TP2, TP27 ...... IB3, T7, TP1, TP28 153 ...... 153 202 ...... 203 243 ...... 241 5 L ...... 60 L 60 L ...... 220 L A ...... A ...... 4 II ... 6.1, 8 IB2, T11, TP2, TP27 ...... 153 ...... 202 ...... 243 ...... 1 L ...... 30 L ...... A ...... 40 tion Nos. Identifica- ******* ******* ******* ******* ******* ******* ******* ******* 6.1 UN3123 .... I .... 6.1, 6.1 UN3287 .... I .... 6.1 ..... T14, TP2, TP13, TP27 ..... None ...... 201 ...... 243 ...... 1 L ...... 30 L ...... A .... 6.1 UN3491 .... I .... 6.1, 6.1 UN3289 .... I .... 6.1, 8 T14, TP2, TP13, TP27 ..... None ...... 201 ...... 243 ...... 0.5 L ...... 2.5 L ...... A ...... 6.1 UN3386 .... I .... 6.1, 6.1 UN3490 .... I .... 6.1, 6.1 UN3385 .... I .... 6.1, 4.2 UN2441 .... I ....8 4.2, N34 ...... None ...... 181 ...... 244 ...... Forbidden Forbidden D ...... 13, 40, 148 Hazard division class or Titanium and satu- or and satu- 3 3 with an LC50 with an LC50 materials Hazardous shipping names active, n.o.s. n.o.s. inorganic, n.o.s. pyrophoric rated vapor concentra- tion greater than or equal to 10 LC50 . uid, water-reactive, flammable, n.o.s. with an LC50 lower than or equal to 200 ml/m3 and saturated vapor concentration greater than or equal to 500 LC50 . uid, water-reactive, flammable, n.o.s. with an LC50 lower or equal to 1000 ml/m3 and saturated vapor concentration greater than or equal to 10 LC50 . rated vapor concentra- tion greater than or equal to 500 LC50 . uid, water-reactive, n.o.s. lower than or equal to 1000 ml/m uid, water-reactive, n.o.s. lower than or equal to 200 ml/m trichloride mixtures, pyrophoric. descriptions and proper Titanium trichloride, (1) (2) (6) (5) (3) (7) (4) (10A) (9A) (9B) (8C) (8A) (8B) (10B) bols Sym- G ...... Toxic liquids, water-re- G ...... Toxic liquid, inorganic, G ...... Toxic liquid, corrosive, G ...... Toxic by inhalation liq- G ...... Toxic by inhalation liq- G ...... Toxic by inhalation liq- G ...... Toxic by inhalation liq-

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...... 40 A ...... 40

None ...... 227 ...... 244 ...... Forbidden Forbidden D ...... 21, 25, 40, 100 None ...... 201 ...... 243 ...... 0.5 L ...... 2.5 L ...... B ...... 12, 25, 40 T20, TP2, TP13, TP38, TP45. N36, T10, TP2. 2, B3, B9, B14, B32, N34, IB6, IP2, T3, TP33 ...... 153 ...... 212 ...... 242 ...... 15 kg ...... 50 kg ...... D ...... 13, 40, 148 A5, T6, TP33 ...... None ...... 211 ...... 242 ...... 5 kg ...... 15 kg ...... D ...... 13, 40, 148 IB2 ...... None ...... 202 ...... 243 ...... 1 L ...... 5 L ...... E ...... 13, 40, 148 3. 4.3. 4.3. 4.3. II ... 6.1, II ... 6.1, 8 IB6, IP2, T3, TP33 ...... 153 ...... 212 ...... 242 ...... 15 kg ...... 50 kg ...... A ...... 40 II ...III 6.1 ...... 6.1 IB8, IP2, IP4, T3, TP33 ...... IB8, IP3, T1, TP33 ...... 153 ...... 153 ...... 212 ...... 213 ...... 242 ...... 240 ...... 25 kg ...... 100 kg ...... 100 kg ...... 200 kg ...... A ...... A ...... 40 40 II ... 6.1, 8 UN2699 .... I .... 8 ...... A3, A6, A7, B4, N3, N34, ******* ******* ******* ******* ******* ******* ******* ******* ******* ******* 4.1 UN3368 .... I .... 4.1 .....4.1 UN1355 162, A8, A19, N41, N84 ...... I None ...... 4.1 211 ...... 23, A2, A8, A19, N41 None ...... 0.5 kg None ...... 211 0.5 kg ...... None E ...... 0.5 kg 28, 36 ...... 0.5 kg ...... E ...... 28, 36 6.1 UN3288 .... I .... 6.1 ..... IB7, T6, TP33 ...... None ...... 211 ...... 242 ...... 5 kg ...... 50 kg ...... 6.1 UN3290 .... I .... 6.1, 8 IB7, T6, TP33 ...... None ...... 211 ...... 242 ...... 1 kg ...... 25 kg ...... A . 4.1 UN3367 .... I .... 4.1 ..... 162, A8, A19, N41, N84 ... None ...... 211 ...... None ...... 0.5 kg ...... 0.5 kg ...... E ...... 28, 36 4.1 UN3365 .... I .... 4.1 ..... 162, A8, A19, N41, N84 ... None ...... 4.1 211 UN3364 ...... None I ...... 0.5 kg 4.1 ...... 0.5 kg 162, A8, A19, N41, N84 ...... E4.1 None ...... UN3366 .... 28, 36 211 ...... I .... None ...... 4.1 ..... 0.5 kg ...... 162, A8, A19, N41, N84 ... 0.5 kg4.1 ...... None ...... UN3370 E .... 211 ...... I 28, 36 .... None ...... 4.1 ..... 0.5 kg ...... 162, A8, A19, N41, N84 ... 0.5 kg ...... None ...... E 211 ...... 28, 36 None ...... 0.5 kg ...... 0.5 kg ...... E ...... 28, 36 6.1 UN2438 .... I .... 6.1, 8, 6.1 UN3125 .... I .... 6.1, with not less with not less with not less with not less with not less than 10% water, by mass . wetted than 10% water by mass . wetted than 30 percent water, by mass . (picryl chloride), wetted, than 10% water by mass . acid), wetted, with not less than 10 percent water by mass . wetted, than 10 percent water by mass . with not less than 10 percent water by mass . tive, n.o.s. n.o.s.. organic, n.o.s. Trinitrobenzene, wetted, Trinitrobenzoic acid, Trinitrobenzoic acid, Trinitrochlorobenzene Trinitrophenol (picric Trinitrotoluene (TNT), Urea nitrate, wetted, Trimethylacetyl chloride Trifluoroacetic acid ...... G ...... Toxic solids, water-reac- G ...... Toxic solid, inorganic, G ...... Toxic solid, corrosive, in-

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(10) Vessel stowage Location Other

craft only Cargo air- (9) 175.75) Quantity limitations (see §§ 173.27 and aircraft/rail (8) (§ 173.***) Packaging Exceptions Non-bulk Bulk Passenger 151 ...... 213 ...... 241 ...... 25 kg ...... 100 kg ...... A ...... 13, 148 None ...... 211 ...... 242 ...... Forbidden 15 kg ...... D ...... 13, 148 Special provisions (§ 172.102) TP33. TP33...... None ...... 214 ...... 214 ...... Forbidden Forbidden E ...... 13, 40, 1 ...... None ...... 214 ...... 214 ...... Forbidden Forbidden E ...... 13, 40, 1 IB8, IP4, T1, TP33 ...... 151 ...... 213 ...... 241 ...... 25 kg ...... 100 kg ...... E ...... 13, 85, 148 IB5, IP2, T3, TP33 ...... 151 ...... 212 ...... 242 ...... 15 kg ...... 50 kg ...... E ...... 13, 85, 148 IB8, IP4, T1, TP33 ...... None ...... A8, IB4, IP1, N40 213 ...... None ...... 241 ...... 211 ...... 25 kg ...... 242 ...... 100 kg ...... Forbidden E ...... 15 kg 13, 148 ...... D ...... 13, 148 IB5, IP2, T3, TP33 ...... None ...... 212 ...... 242 ...... 15 kg ...... 50 kg ...... E ...... 13, 148 N40 ...... None ...... 211 ...... 242 ...... Forbidden 15 kg ...... E ...... 13, 148 IB6, T1, TP33 ...... 151 ...... 213 ...... 241 ...... 25 kg ...... 100 kg ...... E ...... 13, 148 IB4, T3, TP33 ...... 151 ...... 212 ...... 242 ...... 15 kg ...... 50 kg ...... E ...... 13, 148 IB2 ...... None ...... 203 ...... 242 ...... 5 L ...... IB4, N40 ...... 60 L None ...... E 211 ...... 13, 85, 148 242 ...... Forbidden 15 kg ...... D ...... 13, 148 IB1 ...... None ...... 202 ...... 243 ...... 1 L ...... 5 L ...... E ...... 13, 85, 148 A4 ...... None ...... 201 ...... 243 ...... Forbidden 1 L ...... D ...... 13, 148 IB1, T7, TP2, TP13 ...... 153 ...... 202 ...... 243 ...... 1 L ...... 30 L ...... B ...... 21, 40, 52, 100 6.1. 6.1. 4.2. 6.1. 4.2. 4.2. 5.1. 5.1. 4.1. 4.1. 6.1. 4.1. 6.1. 6.1. 8. Label codes PG III .. 4.3, II ... 4.3, III .. 4.3, II ... 4.3, III .. 4.3, II ...III 4.3 ...... 4.3 IB7, IP2, T3, TP33 ...... IB8, IP4, T1, TP33 151 ...... 151 212 ...... 213 242 ...... 241 15 kg ...... 25 kg 50 kg ...... 100 kg E ...... E 13, 40, 148 ...... 13, 40, 148 III .. 4.3, II ...III 4.3, 8 .. 4.3, 8 IB6, IP2, T3, TP33 ...... IB8, IP4, T1, TP33II 151 ...... 151 4.3, 212 ...... 213 242 ...... 241 15 kg ...... 25 kg 50 kg ...... 100 kg E ...... E 13, 85, 148 ...... 13, 85, 148 III .. 4.3, II ... 4.3, II ...III 4.3, 8 .. 4.3, 8 IB1, T11, TP2, TP7 ...... IB2, T7, TP2, TP7II None ...... III None 4.3 .. 202 ...... 4.3 203 IB1, T7, TP2, TP7 ..... 243 ...... IB2, T7, TP2, TP7 242 None ...... 1 L ...... None 5 L202 ...... 5 L ...... 203 60 L 243 ...... E ...... 242 E 1 L ...... 13, 85, 148 ...... 5 L 13, 148 5 L ...... 60 L E ...... E 13, 40, 148 ...... 13, 40, 148 tion Nos. Identifica- ******* ******* ******* 4.3 UN3135 .... I .... 4.3, 4.3 UN3134 .... I .... 4.3, 4.3 UN3133 .... II ... 4.3, 4.3 UN3131 .... I .... 4.3, 8 IB4, IP1, N40, T9, TP7, 4.3 UN3130 .... I .... 4.3, 4.3 UN3129 .... I .... 4.3, 8 T14, TP2, TP7, TP13 ...... None ...... 201 ...... 243 ...... Forbidden 1 L ...... D ...... 13, 148 4.3 UN2813 .... I .... 4.3 ..... IB4, N40, T9, TP7, TP33 .. None ...... 211 ...... 242 ...... Forbidden 15 kg ...... E ...... 13, 40, 148 4.3 UN3132 .... I .... 4.3, 4.3 UN3148 .... I .... 4.3 ..... T13, TP2, TP7, TP41 ...... None ...... 201 ...... 244 ...... Forbidden 1 L ...... E ...... 13, 40, 148 Hazard division class or materials Hazardous shipping names toxic, n.o.s. self-heating, n.o.s. n.o.s. oxidizing, n.o.s. flammable, n.o.s. corrosive, n.o.s. n.o.s. toxic, n.o.s. corrosive, n.o.s. descriptions and proper Zinc ashes ...... 4.3 UN1435 .... III .. 4.3 ..... A1, A19, IB8, IP4, T1, Vinylpyridines, stabilized 6.1 UN3073 .... II ... 6.1, 3, (1) (2) (6) (5) (3) (7) (4) (10A) (9A) (9B) (8C) (8A) (8B) (10B) bols Sym- G ...... Water-reactive solid, G ...... Water-reactive solid, G ...... Water-reactive solid, G ...... Water-reactive, solid, G ...... Water-reactive solid, G ...... Water-reactive solid, G ...... Water-reactive liquid, G ...... Water-reactive liquid, G ...... Water-reactive liquid,

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None ...... 212 ...... 241 ...... 15 kg ...... 50 kg ...... D ...... 13, 148 None ...... 212 ...... 241 ...... 15 kg ...... 50 kg ...... E ...... 13, 74, 147, 148 N34, T3, TP33. T3, TP33. IB8, IP4, T1, TP33 ...... None ...... 213 ...... 242 ...... 25 kg ...... 100 kg ...... A ...... 13, 52, 53, 148 A19, IB7, IP2, T3, TP33 ... None ...... 212 ...... 242 ...... 15 kg ...... 50 kg ...... A ...... 13, 52, 53, 148 A19, IB4, IP1, N40 ...... None ...... 211 ...... 242 ...... Forbidden 15 kg ...... A ...... 13, 52, 53, 148 A19, N40 ...... None ...... 211 ...... None ...... Forbidden 15 kg ...... E ...... 13, 40, 52, 85, 148 4.2. 4.2. 4.2. 6.1. II ... 4.2 ..... A19, A20, IB6, IP2, N5, III .. 4.2 ..... IB8, IP3, T1, TP33 ...... None ...... 213 ...... 241 ...... 25 kg ...... 100 kg ...... D ...... 13, 148 III .. 4.3, II ... 4.3, 9 UN1931 .... III .. None .. IB8, IP3, T1, TP33 ...... 155 ...... 204 ...... 240 ...... 100 kg ...... 200 kg ...... A ...... 13, 26, 123 ******* ******* ******* ******* ******* ******* 4.2 UN2009 .... III .. 4.2 ..... A1, A19 ...... None ...... 213 ...... 240 ...... 25 kg ...... 100 kg ...... D ...... 13, 148 4.1 UN2858 .... III .. 4.1 ..... A1 ...... 151 ...... 213 ...... 240 ...... 25 kg ...... 100 kg ...... A ...... 13, 147, 148 4.1 UN1358 .... II ... 4.1 ..... A19, A20, IB6, IP2, N34, Zinc Zinc dust 4.3 UN1436 .... I .... 4.3, with not less sheets, strip or coiled wire . wire, finished metal sheets, strip (thinner than 254 microns but not thinner than 18 microns) . wetted than 25 percent water (a visible excess of water must be present) (a) mechani- cally produced, par- ticle size less than 53 microns; (b) chemi- cally produced, par- ticle size less than 840 microns . hydrosulfite. Zirconium, dry, finished Zirconium, dry, coiled Zirconium powder, dry ... 4.2 UN2008 .... I .... 4.2 ..... T21, TP7, TP33 ...... None ...... 211 ...... 242 ...... Forbidden Forbidden D ...... 13, 148 Zirconium powder, Zirconium scrap ...... 4.2 UN1932 .... III .. 4.2 ..... IB8, IP3, N34, T1, TP33 ... None ...... 213 ...... 240 ...... Forbidden Forbidden D ...... 13, 148 Zinc powder or Zinc peroxide ...... Zinc phosphide ...... 5.1 UN1516 .... 4.3 UN1714 II ...... I 5.1 ...... 4.3, IB6, IP2, T3, TP33 ...... 152 ...... 212 ...... 242 ...... 5 kg ...... 25 kg ...... C ...... 13, 52, 66, 75, 148 Zinc dithionite or

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* * * * * removing one (1) entry and adding Appendix B to § 172.101—List of ■ 11. In Appendix B to § 172.101, the sixty-two (62) entries in appropriate Marine Pollutants. List of Marine Pollutants is amended by alphabetical order to read as follows: * * * * *

LIST OF MARINE POLLUTANTS

S, M, P (1) Marine Pollutant (2)

[Remove:] ...... Chlorotoluenes (meta-;para-)

******* [Add:].

******* Acroleic acid, stabilized

******* Acrylic Acid, Stabilized

******* Allyl alcohol

******* Aminobenzene

******* Ammonia, anhydrous (I) Ammonia solution, relative density less than 0.880 at 15 degrees C in water, with more than 50 percent ammonia Ammonia Solution relative density less than 0.880 at 15 degrees C in water, with more than 35% but not more than 50% am- monia Ammonia solution, relative density between 0.880 and 0.957 at 15 degrees C in water, with more than 10 percent but not more than 35 percent ammonia, by mass

******* Aniline Aniline oil

******* Bleaching powder

******* Butylbenzenes

******* Calcium hypochlorite , dry with more than 39% available chlorine (8.8% available oxygen) Calcium hypochlorite mixture, dry with more than 10% but not more than 39% available chlorine Calcium hypochlorite mixture, dry with more than 39% available chlorine (8.8% available oxygen) Calcium hypochlorite mixture, dry, corrosive with more than 10% but not more than 39% available chlorine Calcium hypochlorite mixture, dry, corrosive with more than 39% available chlorine (8.8% available oxygen) Calcium hypochlorite, hydrated with not less than 5.5% but not more than 16% water Calcium hypochlorite, hydrated, corrosive with not less than 5.5% but not more than 16% water Calcium hypochlorite, hydrated mixture with not less than 5.5% but not more than 16% water Calcium hypochlorite, hydrated mixture, corrosive with not less than 5.5% but not more than 16% water

******* ortho-Chlorotoluene

******* Creosote salts

******* Cycloheptane

******* 2,4-Dichlorophenol

******* 1,3-Dichloropropene

******* Dimethyl Disulphide

******* Dinitrotoluenes, Liquid Dinitrotoluenes, Molton

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LIST OF MARINE POLLUTANTS—Continued

S, M, P (1) Marine Pollutant (2)

Dintrotoluenes, Solid

******* Dodecene

******* Heptanes

******* Hexane

******* Isooctane

******* Mesitylene

******* Methyl disulphide

******* 2-Methyl-2-phenylpropane

******* Methyldinitrobenzenes, liquid Methyldinitrobenzenes, molten Methyldinitrobenzenes, solid Methyldithiomethane 2-Methylheptane

******* 2-Methylpentane

******* Naphthalene, crude or Naphthalene, refined Napthalene, molten

******* Nonanes

******* Octanes

******* Phenylamine

******* Pine Oil alpha-Pinene

******* Propenoic acid, stabilized Propenyl alcohol

******* Propylene Tetramer

******* Sodium hypochlorite solution

******* Tetrapropylene

******* Toluidines, liquid Toluidines, Solid

******* 1,3,5-Trimethylbenzene

******* 2,2,4-Trimethylpentane

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LIST OF MARINE POLLUTANTS—Continued

S, M, P (1) Marine Pollutant (2)

******* Turpentine

******* Zinc Chloride, Anhydrous Zinc Chloride Solution

*******

■ 12. In § 172.102: the following composition: 60–85% (i) The pressure in each neutron ■ a. In paragraph (c)(1), special ammonium nitrate; 0–5% sodium or radiation detector must not exceed 105 provisions 28, 52, 147, 160, 238, 342 potassium perchlorate; 0–17% kPa absolute at 20 °C; and 362 are revised, special provisions hexamine nitrate or monomethylamine (ii) The amount of gas must not 367, 368, 369, 370, 371, and 372 are nitrate; 5–30% water; 2–15% fuel; 0.5– exceed 13 grams per detector; and added, and special provision 161 is 4% thickening agent; 0–10% soluble (iii) Each neutron radiation detector removed. flame suppressants; and trace additives. must be of welded metal construction ■ b. In paragraph (c)(2), special Other inorganic nitrate salts may replace with brazed metal to ceramic feed provision A60 is revised and A61 is part of the ammonium nitrate. These through assemblies. These detectors added. substances must satisfactorily pass Tests must have a minimum burst pressure of ■ c. Paragraph (c)(4) introductory text, 8(a), (b) and (c) of Test Series 8 of the 1800 kPa as demonstrated by design Table 1 and Table 2 in paragraph (c)(4) UN Manual of Tests and Criteria, Part I, type qualification testing; and are revised. Section 18 (IBR, see § 171.7 of this (iv) Each detector must be tested to a × ¥10 3 ■ d. In paragraph (c)(8)(ii), TP47 is subchapter), and may not be classified 1 10 cm /s leaktightness standard added in numerical sequence. and transported unless approved by the before filling. The additions and revisions read as Associate Administrator. (2) Radiation detectors transported as follows: individual components must be * * * * * transported as follows: § 172.102 Special Provisions. 160 This entry applies to safety (i) They must be packed in a sealed * * * * * devices for vehicles, vessels or aircraft, intermediate plastic liner with sufficient (c) * * * e.g. air bag inflators, air bag modules, absorbent material to absorb the entire (1) * * * seat-belt pretensioners, and gas contents. 28 The dihydrated sodium salt of pyromechanical devices containing (ii) They must be packed in strong dichloroisocyanuric acid does not meet Class 1 (explosive) materials or outer packagings and the completed the criteria for inclusion in Division 5.1 materials of other hazard classes. These package must be capable of (Oxidizer) and is not subject to the articles must be tested in accordance withstanding a 1.8 meter (6-foot) drop requirements of this subchapter unless with Test series 6(c) of Part I of the UN without leakage of gas contents from meeting the criteria for inclusion in Manual of Tests and Criteria detectors. another class or division. (incorporated by reference; see § 171.7 (iii) The total amount of gas from all * * * * * of this subchapter), with no explosion of detectors per outer packaging must not 52 This entry may only be used for the device, no fragmentation of device exceed 52 grams. (3) Completed neutron radiation substances that are too insensitive for casing or pressure vessel, and no detection systems containing detectors acceptance into Class 1 (explosive) projection hazard or thermal effect that meeting the conditions of paragraph when tested in accordance with Test would significantly hinder fire-fighting (a)(1) of this special provision must be Series 2 in the UN Manual of Tests and or other emergency response efforts in transported as follows: Criteria, Part I (incorporated by the immediate vicinity. If the air bag inflator unit satisfactorily passes the (i) The detectors must be contained in reference; see § 171.7 of this a strong sealed outer casing; subchapter). series 6(c) test, it is not necessary to repeat the test on the air bag module. (ii) The casing must contain include * * * * * This entry does not apply to life saving sufficient absorbent material to absorb 147 This entry applies to non- appliances described in § 173.219 the entire gas contents; sensitized emulsions, suspensions, and (UN2990 and UN3072). (iii) The completed system must be gels consisting primarily of a mixture of packed in strong outer packagings * * * * * ammonium nitrate and fuel, intended to capable of withstanding a 1.8 meter (6- produce a Type E blasting explosive 238 Neutron radiation detectors: a. foot) drop test without leakage unless a only after further processing prior to Neutron radiation detectors containing system’s outer casing affords equivalent use. The mixture for emulsions typically non-pressurized boron trifluoride gas in protection. has the following composition: 60–85% excess of 1 gram and radiation detection b. Except for transportation by ammonium nitrate; 5–30% water; 2–8% systems containing such neutron aircraft, neutron radiation detectors and fuel; 0.5–4% emulsifier or thickening radiation detectors as components may radiation detection systems containing agent; 0–10% soluble flame be transported by highway, rail, vessel, such detectors transported in suppressants; and trace additives. Other or cargo aircraft in accordance with the accordance with paragraph (a) of this inorganic nitrate salts may replace part following: special provision are not subject to the of the ammonium nitrate. The mixture (1) Each radiation detector must meet labeling and placarding requirements of for suspensions and gels typically has the following conditions: part 172 of this subchapter.

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c. When transported by highway, rail, a. If one of the components, which a. The proper shipping name ‘‘Paint vessel, or as cargo on an aircraft, can be a pure substance or a mixture, is related material’’ may be used for neutron radiation detectors containing classed as flammable, the chemical consignments of packages containing not more than 1 gram of boron under pressure must be classed as ‘‘Paint’’ and ‘‘Paint related material’’ in trifluoride, including those with solder flammable in Division 2.1. Flammable the same package; glass joints are not subject to any other components are flammable liquids and b. The proper shipping name ‘‘Paint requirements of this subchapter liquid mixtures, flammable solids and related material, corrosive, flammable’’ provided they meet the requirements in solid mixtures or flammable gases and may be used for consignments of paragraph (a)(1) of this special provision gas mixtures meeting the following packages containing ‘‘Paint, corrosive, and are packed in accordance with criteria: flammable’’ and ‘‘Paint related material, paragraph (a)(2) of this special (1) A flammable liquid is a liquid corrosive, flammable’’ in the same provision. Radiation detection systems having a flashpoint of not more than package; containing such detectors are not 93 °C (200 °F); c. The proper shipping name ‘‘Paint subject to any other requirements of this (2) A flammable solid is a solid that related material, flammable, corrosive’’ subchapter provided they are packed in meets the criteria in § 173.124 of this may be used for consignments of accordance with paragraph (a)(3) of this subchapter; or packages containing ‘‘Paint, flammable, special provision. (3) A flammable gas is a gas that meets corrosive’’ and ‘‘Paint related material, flammable, corrosive’’ in the same * * * * * the criteria in § 173.115 of this package; and 342 Glass inner packagings (such as subchapter. b. Gases of Division 2.3 and gases d. The proper shipping name ampoules or capsules) intended only for ‘‘Printing ink related material’’ may be use in sterilization devices, when with a subsidiary risk of 5.1 must not be used as a propellant in a chemical under used for consignments of packages containing less than 30 mL of ethylene containing ‘‘Printing ink’’ and ‘‘Printing oxide per inner packaging with not pressure. c. Where the liquid or solid ink related material’’ in the same more than 300 mL per outer packaging, package. components are classed as Division 6.1, may be transported in accordance with 368 In the case of non-fissile or fissile- Packing Group II or III, or Class 8, § 173.4a of this subchapter, irrespective excepted uranium hexafluoride, the of the restriction of § 173.4a(b) and the Packing Group II or III, the chemical material must be classified under indication of ‘‘forbidden’’ in columns under pressure must be assigned a UN3507 or UN2978. (9A) and (9B) of the § 172.101 table subsidiary risk of Division 6.1 or Class 369 In accordance with § 173.2a, this provided that: 8 and the appropriate identification radioactive material in an excepted number must be assigned. Components a. After filling, each glass inner package possessing corrosive properties classed as Division 6.1, Packing Group packaging must be determined to be is classified in Class 8 with a radioactive I, or Class 8, Packing Group I, must not leak-tight by placing the glass inner material subsidiary risk. Uranium be offered for transportation and packaging in a hot water bath at a hexafluoride may be classified under transported under this description. temperature and for a period of time this entry only if the conditions of d. A chemical under pressure with sufficient to ensure that an internal §§ 173.420(a)(4) and (a)(6), 173.420(d), components meeting the properties of: pressure equal to the vapor pressure of 173.421(a)(2) and (a)(4), and, for fissile- Class 1 (explosives); Class 3 (liquid ethylene oxide at 55 °C is achieved. Any excepted material, the conditions of desensitized explosives); Division 4.1 glass inner packaging showing evidence 173.453 are met. In addition to the (self-reactive substances and solid of leakage, distortion or other defect provisions applicable to the transport of desensitized explosives); Division 4.2 under this test must not be transported Class 8 substances, the provisions of (substances liable to spontaneous under the terms of this special §§ 173.421(a)(3), and 173.443(a) apply. combustion); Division 4.3 (substances provision; In addition, packages shall be legibly which, in contact with water, emit b. In addition to the packaging and durably marked with an flammable gases or toxic gases); identification of the consignor, the required in § 173.4a, each glass inner Division 5.1 (oxidizing substances); packaging must be placed in a sealed consignee, or both. No Class 7 label is Division 5.2 (organic peroxides); required to be displayed. The consignor plastic bag compatible with ethylene Division 6.2 (Infectious substances); or, oxide and capable of containing the shall be in possession of a copy of each Class 7 (Radioactive material), must not applicable certificate when packages contents in the event of breakage or be offered for transportation under this leakage of the glass inner packaging; and include fissile material excepted by description. competent authority approval. When a c. Each glass inner packaging is e. A description to which special consignment is undeliverable, the protected by a means of preventing provision 170 or TP7 is assigned in consignment shall be placed in a safe puncture of the plastic bag (e.g., sleeves Column 7 of the § 172.101 Hazardous location and the appropriate competent or cushioning) in the event of damage to Materials Table, and therefore requires authority shall be informed as soon as the packaging (e.g., by crushing). air to be eliminated from the package possible and a request made for * * * * * vapor space by nitrogen or other means, instructions on further action. If it is 362 This entry applies to liquids, must not be offered for transportation evident that a package of radioactive pastes or powders, pressurized with a under this description. material, or conveyance carrying propellant that meets the definition of a f. Chemicals under pressure unpackaged radioactive material, is gas in § 173.115. A chemical under containing components forbidden for leaking, or if it is suspected that the pressure packaged in an aerosol transport on both passenger and cargo package, or conveyance carrying dispenser must be transported under aircraft in Columns (9A) and (9B) of the unpackaged material, may have leaked, UN1950. The chemical under pressure § 172.101 Hazardous Materials Table the requirements of § 173.443(e) apply. must be classed based on the hazard must not be transported by air. 370 This entry also applies to characteristics of the components in the * * * * * Ammonium nitrate with not more than propellant; the liquid; or the solid. The 367 For the purposes of 0.2% combustible substances, including following provisions also apply: documentation and package marking: any organic substance calculated as

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carbon, to the exclusion of any added type, manufacture as well as the tests (1) Each inner packaging contains not substance, that gives a positive result and their results. The manufacturer more than 70 mL; when tested in accordance with Test must apply procedures to ensure that (2) The inner packaging is designed so Series 2 of the UN Manual of Tests and articles produced in series are made of that the vent is not immersed in liquid Criteria, Part I (incorporated by good quality, conform to the design type in any orientation; and are able to meet the requirements in reference; see § 171.7 of this (3) Each inner packaging is enclosed (a). The manufacturer must provide subchapter). See also UN No. 1942. in an intermediate rigid plastic 371 a. This entry also applies to such information to a representative of packaging with a small opening to articles not conforming to the the Department upon request. permit release of gas and contains a requirements of §§ 173.302, 173.304, or 372 This entry applies to asymmetric buffer that neutralizes the contents of 173.306 of this subchapter, containing a capacitors with an energy storage the inner packaging in the event of small pressure receptacle with a release capacity greater than 0.3 Wh. Capacitors leakage; device. Such articles must comply with with an energy storage capacity of 0.3 the following requirements: Wh or less are not subject to the (4) Intermediate packagings are (1) The water capacity of the pressure requirements of this subchapter. packed in a fiberboard box (4G) outer receptacle must not exceed 0.5 L and Energy storage capacity means the packaging; the working pressure must not exceed energy stored in a capacitor, as (5) Each outer packaging contains not 25 bar at 15 °C (59 °F); calculated according to the following more than 1.4 L of liquid; and (2) The minimum burst pressure of equation, (6) The rate of oxygen release from the 2¥ 2 × the pressure receptacle must be at least Wh = 1/2CN(UR UL ) (1/3600) outer packaging does not exceed 15 mL four times the pressure of the gas at Using the nominal capacitance (CN), per hour. ° ° 15 C (59 F); rated voltage (UR) and the rated b. Such packages must be transported (3) Each article must be manufactured lower limit voltage (UL). on cargo aircraft only. The requirements in such a way that unintentional firing Nickel-carbon asymmetric capacitors of §§ 173.24(g)(1) and 173.27(c) do not or release is avoided under normal containing Class 8 alkaline electrolytes apply. conditions of handling, packing, must be transported as UN2795, * * * * * transport and use. This may be fulfilled Batteries, wet, filled with alkali, electric (4) IB Codes and IP Codes. These by an additional locking device linked storage. provisions apply only to transportation to the activator; * * * * * (4) Each article must be manufactured in IBCs and Large Packagings. Table 1 (2) * * * authorizes IBCs for specific proper in such a way as to prevent hazardous A60 Sterilization devices, when shipping names through the use of IB projections of the pressure receptacle or containing less than 30 mL per inner Codes assigned in the § 172.101 table of parts of the pressure receptacle; packaging with not more than 150 mL this subchapter. Table 2 defines IP (5) Each pressure receptacle must be per outer packaging, may be transported Codes on the use of IBCs that are manufactured from material which will in accordance with the provisions in assigned to specific commodities in the not fragment upon rupture; § 173.4a, irrespective of § 173.4a(b), (6) The design type of the article must provided such packagings were first § 172.101 Table of this subchapter. be subjected to a fire test. For this test, subjected to comparative fire testing. Table 3 authorizes Large Packagings for the provisions of paragraphs 16.6.1.2 Comparative fire testing between a specific proper shipping names through except letter g, 16.6.1.3.1 to 16.6.1.3.6, package as prepared for transport the use of IB Codes assigned in the 16.6.1.3.7(b) and 16.6.1.3.8 of the UN (including the substance to be § 172.101 table of this subchapter. Large Manual of Tests and Criteria must be transported) and an identical package Packagings are authorized for the applied. It must be demonstrated that filled with water must show that the Packing Group III entries of specific the article relieves its pressure by means maximum temperature measured inside proper shipping names when either of a fire degradable seal or other the packages during testing does not special provision IB3 or IB8 is assigned pressure relief device, in such a way differ by more than 200 °C (392 °F). to that entry in the § 172.101 Table. that the pressure receptacle will not Packagings may include a vent to permit When no IB code is assigned in the fragment and that the article or the slow escape of gas (i.e. not more § 172.101 Table for a specific proper fragments of the article do not rocket than 0.1 mL/hour per 30 mL inner shipping name, or in § 173.185 or more than 10 meters; and packaging at 20 °C (68 °F) produced § 173.225(e) Organic Peroxide Table for (7) The design type of the article must from gradual decomposition. The Type F organic peroxides, use of an IBC be subjected to the following test. A requirements of §§ 173.24(g)(1) and or Large Packaging for the material may stimulating mechanism must be used to 173.27(c) do not apply. be authorized when approved by the initiate one article in the middle of the A61 a. When used for purposes such Associate Administrator. The letter ‘‘Z’’ packaging. There must be no hazardous as sterilization, inner packagings of shown in the marking code for effects outside the package such as peroxyacetic acid, stabilized, classified composite IBCs must be replaced with disruption of the package, metal as UN 3107 Organic peroxide type E, a capital code letter designation found fragments or a receptacle which passes liquid or UN 3109 Organic peroxide in § 178.702(a)(2) of this subchapter to through the packaging. type F, liquid may be fitted with a vent specify the material used for the other b. The manufacturer must produce consisting of hydrophobic membrane, packaging. Tables 1, 2, and 3 follow: technical documentation of the design provided: * * * * *

TABLE 1—IB CODES (IBC CODES)

IBC code Authorized IBCs

IB1 ...... Authorized IBCs: Metal (31A, 31B and 31N). Additional Requirement: Only liquids with a vapor pressure less than or equal to 110 kPa at 50 °C (1.1 bar at 122 °F), or 130 kPa at 55 °C (1.3 bar at 131 °F) are authorized.

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TABLE 1—IB CODES (IBC CODES)—Continued

IBC code Authorized IBCs

IB2 ...... Authorized IBCs: Metal (31A, 31B and 31N); Rigid plastics (31H1 and 31H2); Composite (31HZ1). Additional Requirement: Only liquids with a vapor pressure less than or equal to 110 kPa at 50 °C (1.1 bar at 122 °F), or 130 kPa at 55 °C (1.3 bar at 131 °F) are authorized. IB3 ...... Authorized IBCs: Metal (31A, 31B and 31N); Rigid plastics (31H1 and 31H2); Composite (31HZ1 and 31HA2, 31HB2, 31HN2, 31HD2 and 31HH2). Additional Requirement: Only liquids with a vapor pressure less than or equal to 110 kPa at 50 °C (1.1 bar at 122 °F), or 130 kPa at 55 °C (1.3 bar at 131 °F) are authorized, except for UN2672 (also see special provision IP8 in Table 2 for UN2672). IB4 ...... Authorized IBCs: Metal (11A, 11B, 11N, 21A, 21B, 21N, 31A, 31B and 31N). IB5 ...... Authorized IBCs: Metal (11A, 11B, 11N, 21A, 21B, 21N, 31A, 31B and 31N); Rigid plastics (11H1, 11H2, 21H1, 21H2, 31H1 and 31H2); Composite (11HZ1, 21HZ1 and 31HZ1). IB6 ...... Authorized IBCs: Metal (11A, 11B, 11N, 21A, 21B, 21N, 31A, 31B and 31N); Rigid plastics (11H1, 11H2, 21H1, 21H2, 31H1 and 31H2); Composite (11HZ1, 11HZ2, 21HZ1, 21HZ2 and 31HZ1). Additional Requirement: Composite IBCs 11HZ2 and 21HZ2 may not be used when the hazardous materials being trans- ported may become liquid during transport. IB7 ...... Authorized IBCs: Metal (11A, 11B, 11N, 21A, 21B, 21N, 31A, 31B and 31N); Rigid plastics (11H1, 11H2, 21H1, 21H2, 31H1 and 31H2); Composite (11HZ1, 11HZ2, 21HZ1, 21HZ2 and 31HZ1); Wooden (11C, 11D and 11F). Additional Requirement: Liners of wooden IBCs must be sift-proof. IB8 ...... Authorized IBCs: Metal (11A, 11B, 11N, 21A, 21B, 21N, 31A, 31B and 31N); Rigid plastics (11H1, 11H2, 21H1, 21H2, 31H1 and 31H2 ); Composite (11HZ1, 11HZ2, 21HZ1, 21HZ2 and 31HZ1); Fiberboard (11G); Wooden (11C, 11D and 11F); Flexible (13H1, 13H2, 13H3, 13H4, 13H5, 13L1, 13L2, 13L3, 13L4, 13M1 or 13M2). IB9 ...... IBCs are only authorized if approved by the Associate Administrator.

TABLE 2—IP CODES

IP code

IP1 ...... IBCs must be packed in closed freight containers or a closed transport vehicle. IP2 ...... When IBCs other than metal or rigid plastics IBCs are used, they must be offered for transportation in a closed freight con- tainer or a closed transport vehicle. IP3 ...... Flexible IBCs must be sift-proof and water-resistant or must be fitted with a sift-proof and water-resistant liner. IP4 ...... Flexible, fiberboard or wooden IBCs must be sift-proof and water-resistant or be fitted with a sift-proof and water-resistant liner. IP5 ...... IBCs must have a device to allow venting. The inlet to the venting device must be located in the vapor space of the IBC under maximum filling conditions. IP6 ...... Non-specification bulk bins are authorized. IP7 ...... For UN identification numbers 1327, 1363, 1364, 1365, 1386, 1841, 2211, 2217, 2793 and 3314, IBCs are not required to meet the IBC performance tests specified in part 178, subpart N of this subchapter. IP8 ...... Ammonia solutions may be transported in rigid or composite plastic IBCs (31H1, 31H2 and 31HZ1) that have successfully passed, without leakage or permanent deformation, the hydrostatic test specified in § 178.814 of this subchapter at a test pressure that is not less than 1.5 times the vapor pressure of the contents at 55 °C (131 °F). IP13 ...... Transportation by vessel in IBCs is prohibited. IP14 ...... Air must be eliminated from the vapor space by nitrogen or other means. IP15 ...... For UN2031 with more than 55% nitric acid, rigid plastic IBCs and composite IBCs with a rigid plastic inner receptacle are au- thorized for two years from the date of IBC manufacture. IP16 ...... IBCs of type 31A and 31N are only authorized if approved by the Associate Administrator. IP20 ...... Dry sodium cyanide or potassium cyanide is also permitted in siftproof, water-resistant, fiberboard IBCs when transported in closed freight containers or transport vehicles.

* * * * * ■ 13. In § 172.204, paragraph (a)(2) is substituted for the word ‘‘below’’ as appropriate. (8) * * * revised to read as follows: (ii) * * * § 172.204 Shipper’s certification. * * * * * ■ * * * * * (a) * * * 14. In § 172.315, revise paragraphs (a)(2), and (b)(2) to read as follows: TP47 The 2.5 year internal (2) ‘‘I hereby declare that the contents examination may be waived or of this consignment are fully and § 172.315 Limited quantities. substituted by other test methods or accurately described above by the (a) * * * inspection procedures specified by the proper shipping name, and are competent authority or its authorized (2) The square-on-point must be classified, packaged, marked and durable, legible and of a size relative to body, provided that the portable tank is labeled/placarded, and are in all the packaging, readily visible, and must dedicated to the transport of the respects in proper condition for be applied on at least one side or one organometallic substances to which this transport according to applicable end of the outer packaging. The width tank special provision is assigned. international and national governmental of the border forming the square-on- However this examination is required regulations.’’ point must be at least 2 mm and the when the conditions of § 180.605(f) are minimum dimension of each side, as met. Note to paragraph (a)(2): In the certification the word ‘‘above’’ may be measured from the outside of the lines * * * * * forming the border, must be 100 mm

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unless the packaging size requires a (2.9 inches) in width as measured from of this paragraph in effect on December reduced size marking that must be no the outside of the lines forming the 31, 2014, may continue to be used until less than 50 mm on each side and the border. Markings with not less than half December 31, 2016. width of the border forming the square this dimension are permissible where (4) For domestic transportation, a on point may be reduced to a minimum the dimensions of the package can only packaging marked prior to January 1, of 1 mm. Where dimensions are not bear a smaller mark. 2017 and in conformance with the specified, all features shall be in (1) Transitional exception. A marking requirements of this paragraph in effect approximate proportion to those shown. in conformance with the requirements on December 31, 2014, may continue in When intended for transportation by of this paragraph in effect on December service until the end of its useful life. vessel, a cargo transport unit (see 31, 2014, may continue to be used until * * * * * § 176.2 of this subchapter) containing December 31, 2016. ■ (2) For domestic transportation, a 17. In § 172.326, paragraph (a) is packages of hazardous materials in only revised to read as follows: limited quantities must be marked once packaging marked prior to January 1, on each side and once on each end of 2017 and in conformance with the § 172.326 Portable tanks. the exterior of the unit with an identical requirements of this paragraph in effect (a) Shipping name. No person may mark which must have minimum on December 31, 2014, may continue in offer for transportation or transport a dimensions of 250 mm on each side. service until the end of its useful life. portable tank containing a hazardous (i) Transitional exception. A marking * * * * * material unless it is legibly marked on in conformance with the requirements ■ 16. In § 172.322, revise paragraphs two opposing sides with the proper of this paragraph in effect on December (a)(2), (b) introductory text, (e) shipping name specified for the material 31, 2014, may continue to be used until introductory text, and (e)(2) and add in the § 172.101 table. For transportation December 31, 2016. paragraphs (e)(3) and (e)(4) to read as by vessel, the minimum height for a (ii) For domestic transportation, a follows: proper shipping name marked on a packaging marked prior to January 1, § 172.322 Marine Pollutants. portable tank is 65 mm (2.5 inches); 2017 and in conformance with the except that portable tanks with a requirements of this paragraph in effect * * * * * capacity of less than 3,000 L (792.52 on December 31, 2014, may continue in (a) * * * gallons) may reduce the marking size to (2) Except as otherwise provided in service until the end of its useful life. not less than 12 mm (0.47 inches). (b) * * * this subchapter, the MARINE (2) The square-on-point must be POLLUTANT mark shall be placed in * * * * * durable, legible and of a size relative to association with the hazard warning ■ 18. In § 172.327, revise paragraph (a) the package as to be readily visible. The labels required by subpart E of this part to read as follows: square-on-point must be applied on at or, in the absence of any labels, in least one side or one end of the outer § 172.327 Petroleum sour crude oil in bulk association with the marked proper packaging. packaging. The width of the border shipping name. forming the square-on-point must be at (b) Except as otherwise provided in * * * * * least 2 mm and the minimum this subchapter, a bulk packaging that (a) The marking must be durable, dimension of each side, as measured contains a marine pollutant must— legible and of a size relative to the package as to be readily visible and from the outside of the lines forming the * * * * * border, must be 100 mm unless the (e) MARINE POLLUTANT mark. The similar to the illustration shown in this package size requires a reduced size MARINE POLLUTANT mark must paragraph with the minimum marking that must be no less than 50 conform to the following: dimension of each side of the marking mm on each side and the width of the at least 100 mm (3.9 inches) as * * * * * measured from the outside of the lines border forming the square on point may (2) The marking must be in the form forming the border. The width of the be reduced to a minimum of 1 mm. of a square-on-point. The symbol and border forming the square-on-point Where dimensions are not specified, all border must be black on a white or marking must be at least 5 mm. The features shall be in approximate suitable contrasting background. The marking must be displayed at each proportion to those shown. width of the border forming the square- location (e.g., manhole, loading head) (i) Transitional exception. A marking on-point marking must be at least 2 mm. where exposure to hydrogen sulfide in conformance with the requirements Each side of the mark must be— of this paragraph in effect on December (i) At least 100 mm (4 inches) as vapors may occur. (1) Transitional exception—A 31, 2014, may continue to be used until measured from the outside of the lines marking in conformance with the December 31, 2016. forming the border for marks applied to: (ii) For domestic transportation, a (A) Non-bulk packages, except in the requirements of this paragraph in effect packaging marked prior to January 1, case of packages which, because of their on December 31, 2014, may continue to 2017 and in conformance with the size, can only bear smaller marks. If the be used until December 31, 2016. requirements of this paragraph in effect size of the package so requires, the (2) For domestic transportation, a on December 31, 2014, may continue in dimensions/line thickness may be packaging marked prior to January 1, service until the end of its useful life. reduced, provided the marking remains 2017 and in conformance with the requirements of this paragraph in effect * * * * * clearly visible. Where dimensions are on December 31, 2014, may continue in ■ not specified, all features shall be in 15. In § 172.317, revise paragraph (b) service until the end of its useful life. to read as follows: approximate proportion to those shown. (B) Bulk packages with a capacity of * * * * * § 172.317 KEEP AWAY FROM HEAT less than 3,785 L (1,000 gallons); or ■ 19. In § 172.407, paragraphs (c)(1) and handling mark. (ii) At least 250 mm (10 inches) for (d)(2)(iii) are revised and paragraph * * * * * marks applied to all other bulk (d)(2)(iv) is added to read as follows: (b) Location and design. The marking packages. must be a rectangle measuring at least (3) Transitional exception. A marking § 172.407 Label specifications. 105 mm (4.1 inches) in height by 74 mm in conformance with the requirements * * * * *

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(c) Size. (1) Each diamond (square-on- § 172.512 Freight containers and aircraft § 173.3 Packaging and exceptions. point) label prescribed in this subpart unit load devices. * * * * * must be at least 100 mm (3.9 inches) on (a) * * * (c) * * * each side with each side having a solid (3) Placarding is not required on a (3) Each salvage packaging must be line inner border 5 mm inside and freight container or aircraft unit load marked with the proper shipping name parallel to the edge. The 5 mm device if it is only transported by air of the hazardous material inside the measurement is from the outside edge of and is identified as containing a packaging and the name and address of the label to the outside of the solid line hazardous material in the manner the consignee. In addition, the forming the inner border. The width of provided in part 7, chapter 2, section packaging must be marked the solid line forming the inner border 2.8, of the ICAO Technical Instructions ‘‘SALVAGE’’. The lettering of the must be at least 2 mm. (IBR, see § 171.7 of this subchapter). marking must be at least 12 mm (0.5 (i) If the size of the package so * * * * * inches) high. (i) Transitional exception. A marking requires, the dimensions of the label ■ 21. In § 172.519, revise paragraph in conformance with the requirements and its features may be reduced (c)(1) to read as follows: provided the symbol and other elements of this paragraph in effect on December of the label remain clearly visible. The § 172.519 General specifications for 31, 2014, may continue to be used until solid line forming the inner border must placards. December 31, 2016. remain 5 mm from the outside edge of * * * * * (ii) For domestic transportation, a the label and the minimum width of the (c) Size. (1) Each diamond (square-on- packaging marked prior to January 1, line must remain 2 mm. point) placard prescribed in this subpart 2017 and in conformance with the (ii) Where dimensions are not must measure at least 250 mm (9.84 requirements of this paragraph in effect specified, all features shall be in inches) on each side and must have a on December 31, 2014, may continue in approximate proportion to those shown solid line inner border 12.5 mm inside service until the end of its useful life. in §§ 172.411 through 172.448 of this and parallel to the edge. The 12.5 mm * * * * * subpart, as appropriate. measurement is from the outside edge of (d) * * * (iii) Transitional exception—A label the placard to the outside of the solid (3) * * * in conformance with the requirements line forming the inner border. (i) (iv) The word ‘‘SALVAGE’’ in letters of this paragraph in effect on December Transitional exceptions A placard in at least 12 mm (0.5 inches) high on 31, 2014, may continue to be used until conformance with the requirements of opposite sides near the middle of the December 31, 2016. this paragraph in effect on December 31, cylinder; stamping on the sidewall is not authorized. (iv) For domestic transportation, a 2014, may continue to be used until (A) Transitional exception. A marking packaging labeled prior to January 1, December 31, 2016. in conformance with the requirements 2017 and in conformance with the (ii) For domestic transportation, a of this paragraph in effect on December requirements of this paragraph in effect placard manufactured prior to January 31, 2014, may continue to be used until on December 31, 2014, may continue in 1, 2017 in conformance with the December 31, 2016. service until the end of its useful life. requirements of this paragraph in effect on December 31, 2014, may continue in (B) For domestic transportation, a * * * * * service until the end of its useful life packaging marked prior to January 1, (d) * * * provided the color tolerances are 2017 and in conformance with the (2) * * * maintained and are in accordance with requirements of this paragraph in effect (iii) White may be used for the symbol the display requirements of this on December 31, 2014, may continue in for the ORGANIC PEROXIDE label. subchapter. service until the end of its useful life. (A) If white is used for the symbol for * * * * * * * * * * the ORGANIC PEROXIDE label then the (f) Large salvage packagings. Except solid line forming the inner border on PART 173—SHIPPERS—GENERAL for transportation by air, packages of the upper half of the label must also be REQUIREMENTS FOR SHIPMENTS hazardous materials that are damaged, white. AND PACKAGINGS defective, or leaking; packages found to (B) Transitional exception. A label in be not conforming to the requirements ■ conformance with the requirements of 22. The authority citation for part 173 of this subchapter after having been this paragraph in effect on December 31, continues to read as follows: placed in transportation; and, hazardous 2014, may continue to be used until Authority: 49 U.S.C. 5101–5128, 44701; 49 materials that have spilled or leaked December 31, 2016. CFR 1.81, 1.96 and 1.97. may be placed in a large salvage (C) For domestic transportation, a packaging that is compatible with the ■ 23. In § 173.2a, paragraph (a)(1) is packaging labeled prior to January 1, lading and shipped for repackaging or revised to read as follows: 2017 and in conformance with the disposal under the following conditions: requirements of this paragraph in effect § 173.2a Classification of a material having (1) Large salvage packagings must be on December 31, 2014, may continue in more than one hazard. tested and marked in accordance with part 178, subparts P and Q of this service until the end of its useful life. (a) * * * subchapter at the Packing Group II or (iv) The FLAMMABLE GAS label (1) Class 7 (radioactive materials, higher performance standards for large displayed on cylinders and gas other than limited quantities; and packagings intended for the transport of cartridges for liquefied petroleum gases shipments of UN 3507, Uranium solids or inner packagings, except as may be shown in the background color hexafluoride, radioactive material, follows: of the receptacle if adequate contrast is excepted package) (i) The test substance used in provided. * * * * * performing the tests shall be water, and * * * * * ■ 24. In § 173.3, paragraphs (c)(3) and the large salvage packagings must be ■ 20. In § 172.512, paragraph (a)(3) is (d)(3)(iv) are revised and paragraph (f) is filled to not less than 98 percent of their revised to read as follows: added to read as follows: maximum capacity; and

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(ii) Large salvage packagings must ■ 25. In § 173.4a, revise paragraph (g)(2) ■ 26. In § 173.9, revise paragraph (e)(1) have been successfully subjected to a to read as follows: to read as follows: leakproofness test of 30 kPa (4.4 psig). (2) Each large salvage packaging shall § 173.4a Excepted quantities. § 173.9 Transport vehicles or freight be provided when necessary with * * * * * containers containing lading which has been fumigated. sufficient cushioning and absorption (g) * * * material to prevent excessive shifting of * * * * * the contents and to eliminate the (2) The marking must be durable and clearly visible and in the form of a (e) FUMIGANT marking. (1) The presence of any free liquid at the time FUMIGANT marking must consist of the packaging is closed. All cushioning square. The hatching must be of the same color, black or red on white or a black letters on a white background that and absorbent material used in the large is a rectangle at least 400 mm (15.75 salvage packaging must be compatible suitable contrasting background. The inches) wide and at least 300 mm (11.8 with the hazardous material. minimum dimensions must not be less (3) Each large salvage packaging must than 100 mm (3.9 inches) by 100 mm inches) high as measured to the outside be marked with the proper shipping (3.9 inches) as measured from the of the lines forming the border of the name of the hazardous material inside outside of the hatching forming the marking. The minimum width of the the packaging and the name and address border. Where dimensions are not line forming the border must be 2 mm of the consignee. In addition, the specified, all features shall be in and the text on the marking must not be packaging must be marked approximate proportion to those shown. less than 25 mm high. Except for size ‘‘SALVAGE’’. The lettering of the (i) Transitional exception—A marking and color, the FUMIGANT marking marking must be at least 12 mm (0.5 in conformance with the requirements must be as shown in the following inches) high. of this paragraph in effect on December figure. Where dimensions are not (4) Each large salvage packaging shall 31, 2014, may continue to be used until specified, all features shall be in be labeled as prescribed for the December 31, 2016. approximate proportion to those shown. respective material. (i) Transitional exception. A marking (5) The shipper shall prepare shipping (ii) For domestic transportation, a in conformance with the requirements papers in accordance with subpart C of packaging marked prior to January 1, of this paragraph in effect on December part 172 of this subchapter. 2017 and in conformance with the (6) The overpack requirements of requirements of this paragraph in effect 31, 2014, may continue to be used until § 173.25 do not apply to large salvage on December 31, 2014, may continue in December 31, 2016. packagings used in accordance with this service until the end of its useful life. (ii) [Reserved] paragraph. * * * * * BILLING CODE 4910–60–P

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BILLING CODE 4910–60–C § 173.11 Exceptions for shipment of light households when transported to a * * * * * bulbs containing hazardous materials. collection or recycling facility. ■ 27. A new § 173.11 is added to read The following light bulbs (lamps) are (b) Light bulbs each containing not as follows: not subject to any other requirements of more than 1 g of hazardous materials this subchapter provided they do not and packaged so that there is not more contain Class 7 (radioactive) material: than 30 g of hazardous materials per (a) Light bulbs that are collected package. Each light bulb must be packed directly from individuals and in inner packagings separated by

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dividers, or surrounded by cushioning for specification packagings (but not the ‘‘OVERPACK’’ marking must be at material to protect the light bulbs and including UN standard packagings least 12 mm (0.5 inches) high. packed into strong outer packagings manufactured outside the United (i) Transitional exception. A marking meeting the requirements of § 173.24(b) States), the specification requirements in conformance with the requirements of this subpart and capable of passing a in parts 178 and 179 of this subchapter; of this paragraph in effect on December 1.2 m (4 feet) drop test; or 31, 2014, may continue to be used until (c) Used, damaged, defective light (ii) The packaging is permitted under, December 31, 2016. bulbs each containing not more than 1 and conforms to, provisions contained (ii) For domestic transportation, an g of hazardous materials and packaged in subparts B or C of part 171 of this overpack marked prior to January 1, so that there is not more than 30 g of subchapter or §§ 173.3, 173.4, 173.4a, 2017 and in conformance with the hazardous materials per package when 173.4b, 173.5, 173.5a, 173.6, 173.7, requirements of this paragraph in effect transported from a collection or 173.8, 173.27, or § 176.11 of this on December 31, 2014, may continue in recycling facility. The light bulbs must subchapter. service until the end of its useful life. be packed in strong outer packagings * * * * * meeting the requirements of § 173.24(b) (2) The use of supplementary of this subpart and capable of passing a packagings within an outer packaging ■ 30. In § 173.62, in paragraph (b), in the 1.2 m (4 feet) drop test. (e.g., an intermediate packaging or a Explosives Table, the entry for UN0222 (d) Light bulbs containing only gases receptacle inside a required inner is revised; in paragraph (c), in the Table of Division 2.2 provided they are packaging) additional to what is of Packing Methods, Packing packaged so that the projectile effects of required by this subchapter is Instructions 116, 117, 131, and 137 are any rupture of the bulb will be authorized provided all applicable revised to read as follows: contained within the package. requirements of this subchapter are met and, when necessary, suitable § 173.62 Specific packaging requirements ■ 28. In § 173.24, paragraph (c) is for explosives. revised to read as follows: cushioning is used to prevent movement within the packaging. * * * * * (b) * * * § 173.24 General requirements for * * * * * packagings and packages. ■ * * * * * 29. In § 173.25, revise paragraph (a)(4) EXPLOSIVES TABLE (c) Authorized packagings. (1) A to read as follows: ID No. PI packaging is authorized for a hazardous § 173.25 Authorized packagings and material only if— overpacks. (i) The packaging is prescribed or (a) * * * ***** permitted for the hazardous material in UN0222 ...... 112(b), 112(c) or 117. a packaging section specified for that (4) The overpack is marked with the material in Column 8 of the § 172.101 word ‘‘OVERPACK’’ when specification table and conforms to applicable packagings are required, unless ***** requirements in the special provisions specification markings on the inside of Column 7 of the § 172.101 table and, packages are visible. The lettering on (c) * * *

TABLE OF PACKING METHODS

Packing instruction Inner packagings Intermediate packagings Outer packagings

******* 116 ...... Bags ...... Not necessary ...... Bags. PARTICULAR PACKING REQUIRE- paper, water and oil woven plastics (5H1/2/3). MENTS OR EXCEPTIONS: resistant plastics. paper, multiwall, water resistant 1. For UN 0082, 0241, 0331 and textile, plastic coated (5M2). 0332, inner packagings are not or lined woven plas- plastics, film (5H4). necessary if leakproof removable tics, sift-proof textile, sift-proof (5L2). head drums are used as the outer Receptacles ...... textile, water resistant (5L3). packaging. fiberboard, water re- Boxes. 2. For UN 0082, 0241, 0331 and sistant metal. steel (4A). 0332, inner packagings are not re- plastics ...... aluminum (4B). quired when the explosive is con- wood, sift-proof ...... other metal (4N). tained in a material impervious to Sheets ...... wood, natural, ordinary (4C1). liquid. paper, water resistant natural wood, sift proof walls (4C2). 3. For UN 0081, inner packagings paper, waxed ...... plywood (4D). are not required when contained in plastics ...... reconstituted wood (4F). rigid plastic that is impervious to fiberboard (4G). nitric esters. plastics, solid (4H2). 4. For UN 0331, inner packagings Drums. are not required when bags (5H2), steel (1A1 or 1A2). (5H3) or (5H4) are used as outer aluminum (1B1 or 1B2). packagings. other metal (1N1 or 1N2). 5. For UN0081, bags must not be plywood (1D). used as outer packagings. fiber (1G). plastics (1H1 or 1H2). Jerricans. steel (3A1 or 3A2). plastics (3H1 or 3H2).

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TABLE OF PACKING METHODS—Continued

Packing instruction Inner packagings Intermediate packagings Outer packagings

117 ...... Not necessary ...... Not necessary ...... IBCs. PARTICULAR PACKING REQUIRE- metal (11A), (11B), (11N), (21A), MENTS OR EXCEPTIONS: (21B), (21N), (31A), (31B), (31N). 1. This packing instruction may only flexible (13H2), (13H3), (13H4), be used for explosives of UN 0082 (13L2), (13L3), (13L4), (13M2). when they are mixtures of ammo- rigid plastics (11H1), (11H2), (21H1), nium nitrate or other inorganic ni- (21H2), (31H1), (31H2). trates with other combustible sub- composite (11HZ1), (11HZ2), stances that are not explosive in- (21HZ1), (21HZ2), (31HZ1), gredients. Such explosives must (31HZ2). not contain nitroglycerin, similar liquid organic nitrates, liquid or solid nitrocarbons, or chlorates. 2. This packing instruction may only be used for explosives of UN 0241 that consist of water as an essen- tial ingredient and high proportions of ammonium nitrate or other oxidizers, some or all of which are in solution. The other constituents may include hydrocarbons or alu- minum powder, but must not in- clude nitro-derivatives such as tri- nitrotoluene. 3. Metal IBCs must not be used for UN 0082, UN 0222 and UN 0241. 4. Flexible IBCs may only be used for solids. 5. For UN 0222, when other than metal or rigid plastics IBCs are used, they must be offered for transportation in a closed freight container or a closed transport ve- hicle. 6. For UN 0222, flexible IBCs must be sift-proof and water-resistant or must be fitted with a sift-proof and water-resistant liner.

******* 131 ...... Bags ...... Not necessary ...... Boxes. PARTICULAR PACKING REQUIRE- paper ...... steel (4A). MENTS OR EXCEPTIONS: plastics ...... aluminum (4B). 1. For UN 0029, 0267 and 0455, bags Receptacles ...... other metal (4N). and reels may not be used as inner fiberboard ...... wood, natural, ordinary (4C1). packagings. metal ...... natural wood, sift proof walls (4C2). 2. For UN 0030, 0255 and 0456, inner plastics ...... plastics, solid (4H2). packagings are not required when det- wood ...... plywood (4D). onators are packed in pasteboard Reels ...... reconstituted wood (4F). tubes, or when their leg wires are fiberboard (4G). wound on spools with the caps either Drums. placed inside the spool or securely steel (1A1 or 1A2). taped to the wire on the spool, so as to Aluminum (1B1 or 1B2). restrict free moving of the caps and to other metal (1N1 or 1N2). protect them from impact forces. Plywood (1D). 3. For UN 0360, 0361 and 0500, deto- fiber (1G). nators are not required to be attached plastics (1H1 or 1H2). to the safety fuse, metal-clad mild det- onating cord, detonating cord, or shock tube. Inner packagings are not re- quired if the packing configuration re- stricts free moving of the caps and pro- tects them from impact forces.

******* 137 ...... Bags ...... Not necessary ...... Boxes.

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TABLE OF PACKING METHODS—Continued

Packing instruction Inner packagings Intermediate packagings Outer packagings

PARTICULAR PACKING REQUIRE- plastics ...... steel (4A). MENTS OR EXCEPTIONS: Boxes ...... aluminum (4B). For UN 0059, 0439, 0440 and 0441, fiberboard ...... other metal (4N). when the shaped charges are wood ...... wood, natural, ordinary (4C1). packed singly, the conical cavity Tubes ...... wood, natural, sift proof walls (4C2). must face downwards and the fiberboard ...... plastics, solid (4H2). package marked ‘‘THIS SIDE UP’’. metal ...... plywood (4D). When the shaped charges are plastics ...... reconstituted wood (4F). packed in pairs, the conical cav- Dividing partitions in the fiberboard (4G). ities must face inwards to mini- outer packagings. Drums. mize the jetting effect in the event steel (1A1 or 1A2). of accidental initiation. aluminum (1B1 or 1B2). other metal (1N1 or 1N2). plywood (1D). fiber (1G). plastics (1H1 or 1H2).

*******

* * * * * equal to the burning rate of a 1:2 mean burning rate of a 1:2 calcium ■ 31. In § 173.115, add paragraph (m) to calcium peroxide/cellulose mixture. peroxide/cellulose mixture and the read as follows: * * * * * criteria for Packing Groups I and II are (b) Assignment of packing groups. (1) not met. § 173.115 Class 2, Divisions 2.1, 2.2, and The packing group of a Division 5.1 (iv) The materials is not classified as 2.3—Definitions. material which is a solid shall be a Division 5.1 material if, in either * * * * * assigned using the following criteria: concentration tested: (m) Adsorbed gas. A gas which when (i) Packing Group I, for any material (A) If test O.1 is used (UN Manual of packaged for transport is adsorbed onto which, in either concentration tested: Tests and Criteria, sub-section 34.4.1), a solid porous material resulting in an (A) If test O.1 is used (UN Manual of the sample tested does not ignite and internal receptacle pressure of less than Tests and Criteria, sub-section 34.4.1), exhibit burn, or exhibits a mean burning 101.3 kPa at 20 °C and less than 300 kPa the mean burning time is less than the time of greater than or equal to the mean at 50 °C. mean burning time of a 3:2 potassium burning time of a 3:7 potassium bromate/cellulose mixture. ■ bromate/cellulose mixture; or 32. In § 173.121, paragraph (b)(1)(ii) is (B) If test O.3 is used (UN Manual of revised to read as follows: (B) If test O.3 is used (UN Manual of Tests and Criteria, sub-section 34.4.3), Tests and Criteria, sub-section 34.4.3), § 173.121 Class 3—Assignment of packing the mean burning rate is greater than the the sample tested does not ignite and group. mean burning rate of a 3:1 calcium exhibit burn, or exhibits a mean burning * * * * * peroxide/cellulose mixture. rate less than or equal to the mean burning rate of a 1:2 calcium peroxide/ (b) * * * (ii) Packing Group II, for any material cellulose mixture. (1) * * * which, in either concentration tested: * * * * * (ii) The mixture or any separated (A) If test O.1 is used (UN Manual of solvent does not contain any substances Tests and Criteria, sub-section 34.4.1), ■ 34. In § 173.151, revise paragraph (b) with a primary or a subsidiary risk of the mean burning time is less than the to read as follows: Division 6.1 or Class 8; mean burning time of a 2:3 potassium bromate/cellulose mixture and the § 173.151 Exceptions for Class 4. * * * * * criteria for Packing Group I are not met; * * * * * ■ 33. In § 173.127, paragraphs (a)(1) and or (b) Limited quantities of Division 4.1. (b) are revised to read as follows. (B) If test O.3 is used (UN Manual of (1) Limited quantities of flammable Tests and Criteria, sub-section 34.4.3), solids (Division 4.1) in Packing Groups § 173.127 Class 5, Division 5.1—Definition and assignment of packing groups. the mean burning rate is greater than the II and III and, where authorized by this mean burning rate of a 1:1 calcium section, charcoal briquettes (Division (a) * * * peroxide/cellulose mixture and the 4.2) in Packing Group III, are excepted (1) A solid material is classed as a criteria for Packing Group I are not met. from labeling requirements unless the Division 5.1 material if, when tested in (iii) Packing Group III for any material material is offered for transportation or accordance with the UN Manual of which, in either concentration tested: transported by aircraft, and are excepted Tests and Criteria (IBR, see § 171.7 of (A) If test O.1 is used (UN Manual of from the specification packaging this subchapter): Tests and Criteria, sub-section 34.4.1), requirements of this subchapter when (i) If test O.1 is used (UN Manual of the mean burning time is less than the packaged in combination packagings Tests and Criteria, sub-section 34.4.1), mean burning time of a 3:7 potassium according to this paragraph. If the mean burning time is less than or bromate/cellulose mixture and the authorized for transportation by aircraft, equal to the burning time of a 3:7 criteria for Packing Groups I and II are the package must also conform to potassium bromate/cellulose mixture; or not met; or applicable requirements of § 173.27 of (ii) If test O.3 is used (UN Manual of (B) If test O.3 is used (UN Manual of this part (e.g., authorized materials, Tests and Criteria, sub-section 34.4.3), Tests and Criteria, sub-section 34.4.3), inner packaging quantity limits and the mean burning rate is greater than or the mean burning rate is greater than the closure securement) and only hazardous

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material authorized aboard passenger- (5) [Reserved] an EX number. All other Class 9 carrying aircraft may be transported as * * * * * (UN3268) safety device designs are a limited quantity. A limited quantity ■ required to be submitted to the package that conforms to the provisions 37. Revise § 173.166 to read as Associate Administrator for approval of this section is not subject to the follows: and assigned an EX number; shipping paper requirements of subpart § 173.166 Safety devices. (2) A safety device may be classed as C of part 172 of this subchapter, unless For the purpose of this section, safety Division 1.4G if the maximum the material meets the definition of a devices are articles which contain parameters of each design type have hazardous substance, hazardous waste, pyrotechnic substances or hazardous been examined and successfully tested marine pollutant, or is offered for materials of other classes and are used by a person or agency who is authorized transportation and transported by in vehicles, vessels or aircraft to by the Associate Administrator to aircraft or vessel, and is eligible for the enhance safety to persons. Examples perform such examination and testing of exceptions provided in § 173.156 of this are: air bag inflators, air bag modules, explosives under § 173.56(b)(1). As a part. In addition, shipments of limited seat-belt pretensioners and Class 1 explosive, the manufacturer quantities are not subject to subpart F pyromechanical devices. must submit to the Associate (Placarding) of part 172 of this Pyromechanical devices are assembled Administrator a report of the subchapter. Each package must conform components for tasks such as but not examination and assignment of a to the packaging requirements of limited to separation, locking, release- recommended shipping description, subpart B of this part and may not and-drive or occupant restraint. The division, and compatibility group, and if exceed 30 kg (66 pounds) gross weight. term includes ‘‘Safety devices, the Associate Administrator finds the Except for transportation by aircraft, the pyrotechnic.’’ approval request meets the regulatory following combination packagings are (a) Definitions. An air bag inflator criteria, the explosive may be approved authorized: (consisting of a casing containing an in writing and assigned an EX number; (i) For flammable solids in Packing igniter, a booster material, a gas or Group II, inner packagings not over 1.0 generant and, in some cases, a pressure (3) The manufacturer has submitted kg (2.2 pounds) net capacity each, receptacle (cylinder)) is a gas generator an application, including a packed in a strong outer packaging. used to inflate an air bag in a classification issued by the competent (ii) For flammable solids in Packing supplemental restraint system in a authority of a foreign government to the Group III, inner packagings not over 5.0 motor vehicle. An air bag module is the Associate Administrator, and received kg (11 pounds) net capacity each, air bag inflator plus an inflatable bag written notification from the Associate packed in a strong outer packaging. assembly. A seat-belt pretensioner Administrator that the device has been (2) For transportation by highway or contains similar hazardous materials approved for transportation and rail, Charcoal briquettes (NA1361) may and is used in the operation of a seat- assigned an EX number. be packaged as a limited quantity in belt restraining system in a motor (c) EX numbers. (1) When a safety accordance with paragraph (b) of this vehicle. device is classed and approved as a section in packagings not exceeding 30 (b) Classification. (1) Safety devices, Division 1.4G and offered for kg gross weight and are eligible for the excluding those which contain transportation, the shipping paper must exceptions provided in § 173.156. flammable or toxic gases or mixtures contain the EX number or product code * * * * * thereof, may be classed as Class 9 for each approved device in association (UN3268) if the safety device, or if more with the basic description required by ■ 35. In § 173.161, paragraph (b)(2) is than a single safety device is involved § 172.202(a) of this subchapter. Product revised to read as follows: then the representative of the maximum codes must be traceable to the specific § 173.161 Chemical kits and first aid kits. parameters of each design type, is EX number assigned to the device by the Associate Administrator. Further, if the * * * * * examined and successfully tested by a EX number or product code is contained (b) * * * person or agency who is authorized by the Associate Administrator to perform on the shipping paper then it is not (2) The packing group assigned to the examination and testing of explosives required to be marked on the outside chemical kit and first aid kit as a whole under § 173.56(b)(1), and who: package. must be the most stringent packing (i) Does not manufacture or market (2) A safety device, when classed as group assigned to any individual explosives or safety devices, is not a Class 9 (UN3268), is excepted from the substance in the kit. The packing group owned in whole or in part, or is not EX number, or product code shipping must be shown on the shipping paper. financially dependent upon any entity paper requirements of paragraph (c) of Where the kit contains only hazardous that manufactures or markets explosives this section. materials to which no packing group is or safety devices; (d) Exceptions. (1) A safety device that assigned, the packagings shall meet the (ii) Performs all examination and is classed as a Class 9 (UN3268) under Packing Group II performance level. testing in accordance with the the terms of paragraph (b)(1) of this Where the kit contains only hazardous applicable requirements as specified in section and is installed in a motor materials to which no packing group is special provision 160 (see § 172.102 of vehicle, aircraft, boat or other transport assigned, the packing group does not this subchapter); and conveyance or its completed have to be indicated on the shipping (iii) Maintains records in accordance components, such as steering columns paper. with paragraph (g) of this section. or door panels, is not subject to the * * * * * (iv) By adhering to all the provisions requirements of this subchapter. A ■ 36. In § 173.164, paragraph (a)(5) is specified in paragraph (b)(1) of this safety device that has been classed as a removed and reserved: section, a Class 9 (UN3268) air bag Division 1.4G and approved by the inflator, air bag module or seat-belt Associate Administrator and is installed § 173.164 Mercury (metallic and articles pretensioner design is not required to be in a motor vehicle, aircraft, boat or other containing mercury). submitted to the Associate transport conveyance or its completed (a) * * * Administrator for approval or assigned components, such as steering columns

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or door panels, is not subject to the § 172.101 in effect on December 31, long as no modifications or changes are requirements of this subchapter. 2014; and made to the packagings; and (2) An air bag module containing an (ii) Described on a shipping paper (B) Transportation must be made by inflator that has been previously with either the appropriate proper private or contract carrier. approved by the Associate shipping name, or an appropriate proper (5) Packagings which were previously Administrator for transportation is not shipping name authorized by § 172.101 authorized in an approval issued by the required to be submitted for further in effect on December 31, 2014. Associate Administrator may continue examination or approval. For (e) Packagings. Rigid, outer to be used, provided a copy of the classifications granted after July 30, packagings, meeting the general approval is maintained while such 2013, if the Class 9 designation for the packaging requirements of part 173 are packaging is being used. inflator is contingent upon packaging or authorized as follows. Additionally, the (6) Safety Devices removed from a other special means specified by the UN specification packagings listed in vehicle. When removed from, or were authorized testing agency, the modules paragraphs (e)(1), (2), and (3) of this intended to be used in, a motor vehicle must be tested and certified separately section must meet the packaging that was manufactured as required for to determine if they can be shipped as specification and performance use in the United States and offered for ‘‘UN3268, Safety Devices, 9, PG III’’. requirements of part 178 of this domestic transportation by highway to (3) An air bag module containing an subchapter at the Packing Group III Recycling or Waste Disposal facilities, a inflator that has previously been performance level. The packagings must serviceable safety device classed as approved by the Associate be designed and constructed to prevent Class 9 UN3268 may be offered for Administrator as a Division 2.2 material movement of the articles and transportation and transported in the is not required to be submitted for inadvertent activation. Further, if the following additional packaging: further examination to be reclassed as a Class 9 designation is contingent upon (i) Specification and non-specification Class 9 material. packaging specified by the authorized steel drums with a wall and lid (4) Shipments to recycling or waste testing agency, shipments of the safety thickness not less than 20 gauge. The lid disposal facilities. When offered for device must be in compliance with the must be securely affixed with a lever- domestic transportation by highway, rail prescribed packaging. locking or bolted-ring assembly. The lid freight, cargo vessel or cargo aircraft, a (1) 1A2, 1B2, 1N2, 1D, 1G, or 1H2 of the drum must provide ventilation of serviceable safety device classed as drums. the drum contents in a fire. The drum either Class 9 (UN3268) or Division 1.4G (2) 3A2, 3B2, or 3H2 jerricans. may be filled with any combination of (3) 4A, 4B, 4N, 4C1, 4C2, 4D, 4F, 4G, removed from a motor vehicle that was safety devices to a capacity not greater 4H1, or 4H2 boxes. than fifty (50) percent of the drum’s manufactured as required for use in the (4) Reusable high-strength containers total volume. In addition, inner United States may be offered for or dedicated handling devices. (i) packagings or cushioning may not be transportation and transported without Reusable containers manufactured from used to fill the void space; or compliance with the shipping paper high-strength plastic, metal, or other requirement prescribed in paragraph (c) suitable material, or other dedicated (ii) Outer packaging consisting of 4H2 of this section. However, when these handling devices are authorized for solid plastic boxes or non-specification articles are shipped to a recycling shipment of safety devices from a rugged reusable plastic outer packaging facility, the word ‘‘Recycled’’ must be manufacturing facility to the assembly and inner static-resistant plastic bags or entered on the shipping paper facility, subject to the following trays. If not completely enclosed by immediately after the basic description conditions: design, the container or handling device prescribed in § 172.202 of this (A) The gross weight of the containers must be covered with plastic, subchapter. No more than one device is or handling devices may not exceed fiberboard, metal or other suitable authorized in the packaging prescribed 1000 kg (2205 pounds). Containers or material. The covering must be secured in paragraph (e)(1), (2) or (3) of this handling devices must provide adequate to the container by banding or other section. The device must be cushioned support to allow stacking at least three comparable methods. The articles must and secured within the package to units high with no resultant damage; be packed to prevent movement within prevent movement during (B) If not completely enclosed by the container during transportation. transportation. design, the container or handling device (f) Labeling. Notwithstanding the (5) An air bag inflator, air bag module, must be covered with plastic, provisions of § 172.402, each package or or seat-belt pretensioner that was fiberboard, metal, or other suitable handling device must display a CLASS classed and approved for transportation material. The covering must be secured 9 label. Additional labeling is not prior to January 1, 2015 may continue to the container by banding or other required when the package contains no to be transported under the terms of the comparable methods; and hazardous materials other than the existing approval, using the appropriate (C) Internal dunnage must be devices. proper shipping name ‘‘Safety Devices’’ sufficient to prevent movement of the (g) Recordkeeping requirements. (1) or ‘‘Safety Devices, Pyrotechnic’’ based devices within the container. Following the examination of each new on the classification of the device as (ii) Reusable containers manufactured design type classed as a Class 9 in assigned by PHMSA or the authorized from high-strength plastic, metal, or accordance with paragraph (b)(1) of this person or agency that examined and other suitable material, or other section, the person that conducted the tested the design type. dedicated handling devices are examination must prepare a test report (6) Until January 1, 2016, for domestic authorized for shipment of safety and provide the test report to the transportation by highway, rail, and devices only to, between, and from, manufacturer of the safety device. At a vessel, packages containing air bag intermediate handling locations, minimum, the test report must contain inflators, air bag modules, or seat-belt provided they meet the conditions the following information: pretensioners may be; specified in paragraphs (e)(4)(i)(A) (i) Name and address of the test (i) Marked with either the appropriate through (C) of this section and: facility; proper shipping name, or an appropriate (A) The packages may be opened and (ii) Name and address of the proper shipping name authorized by re-packed by an intermediate handler as applicant;

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(iii) Manufacturer of the device. For a (ii) Except for asymmetric capacitors, capable of withstanding a 1.2 meter (3.9 foreign manufacturer, the U.S. agent or when the energy storage capacity of a feet) drop test unpackaged onto a rigid, importer must be identified; capacitor or a capacitor in a module is non-resilient, flat and horizontal surface (iv) A test report number, drawing of more than 10 Wh, the capacitor or without loss of contents. the device, and description of the safety module must be fitted with a metal strap (f) Except for asymmetric capacitors, device in sufficient detail to ensure that connecting the terminals. capacitors containing an electrolyte the test report is traceable (e.g. a unique (iii) When an asymmetric capacitor’s meeting the definition of one or more product identifier) to a specific design; energy storage capacity is greater than hazard class or division as defined in (v) The tests conducted and the 0.3 Wh, or when the energy storage this part, that are not installed in results; and capacity of each capacitor in a module equipment, and with an energy storage (vi) A certification that the safety is greater than 0.3 Wh, the capacitor or capacity of more than 10 Wh are subject device is classed as a Class 9 (UN3268). module must be protected against short to the requirements of this subchapter. (2) For at least fifteen (15) years after circuit. (g) Asymmetric capacitors containing testing, a copy of each test report must (3) Capacitors containing an an electrolyte meeting the definition of be maintained by the authorizing testing electrolyte that meets the definition of one or more hazard class or division as agency. For as long as any safety device one or more hazard class or division as defined in this part, that are not design is being manufactured, and for at defined in this part, must be designed installed in equipment, and with an least fifteen (15) years thereafter, a copy to withstand a 95 kPa (0.95 bar, 14 psi) energy storage capacity of more than 20 of each test report must be maintained pressure differential. Wh are to the requirements of this by the manufacturer of the product. (4) Capacitors must be designed and subchapter. (3) Test reports must be made constructed to safely relieve pressure (h) Capacitors installed in equipment available to a representative of the that may build up in use, through a vent and containing an electrolyte meeting Department upon request. or a weak point in the capacitor casing. the definition of one or more hazard ■ 38. In § 173.167, paragraph (a)(4) is Any liquid that is released upon venting class or division as defined in this part, revised to read as follows: must be contained by the packaging or are not subject to any other by the equipment in which a capacitor requirements of this subchapter, § 173.167 Consumer Commodities. is installed. provided the equipment is packaged in (a) * * * (5) Except for asymmetric capacitors, a strong outer packaging and in such a (4) Drop test capability. Breakable capacitors manufactured after December manner as to prevent accidental inner packagings (e.g., glass, 31, 2013, or asymmetric capacitors functioning of the capacitors during earthenware, or brittle plastic) must be manufactured after December 31, 2015, transport. Large, robust equipment packaged to prevent failure under must be marked with the energy storage containing capacitors may be offered for conditions normally incident to capacity in Wh. transport unpackaged or on pallets transport. Packages of consumer (b) Capacitors must be packed in when the capacitors are afforded commodities as prepared for transport strong outer packagings. For transport equivalent protection by the equipment must be capable of withstanding a 1.2 m by air, capacitors must be securely in which they are contained. drop on solid concrete in the position cushioned within the outer packagings. ■ 40. In § 173.181, paragraph (c) is most likely to cause damage. In order to Capacitors installed in equipment may revised to read as follows: pass the test, the outer packaging must be offered for transport unpackaged or not exhibit any damage liable to affect on pallets, when the capacitors are § 173.181 Pyrophoric materials (liquids). safety during transport and there must afforded equivalent protection by the * * * * * be no leakage from the inner equipment in which they are contained. (c) Steel drums (1A1 or 1A2), packaging(s). (c) Capacitors containing an aluminum drums (1B1 or 1B2), metal * * * * * electrolyte not meeting the definition of drums, other than steel or aluminum any hazard class or division as defined (1N1 or 1N2) or fiber drums (1G); steel ■ 39. Section 173.176, is revised to read in this part, including when configured jerricans (3A1 or 3A2) or aluminum as follows: in a module or when installed in jerricans (3B1 or 3B2); or steel boxes § 173.176 Capacitors. equipment, are not subject to any other (4A), aluminum boxes (4B) or metal (a) Capacitors, including capacitors requirements of this subchapter. boxes, other than steel or aluminum containing an electrolyte that does not (d) Except for asymmetric capacitors, (4N) not exceeding 220 L (58 gallons) meet the definition of any hazard class capacitors containing an electrolyte that capacity each with strong, tight inner or division as defined in this part, must meets the definition of one or more metal cans not over 4.0 L (1 gallon) conform to the following requirements: hazard class or division as defined in capacity each. The strong, tight metal (1) Except for asymmetric capacitors, this part, with an energy storage cans must be closed by positive means, capacitors not installed in equipment capacity of 10 Wh or less are not subject not friction. must be transported in an uncharged to any other requirements of this (1) Inner packagings must have no state. subchapter, when they are capable of opening exceeding 25 mm (1 inch) (2) Each capacitor or module must be withstanding a 1.2 m (3.9 feet) drop test diameter and must be surrounded with protected against a potential short unpackaged onto a rigid, non-resilient, noncombustible cushioning material. circuit hazard in transport as follows: flat and horizontal surface without loss (2) Net quantity of pyrophoric liquids (i) Except for asymmetric capacitors, of contents. may not exceed two-thirds of the rated when a capacitor’s energy storage (e) Asymmetric capacitors containing capacity of the outer drum. For capacity is less than or equal to 10 Wh an electrolyte that meets the definition example, a 220 L (58 gallons) outer or when the energy storage capacity of of one or more hazard class or division drum may contain no more than 147 L each capacitor in a module is less than as defined in this part, with an energy (39 gallons) of pyrophoric liquids. or equal to 10 Wh, the capacitor or storage capacity of 20 Wh or less, (3) Each layer of inner containers module must be protected against short including when configured in a module, must be separated by a metal plate circuit or be fitted with a metal strap are not subject to other provisions of separator in addition to cushioning connecting the terminals; or this subchapter when the capacitors are material.

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■ 41. In § 173.185, FORBIDDEN FOR TRANSPORT (a) * * * ■ a. Paragraph (b)(6) is added; ABOARD PASSENGER AIRCRAFT, or (5) The following square-on-point ■ b. Paragraphs (c) introductory text, labeled with a CARGO AIRCRAFT mark must be displayed on the outer (c)(1)(iii) and (c)(4)(v) are revised; and ONLY’’ label specified in § 172.448 of packaging on a background of ■ d. Paragraph (f)(3) is revised. this subchapter. contrasting color. The width of the line The revisions and additions read as * * * * * forming the border must be at least 2 follows: (4) * * * mm (0.08 inches) and the letters and § 173.185 Lithium cells and batteries. (v) A package that exceeds the numbers must be at least 6 mm (0.24 * * * * * number or quantity (mass) limits in the inches) high. The size of the mark must (b) * * * table shown in (c)(4) is subject to all be such that no side of the diamond is (6) Except for transportation by applicable requirements of this less than 50 mm (1.97 inches) in length aircraft, the following rigid large subchapter, except that a package as measured from the outside of the packagings are authorized for a single containing no more than 2.5 kg lithium lines forming the border. The proper battery, including for a battery metal cells or batteries or 10 kg lithium shipping name ‘‘Biological substances, contained in equipment, meeting ion cells or batteries is not subject to the Category B’’ must be marked on the provisions (b)(1) and (2) of this section UN performance packaging outer packaging adjacent to the and the requirements of part 178, requirements in paragraphs (b)(3)(ii) of diamond-shaped mark in letters that are subparts P and Q, of this subchapter at this section when the package displays at least 6 mm (0.24 inches) high. the Packing Group II level: both the lithium battery handling mark (i) Transitional exception—A marking (i) Metal (50A, 50B, 50N); and the Class 9 label. in conformance with the requirements (ii) Rigid plastic (50H); * * * * * of this paragraph in effect on December (iii) Wooden (50C, 50D, 50F); (f) * * * 31, 2014, may continue to be used until (iv) Rigid fiberboard (50G). (3) Each inner packaging must be December 31, 2016. (c) Exceptions for smaller cells or individually placed in one of the (ii) For domestic transportation, a batteries. Other than as specifically following packagings meeting the packaging marked prior to January 1, stated below, a package containing applicable requirements of part 178, 2017 and in conformance with the lithium cells or batteries, or lithium subparts L, M, P and Q of this requirements of this paragraph in effect cells or batteries packed with, or subchapter at the Packing Group I level: on December 31, 2014, may continue in contained in, equipment, that meets the (i) Metal (4A, 4B, 4N), wooden (4C1, service until the end of its useful life. conditions of this paragraph, is excepted 4C2, 4D, 4F), or solid plastic (4H2) box; from the requirements in subparts C (ii) Metal (1A2, 1B2, 1N2), plywood * * * * * through H of part 172 of this subchapter (1D), or plastic (1H2) drum; or § 173.220 [Amended] and the UN performance packaging (iii) Except for transportation by requirements in paragraphs (b)(3)(ii) and aircraft, for a single large battery or for ■ 43. In § 173.220, in the last sentence (b)(4) of this section under the following a single battery contained in equipment, of paragraph (d), add the phrase ‘‘(IBR, conditions and limitations. the following rigid large packagings are see § 171.7)’’ after the phrase ‘‘UN (1) * * * authorized: Manual of Tests and Criteria’’. (iii) Except when lithium metal cells (A) Metal (50A, 50B, 50N); ■ 44. In § 173.225(g), in the Organic or batteries are packed with or (B) Rigid plastic (50H); Peroxide Portable Tank Table, the last contained in equipment in quantities (C) Plywood (50D); and entry in the table is revised and a new not exceeding 5 kg net weight, the outer * * * * * Note 1 is added immediately following package that contains lithium metal ■ 42. In § 173.199, revise paragraph the end of the table to read as follows: cells or batteries must be marked: (a)(5) to read as follows: ‘‘PRIMARY LITHIUM BATTERIES— § 173.225 Packaging requirements and FORBIDDEN FOR TRANSPORT § 173.199 Category B infectious other provisions for organic peroxides. ABOARD PASSENGER AIRCRAFT’’ or substances. * * * * * ‘‘LITHIUM METAL BATTERIES— * * * * * (g) * * * ORGANIC PEROXIDE PORTABLE TANK TABLE

Minimum shell UN Minimum test thickness (mm- Bottom opening Pressure relief Control Emergency No. Hazardous material pressure (bar) reference steel) requirements requirements Filling limits temperature temperature See . . . See . . . See . . .

[REVISE]

******* Peroxyacetic acid, 4 § 178.274(d)(2) § 178.275(d)(3) § 178.275(g)(1) Not more than 90% +30 °C +35 °C distilled, stabilized, at 59 °F (15 °C). not more than 41%. 1

Note: 1. ‘‘Corrosive’’ subsidiary risk (a) Packagings for non-bulk shipments performance level, and the requirements placard is required. of Ammonium nitrate emulsions, of the special provisions of column 7 of * * * * * suspensions and gels must conform to the § 172.101 table. ■ 45. A new § 173.231 is added to read the general packaging requirements of (1) The following combination as follows subpart B of part 173, to the packagings are authorized: § 173.231 Ammonium nitrate requirements of part 178 of this Outer packagings: emulsion, suspension or gel. subchapter at the Packing Group I or II Drums: 1B2, 1G, 1N2, 1H2 or 1D

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Boxes: 4B, 4C1, 4C2, 4D, 4G or 4H2 performance level in Column (5) of the than one section applies to a cylinder, Jerricans: 3B2 of 3H2 § 172.101 Table for the material being the most restrictive requirements must Inner Packagings: transported. be followed. Glass, plastic or metal inner (b) [Reserved] (2) Adsorbed gas. A cylinder filled receptacles ■ 47. In § 173.301b, paragraphs (c)(1), with an adsorbed gas must be offered for (2) For combination packagings, the (c)(2)(ii) and (iii) are revised to read as transportation in accordance with the capacity of each inner packaging must follows: requirements of paragraph (d) of this not exceed 5 liters (1.3 gallons) and the section, § 173.301, and § 173.302c. UN maximum authorized net weight of each § 173.301b Additional general cylinders must meet the requirements in outer packaging must not exceed 125 kg requirements for shipment of UN pressure receptacles. §§ 173.301b and 173.302b, as (275 pounds). applicable. Where more than one (c) Pressure receptacle valve (3) The following single packagings section applies to a cylinder, the most requirements. (1) When the use of a are authorized: restrictive requirements must be valve is prescribed, the valve must Drums: 1B1, 1B2, 1H1 or 1H2 with a followed. maximum capacity of 250 liters (66 conform to the requirements in ISO * * * * * gallons). 10297:2006 (IBR, see § 171.7 of this Jerricans: 3B1, 3B2, 3H1 or 3H2 with subchapter). Until December 31, 2008, ■ 49. A new § 173.302c is added to read a maximum capacity of 60 liters (15.9 the manufacture of a valve conforming as follows: to the requirements in ISO 10297:1999 gallons). § 173.302c Additional requirements for the Plastic receptacle in aluminum, fiber, (IBR, see § 171.7 of this subchapter) is shipment of adsorbed gases in UN pressure plastic or plywood drum: 6HB1, 6HG1, authorized. receptacles. 6HH1 or 6HD1with the outer drum (2) * * * (ii) By equipping the UN pressure (a) A cylinder filled with an adsorbed having a maximum capacity of 250 liters gas must be offered for transportation in (66 gallons). receptacle with a valve cap conforming to the requirements in ISO 11117:2008 UN pressure receptacles subject to the Plastic receptacle in aluminum wood, requirements in this section and plywood, fiberboard, or solid plastic and Technical Corrigendum 1 (IBR, see § 171.7 of this subchapter). Until § 173.302, as well as, §§ 173.301 and box: 6HB2, 6HC, 6HD2, 6HG2, or 6HH2 173.301b. with the outer box having a maximum December 31, 2014, the manufacture of a valve cap conforming to the (b) The pressure of each filled capacity of 60 liters (15.9 gallons). cylinder must be less than 101.3 kPa at Glass receptacle in aluminum, fiber, requirements in ISO 11117:1998 (IBR, 20 °C (68 °F) and must not exceed 300 or plywood drum: 6PB1, 6PF1 or 6PD1 see § 171.7 of this subchapter) is kPa at 50 °C (122 °F). with the outer drum having a maximum authorized. The cap must have vent- (c) The minimum test pressure of the capacity of 60 liters (15.9 gallons). holes of sufficient cross-sectional area to cylinder must be 21 bar. Glass receptacle in expanded plastic evacuate the gas if leakage occurs at the or solid plastic packaging: 6PH1 or valve; (d) The minimum burst pressure of 6PH2 with the outer packaging having a (iii) By protecting the valves by the cylinder must be 94.5 bar. shrouds or guards conforming to the (e) The internal pressure at 65 °C maximum capacity of 60 liters (15.9 ° gallons). requirements in ISO 11117:2008 and (149 F) of the filled cylinder must not Glass receptacle in aluminum, wood, Technical Corrigendum 1 (IBR; see exceed the test pressure of the cylinder. or fiberboard box, or wickerwork § 171.7 of this subchapter). Until (f) The adsorbent material must be hamper: 6PB2, 6PC, 6PG2 or 6PD2 with December 31, 2014, the manufacture of compatible with the cylinder and must the outer box or hamper having a a shroud or guard conforming to the not form harmful or dangerous maximum capacity of 60 liters (15.9 requirements in ISO 11117:1998 (IBR, compounds with the gas to be adsorbed. gallons). see § 171.7 of this subchapter) is The gas in combination with the (b) [Reserved] authorized. For metal hydride storage adsorbent material must not affect or weaken the cylinder or cause a ■ 46. Section 173.251 is added to systems, by protecting the valves in dangerous reaction (e.g., a catalyzing subpart F to read as follows: accordance with the requirements in ISO 16111:2008 (IBR; see § 171.7 of this reaction). § 173.251 Bulk packaging for ammonium subchapter). (g) The quality of the adsorbent nitrate emulsion, suspension, or gel. * * * * * material must be verified at the time of each fill to assure the pressure and When § 172.101 of this subchapter ■ 48. In § 173.302, revise the section chemical stability requirements of this specifies that a hazardous material be heading and paragraphs (a)(1) and (2) to section are met each time an adsorbed packaged under this section, only the read as follows: following bulk packagings are gas package is offered for transport. authorized, subject to the requirements § 173.302 Filling of cylinders with (h) The adsorbent material must not of subparts A and B of part 173 of this nonliquefied (permanent) compressed meet the definition of any other hazard subchapter and the special provisions gases or adsorbed gases. class. specified in column 7 of the § 172.101 (a) General requirements. (1) A (i) Cylinders and closures containing table. cylinder filled with a non-liquefied toxic gases with an LC50 less than or (a) IBCs. IBCs are authorized subject compressed gas (except gas in solution) equal to 200 ml/m3 (ppm) (see the to the conditions and limitations of this must be offered for transportation in following Adsorbed Gases Table) must section provided: accordance with the requirements of meet the following requirements: (1) The IBC type is authorized this section and § 173.301. In addition, (1) Valve outlets must be fitted with according to the IBC packaging code for a DOT specification cylinder must meet pressure retaining gas-tight plugs or the specific hazardous material in the requirements in §§ 173.301a, caps having threads matching those of Column (7) of the § 172.101 Table; 173.302a and 173.305, as applicable. UN the valve outlets. (2) The IBC conforms to the pressure receptacles must meet the (2) Each valve must either be of the requirements in subpart O of part 178 of requirements in §§ 173.301b and packless type with non-perforated this subchapter at the Packing Group 173.302b, as applicable. Where more diaphragm, or be of a type which

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prevents leakage through or past the other means which meets the having threads matching those of the packing. requirements of ISO 10692–2 (IBR, see valve outlets. (3) Each cylinder and closure must be § 171.7 of this subchapter); and (k) The filling procedure must be in tested for leakage after filling. (5) Cylinders and valves must not be accordance with Annex A of ISO 11513 (4) Each valve must be capable of fitted with a pressure relief device. (IBR, see § 171.7 of this subchapter). withstanding the test pressure of the (j) Valve outlets for cylinders (l) The maximum period for periodic cylinder and be directly connected to containing pyrophoric gases must be requalification must be in accordance the cylinder by either a taper-thread or fitted with gas-tight plugs or caps with § 180.207(c) of this subchapter.

ADSORBED GASES TABLE

ID ml/m3 Notes No. Hazardous material LC50

3510 Adsorbed gas, flammable, n.o.s...... z. 3511 Adsorbed gas, n.o.s...... z. 3512 Adsorbed gas, toxic, n.o.s...... ≤5000 z. 3513 Adsorbed gas, oxidizing, n.o.s...... z. 3514 Adsorbed gas, toxic, flammable, n.o.s...... ≤5000 z. 3515 Adsorbed gas, toxic, oxidizing, n.o.s...... ≤5000 z. 3516 Adsorbed gas, toxic, corrosive, n.o.s...... ≤5000 z. 3517 Adsorbed gas, toxic, flammable, corrosive, n.o.s...... ≤5000 z. 3518 Adsorbed gas, toxic, oxidizing, corrosive, n.o.s...... ≤5000 z. 3519 Boron trifluoride, adsorbed ...... 387 a. 3520 Chlorine, adsorbed...... 293 a. 3521 Silicon tetrafluoride, adsorbed ...... 450 a. 3522 Arsine, adsorbed...... 20 d. 3523 Germane, adsorbed...... 620 d, r. 3524 Phosphorus pentafluoride, adsorbed ...... 190 3525 Phosphine, adsorbed...... 20 d. 3526 Hydrogen selenide, adsorbed ...... 2 Notes: a: Aluminum alloy cylinders must not be used. d: When steel cylinders are used, only those bearing the ‘‘H’’ mark in accordance with § 173.302b(f) are authorized. r: The filling of this gas must be limited such that, if complete decomposition occurs, the pressure does not exceed two thirds of the test pres- sure of the cylinder. z: The construction materials of the cylinders and their accessories must be compatible with the contents and must not react to form harmful or dangerous compounds therewith.

■ 50. In § 173.307, paragraphs (a)(5) and composed of a non-rollable pressure that any loading or unloading is (a)(6) are revised to read as follows: drum and equipment, and handled, for performed by personnel having example, by fork lift or crane when radiological training and resources § 173.307 Exceptions for compressed loaded or unloaded. appropriate for safe handling of the gases. * * * * * consignment. The consignor must (a) * * * provide to the initial carrier specific (5) Manufactured articles or (e) Large fire extinguishers may be written instructions for maintenance of apparatuses, other than light bulbs each transported while unpackaged under the exclusive use shipment controls, containing not more than 100 mg following conditions: including the vehicle survey (0.0035 ounce) of inert gas and packaged (1) The requirements of § 173.24(b) requirement of § 173.443(c) as so that the quantity of inert gas per are met; applicable, and include these package does not exceed 1 g (0.35 (2) The valves are protected in instructions with the shipping paper ounce). accordance with § 173.301(c)(2)(i), (ii), (6) Light bulbs (lamps) conforming to (iii) or (v); and information provided to the carrier by the requirements of § 173.11. (3) Other equipment mounted on the the consignor. * * * * * fire extinguisher is protected to prevent * * * * * accidental activation. ■ 51. In § 173.309, an introductory Freight container means a reusable paragraph and a new paragraph (e) are * * * * * container having a volume of 1.81 cubic added to read as follows: ■ 52. In § 173.403, the definitions of meters (64 cubic feet) or more, designed ‘‘Exclusive use’’ and ‘‘Freight container’’ and constructed to permit it being lifted § 173.309 Fire extinguishers. are revised to read as follows: with its contents intact and intended This section applies to portable fire primarily for containment of packages extinguishers for manual handling and § 173.403 Definitions. in unit form during transportation. A operation, fire extinguishers for *** ‘‘small freight container’’ is one which installation in aircraft, and large fire Exclusive use means sole use by a has an internal volume of not more than extinguishers. Large fire extinguishers single consignor of a conveyance for 3.0 cubic meters (106 cubic feet). All include fire extinguishers mounted on which all initial, intermediate, and final other freight containers are designated wheels for manual handling; fire loading and unloading and shipment are as ‘‘large freight containers.’’ extinguishing equipment or machinery carried out in accordance with the * * * * * mounted on wheels or wheeled direction of the consignor or consignee platforms or units transported similar to where required by this subchapter. The ■ 53. In § 173.420, paragraph (d) is (small) trailers; and fire extinguishers consignor and the carrier must ensure revised to read as follows:

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§ 173.420 Uranium hexafluoride (fissile, applicable requirements for fissile in § 173.465(e) except that the height of fissile excepted and non-fissile). material packages in Section VI of the the drop must be 1.7 m (5.5 feet). * * * * * International Atomic Energy Agency * * * * * (d) Uranium hexafluoride not ‘‘Regulations for the Safe Transport of ■ 59. In § 173.473, the introductory exceeding the limits specified in the Radioactive Material, SSR–6 (IBR, see paragraph and paragraph (a)(1) are limited quantity package limits column § 171.7 of this subchapter),’’ and for revised to read as follows: of table 4 in § 173.425 may be classified which the foreign Competent Authority * * * * * as UN 3507, Uranium hexafluoride, certificate has been revalidated by the radioactive material, excepted package, U.S. Competent Authority, in § 173.473 Requirements for foreign-made less than 0.1 kg (0.22 pounds) per accordance with § 173.473. These packages. package, non-fissile or fissile-excepted, packages are authorized only for export In addition to other applicable provided that: and import shipments. requirements of this subchapter, each (1) The mass of uranium hexafluoride * * * * * offeror of a foreign-made Type B(U), in the package is less than 0.1 kg (0.22 (b) * * * Type B(M), Type C, Type CF, Type pounds); and H(U), Type H(M), or fissile material (2) The conditions of §§ 173.24, (2) Type B(U) or Type B(M) packaging package for which a Competent 173.24a, 173.421(a)(1) and (a)(4) are that also meets the applicable Authority Certificate is required by met. requirements for fissile material IAEA’s ‘‘Regulations for the Safe packaging in Section VI of the * * * * * Transport of Radioactive Material, SSR– International Atomic Energy Agency 6, ’’ (IBR, see § 171.7 of this subchapter) ■ 54. In § 173.415, paragraph (d) is ‘‘Regulations for the Safe Transport of revised to read as follows: shall also comply with the following Radioactive Material, SSR–6,’’ and for requirements: § 173.415 Authorized Type A packages. which the foreign Competent Authority (a) * * * certificate has been revalidated by the * * * * * (1) Have the foreign competent U.S. Competent Authority in accordance (d) Any foreign-made packaging that authority certificate revalidated by the with § 173.473. These packagings are meets the standards in the ’’ IAEA U.S. Competent Authority, unless this authorized only for import and export Regulations for the Safe Transport of has been done previously. Each request shipments; or Radioactive Material, SSR–6’’ (IBR, see for revalidation must be in triplicate, § 171.7 of this subchapter) and bears the * * * * * contain all the information required by Section VIII of the IAEA regulations in marking ‘‘Type A’’. Such packagings ■ 57. In § 173.435, note (a) is revised to ‘‘IAEA Regulations for the Safe may be used for domestic and export read as follows: shipments of Class 7 (radioactive) Transport of Radioactive Material, SSR– materials provided the offeror obtains § 173.435 Table of A1 and A2 values for 6’’ (IBR, see § 171.7 of this subchapter), the applicable documentation of tests radionuclides. and include a copy in English of the and engineering evaluations and * * * * * foreign competent authority certificate. The request and accompanying maintains the documentation on file in aA and/or A values for these parent 1 2 documentation must be sent to the accordance with paragraph (a) of this radionuclides include contributions Associate Administrator for Hazardous section. These packagings must conform from daughter nuclides with half-lives Materials Safety (PHH–23), Department with requirements of the country of less than 10 days as listed in footnote (a) of Transportation, East Building, 1200 origin (as indicated by the packaging to Table 2 in the ‘‘IAEA Regulations for New Jersey Avenue SE., Washington, marking) and the IAEA regulations the Safe Transport of Radioactive DC 20590–0001. Alternatively, the applicable to Type A packagings. Material, SSR–6’’ (IBR, see § 171.7 of request with any attached supporting ■ this subchapter). 55. In § 173.416, paragraph (b) is documentation submitted in an revised to read as follows: * * * * * appropriate format may be sent by § 173.416 Authorized Type B packages. ■ 58. In § 173.466, paragraph (a) is facsimile (fax) to (202) 366–3753 or * * * * * revised to read as follows: (202) 366–3650, or by electronic mail to (b) Any Type B(U) or B(M) packaging ‘‘[email protected].’’ Each request is § 173.466 Additional tests for Type A considered in the order in which it is that meets the applicable requirements packagings designed for liquids and gases. in ‘‘IAEA Regulations for the Safe received. To allow sufficient time for Transport of Radioactive Material, SSR– (a) In addition to the tests prescribed consideration, requests must be received 6’’ (IBR, see § 171.7 of this subchapter) in § 173.465, Type A packagings at least 90 days before the requested and for which the foreign Competent designed for liquids and gases must be effective date; Authority Certificate has been capable of withstanding the following * * * * * revalidated by DOT pursuant to tests in this section. The tests are § 173.473. These packagings are successful if the requirements of PART 175—CARRIAGE BY AIRCRAFT authorized only for export and import § 173.412(k) are met. shipments. (1) Free drop test. The packaging ■ 60. The authority citation for part 175 continues to read as follows: * * * * * specimen must drop onto the target so as to suffer the maximum damage to its ■ 56. In § 173.417, paragraphs (a)(1)(iii) Authority: 49 U.S.C. 5101–5128, 44701; 49 containment. The height of the drop CFR 1.81 and 1.97. and (b)(2) are revised to read as follows: measured from the lowest part of the ■ 61. In § 175.9, paragraphs (b)(6) packaging specimen to the upper § 173.417 Authorized fissile materials introductory text and (b)(6)(v) are packages. surface of the target must be 9 m (30 revised to read as follows: (a) * * * feet) or greater. The target must be as (1) * * * specified in § 173.465(c)(5). § 175.9 Special aircraft operations. (iii) Any Type AF, Type B(U)F, or (2) Penetration test. The specimen * * * * * Type B(M)F packaging that meets the must be subjected to the test specified (b) * * *

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(6) Hazardous materials that are as spare batteries in accordance with the § 175.33 Shipping paper and notification of loaded and carried on or in cargo only provisions of this paragraph. pilot-in-command. aircraft, and that are to be dispensed or * * * * * (a) * * * expended during flight for weather (1) * * * (24) Small cartridges fitted into (i) Section 172.101 of this subchapter. control, environmental restoration or devices with no more than four small protection, forest preservation and Except for the requirement to indicate cartridges of carbon dioxide or other the type of package or technical name, protection, firefighting and prevention, suitable gas in Division 2.2, without flood control, avalanche control, any additional description requirements subsidiary risk with the approval of the provided in §§ 172.202, and 172.203 of landslide clearance, or ice jam control operator. The water capacity of each purposes, when the following this subchapter must also be shown on cartridge must not exceed 50 mL the notification. requirements are met: (equivalent to a 28 g cartridge). * * * * * * * * * * * * * * * (v) When Division 1.1, 1.2, and 1.3 § 175.630 [Amended] materials (except detonators and ■ 63. In § 175.25, paragraphs (b) and (c) detonator assemblies) and detonators or are revised to read as follows: ■ 66. In § 175.630, paragraph (a) is detonator assemblies are carried for removed and reserved. avalanche control, landslide clearance, § 175.25 Notification at air passenger facilities of hazardous materials * * * * * or ice jam control flights, the explosives restrictions. ■ must be handled by, and at all times be 67. In § 175.705, paragraph (c) is under the control of, a qualified blaster. (a) * * * revised to read as follows: When required by a State or local (b) Ticket purchase. An aircraft § 175.705 Radioactive contamination. operator must ensure that information authority, the blaster must be licensed * * * * * and the State or local authority must be on the types of hazardous materials (c) An aircraft in which Class 7 identified in writing to the FAA which a passenger is forbidden to (radioactive) material has been released Principal Operations Inspector assigned transport aboard an aircraft is presented must be taken out of service and may to the operator. at the point of ticket purchase or, if this not be returned to service or routinely * * * * * is not practical, made available in occupied until the aircraft is checked for another manner to passengers prior to radioactive substances and it is ■ 62. In § 175.10: the check-in process. Information determined that any radioactive a. Paragraphs (a)(11) and (24) are provided via the Internet may be in text substances present do not meet the revised; or pictorial form but must be such that definition of radioactive material, as b. Paragraphs (a)(18)(iii) and (iv) are ticket purchase cannot be completed defined in § 173.403 of this subchapter, added. until the passenger, or a person acting and it is determined in accordance with The revisions and additions read as on their behalf, has been presented with § 173.443 of this subchapter that the follows: this information and indicated that they dose rate at every accessible surface have understood the restrictions on must not exceed 0.005 mSv per hour § 175.10 Exceptions for passengers, hazardous materials in baggage. crewmembers, and air operators. (0.5 mrem per hour) and there is no (c) Check-in. When the flight check-in significant removable surface (a) * * * process is conducted remotely (e.g., via contamination. (11) A single self-inflating personal the Internet) or when completed at the * * * * * safety device such as a life jacket or vest airport, without assistance from another fitted with no more than two small gas person (e.g., automated check-in kiosk), PART 176—CARRIAGE BY VESSEL cartridges (containing no hazardous the aircraft operator must ensure that material other than a Div. 2.2 gas) for information on the types of hazardous ■ 68. The authority citation for part 176 inflation purposes plus no more than materials a passenger is forbidden to continues to read as follows: two spare cartridges. The personal transport aboard an aircraft is presented safety device and spare cartridges may Authority: 49 U.S.C. 5101–5128; 49 CFR to passengers. Information may be in 1.81 and 1.97. be carried in carry-on or checked text or in pictorial form but must be baggage, with the approval of the such that the check-in process cannot be ■ 69. In § 176.80, paragraph (b) is aircraft operator, and must be packed in completed until the passenger, or a revised to read as follows: such a manner that it cannot be person acting on their behalf, has been § 176.80 Applicability. accidently activated. presented with this information and * * * * * indicated that they have understood the * * * * * (18) * * * restrictions on hazardous materials in (b) Hazardous materials in limited quantities when loaded in transport (iii) For a non-spillable battery, the baggage. vehicles and freight containers, are battery and equipment must conform to * * * * * § 173.159a(d). Each battery must not excepted from the segregation exceed a voltage greater than 12 volts § 175.30 [Amended] requirements of this subpart and any and a watt-hour rating of not more than additional segregation specified in this 100 Wh. No more than two individually ■ 64. In § 175.30, remove paragraphs subchapter for transportation by vessel; protected spare batteries may be carried. (a)(5) and (e)(1), and redesignate (e)(2) except that articles of division 1.4, compatibility group S, shall not be Such equipment and spare batteries and (3) as (e)(1) and (2). stowed in the same compartment or must be carried in checked or carry-on § 175.33 [Amended] hold, or cargo transport unit with baggage. hazardous materials of Class 1 of (iv) Articles containing lithium metal ■ 65. In § 175.33, revise paragraphs compatibility groups A and L. or lithium ion cells or batteries the (a)(1)(i) and remove paragraphs (a)(12) primary purpose of which is to provide and (c)(5). ■ 70. In § 176.83, Table 176.83(b) is power to another device must be carried The revision reads as follows: revised to read as follows:

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§ 176.83 Segregation. * * * * * TABLE 176.83(b)—GENERAL SEGREGATION REQUIREMENTS FOR HAZARDOUS MATERIALS [Segregation must also take account of a single secondary hazard label, as required by paragraph (a)(6) of this section.]

1.1, Class 1.2, 1.5 1.3 1.4, 1.6 2.1 2.2 2.3 3 4.1 4.2 4.3 5.1 5.2 6.1 6.2 7 8 9

Explosives, 1.1, 1.2, 1.5...... (*) (*) (*) 4 2 2 4 4 4 4 4 4 2 4 2 4 X Explosives, 1.3...... (*) (*) (*) 4 2 2 4 3 3 4 4 4 2 4 2 2 X Explosives, 1.4, 1.6...... (*) (*) (*) 2 1 1 2 2 2 2 2 2 X 4 2 2 X Flammable gases 2.1 ...... 4 4 2 X X X 2 1 2 2 2 2 X 4 2 1 X Non-toxic, non-flammable gases 2.2...... 2 2 1 X X X 1 X 1 X X 1 X 2 1 X X Poisonous gases 2.3...... 2 2 1 X X X 2 X 2 X X 2 X 2 1 X X Flammable liquids 3...... 4 4 2 2 1 2 X X 2 2 2 2 X 3 2 X X Flammable solids 4.1...... 4 3 2 1 X X X X 1 X 1 2 X 3 2 1 X Spontaneously combustible substances 4.2...... 4 3 2 2 1 2 2 1 X 1 2 2 1 3 2 1 X Substances which are dangerous when wet 4.3 ...... 4 4 2 2 X X 2 X 1 X 2 2 X 2 2 1 X Oxidizing substances 5.1 ...... 4 4 2 2 X X 2 1 2 2 X 2 1 3 1 2 X Organic peroxides 5.2...... 4 4 2 2 1 2 2 2 2 2 2 X 1 3 2 2 X Poisons 6.1...... 2 2 X X X X X X 1 X 1 1 X 1 X X X Infectious substances 6.2...... 4 4 4 4 2 2 3 3 3 2 3 3 1 X 3 3 X Radioactive materials 7...... 2 2 2 2 1 1 2 2 2 2 1 2 X 3 X 2 X Corrosives 8...... 4 2 2 1 X X X 1 1 1 2 2 X 3 2 X X Miscellaneous dangerous substances 9...... X X X X X X X X X X X X X X X X X Numbers and symbols relate to the following terms as defined in this section: 1—‘‘Away from.’’ 2—‘‘Separated from.’’ 3—‘‘Separated by a complete compartment or hold from.’’ 4—‘‘Separated longitudinally by an intervening complete compartment or hold from.’’ X—The segregation, if any, is shown in the § 172.101 table. *—See § 176.144 of this part for segregation within Class 1.

* * * * * ■ b. Footnote 3 is added and assigned to § 176.84 Other requirements for stowage, ■ 71. In § 176.84: stowage code 12 and 13; and cargo handling, and segregation for cargo ■ a. Revise the section heading; ■ c. Provisions 147 and 148 are added: vessels and passenger vessels.

Code Provisions

******* 12 ...... Keep as cool as reasonably practicable.3 13 ...... Keep as dry as reasonably practicable.3

*******

147 ...... Stow ‘‘separated from’’ flammable gases and flammable liquids. 148 ...... In addition: from flammable gases and flammable liquids when stowed on deck of a containership a minimum distance of two con- tainer spaces athwartship shall be maintained, when stowed on ro-ro ships a distance of 6 m athwartship shall be maintained.

******* ******* 3 These requirements apply to the loading of hazardous materials in cargo transport units as well as the stowage of cargo transport units.

■ 72. In § 176.905, paragraph (i) is engine using liquid fuel that has a appropriate. For vehicles with batteries revised as follows: flashpoint of 38 °C (100 °F) or higher, connected and fuel tanks containing the fuel tank contains 450 L (119 gasoline transported by U.S. vessels, see § 176.905 Stowage of motor vehicles or gallons) of fuel or less, installed 46 CFR 70.10–1 and 90.10–38; mechanical equipment. batteries are protected from short (4) The vehicle or mechanical * * * * * circuit, and there are no fuel leaks in equipment is electrically powered solely (i) * * * any portion of the fuel system; by wet electric storage batteries (1) The vehicle or mechanical (3) The vehicle or mechanical (including non-spillable batteries) or equipment has an internal combustion equipment is stowed in a hold or sodium batteries and the installed engine using liquid fuel that has a compartment designated by the batteries are protected from short flashpoint less than 38 °C (100 °F), the administration of the country in which circuit; fuel tank is empty, installed batteries are the vessel is registered as specially (5) The vehicle or mechanical protected from short circuit, and the designed and approved for vehicles and equipment is equipped with liquefied engine is run until it stalls for lack of mechanical equipment and there are no petroleum gas or other compressed gas fuel; signs of leakage from the battery, engine, fuel tanks, the tanks are completely (2) The vehicle or mechanical fuel cell, compressed gas cylinder or emptied of liquefied or compressed gas equipment has an internal combustion accumulator, or fuel tank, as and the positive pressure in the tank

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does not exceed 2 bar (29 psig), the fuel non-refillable pressure receptacles, and see § 171.7 of this subchapter) is shut-off or isolation valve is closed and be protected as specified in authorized. secured, and installed batteries are § 173.301b(f) of this subchapter. Until * * * * * protected from short circuit; or December 31, 2008, the manufacture of (n) Design and construction (6) The vehicle or mechanical a valve conforming to the requirements requirements for UN cylinders for the equipment is powered by a fuel cell in ISO 10297:1999 (IBR, see § 171.7 of transportation of adsorbed gases. In engine, the engine is protected from this subchapter) is authorized. addition to the general requirements of inadvertent operation by closing fuel * * * * * this section, UN cylinders for the supply lines or by other means, and the (g) * * * transportation of adsorbed gases must fuel supply reservoir has been drained (1) ISO 9809–1:2010 Gas cylinders— conform to the following ISO standards, and sealed. Refillable seamless steel gas cylinders— as applicable: ISO 11513:2011, Gas * * * * * Design, construction and testing—Part cylinders—Refillable welded steel 1: Quenched and tempered steel cylinders containing materials for sub- PART 178—SPECIFICATIONS FOR cylinders with tensile strength less than atmospheric gas packaging (excluding PACKAGINGS 1100 MPa. (IBR, see § 171.7 of this acetylene)—Design, construction, ■ 73. The authority citation for part 178 subchapter). Until December 31, 2018, testing, use and periodic inspection, or continues to read as follows: the manufacture of a cylinder ISO 9809–1:2010: Gas cylinders— conforming to the requirements in ISO Refillable seamless steel gas cylinders— Authority: 49 U.S.C. 5101–5128; 49 CFR Design, construction and testing—Part 1.81 and 1.97. 9809–1:1999 (IBR, see § 171.7 of this subchapter) is authorized. 1: Quenched and tempered steel ■ 74. In § 178.71, revise paragraphs (a), (2) ISO 9809–2: Gas cylinders— cylinders with tensile strength less than (d)(2), (g)(1), (2),and (3), (k)(1)(i), and Refillable seamless steel gas cylinders— 1100 MPa. (IBR, see § 171.7 of this (k)(1)(ii), redesignate paragraphs (n) Design, construction and testing—Part subchapter.) through (s) as paragraphs (o) through (t) 2: Quenched and tempered steel * * * * * revise the newly redesignated cylinders with tensile strength greater (o) Material compatibility. In addition paragraphs (o), (r), and (t); and add new than or equal to 1100 MPa. (IBR, see to the material requirements specified in paragraphs (n), (u) and (v) to read as § 171.7 of this subchapter). Until the UN pressure receptacle design and follows: December 31, 2018, the manufacture of construction ISO standards, and any § 178.71 Specifications for UN pressure a cylinder conforming to the restrictions specified in part 173 for the receptacles. requirements in ISO 9809–2:2000 (IBR, gases to be transported, the see § 171.7 of this subchapter) is * * * * * requirements of the following standards (a) General. Each UN pressure authorized. must be applied with respect to material receptacle must meet the requirements (3) ISO 9809–3: Gas cylinders— compatibility: of this section. UN pressure receptacles Refillable seamless steel gas cylinders— (1) ISO 11114–1:2012: Gas cylinders— and service equipment constructed Design, construction and testing—Part Compatibility of cylinder and valve according to the standards applicable at 3: Normalized steel cylinders. (IBR, see materials with gas contents—Part 1: the date of manufacture may continue in § 171.7 of this subchapter). Until Metallic materials. (IBR, see § 171.7 of use subject to the continuing December 31, 2018, the manufacture of this subchapter). qualification and maintenance a cylinder conforming to the (2) ISO 11114–2: Transportable gas provisions of part 180 of this requirements in ISO 9809–3:2000 (IBR, cylinders—Compatibility of cylinder subchapter. Requirements for approval, see § 171.7 of this subchapter) is and valve materials with gas contents— qualification, maintenance, and testing authorized. Part 2: Non-metallic materials. (IBR, see are contained in § 178.70, and subpart C * * * * * § 171.7 of this subchapter). of part 180 of this subchapter. (k) * * * * * * * * * * * * * (1) * * * (r) Marking sequence. The marking (d) * * * (i) ISO 9809–1:2010 Gas cylinders— required by paragraph (q) of this section (2) Service equipment must be Refillable seamless steel gas cylinders— must be placed in three groups as configured or designed to prevent Design, construction and testing—Part shown in the example below: damage that could result in the release 1: Quenched and tempered steel (1) The top grouping contains of the pressure receptacle contents cylinders with tensile strength less than manufacturing marks and must appear during normal conditions of handling 1100 MPa. Until December 31, 2018, the consecutively in the sequence given in and transport. Manifold piping leading manufacture of a cylinder conforming to paragraphs (q)(13) through (19) of this to shut-off valves must be sufficiently the requirements in ISO 9809–1:1999 section. flexible to protect the valves and the (IBR, see § 171.7 of this subchapter) is (2) The middle grouping contains piping from shearing or releasing the authorized. operational marks described in pressure receptacle contents. The filling (ii) ISO 9809–3: Gas cylinders— paragraphs (q)(6) through (11) of this and discharge valves and any protective Refillable seamless steel gas cylinders— section. caps must be secured against Design, construction and testing—Part (3) The bottom grouping contains unintended opening. The valves must 3: Normalized steel cylinders. Until certification marks and must appear conform to ISO 10297:2006 (IBR, see December 31, 2018, the manufacture of consecutively in the sequence given in § 171.7 of this subchapter), or ISO 13340 a cylinder conforming to the paragraphs (q)(1) through (5) of this (IBR, see § 171.7 of this subchapter) for requirements in ISO 9809–3:2000 (IBR, section.

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* * * * * be permanently affixed (e.g., stamped, and UN 1001 acetylene, dissolved, the (t) Marking of UN non-refillable engraved, or etched) on a plate working pressure in bar, proceeded by pressure receptacles. Unless otherwise permanently attached to the frame of the the letters ‘‘PW’’; specified in this paragraph, each UN bundle of cylinders. Except for the (viii) For liquefied gases, the water non-refillable pressure receptacle must ‘‘UN’’ mark, the minimum size of the capacity in liters expressed to three be clearly and legibly marked as marks must be 5 mm. The minimum significant digits rounded down to the prescribed in paragraph (q) of this size of the ‘‘UN’’ mark must be 10 mm. last digit, followed by the letter ‘‘L’’. If section. In addition, permanent A refillable UN bundle of cylinders the value of the minimum or nominal stenciling is authorized. Except when must be marked with the following: water capacity is an integer, the digits stenciled, the marks must be on the (i) The UN packaging symbol; after the decimal point may be omitted; shoulder, top end or neck of the (ix) The total mass of the frame of the pressure receptacle or on a permanently bundle and all permanently attached affixed component of the pressure parts (cylinders, manifolds, fittings and receptacle (e.g., a welded collar). valves). Bundles intended for the (1) The marking requirements and carriage of UN 1001 acetylene, dissolved sequence listed in paragraphs (q)(1) must bear the tare mass as specified in through (19) of this section are required, clause N.4.2 of ISO 10961:2010; except the markings in paragraphs (x) The country of manufacture. The (q)(8), (9), (12) and (18) are not (ii) The ISO standard, for example ISO letters ‘‘USA’’ must be marked on applicable. The required serial number 9809–1, used for design, construction cylinders manufactured in the United marking in paragraph (q)(14) may be and testing. Acetylene cylinders must be States; replaced by the batch number. marked to indicate the porous mass and (xi) The serial number assigned by the (2) Each receptacle must be marked the steel shell, for example: ‘‘ISO 3807– manufacturer; and with the words ‘‘DO NOT REFILL’’ in 2/ISO 9809–1’’; (xii) For steel pressure receptacles, the letters of at least 5 mm in height. (iii) The mark of the country where (3) A non-refillable pressure the approval is granted. The letters letter ‘‘H’’ showing compatibility of the receptacle, because of its size, may ‘‘USA’’ must be marked on UN pressure steel, as specified in 1SO 11114–1. substitute the marking required by this receptacles approved by the United (v) Marking sequence. The marking paragraph with a label. Reduction in States. The manufacturer must obtain an required by paragraph (u) of this section marking size is authorized only as approval number from the Associate must be placed in three groups as prescribed in ISO 7225, Gas cylinders— Administrator. The manufacturer follows: Precautionary labels. (IBR, see § 171.7 of approval number must follow the (1) The top grouping contains this subchapter). country of approval mark, separated by manufacturing marks and must appear (4) Each non-refillable pressure a slash (for example, USA/MXXXX). consecutively in the sequence given in receptacle must also be legibly marked Pressure receptacles approved by more paragraphs (u)(2)(x) through (u)(2)(xii) by stenciling the following statement: than one national authority may contain of this section as applicable. ‘‘Federal law forbids transportation if the mark of each country of approval, (2) The middle grouping contains refilled-penalty up to $500,000 fine and separated by a comma; operational marks described in 5 years in imprisonment (49 U.S.C. (iv) The identity mark or stamp of the paragraphs (u)(2)(vi) through (u)(2)(ix) 5124).’’ IIA; of this section as applicable. When the (u) Marking of bundles of cylinders. (v) The date of the initial inspection, operational mark specified in paragraph (1) Individual cylinders in a bundle of the year in four digits followed by the (u)(2)(vii) is required, it must cylinders must be marked in accordance two digit month separated by a slash, for immediately precede the operational with paragraphs (q), (r), (s) and (t) of this example ‘‘2006/04’’; mark specified in paragraph (u)(2)(vi). section as appropriate. (vi) The test pressure in bar, preceded (3) The bottom grouping contains (2) Refillable UN bundles of cylinders by the letters ‘‘PH’’ and followed by the certification marks and must appear must be marked clearly and legibly with letters ‘‘BAR’’; consecutively in the sequence given in certification, operational, and (vii) For pressure receptacles intended paragraphs (u)(2)(i) through (u)(2)(v) of manufacturing marks. These marks must for the transport of compressed gases this section as applicable.

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■ 75. In § 178.75, paragraphs (d)(3)(i), December 31, 2018, the manufacture of 31, 2014, may continue in service until (ii), and (iii) are revised to read as a cylinder conforming to the the end of its useful life. follows: requirements in ISO 9809–3:2000 (IBR, * * * * * see § 171.7 of this subchapter) is ■ 77. In § 178.910, revise paragraphs § 178.75 Specifications for MEGCs. authorized; or * * * * * (a)(1)(ii), (b) introductory text, and add (d) * * * * * * * * paragraphs (a)(2)(iv), (b)(1) and (b)(2) to (3) * * * ■ 76. In § 178.703, paragraph (b)(7)(iii) read as follows. (i) ISO 9809–1: Gas cylinders— is revised to read as follows: § 178.910 Marking of Large Packagings. Refillable seamless steel gas cylinders— Design, construction and testing—Part § 178.703 Marking of IBCs. * * * * * (a) * * * 1: Quenched and tempered steel * * * * * cylinders with tensile strength less than (1) * * * 1100 MPa. (IBR, see § 171.7 of this (b) * * * (ii) The code number designating the subchapter). Until December 31, 2018, (7) * * * Large Packaging design type according to § 178.905. The letters ‘‘T’’ or ‘‘W’’ the manufacture of a cylinder (iii) The symbol must be a square with conforming to the requirements in ISO may follow the Large Packaging design each side being not less than 100 mm type identification code on a Large 9809–1:1999 (IBR, see § 171.7 of this (3.9 inches) by 100 mm (3.9 inches) as subchapter) is authorized; Packaging. Large Salvage Packagings measured from the corner printer marks conforming to the requirements of (ii) ISO 9809–2: Gas cylinders— shown on the figures in paragraph Refillable seamless steel gas cylinders— subpart P of this part must be marked (b)(7)(i) of this section. Where with the letter ‘‘T’’. Large Packagings Design, construction and testing—Part dimensions are not specified, all 2: Quenched and tempered steel must be marked with the letter ‘‘W’’ features must be in approximate when the Large Packaging differs from cylinders with tensile strength greater proportion to those shown. than or equal to 1100 MPa. (IBR, see the requirements in subpart P of this § 171.7 of this subchapter). Until (A) Transitional exception. A marking part, or is tested using methods other December 31, 2018, the manufacture of in conformance with the requirements than those specified in this subpart, and a cylinder conforming to the of this paragraph in effect on December is approved by the Associate requirements in ISO 9809–2:2000 (IBR, 31, 2014, may continue to be applied to Administrator in accordance with the see § 171.7 of this subchapter) is all IBCs manufactured, repaired or provisions in § 178.955; authorized; remanufactured between January 1, * * * * * (iii) ISO 9809–3: Gas cylinders— 2011 and December 31, 2016. (2) * * * Refillable seamless steel gas cylinders— (B) For domestic transportation, an (iv) For a steel Large Salvage Design, construction and testing—Part IBC marked prior to January 1, 2017 and Packaging suitable for stacking; stacking 3: Normalized steel cylinders. (IBR, see in conformance with the requirements load: 2,500 kg; maximum gross mass: § 171.7 of this subchapter). Until of this paragraph in effect on December 1,000 kg.

(b) All Large Packagings (2) For domestic transportation, a § 180.207 Requirements for requalification manufactured, repaired or Large Packaging marked prior to January of UN pressure receptacles. remanufactured after January 1, 2015 1, 2017 and in conformance with the * * * * * must be marked with the symbol requirements of this paragraph in effect (c) * * * applicable to a Large Packaging on December 31, 2014, may continue in designed for stacking or not designed for service until the end of its useful life. TABLE 1—REQUALIFICATION INTERVALS stacking, as appropriate. The symbol * * * * * OF UN PRESSURE RECEPTACLES must be a square with each side being not less than 100 mm (3.9 inches) by PART 180—CONTINUING Interval UN pressure receptacles/ 100 mm (3.9 inches) as measured from QUALIFICATION AND MAINTENANCE (years) hazardous materials the corner printer marks shown on the OF PACKAGINGS following figures. Where dimensions are ***** not specified, all features must be in ■ approximate proportion to those shown. 78. The authority citation for part 180 5 ...... Pressure receptacles used continues to read as follows: for adsorbed gases. * * * * * (1) Transitional exception—A Authority: 49 U.S.C. 5101–5128; 49 CFR marking in conformance with the 1.81 and 1.97. (d) * * * requirements of this paragraph in effect (5) UN cylinders for adsorbed gases: ■ 79. In § 180.207, in paragraph (c), a on December 31, 2014, may continue to Each UN cylinder for adsorbed gases be applied to all Large Packagings new entry is added to the end of Table must be inspected and tested in manufactured, repaired or 1 and a new paragraph (d)(5) is added accordance with § 173.302c and ISO remanufactured between January 1, to read as follows: 11513:2011 (IBR, see § 171.7 of this 2015 and December 31, 2016. subchapter).

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Issued in Washington, DC, on December 23, 2014 under authority delegated in 49 CFR 1.97. Timothy P. Butters, Acting Administrator. [FR Doc. 2014–30462 Filed 12–31–14; 4:15 pm] BILLING CODE 4910–60–P

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Part III

Department of Energy

10 CFR Part 431 Energy Conservation Program for Certain Industrial Equipment: Energy Conservation Standards and Test Procedures for Commercial Heating, Air- Conditioning, and Water-Heating Equipment; Proposed Rule

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DEPARTMENT OF ENERGY by reference the most current version of DHS has determined that regular the American National Standards driver’s licenses (and ID cards) from the 10 CFR Part 431 Institute (ANSI) Z21.47, Gas-fired following jurisdictions are not [Docket No. EERE–2014–BT–STD–0015] central furnaces, specified in ASHRAE acceptable for entry into DOE facilities: Standard 90.1 applicable to commercial Alaska, American Samoa, Arizona, RIN 1904–AD23 warm-air furnaces, and to the most Louisiana, Maine, Massachusetts, current version of ASHRAE 103, Method Minnesota, New York, Oklahoma, and Energy Conservation Program for of Testing for Annual Fuel Utilization Washington. Certain Industrial Equipment: Energy Efficiency of Residential Central Acceptable alternate forms of Photo- Conservation Standards and Test Furnaces and Boilers. This document ID include: U.S. Passport or Passport Procedures for Commercial Heating, also announces a public meeting to Card; an Enhanced Driver’s License or Air-Conditioning, and Water-Heating receive comment on these proposed Enhanced ID-Card issued by the States Equipment standards and associated analyses and of Minnesota, New York or Washington (Enhanced licenses issued by these AGENCY: Office of Energy Efficiency and results, as well as the proposed test States are clearly marked Enhanced or Renewable Energy, Department of procedure provisions. Enhanced Driver’s License); a military Energy. DATES: Meeting: DOE will hold a public ID or other Federal government-issued ACTION: Notice of proposed rulemaking meeting on Friday, February 6, 2015 from 1:00 p.m. to 4:00 p.m., in Photo-ID card. (NOPR) and announcement of public Instructions: Any comments Washington, DC. The meeting will also meeting. submitted must identify the NOPR on be broadcast as a webinar. See section Energy Conservation Standards and Test SUMMARY: The Energy Policy and X, ‘‘Public Participation,’’ for webinar Procedures for ASHRAE Standard 90.1 Conservation Act of 1975 (EPCA), as registration information, participant Equipment, and provide docket number amended, prescribes energy instructions, and information about the EERE–2014–BT–STD–0015 and/or conservation standards for various capabilities available to webinar regulatory information number (RIN) consumer products and certain participants. 1904–AD23. Comments may be commercial and industrial equipment, Comments: DOE will accept submitted using any of the following including several classes of commercial comments, data, and information regarding this notice of proposed methods: heating, air-conditioning, and water- 1. Federal eRulemaking Portal: rulemaking (NOPR) before and after the heating equipment. EPCA also requires www.regulations.gov. Follow the public meeting, but no later than March that each time the American Society of instructions for submitting comments. Heating, Refrigerating and Air- 24, 2015. See section X, ‘‘Public 2. E-Mail: ComHeatingACWH Conditioning Engineers (ASHRAE) Participation,’’ for details. [email protected]. Standard 90.1 is amended with respect ADDRESSES: The public meeting will be Include the docket number and/or RIN to the standard levels or design held at the U.S. Department of Energy, in the subject line of the message. requirements applicable to that Forrestal Building, Room 8E–089, 1000 Submit electronic comments in equipment, the U.S. Department of Independence Avenue SW., WordPerfect, Microsoft Word, PDF, or Energy (DOE) must adopt amended Washington, DC 20585. To attend, ASCII file format, and avoid the use of uniform national standards for this please notify Ms. Brenda Edwards at special characters or any form of equipment equivalent to those in (202) 586–2945. Please note that foreign encryption. ASHRAE Standard 90.1, unless DOE nationals visiting DOE Headquarters are 3. Postal Mail: Ms. Brenda Edwards, determines that there is clear and subject to advance security screening U.S. Department of Energy, Building convincing evidence showing that more- procedures. Any foreign national Technologies Office, Mailstop EE–5B, stringent, amended standards would be wishing to participate in the meeting 1000 Independence Avenue SW., technologically feasible and should advise DOE as soon as possible Washington, DC 20585–0121. If economically justified, and would save by contacting Ms. Edwards at the phone possible, please submit all items on a a significant additional amount of number above to initiate the necessary compact disc (CD), in which case it is energy. ASHRAE most recently procedures. Please also note that any not necessary to include printed copies. amended Standard 90.1 on October 9, person wishing to bring a laptop or 4. Hand Delivery/Courier: Ms. Brenda 2013. Based upon its analysis of the tablet into the Forrestal Building will be Edwards, U.S. Department of Energy, energy savings potential of amended required to obtain a property pass. Building Technologies Office, 950 energy conservation standards and the Visitors should avoid bringing laptops, L’Enfant Plaza SW., Suite 600, lack of clear and convincing evidence to or allow an extra 45 minutes. Persons Washington, DC 20024. Telephone: support more-stringent standards, DOE may also attend the public meeting via (202) 586–2945. If possible, please is proposing to adopt the amended webinar. For more information, refer to submit all items on a CD, in which case standards in ASHRAE Standard 90.1 for: section X, ‘‘Public Participation,’’ near it is not necessary to include printed Small three-phase commercial air- the end of this document. copies. cooled air conditioners (single package Due to the REAL ID Act implemented Written comments regarding the only) and heat pumps (single package by the Department of Homeland burden-hour estimates or other aspects and split system) less than 65,000 Btu/ Security (DHS), there have been recent of the collection-of-information h; water-source heat pumps; and changes regarding identification (ID) requirements contained in this proposed commercial oil-fired storage water requirements for individuals wishing to rule may be submitted to Office of heaters. DOE is also making a proposed enter Federal buildings from specific Energy Efficiency and Renewable determination that the standards for States and U.S. territories. As a result, Energy through the methods listed small three-phase commercial air-cooled driver’s licenses from the following above and by email to Chad_S_ air conditioners (split system) do not States or territory will not be accepted [email protected]. need to be amended. Finally, DOE is for building entry, and instead, one of No telefacsimilies (faxes) will be proposing updates to the current the alternate forms of ID listed below accepted. For detailed instructions on Federal test procedures to incorporate will be required. submitting comments and additional

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information on the rulemaking process, ‘‘Method of Testing for Annual Fuel F. National Impact Analysis—National see section X of this document (Public Utilization Efficiency of Residential Energy Savings and Net Present Value Participation). Central Furnaces and Boilers,’’ ANSI Analysis Docket: The docket, which includes approved on March 25, 2008. 1. Approach 2. Shipments Analysis Federal Register notices, public meeting Copies of ASHRAE Standard 103– 3. Base-Case and Standards-Case attendee lists and transcripts, 2007 can be obtained from ASHRAE. Forecasted Distribution of Efficiencies comments, and other supporting American Society of Heating, 4. National Energy Savings and Net Present documents/materials, is available for Refrigerating and Air-Conditioning Value review at www.regulations.gov. All Engineers Inc., 1791 Tullie Circle NE., VI. Methodology for Water-Source Heat documents in the docket are listed in Pumps Atlanta, Georgia 30329. (404) 636–8400, A. Market Assessment the www.regulations.gov index. or by going to http://www.ashrae.org. However, some documents listed in the 1. Equipment Classes Table of Contents 2. Review of Current Market index may not be publicly available, a. Trade Association Information such as those containing information I. Summary of the Proposed Rule b. Manufacturer Information that is exempt from public disclosure. II. Introduction c. Market Data A link to the docket Web page can be A. Authority B. Engineering Analysis found at: www.regulations.gov/ B. Background 1. Approach #!docketDetail;D=EERE-2014-BT-STD- 1. ASHRAE Standard 90.1–2013 2. Baseline Equipment 0015. This Web page contains a link to 2. Notice of Data Availability 3. Identification of Increased Efficiency the docket for this document on the III. General Discussion of Comments Levels for Analysis 4. Engineering Analysis Results www.regulations.gov site. The Regarding the ASHRAE Process and DOE’s Interpretation of EPCA’s a. Manufacturer Markups www.regulations.gov Web page contains b. Shipping Costs simple instructions on how to access all Requirements With Respect to ASHRAE Equipment C. Markups Analysis documents, including public comments, IV. General Discussion of the Changes in D. Energy Use Analysis in the docket. See section X, ‘‘Public ASHRAE Standard 90.1–2013 and E. Life-Cycle Cost and Payback Period Participation,’’ for further information Determination of Scope for Further Analysis on how to submit comments through Rulemaking Activity 1. Equipment Costs www.regulations.gov. A. Commercial Package Air-Conditioning 2. Installation Costs 3. Unit Energy Consumption For further information on how to and Heating Equipment 4. Electricity Prices and Electricity Price submit a comment, review other public 1. Air-Cooled Equipment Trends 2. Water-Source Equipment comments and the docket, or participate 5. Maintenance Costs 3. Packaged Terminal Air Conditioners and in the public meeting, contact Ms. 6. Repair Costs Heat Pumps Brenda Edwards at (202) 586–2945 or by 7. Equipment Lifetime email: [email protected]. 4. Small-Duct, High-Velocity, and 8. Discount Rate Through-the-Wall Equipment FOR FURTHER INFORMATION CONTACT: Ms. 9. Base-Case Market Efficiency Distribution 5. Single-Package Vertical Air Conditioners 10. Compliance Date Ashley Armstrong, U.S. Department of and Single-Package Vertical Heat Pumps Energy, Office of Energy Efficiency and 11. Payback Period Inputs B. Commercial Water Heaters F. National Impact Analysis—National Renewable Energy, Building C. Test Procedures Energy Savings and Net Present Value Technologies Office, EE–5B, 1000 V. Methodology for Small Commercial Air- Analysis Independence Avenue SW., Cooled Air Conditioners and Heat 1. Approach Washington, DC 20585–0121. Pumps Less Than 65,000 Btu/h 2. Shipments Analysis Telephone: (202) 586–6590. Email: A. Market Assessment 3. Base-Case and Standards-Case [email protected]. 1. Equipment Classes Forecasted Distribution of Efficiencies Mr. Eric Stas, U.S. Department of 2. Review of Current Market 4. National Energy Savings and Net Present a. Trade Association Information Value Energy, Office of the General Counsel, b. Manufacturer Information GC–33, 1000 Independence Avenue VII. Methodology for Emissions Analysis and c. Market Data Monetizing Carbon Dioxide and Other SW., Washington, DC 20585–0121. B. Engineering Analysis Emissions Impacts Telephone: (202) 586–9507. Email: 1. Approach A. Emissions Analysis [email protected]. 2. Baseline Equipment B. Monetizing Carbon Dioxide and Other For information on how to submit or 3. Identification of Increased Efficiency Emissions Impacts review public comments, contact Ms. Levels for Analysis 1. Social Cost of Carbon Brenda Edwards at (202) 586–2945 or by 4. Engineering Analysis Results a. Monetizing Carbon Dioxide Emissions email: [email protected]. a. Manufacturer Markups b. Development of Social Cost of Carbon b. Shipping Costs Values SUPPLEMENTARY INFORMATION: DOE C. Markups Analysis c. Current Approach and Key Assumptions proposes to incorporate by reference the D. Energy Use Analysis 2. Valuation of Other Emissions following industry standards into 10 E. Life-Cycle Cost and Payback Period Reductions CFR 431.76: Analysis VIII. Analytical Results and Conclusions • ANSI Z21.47–2012, ‘‘Gas-Fired 1. Equipment Costs A. Efficiency Levels Analyzed Central Furnaces,’’ ANSI approved on 2. Installation Costs 1. Small Commercial Air-Cooled Air March 27, 2012. 3. Unit Energy Consumption Conditioners and Heat Pumps Less Than Copies of ANSI Z21.47–2012 can be 4. Electricity Prices and Electricity Price 65,000 Btu/h obtained from ANSI. American National Trends 2. Water-Source Heat Pumps 5. Maintenance Costs Standards Institute. 25 W. 43rd Street, 3. Commercial Oil-Fired Storage Water 6. Repair Costs Heaters 4th Floor, New York, NY 10036. (212) 7. Equipment Lifetime B. Energy Savings and Economic 642–4900, or by going to http:// 8. Discount Rate Justification www.ansi.org. 9. Base-Case Market Efficiency Distribution 1. Small Commercial Air-Cooled Air • ASHRAE Standard 103–2007, 10. Compliance Date Conditioners and Heat Pumps Less Than sections 7.2.2.4, 7.8, 9.2, and 11.3.7, 11. Payback Period Inputs 65,000 Btu/h

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a. Economic Impacts on Commercial heating equipment, and packaged (i.e., small three-phase air-cooled air Customers terminal air conditioners and heat conditioners (single package only) and b. National Impact Analysis pumps) each time the American Society heat pumps (single package and split 2. Water-Source Heat Pumps of Heating, Refrigerating and Air- a. Economic Impacts on Commercial system) less than 65,000 Btu/h; water- Customers Conditioning Engineers (ASHRAE) source heat pumps; commercial oil-fired b. National Impact Analysis Standard 90.1, Energy Standard for storage water heaters; single package 3. Commercial Oil-Fired Storage Water Buildings Except Low-Rise Residential vertical units; and packaged terminal air Heaters Buildings, is amended with respect to conditioners), DOE analyzed the energy C. Need of the Nation To Conserve Energy such equipment. (42 U.S.C. savings potential of amended national D. Proposed Standards 6313(a)(6)(A)) For each type of energy conservation standards (at both 1. Small Commercial Air-Cooled Air equipment, EPCA directs that if the new ASHRAE Standard 90.1 Conditioners and Heat Pumps Less Than 65,000 Btu/h ASHRAE Standard 90.1 is amended, efficiency levels and more-stringent 2. Water-Source Heat Pumps DOE must adopt amended energy efficiency levels). For small three-phase 3. Commercial Oil-Fired Storage Water conservation standards at the new air-cooled air conditioners and heat Heaters efficiency level in ASHRAE Standard pumps less than 65,000 Btu/h and IX. Procedural Issues and Regulatory Review 90.1, unless clear and convincing water-source heat pumps, DOE analyzed A. Review Under Executive Order 12866 evidence supports a determination that the economic savings potential of and 13563 adoption of a more-stringent efficiency amended national energy conservation B. Review Under the Regulatory Flexibility level as a national standard would Act standards at more-stringent efficiency C. Review Under the Paperwork Reduction produce significant additional energy levels, in addition to the energy savings Act of 1995 savings and be technologically feasible potential. For commercial oil-fired D. Review Under the National and economically justified. (42 U.S.C. storage water heaters, DOE determined Environmental Policy Act of 1969 6313(a)(6)(A)(ii)) If DOE decides to that the potential for energy savings E. Review Under Executive Order 13132 adopt as a national standard the from adopting more-stringent levels F. Review Under Executive Order 12988 efficiency levels specified in the than the ASHRAE Standard 90.1 levels G. Review Under the Unfunded Mandates amended ASHRAE Standard 90.1, DOE Reform Act of 1995 was not significant, and, thus, DOE is H. Review Under the Treasury and General must establish such standard not later proposing to adopt the ASHRAE Government Appropriations Act, 1999 than 18 months after publication of the Standard 90.1 levels without further I. Review Under Executive Order 12630 amended industry standard. (42 U.S.C. analysis (see section IV.B for further J. Review Under the Treasury and General 6313(a)(6)(A)(ii)(I)) If DOE determines details). For single package vertical Government Appropriations Act, 2001 that a more-stringent standard is units and packaged terminal air K. Review Under Executive Order 13211 appropriate under the statutory criteria, conditioners, DOE is performing L. Review Under the Information Quality DOE must establish such more-stringent economic analyses and responding to Bulletin for Peer Review standard not later than 30 months after X. Public Participation relevant comments from the NODA in A. Attendance at the Public Meeting publication of the revised ASHRAE separate rulemakings that were B. Procedure for Submitting Prepared Standard 90.1. (42 U.S.C. 6313(a)(6)(B)) previously ongoing,3 and consequently, General Statements for Distribution ASHRAE officially released ASHRAE the analysis for this equipment and C. Conduct of the Public Meeting Standard 90.1–2013 on October 9, 2013, further discussion or proposal of D. Submission of Comments thereby triggering DOE’s previously standard levels will not be discussed in E. Issues on Which DOE Seeks Comment referenced obligations pursuant to EPCA this NOPR. XI. Approval of the Office of the Secretary to determine for those types of DOE has tentatively concluded that I. Summary of the Proposed Rule equipment with efficiency level or for three classes of small three-phase design requirement changes beyond the air-cooled air conditioners and heat Title III, Part C 1 of the Energy Policy current Federal standard, whether: (1) pumps less than 65,000 Btu/h, three and Conservation Act of 1975 (‘‘EPCA’’ The amended industry standard should classes of water-source heat pumps, and or ‘‘the Act’’), Public Law 94–163, (42 be adopted; or (2) clear and convincing one class of commercial oil-fired storage U.S.C. 6311–6317, as codified), added evidence exists to justify more-stringent water heaters: (1) The revised efficiency by Public Law 95–619, Title IV, section standard levels. levels in ASHRAE 90.1–2013 4 are more 441(a), established the Energy Accordingly, this NOPR sets forth Conservation Program for Certain stringent than current national DOE’s determination of scope for standards; and (2) their adoption as Industrial Equipment, which sets forth a consideration of amended energy variety of provisions designed to Federal energy conservation standards conservation standards with respect to would result in energy savings where improve energy efficiency. These certain heating, ventilating, air- encompass several types of commercial models exist below the revised conditioning, and water-heating efficiency levels. DOE has also heating, air-conditioning, and water- equipment addressed in ASHRAE heating equipment, including those that tentatively concluded that there is not Standard 90.1–2013. Such inquiry is clear and convincing evidence that are the subject of this rulemaking. (42 necessary to ascertain whether the U.S.C. 6311(1)(B) and (K)) EPCA, as would justify adoption of more-stringent revised ASHRAE efficiency levels have efficiency levels for this equipment. amended, also requires the U. S. become more stringent, thereby Department of Energy (DOE) to consider ensuring that any new amended 3 amending the existing Federal energy See Packaged Terminal Air Conditioners and national standard would not result in Heat Pumps Standards Rulemaking Web page: conservation standard for certain types prohibited ‘‘backsliding.’’ For those www1.eere.energy.gov/buildings/appliance_ of listed commercial and industrial equipment classes for which ASHRAE standards/rulemaking.aspx/ruleid/64 and Single Package Vertical Air Conditioners and Heat Pumps equipment (generally, commercial water set more-stringent efficiency levels 2 heaters, commercial packaged boilers, Standards Rulemaking Web page: www1.eere.energy.gov/buildings/appliance_ commercial air-conditioning and 2 ASHRAE Standard 90.1–2013 did not change standards/rulemaking.aspx?ruleid=107. any of the design requirements for the commercial 4 To obtain a copy of ASHRAE Standard 90.1– 1 For editorial reasons, upon codification in the (HVAC) and water-heating equipment covered by 2013, visit https://www.ashrae.org/resources-- U.S. Code, Part C was redesignated Part A–1. EPCA. publications/bookstore/standard-90-1.

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It is noted that DOE’s regulations concluded that there is not clear and specified by ASHRAE Standard 90.1– currently have a single equipment class convincing evidence that would justify 2013, as shown in Table I.1. The for small, three-phase commercial air- adoption of more-stringent efficiency proposed standards, if adopted, would cooled air conditioners less than 65,000 levels for small three-phase split-system apply to all equipment listed in Table Btu/h, which covers both split-system air-cooled air conditioners less than I.1 and manufactured in, or imported and single-package models. Although 65,000 Btu/h, where the efficiency level into, the United States on or after the ASHRAE Standard 90.1–2013 did not in ASHRAE 90.1–2013 is the same as date two years after the effective date amend standard levels for the split- the current Federal energy conservation specified in ASHRAE Standard 90.1– system models within that equipment standards. 2013 (i.e., by January 1, 2017 for small class, it did so for the single-package Thus, in accordance with the criteria air-cooled air conditioners and heat models. Given this split, DOE is discussed elsewhere in this document, pumps and by October 9, 2015 for proposing to once again separate these DOE is proposing amended energy two types of equipment into separate conservation standards for three classes water-source heat pumps and oil-fired equipment classes. In the NOPR, DOE is of small three-phase air-cooled air storage water heaters). (42 U.S.C. proposing to evaluate amended conditioners and heat pumps less than 6313(a)(6)(D)(i)) DOE is making a standards for split-system models under 65,000 Btu/h, three classes of water- determination that standards for split- the six-year-lookback provision at 42 source heat pumps, and one class of system air-cooled air conditioners less U.S.C. 6313(a)(6)(C). Following this commercial oil-fired storage water than 65,000 Btu/h do not need to be evaluation, DOE has tentatively heaters by adopting the efficiency levels amended.

TABLE I.1—PROPOSED ENERGY CONSERVATION STANDARDS FOR SPECIFIC TYPES OF COMMERCIAL EQUIPMENT

Anticipated Equipment class Efficiency level compliance date

Three-Phase Air-Cooled Single-Package Air Conditioners <65,000 Btu/h ...... 14.0 SEER ...... January 1, 2017. Three-Phase Air-Cooled Single-Package Heat Pumps <65,000 Btu/h ...... 14.0 SEER, ...... January 1, 2017. 8.0 HSPF ...... Three-Phase Air-Cooled Split-System Heat Pumps <65,000 Btu/h ...... 14.0 SEER, ...... January 1, 2017. 8.2 HSPF ...... Oil-Fired Storage Water Heaters >105,000 Btu/h and <4,000 Btu/h/gal ...... 80% Et ...... October 9, 2015. Water-Source (Water-to-Air, Water-Loop) Heat Pumps <17,000 Btu/h ...... 12.2 EER, ...... October 9, 2015. 4.3 COP ...... Water-Source (Water-to-Air, Water-Loop) Heat Pumps ≥17,000 and <65,000 Btu/h ...... 13.0 EER, ...... October 9, 2015. 4.3 COP ...... Water-Source (Water-to-Air, Water-Loop) Heat Pumps ≥65,000 and <135,000 Btu/h ...... 13.0 EER, ...... October 9, 2015. 4.3 COP ......

In addition, when the generally Additionally, EISA 2007 amended burden would be expected to result accepted industry test procedures EPCA to require that at least once every from this test procedure update. referenced in ASHRAE Standard 90.1 7 years, DOE must conduct an are updated, EPCA requires DOE to evaluation of the test procedures for all II. Introduction amend the DOE test procedures for the covered equipment and either amend The following section briefly relevant type(s) of ASHRAE equipment test procedures (if the Secretary discusses the statutory authority (which manufacturers are required to determines that amended test underlying this proposal, as well as use in order to certify compliance with procedures would more accurately or some of the relevant historical energy conservation standards fully comply with the requirements of background related to the establishment mandated under EPCA) to be consistent 42 U.S.C. 6314(a)(2)–(3)) or publish of standards for small three-phase air- with the amended industry test notice in the Federal Register of any cooled air conditioners and heat pumps procedure. (42 U.S.C. 6314(a)(4)(B)) determination not to amend a test DOE typically incorporates such procedure. (42 U.S.C. 6314(a)(1)(A)) less than 65,000 Btu/h, water-source industry test standards by reference, Under this requirement, DOE has heat pumps, and commercial oil-fired unless it determines they would not reviewed the test procedure for storage water heaters. meet the requirements of 42 U.S.C. commercial warm-air furnaces and is A. Authority 6314(a)(2) and (3). Specifically, the proposing to update the citations and amendments in this NOPR would incorporations by reference to the most Title III, Part C 5 of the Energy Policy update the citations and incorporations recent version of ASHRAE 103, Method and Conservation Act of 1975 (EPCA or by reference in DOE’s regulations to the of Testing for Annual Fuel Utilization the Act), Public Law 94–163 (42 U.S.C. most recent version of American Efficiency of Residential Central 6311–6317, as codified), added by National Standards Institute (ANSI) Furnaces and Boiler (i.e., ASHRAE 103– Public Law 95–619, Title IV, section Z21.47, Standard for Gas-Fired Central 2007), Thus, the final rule resulting 441(a), established the Energy Furnaces (i.e., ANSI Z21.47–2012). from this rulemaking will satisfy the Conservation Program for Certain However, as a substantive matter, DOE requirement to review the test Industrial Equipment, which includes notes that the most recent version does procedures for commercial warm-air the commercial heating, air- not contain any updates to the sections furnaces within seven years. DOE notes conditioning, and water-heating currently referenced by the DOE test that the most recent version of ASHRAE equipment that is the subject of this procedure, so no additional burden 103 does not contain any updates to the would be expected to result from this sections currently referenced by the 5 For editorial reasons, upon codification in the test procedure update. DOE test procedure, so no additional U.S. Code, Part C was redesignated Part A–1.

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rulemaking.6 In general, this program DOE must publish in the Federal Energy Manufacturing Technical addresses the energy efficiency of Register an analysis of the energy Corrections Act (AEMTCA) to clarify certain types of commercial and savings potential of amended energy that DOE’s periodic review of ASHRAE industrial equipment. Relevant efficiency standards within 180 days of equipment must occur ‘‘[e]very six provisions of the Act specifically the amendment of ASHRAE Standard years.’’ (42 U.S.C. 6313(a)(6)(C)(i)) include definitions (42 U.S.C. 6311), 90.1. (42 U.S.C. 6313(a)(6)(A)(i)) EPCA AEMTCA also modified EPCA to energy conservation standards (42 further directs that DOE must adopt specify that any amendment to the U.S.C. 6313), test procedures (42 U.S.C. amended standards at the new design requirements with respect to the 6314), labelling provisions (42 U.S.C. efficiency level in ASHRAE Standard ASHRAE equipment would trigger DOE 6315), and the authority to require 90.1, unless clear and convincing review of the potential energy savings information and reports from evidence supports a determination that under U.S.C. 6313(a)(6)(A)(i). manufacturers (42 U.S.C. 6316). adoption of a more-stringent level Additionally, AEMTCA amended EPCA EPCA contains mandatory energy would produce significant additional to require that if DOE proposes an conservation standards for commercial energy savings and be technologically amended standard for ASHRAE heating, air-conditioning, and water- feasible and economically justified. (42 equipment at levels more stringent than heating equipment. (42 U.S.C. 6313(a)) U.S.C. 6313(a)(6)(A)(ii)) If DOE decides those in ASHRAE Standard 90.1, DOE, Specifically, the statute sets standards to adopt as a national standard the in deciding whether a standard is for small, large, and very large efficiency levels specified in the economically justified, must determine, commercial package air-conditioning amended ASHRAE Standard 90.1, DOE after receiving comments on the and heating equipment, packaged must establish such standard not later proposed standard, whether the benefits terminal air conditioners (PTACs), than 18 months after publication of the of the standard exceed its burdens by packaged terminal heat pumps (PTHPs), amended industry standard. (42 U.S.C. considering, to the maximum extent warm-air furnaces, packaged boilers, 6313(a)(6)(A)(ii)(I)) However, if DOE practicable, the following seven factors: storage water heaters, instantaneous determines that a more-stringent (1) The economic impact of the water heaters, and unfired hot water standard is justified under 42 U.S.C. standard on manufacturers and storage tanks. Id. In doing so, EPCA 6313(a)(6)(A)(ii)(II), then it must consumers of the products subject to the established Federal energy conservation establish such more-stringent standard standard; standards that generally correspond to not later than 30 months after (2) The savings in operating costs the levels in ASHRAE Standard 90.1, as publication of the amended ASHRAE throughout the estimated average life of in effect on October 24, 1992 (i.e., Standard 90.1. (42 U.S.C. 6313(a)(6)(B)) the product in the type (or class) ASHRAE Standard 90.1–1989), for each In addition, DOE notes that pursuant to compared to any increase in the price, type of covered equipment listed in 42 the EISA 2007 amendments to EPCA, initial charges, or maintenance expenses U.S.C. 6313(a). The Energy under 42 U.S.C. 6313(a)(6)(C), the of the products likely to result from the Independence and Security Act of 2007 agency must periodically review its standard; (EISA 2007) amended EPCA by adding already-established energy conservation (3) The total projected amount of definitions and setting minimum energy standards for ASHRAE equipment. In energy savings likely to result directly conservation standards for single- December 2012, this provision was from the standard; package vertical air conditioners further amended by the American (4) Any lessening of the utility or the (SPVACs) and single-package vertical performance of the products likely to heat pumps (SPVHPs). (42 U.S.C. adopt uniform national standards based on result from the standard; 6313(a)(10)(A)) The efficiency standards ASHRAE action is for ASHRAE to change a (5) The impact of any lessening of for SPVACs and SPVHPs established by standard for any of the equipment listed in EPCA section 342(a)(6)(A)(i) (42 U.S.C. 6313(a)(6)(A)(i)) by competition, as determined in writing EISA 2007 correspond to the levels increasing the energy efficiency level for that by the Attorney General, that is likely to contained in ASHRAE Standard 90.1– equipment type. Id. at 10042. In other words, if the result from the standard; 2004, which originated as addendum revised ASHRAE Standard 90.1 leaves the standard (6) The need for national energy ‘‘d’’ to ASHRAE Standard 90.1–2001. level unchanged or lowers the standard, as conservation; and compared to the level specified by the national In acknowledgement of technological standard adopted pursuant to EPCA, DOE does not (7) Other factors the Secretary changes that yield energy efficiency have the authority to conduct a rulemaking to considers relevant. benefits, the U.S. Congress further consider a higher standard for that equipment (42 U.S.C. 6313(a)(6)(B)(ii)) directed DOE through EPCA to consider pursuant to 42 U.S.C. 6313(a)(6)(A). DOE EPCA also requires that if a test subsequently reiterated this position in a final rule amending the existing Federal energy published in the Federal Register on July 22, 2009 procedure referenced in ASHRAE conservation standard for each type of (74 FR 36312, 36313) and again on May 16, 2012 Standard 90.1 is updated, DOE must equipment listed, each time ASHRAE (77 FR 28928, 28937). However, in the AEMTCA update its test procedure to be amendments to EPCA in 2012, Congress modified consistent with the amended test Standard 90.1 is amended with respect several provisions related to ASHRAE Standard to such equipment. (42 U.S.C. 90.1 equipment. In relevant part, DOE is now procedure in ASHRAE Standard 90.1, 6313(a)(6)(A)) For each type of triggered to act whenever ASHRAE Standard 90.1’s unless DOE determines that the equipment, EPCA directs that if ‘‘standard levels or design requirements under that amended test procedure is not 7 standard’’ are amended. (42 U.S.C. 6313(a)(6)(A)(i)) reasonably designed to produce test ASHRAE Standard 90.1 is amended, Furthermore, DOE is now required to conduct an evaluation of each class of covered equipment in results that reflect the energy efficiency, 6 All references to EPCA in this document refer ASHRAE Standard 90.1 ‘‘every 6 years.’’ (42 U.S.C. energy use, or estimated operating costs to the statute as amended through the American 6313(a)(6)(C)(i)) For any covered equipment for of the ASHRAE equipment during a Energy Manufacturing Technical Corrections Act which more than 6 years has elapsed since issuance representative average use cycle. In (AEMTCA), Public Law 112–210 (Dec. 18, 2012). of the most recent final rule establishing or 7 Although EPCA does not explicitly define the amending a standard for such equipment, DOE addition, DOE must determine that the term ‘‘amended’’ in the context of ASHRAE must publish either the required notice of amended test procedure is not unduly Standard 90.1, DOE provided its interpretation of determination that standards do not need to be burdensome to conduct. (42 U.S.C. what would constitute an ‘‘amended standard’’ in amended or a NOPR with proposed standards by 6314(a)(2) and(4)) a final rule published in the Federal Register on December 31, 2013. (42 U.S.C. 6313(a)(6)(C)(vi)) Additionally, EISA 2007 amended March 7, 2007 (hereafter referred to as the ‘‘March DOE has incorporated these new statutory mandates 2007 final rule’’). 72 FR 10038. In that rule, DOE into its rulemaking process for covered ASHRAE EPCA to require that at least once every stated that the statutory trigger requiring DOE to 90.1 equipment. 7 years, DOE must conduct an

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evaluation of the test procedures for all if the Secretary finds that the additional Standard 90.1 on October 9, 2013. The covered equipment and either amend cost to the consumer of purchasing a ASHRAE standard addresses efficiency test procedures (if the Secretary product complying with an energy levels for many types of commercial determines that amended test conservation standard level will be less heating, ventilating, air-conditioning procedures would more accurately or than three times the value of the energy (HVAC), and water-heating equipment fully comply with the requirements of (and, as applicable, water) savings covered by EPCA. ASHRAE Standard 42 U.S.C. 6314(a)(2)–(3)) or publish during the first year that the consumer 90.1–2013 revised its efficiency levels notice in the Federal Register of any will receive as a result of the standard, for certain commercial equipment, but determination not to amend a test as calculated under the applicable test for the remaining equipment, ASHRAE procedure. procedure. (42 U.S.C. 6314(a)(1)(A)) The left in place the preexisting levels (i.e., final rule resulting from this rulemaking Additionally, when a type or class of covered equipment such as ASHRAE the efficiency levels in ASHRAE will satisfy the requirement to review Standard 90.1–2010). ASHRAE the test procedures for commercial equipment, has two or more Standard 90.1–2013 did not change any warm-air furnaces within seven years. subcategories, DOE often specifies more On October 9, 2013 ASHRAE than one standard level. DOE generally of the design requirements for the officially released and made public will adopt a different standard level commercial HVAC and water-heating ASHRAE Standard 90.1–2013. This than that which applies generally to equipment covered by EPCA. action triggered DOE’s obligations under such type or class of products for any Table II.1 presents the equipment 42 U.S.C. 6313(a)(6), as outlined group of covered products that have the classes (and corresponding efficiency previously. same function or intended use if DOE levels) for which efficiency levels in EPCA, as codified, also contains what determines that products within such ASHRAE Standard 90.1–2013 (for is known as an ‘‘anti-backsliding’’ group: (A) Consume a different kind of metrics included in Federal energy provision, which prevents the Secretary energy from that consumed by other conservation standards) differed from covered products within such type (or from prescribing any amended standard those in the previous version of class); or (B) have a capacity or other that either increases the maximum ASHRAE Standard 90.1 (i.e., ASHRAE allowable energy use or decreases the performance-related feature which other products within such type (or class) do Standard 90.1–2010). Table II.1 also minimum required energy efficiency of presents the existing Federal energy a covered product. (42 U.S.C. not have and which justifies a higher or conservation standards and the 6313(a)(6)(B)(iii)(I)) Also, the Secretary lower standard. In determining whether corresponding standard levels in both may not prescribe an amended or new a performance-related feature justifies a ASHRAE Standard 90.1–2010 and standard if interested persons have different standard for a group of established by a preponderance of the products, DOE generally considers such ASHRAE Standard 90.1–2013 for those evidence that such standard would factors as the utility to the consumer of equipment classes. Section IV of this likely result in the unavailability in the the feature and other factors DOE deems document assesses each of these United States of any covered product appropriate. In a rule prescribing such equipment types to determine whether type (or class) of performance a standard, DOE includes an the amendments in ASHRAE Standard characteristics (including reliability), explanation of the basis on which such 90.1–2013 constitute increased energy features, sizes, capacities, and volumes higher or lower level was established. efficiency levels, as would necessitate that are substantially the same as those DOE plans to follow a similar process in further analysis of the potential energy generally available in the United States the context of this rulemaking. savings from amended Federal energy at the time of the Secretary’s finding. (42 B. Background conservation standards; the conclusions U.S.C. 6313(a)(6)(B)(iii)(II)(aa)) of this assessment are presented in the Further, EPCA, as codified, 1. ASHRAE Standard 90.1–2013 final column of Table II.1. establishes a rebuttable presumption As noted previously, ASHRAE that a standard is economically justified released a new version of ASHRAE

TABLE II.1—FEDERAL ENERGY CONSERVATION STANDARDS AND ENERGY EFFICIENCY LEVELS IN ASHRAE STANDARD 90.1–2013 FOR SPECIFIC TYPES OF COMMERCIAL EQUIPMENT *

Energy efficiency lev- Energy efficiency lev- ASHRAE equipment class ** els in ASHRAE Stand- els in ASHRAE Stand- Federal energy con- Energy-savings poten- ard 90.1–2010 ard 90.1–2013 servation standards tial analysis required?

Commercial Package Air-Conditioning and Heating Equipment—Air-Cooled

Air-Cooled Air Conditioner, 3-Phase, Single- 13.0 SEER ...... 14.0 SEER (as of 1/1/ 13.0 SEER ...... Yes—See section Package, <65,000 Btu/h. 2015). IV.A.1. Air-Cooled Heat Pump, 3-Phase, Single- 13.0 SEER, 7.7 HSPF 14.0 SEER, 8.0 HSPF 13.0 SEER, 7.7 HSPF Yes—See section Package, <65,000 Btu/h. (as of 1/1/2015). IV.A.1. Air-Cooled Heat Pump, 3-Phase, Split Sys- 13.0 SEER, 7.7 HSPF 14.0 SEER, 8.2 HSPF 13.0 SEER, 7.7 HSPF Yes—See section tem, <65,000 Btu/h. (as of 1/1/2015). IV.A.1.

Commercial Package Air-Conditioning and Heating Equipment—Water-Source

Water-Source Heat Pump, <17,000 Btu/h ..... 11.2 EER, 4.2 COP ... 12.2 EER, 4.3 11.2 EER, 4.2 COP ... Yes—See section COPH***. IV.A.2. Water-Source Heat Pump, ≥17,000 and 12.0 EER, 4.2 COP ... 13.0 EER, 4.3 12.0 EER, 4.2 COP ... Yes—See section <65,000 Btu/h. COPH***. IV.A.2. Water-Source Heat Pump, ≥65,000 and 12.0 EER, 4.2 COP ... 13.0 EER, 4.3 12.0 EER, 4.2 COP ... Yes—See section <135,000 Btu/h. COPH***. IV.A.2.

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TABLE II.1—FEDERAL ENERGY CONSERVATION STANDARDS AND ENERGY EFFICIENCY LEVELS IN ASHRAE STANDARD 90.1–2013 FOR SPECIFIC TYPES OF COMMERCIAL EQUIPMENT *—Continued

Energy efficiency lev- Energy efficiency lev- ASHRAE equipment class ** els in ASHRAE Stand- els in ASHRAE Stand- Federal energy con- Energy-savings poten- ard 90.1–2010 ard 90.1–2013 servation standards tial analysis required?

Commercial Package Air-Conditioning and Heating Equipment—PTACs

Package Terminal Air Conditioner, <7,000 EER = 11.7 as of 10/ EER = 11.9 (as of 1/1/ EER = 11.7 ...... Yes—See section Btu/h, Standard Size (New Construction) †. 8/12). 2015). IV.A.3. Package Terminal Air Conditioner, ≥7,000 EER = 13.8—(0.300 × EER = 14.0—(0.300 × EER = 13.8—(0.300 × Yes—See section and ≤15,000 Btu/h, Standard Size (New Cap ††) (as of 10/8/ Cap ††) (as of 1/1/ Cap ††). IV.A.3. Construction) †. 12). 2015). Package Terminal Air Conditioner, >15,000 EER = 9.3 (as of 10/8/ EER = 9.5 (as of 1/1/ EER = 9.3 ...... Yes—See section Btu/h, Standard Size (New Construction) †. 12). 2015). IV.A.3.

Commercial Package Air-Conditioning and Heating Equipment—SDHV and TTW

Through-the-Wall (TTW), Air-Cooled Heat 13.0 SEER, 7.4 HSPF 12.0 SEER, 7.4 HSPF 13.0 SEER, 7.7 HSPF No—See section Pumps, ≤30,000 Btu/h. IV.A.4. Small-Duct, High-Velocity, Air-Cooled 10.0 SEER ...... 11.0 SEER ...... 13.0 SEER ...... No—See section (SDHV) Air Conditioners, <65,000 Btu/h. IV.A.4. Small-Duct, High-Velocity, Air-Cooled Heat 10.0 SEER, HSPF not 11.0 SEER, 6.8 HSPF 13.0 SEER, 7.7 HSPF No—See section Pumps, <65,000 Btu/h. listed †††. IV.A.4.

Commercial Package Air-Conditioning and Heating Equipment—SPVACs and SPVHPs

Single Package Vertical Air Conditioners, 9.0 EER ...... 10.0 EER ...... 9.0 EER ...... Yes—See section <65,000 Btu/h. IV.A.5. Single Package Vertical Air Conditioners, 8.9 EER ...... 10.0 EER ...... 8.9 EER ...... Yes—See section ≥65,000 and <135,000 Btu/h. IV.A.5. Single Package Vertical Air Conditioners, 8.6 EER ...... 10.0 EER ...... 8.6 EER ...... Yes—See section ≥135,000 and <240,000 Btu/h. IV.A.5. Single Package Vertical Heat Pumps, 9.0 EER, 3.0 COP ..... 10.0 EER, 3.0 9.0 EER, 3.0 COP ..... Yes—See section <65,000 Btu/h. COPH***. IV.A.5. Single Package Vertical Heat Pumps, 8.9 EER, 3.0 COP ..... 10.0 EER, 3.0 8.9 EER, 3.0 COP ..... Yes—See section ≥65,000 and <135,000 Btu/h. COPH***. IV.A.5. Single Package Vertical Heat Pumps, 8.6 EER, 2.9 COP ..... 10.0 EER, 3.0 8.6 EER, 2.9 COP ..... Yes—See section ≥135,000 and <240,000 Btu/h. COPH***. IV.A.5. Single Package Vertical Air Conditioners N/A ...... 9.2 EER ...... N/A † ...... No—See section Nonweatherized Space Constrained, IV.A.5. ≤30,000 Btu/h. Single Package Vertical Air Conditioners N/A ...... 9.0 EER ...... N/A † ...... No—See section Nonweatherized Space Constrained, IV.A.5. >30,000 and ≤36,000 Btu/h. † Single Package Vertical Heat Pumps Non- N/A ...... 9.2 EER, 3.0 COPH ... N/A ...... No—See section weatherized Space Constrained, ≤30,000 IV.A.5. Btu/h. † Single Package Vertical Heat Pumps Non- N/A ...... 9.0 EER, 3.0 COPH ... N/A ...... No—See section weatherized Space Constrained, >30,000 IV.A.5. and ≤36,000 Btu/h.

Commercial Water Heaters

1/2 ‡‡ ‡‡‡ ‡‡‡ Electric Storage Water Heaters, >12 kW, ≥20 20 + 35 V SL , 0.3 + 27/Vm %/h .... 0.3 + 27/Vm %/h .... No—See Section gal. Btu/h. IV.B. Gas Storage Water Heaters, >75,000 Btu/h, 80% Et; Q/800 + 110 80% Et; Q/799 + 16.6 80% Et; Q/800 + 110 No—See Section 1/2 1/2 1/2 <4,000 Btu/h/gal. V SL ◊, Btu/h. V SL ◊, Btu/h◊◊. Vr Btu/hr. IV.B. Oil Storage Water Heaters, >105,000 Btu/h, 78% Et; Q/800 + 110 80% Et; Q/799 + 16.6 78% Et; Q/800 + 110 Yes—See Section 1/2 1/2 1/2 <4,000 Btu/h/gal. V SL ◊, Btu/h. V SL ◊, Btu/h◊◊. Vr Btu/hr. IV.B. Gas Instantaneous Water Heaters, ≥200,000 80% Et, Q/800 + 110 80% Et, Q/799 + 16.6 80% Et, Q/800 + 110 No—See Section 1/2 1/2 1/2 Btu/h, ≥4,000 Btu/h/gal, ≥10 gal. V SL ◊, Btu/h. V SL ◊, Btu/h◊◊. Vr Btu/hr. IV.B. Oil Instantaneous Water Heaters, >210,000 78% Et, Q/800 + 110 78% Et, Q/799 + 16.6 78% Et, Q/800 + 110 No—See Section 1/2 1/2 1/2 Btu/h, ≥4,000 Btu/h/gal, ≥10 gal. V SL ◊, Btu/h. V SL ◊, Btu/h◊◊. Vr Btu/hr. IV.B.

* ‘‘Et’’ means thermal efficiency; ‘‘EER’’ means energy efficiency ratio; ‘‘SEER’’ means seasonal energy efficiency ratio; ‘‘HSPF’’ means heating seasonal performance factor; ‘‘COP’’ and ‘‘COPH’’ mean coefficient of performance; and ‘‘Btu/h’’ or ‘‘Btu/hr’’ means British thermal units per hour. ** ASHRAE Standard 90.1–2013 equipment classes may differ from the equipment classes defined in DOE’s regulations, but no loss of cov- erage will occur (i.e., all previously covered DOE equipment classes remain covered equipment). *** While ASHRAE Standard 90.1–2013 added a subscript H to COP for all heat pumps, its definition for ‘‘coefficient of performance (COP), heat pump—heating’’ has not changed. As a result, DOE believes the subscript to be a clarifying change of nomenclature (to differentiate from the COP metric used for refrigeration) only, rather than a change to the metric itself. † ‘‘Standard size’’ refers to PTAC equipment with wall sleeve dimensions ≥16 inches high or ≥42 inches wide. For DOE’s purposes, this equip- ment class applies to standard-size equipment regardless of application (e.g., new construction or replacement). †† ‘‘Cap’’ means cooling capacity in kBtu/h at 95°F outdoor dry-bulb temperature. ††† This may have been an editorial error in ASHRAE 90.1–2010.

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‡ While ASHRAE Standard 90.1–2013 added this equipment class, DOE believes that equipment falling into these classes is already covered by Federal standards, most commonly in the residential space-constrained central air conditioning equipment class with minimum standards of 12.0 SEER for air conditioners and heat pumps and 7.4 HSPF for heat pumps. See section II.A.5.1 of this NODA for further detail. ‡‡ ‘‘V’’ means rated volume in gallons; ‘‘SL’’ means standby loss. ‡‡‡ ‘‘Vm’’ means measured volume in tank. ◊ ‘‘Q’’ means the nameplate input rate in Btu/hr; ‘‘V’’ means rated volume in gallons; ‘‘SL’’ means standby loss. DOE’s descriptor, ‘‘Vr,’’ also means rated volume in gallons and differs only in nomenclature. ◊◊ As explained in section IV.B, DOE believes that all changes to standby loss levels for these equipment classes were editorial errors be- cause they are identical to SI (International System of Units; metric system) formulas rather than I–P (Inch-Pound; English system) formulas.

DOE notes that ASHRAE 90.1–2013 DOE’s evaluation of each ASHRAE III. General Discussion of Comments also increased integrated energy equipment type in order for DOE to Regarding the ASHRAE Process and efficiency ratio (IEER) levels for determine whether the amendments in DOE’s Interpretation of EPCA’s additional equipment not listed in Table ASHRAE Standard 90.1–2013 have Requirements With Respect to ASHRAE II.1, including small, large, and very increased efficiency levels or changed Equipment large air-cooled and water-cooled air design requirements. As an initial In response to its request for comment conditioners and heat pumps. However, matter, DOE sought to determine which on the April 2014 NODA, DOE received because current Federal energy requirements for covered equipment in 11 comments from manufacturers, trade conservation standards for this ASHRAE Standard 90.1, if any: (1) Have associations, utilities, and energy equipment do not use IEER as a rating been revised solely to reflect the level of efficiency advocates. Commenters metric, DOE is not triggered to review the current Federal energy conservation included: First Co.; Lennox this equipment. In September 2014, International Inc.; National Comfort DOE published a notice of proposed standard (where ASHRAE is merely ‘‘catching up’’ to the current national Products (NCP); Earthjustice; Goodman rulemaking (NOPR) for commercial air- Global, Inc.; California Investor-Owned cooled equipment. 79 FR 58948 (Sept. standard); (2) have been revised but with a reduction in stringency; or (3) Utilities (CA IOUs); GE Appliances; a 30, 2014). In the NOPR, DOE proposed group including Appliance Standards amended standards for small, large, and have had any other revisions made that do not change the standard’s stringency, Awareness Project (ASAP), the very large air-cooled commercial air American Council for an Energy- conditioners and heat pumps based on in which case, DOE is not triggered to Efficient Economy (ACEEE), the Natural IEER as the energy efficiency descriptor. act under 42 U.S.C. 6313(a)(6) for that Resources Defense Council (NRDC), and Should DOE finalize new standards particular equipment type. For those the Northwest Energy Efficiency using IEER as the metric, future types of equipment in ASHRAE Alliance (jointly referred to as the increases in IEER levels in ASHRAE Standard 90.1 for which ASHRAE Advocates); Daikin Applied; Edison Standard 90.1 as compared to the actually increased efficiency levels Electric Institute (EEI); and the Air- Federal energy conservation standards above the current Federal standard, DOE conditioning, Heating, and Refrigeration would trigger DOE to review its subjected that equipment to the Institute (AHRI). As discussed efficiency levels for that equipment. potential energy savings analysis previously, these comments are 2. Notice of Data Availability discussed previously and presented the available in the docket for this results in the April 2014 NODA for On April 11, 2014, DOE published a rulemaking and may be reviewed as notice of data availability (April 2014 public comment. 79 FR 20114, 20134– described in the ADDRESSES section. The NODA) in the Federal Register and 36 (April 11, 2014). Lastly, DOE following section summarizes the issues requested public comment as a presented an initial assessment of the raised in these comments, along with preliminary step required pursuant to test procedure changes included in DOE’s responses. EPCA when DOE considers amended ASHRAE Standard 90.1–2013. Id. at DOE received numerous comments energy conservation standards for 20124–25. regarding whether it should, in general, certain types of commercial equipment As a result of the preliminary adopt levels contained in ASHRAE standard 90.1–2013 as the Federal covered by ASHRAE Standard 90.1. 79 determination of scope set forth in the energy conservation standard, rather FR 20114. Specifically, the April 2014 April 2014 NODA, DOE found that there than more-stringent levels. Several NODA presented for public comment were equipment types for which DOE’s analysis of the potential energy commenters stated that DOE should ASHRAE increased the efficiency levels follow ASHRAE’s lead (e.g., Daikin savings estimates related to amended (thereby triggering further analysis) national energy conservation standards Applied, No. 0022 at p. 1; Goodman including: (1) Three classes of small for the types of commercial equipment Global, Inc., No. 0018 at p. 4; Lennox three-phase air-cooled air conditioners for which DOE was triggered by International Inc., No. 0015 at p. 1–2). ASHRAE action, based on: (1) The and heat pumps less than 65,000 Btu/h; AHRI stated that the ASHRAE revisions modified efficiency levels contained (2) three classes of small water-source represent consensus standards that were within ASHRAE Standard 90.1–2013; heat pumps; (3) six classes of single subject to rigorous public review and and (2) more-stringent efficiency levels. package vertical units; (4) three classes were evaluated for cost-effectiveness. Id. at 20134–36. DOE has described of packaged terminal air conditioners; (AHRI, No. 24 at p. 1) Because the these analyses and preliminary and (5) commercial oil-fired storage current Federal values are lower than conclusions and sought input from water heaters. 79 FR 20114, 20119–23 ASHRAE 90.1–2013 values, EEI argued interested parties, including the (April 11, 2014). DOE presented its that less-efficient equipment could submission of data and other relevant methodology, data, and results for the continue to enter the market until the information. Id. preliminary energy savings analysis effective date of any DOE standards, In addition, DOE presented a developed for these equipment classes which would be four years after DOE discussion in the April 2014 NODA of in the April 2014 NODA for public completes the rulemaking for levels the changes found in ASHRAE Standard comment. 79 FR 20114, 20125–38 (April higher than ASHRAE. (EEI, No. 23 at p. 90.1–2013. Id. at 20119–25. The April 11, 2014). 2) EEI added that adopting ASHRAE 2014 NODA includes a description of would reduce the amount of DOE

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resources needed for updating these ASHRAE standard in 2015 or 2017, IV. General Discussion of the Changes standards. (Id.) rather than developing its own revised in ASHRAE Standard 90.1–2013 and On the other hand, the Advocates and standard that would take effect in 2020. Determination of Scope for Further CA IOUs commented that significant, According to AHRI, DOE’s rulemaking Rulemaking Activity non-trivial energy savings would be process will lose 3 to 5 years of energy As discussed previously, before achievable by adopting higher efficiency savings, and DOE’s analysis must levels than those in ASHRAE 90.1–2013 beginning an analysis of the potential consider the energy savings associated economic impacts and energy savings for the equipment classes analyzed in with earlier implementation of the the NODA, at least when considered in that would result from adopting the ASHRAE 90.1–2013. (Id.) Finally, AHRI aggregate. (Advocates, No. 21 at p. 1; CA efficiency levels specified by ASHRAE stated that the April 2014 NODA did not IOUs, No. 19 at pp. 2–3) The Standard 90.1–2013 or more-stringent commenters provided justifications for address technological feasibility and efficiency levels, DOE first sought to adopting higher efficiency levels for economic justification, unlike ASHRAE determine whether or not the ASHRAE specific equipment classes; these details 90.1. (Id.) Standard 90.1–2013 efficiency levels are discussed in the relevant sections of In response, DOE only takes into actually represented an increase in this NOPR. account energy savings that result from efficiency above the current Federal standard levels. This section discusses In response to the submitted adoption of a Federal standard, not from each equipment class for which the comments, DOE notes that it makes adoption of an industry standard such ASHRAE Standard 90.1–2013 efficiency decisions about whether to adopt levels as ASHRAE Standard 90.1. However, level differs from the current Federal in ASHRAE 90.1–2013 or higher DOE did take the savings gap into efficiency levels based on application of standard level, along with DOE’s account in the April 2014 NODA by preliminary conclusion as to the action the statutory criteria to potential using an analysis period of 30 years standard levels for individual DOE is taking with respect to that beginning with 2015 or 2017 for the equipment types (per its mandate under equipment. (Once again, DOE notes that ASHRAE level, and a shorter analysis EPCA), rather than upon some general ASHRAE Standard 90.1–2013 did not assessment of perceived benefits of a period beginning in 2020 but with the change any of the design requirements shorter process by adopting the same end date for efficiency levels for the commercial HVAC and water- ASHRAE levels or any other reason. higher than ASHRAE. As part of any heating equipment covered by EPCA, so Specifically, EPCA directs that if rulemaking triggered by ASHRAE, DOE DOE is not conducting further analysis ASHRAE Standard 90.1 is amended, follows EPCA’s mandate by only in the sections below on that basis.) addressing energy savings in the NODA DOE must adopt amended energy A. Commercial Package Air- and analyzing technological feasibility conservation standards at the new Conditioning and Heating Equipment efficiency level in ASHRAE Standard and economic justification in the NOPR 90.1, unless clear and convincing where the potential for energy savings EPCA, as amended, defines evidence supports a determination that appears to be significant. DOE further ‘‘commercial package air conditioning adoption of a more-stringent level as a notes that it can only take credit for and heating equipment’’ as air-cooled, national standard would produce savings from mandatory Federal evaporatively-cooled, water-cooled, or significant additional energy savings standards and, therefore, cannot take water-source (not including ground and be technologically feasible and credit for early adoption of ASHRAE water-source) electrically operated, unitary central air conditioners and economically justified. (42 U.S.C. Standard 90.1 levels prior to the central air conditioning heat pumps for 6313(a)(6)(A)(ii)) In order to determine compliance date of the corresponding commercial use. (42 U.S.C. 6311(8)(A); if more-stringent efficiency levels would DOE standard when evaluating any meet EPCA’s criteria, DOE must review 10 CFR 431.92) EPCA also defines decision to amend DOE standards. DOE the efficiency levels in ASHRAE ‘‘small,’’ ‘‘large,’’ and ‘‘very large’’ commends ASHRAE’s action to amend Standard 90.1–2013 and more-stringent commercial package air conditioning efficiency levels for their energy savings Standard 90.1, as well as any early and heating equipment based on the and economic potentials irrespective of adoption of these levels by equipment’s rated cooling capacity. (42 whether the efficiency levels were part manufacturers to improve commercial 6311(8)(B)–(D); 10 CFR 431.92) ‘‘Small of a consensus standards process. The equipment efficiency and to reduce commercial package air conditioning specific rationale for DOE’s decisions national energy use. DOE strives to and heating equipment’’ means for each equipment type can be found consider such early adoption in its equipment rated less than 135,000 Btu in the relevant sections of this analysis to the extent that further energy per hour (cooling capacity). (42 U.S.C. document. savings associated with DOE’s adoption 6311(8)(B); 10 CFR 431.92) ‘‘Large AHRI also lodged several complaints of either the ASHRAE 90.1 standard commercial package air conditioning regarding the analyses described in the level or a more-stringent standard level and heating equipment’’ means April 2014 NODA. AHRI stated that would be negated or reduced. In other equipment rated at or above 135,000 Btu DOE’s analysis ignored the energy words, DOE seeks to determine any per hour and less than 240,000 Btu per savings from changes ASHRAE shifts in the baseline prior to adoption hour (cooling capacity). (42 U.S.C. implemented even before Standard of amended DOE standards, thereby 6311(8)(C); 10 CFR 431.92) ‘‘Very large 90.1–2013 was published. For example, allowing for a more accurate assessment commercial package air conditioning AHRI argued that ASHRAE’s water- of energy savings. See section V.F.3 for and heating equipment’’ means source heat pump level was developed more information regarding efficiency equipment rated at or above 240,000 Btu in 2011, adopted in 2012, and took distributions of equipment shipments per hour and less than 760,000 Btu per effect immediately. (AHRI, No. 24 at p. that allow proper consideration of the hour (cooling capacity). (42 U.S.C. 2) Thus, the products have been energy savings generated specifically by 6311(8)(D); 10 CFR 431.92) providing energy savings for at least 2 years. (Id.) AHRI further asserted that DOE’s potential actions. 1. Air-Cooled Equipment DOE’s analysis ignores the savings that The current Federal energy occur from implementation of the conservation standards for the three

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classes of air-cooled commercial prior to codification of EISA 2007, and (Earthjustice, No. 17 at pp. 1–2) The CA package air conditioners and heat requested comment on this issue. IOUs also requested that DOE update pumps for which ASHRAE Standard In response, AHRI, Goodman Global, efficiency levels for split-system air 90.1–2013 amended efficiency levels are and Lennox International agreed that conditioners even though ASHRAE did shown in Table II.1 and can be found in DOE should re-create separate classes not update them. (CA IOUs, No. 19 at DOE’s regulations at 10 CFR 431.97. The for split system and single package p. 4) Federal energy conservation standards equipment with input ratings less than In response, DOE initially notes that for air-cooled air conditioners and heat 65,000 Btu/h. (AHRI, No. 24 at p. 2; EPCA’s trigger regarding ASHRAE pumps are differentiated based on the Goodman Global, Inc., No. 18 at p. 2; equipment is tied to the equipment that unit’s cooling capacity (i.e., small, large, Lennox International Inc., No. 15 at p. ASHRAE acts to amend. (42 U.S.C. or very large). For small equipment, 5) The CA IOUs instead preferred 6313(a)(6)(A)) In this case, DOE was there is an additional disaggregation having only two equipment classes, one triggered for 3-phase air-cooled single- into: (1) Equipment less than 65,000 for air conditioners, and one for heat package air conditioners less than Btu/h and (2) equipment greater than or pumps, with identical levels across 65,000 Btu/h, but not the split-system equal to 65,000 Btu/h and less than single package and split system variant, even though both types of units 135,000 Btu/h. In setting initial equipment. (CA IOUs, No. 19 at p. 4) In were included in a more comprehensive standards for three-phase equipment order to facilitate following the statutory DOE equipment class. As noted less than 65,000 Btu/h, Congress used requirements of the ASHRAE trigger, in previously, DOE is acting to prevent the same metric for this commercial this NOPR, DOE continues to propose confusion by proposing to re-create equipment as for residential single- the re-creation of separate equipment separate product classes for the two phase equipment (i.e., seasonal energy classes. types of systems. However, DOE has efficiency ratio (SEER)), which is With regard to split system three- decided to now consider amended reflected in DOE’s current regulations. phase air conditioners, Earthjustice standards for 3-phase air-cooled split- Unlike the current Federal energy stated that standards must be reviewed, system air conditioners less than 65,000 conservation standards, ASHRAE if not under the ASHRAE trigger, then Btu/h under its 6-year look back Standard 90.1 also differentiates the under the six-year look back, as the authority. (42 U.S.C. 6313(a)(6)(C)(i)) It equipment that is less than 65,000 Btu/ clock will expire next year. is worth noting that DOE did not h into split system and single package (Earthjustice, No. 17 at pp. 1–2) consider ASHRAE’s single-package air subcategories. Historically, ASHRAE Specifically, Earthjustice opined that conditioner level of 14 SEER as the has set equivalent efficiency levels for ASHRAE has amended the Standard default adoption value for split-system this equipment; however, effective 90.1 levels for air-cooled, three-phase air conditioners. Instead, DOE is treating January 1, 2015, ASHRAE Standard air-conditioners less than 65,000 Btu/h those as a separate equipment class and 90.1–2013 increases the efficiency level by increasing the required SEER levels has reviewed the adoption of 14 SEER for single package air conditioners but for single package air conditioners and for split-system air conditioners as a not split system air conditioners. The all heat pump units. The fact that level more stringent than ASHRAE that increased efficiency level for single ASHRAE did not also increase the must result in significant additional package air conditioners surpasses the Standard 90.1-required SEER level for conservation of energy and be current Federal energy conservation split system air conditioners in this technologically feasible and standard level for the overall equipment equipment class does not insulate split economically justified. In the April 2014 NODA, DOE class, while the efficiency level for split system units from DOE’s obligation to conducted an analysis of the potential system air conditioners meets and does consider amended standards. The ‘‘more stringent’’ standard that EPCA obliges energy savings due to amended not exceed the Federal energy standards for single-package air conservation standard for the overall DOE to consider for this equipment class may be one that, for example, conditioners and single-package and equipment class. ASHRAE Standard split-system heat pumps (air-cooled, 90.1–2013 also increases the efficiency applies a SEER 14 level (or a higher SEER level) to all air-cooled 3-phase air- three-phase, less than 65,000 Btu/h). At levels, effective January 1, 2015, for both that time, DOE did not conduct an single package and split system air- conditioners less than 65,000 Btu/h (see 42 U.S.C. 6313(a)(6)(A)(ii)(II)). analysis of the potential energy savings cooled heat pumps, for SEER and for split-system air conditioners, but it heating seasonal performance factor (Earthjustice, No. 17 at p. 1) In addition, more than six years have elapsed since added it to the analysis performed for (HSPF), to efficiency levels that surpass this NOPR. the current Federal energy conservation EISA 2007 amended the standards for the split system air conditioners at In response to the April 2014 NODA, standard levels. ASHRAE Standard Goodman Global supported the 90.1–2013 increases the HSPF level for issue, and even if the 6-year clock began to run only when DOE incorporated the ASHRAE levels for small air-cooled air split systems above that for single conditioners and heat pumps so that package heat pumps. EISA 2007 levels into the Code of Federal Regulations, the time limit for single-phase and three-phase products Because ASHRAE increased the DOE’s review will expire next year.8 would have the same minimum standard for only single package air efficiencies, which is a reduced burden. conditioners, and increased the HSPF 8 DOE notes that pursuant to the EISA 2007 (Goodman Global, Inc., No. 17 at p. 4) level to a more stringent level for split amendments to EPCA, under 42 U.S.C. Goodman Global added that it does not system heat pumps than for single 6313(a)(6)(C), the agency must periodically review believe higher values than ASHRAE package heat pumps, in the April 2014 its already established energy conservation Standard 90.1–2013 could be justified standards for ASHRAE equipment. In December NODA, DOE proposed to consider 2012, this provision was further amended by the from a simple payback perspective. (Id.) separate equipment classes for single American Energy Manufacturing Technical In contrast, the Advocates and the CA package and split system equipment in Corrections Act (AEMTCA) to clarify that DOE’s IOUs supported higher efficiency levels the overall equipment classes of small periodic review of ASHRAE equipment must occur for three-phase equipment. The CA ‘‘[e]very six years.’’ (42 U.S.C. 6313(a)(6)(C)(i)) The commercial package air conditioners final rule incorporating the EISA 2007 prescribed IOUs argued that the higher annual and heat pumps (air-cooled, three- levels into the CFR was published on March 23, operating hours in nonresidential phase) less than 65,000 Btu/h, as existed 2009. 74 FR 12058. applications would support a higher

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efficiency standard. (CA IOUs, No. 19 at appropriate to characterize energy use source heat pump classes and is p. 4) The Advocates stated that three- in nonresidential buildings. According proposing in this NOPR to adopt the phase commercial units use a three- to the commenter, full-load EER better energy efficiency levels contained in phase compressor, which is generally approximates performance during peak ASHRAE Standard 90.1–2013 for water- more efficient than a single-phase loading conditions. (Id.) source heat pumps (see section compressor, which suggests that a three- In response, DOE does not have VIII.D.2). authority to adopt multiple metrics for phase central air conditioner or heat ASHRAE Standard 90.1–2013 also a single equipment class. Pursuant to pump has the potential to be more changed the name of this equipment 42U.S.C. 6313(a)(6), the Secretary has efficient than a comparable single-phase class from ‘‘water source’’ to ‘‘water to unit does. (Advocates, No. 21 at p. 1) authority to amend the energy conservation standards for specified air, water-loop’’ and changed the Furthermore, the Advocates commented heating-mode descriptor for this that efficiency levels were found on the equipment, but under 42 U.S.C. 6311(18), the statute’s definition of the equipment from COP to COPH. In the market that were much higher than the April 2014 NODA, DOE suggested that ASHARE Standard 90.1–2013 level of term ‘‘energy conservation standard’’ is limited to: (A) A performance standard these were editorial changes only and SEER 14 and that energy savings as high that this new nomenclature refers to the as 0.2 quads may be possible. that prescribes a minimum level of energy efficiency or a maximum same water-source heat pump (Advocates, No. 21 at p. 3) The CA IOUs equipment covered by Federal energy stated that more than one-fifth of the quantity of energy use for a product; or (B) a design requirement for a product. conservation standards, but with the models of three-phase air-cooled single- metric nomenclature serving to clarify package units for sale in California The language of EPCA authorizes DOE to establish a single performance the difference between COP for could meet a 16 SEER standard, which refrigeration and COP for heat pumps. would result in energy savings five standard or a single design standard, but not multiple performance standards. DOE requested comment on this issue. times greater than the 0.02 quad savings 79 FR 20114, 20120, 20137 (April 11, from simply adopting the ASHRAE 2. Water-Source Equipment 2014). In response, AHRI agreed that the level. (CA IOUs, No. 0019 at p. 2) The The current Federal energy nomenclature changes were editorial. CA IOUs added that most manufacturers conservation standards for the three (AHRI, No. 24 at p. 3) currently have products that meet 15 classes of commercial water-source heat SEER, and given that a compliance date In the April 2014 NODA, DOE noted pumps for which ASHRAE Standard for more-stringent levels would be 2020, that EPCA does not define ‘‘water- 90.1–2013 amended efficiency levels are the manufacturers that do not would source heat pump’’ other than to shown in Table II.1 and can be found in exclude ground-water-source units from have 6 years to redesign. (Id.) DOE’s regulations at 10 CFR 431.97. The Upon reviewing the results of the the definition of ‘‘commercial package Federal energy conservation standards air conditioning and heating potential energy savings analysis in the for water-source equipment are April 2014 NODA, DOE agrees with the equipment’’ at 42 U.S.C. 6311(8)(A). 79 differentiated based on the model’s FR 20114, 20120 (April 11, 2014). Advocates and the CA IOUs that cooling capacity. ASHRAE Standard additional significant energy savings are However, DOE noted that there are 90.1–2013 increased the energy several related types of water-source possible and has conducted additional efficiency levels for all three equipment economic analysis on this equipment. and ground-water-source heat pumps, as classes to efficiency levels that surpass shown in Table IV.1. ASHRAE Standard However, after analysis, DOE has the current Federal energy conservation tentatively determined that efficiency 90.1–2013 included new nomenclature standard levels. Therefore, DOE for all such types of heat pumps. DOE levels higher than those in ASHRAE conducted an analysis of the potential Standard 90.1–2013 are not further noted that the vast majority of energy savings due to amended water-source (water-to-air, water-loop) economically justified for any of the standards for this equipment in the four equipment classes and is proposing heat pump models are also rated for April 2014 NODA. performance in ground-loop or ground- in this NOPR to adopt the energy In response to the April 2014 NODA, water heat pump applications. It is efficiency levels contained in ASHRAE the Advocates requested that DOE DOE’s understanding that design Standard 90.1–2013 for small air-cooled conduct further analysis to consider differences of the models used in the commercial package air conditioning higher efficiency levels than those in different applications are minimal, and heating equipment less than 65,000 ASHRAE Standard 90.1–2013 efficiency Btu/h (see section VIII.D.1). For split levels for water-source heat pumps, including potential use of material with system air conditioners, DOE is not because efficiency levels as high as 21 better corrosion resistance in the water updating standards, as the ASHRAE EER are available on the market and coil (for open-loop systems only) and/or levels are equal to the current Federal higher efficiency levels could achieve added insulation for ground-water or minimum. additional national energy savings of as ground-loop systems. Efficiency ratings For small commercial three-phase much as 1 quad. (The Advocates, No. 21 are different across these three equipment less than 65,000 Btu/h, the at p. 1) Upon reviewing the results of application types primarily because of CA IOUs stated that DOE should the potential energy savings analysis in the different test conditions. (Ground consider including the energy efficiency the April 2014 NODA, DOE agrees with and ground-water-source systems are ratio (EER) metric, along with SEER, to the Advocates that additional energy tested with cooler entering water.) align more closely with industry savings are possible and has conducted Because of the similarity in models standards. (CA IOUs, No. 0019 at p. 3– further analysis on this equipment. across applications, DOE believes that 4) The commenter noted that original However, after the analysis, DOE has increased efficiency standards for water- equipment manufacturers would use tentatively determined that there is not loop applications may affect heat pumps both metrics when rating a unit. The CA clear and convincing evidence that for ground-source and ground-water IOUs also commented that the SEER efficiency levels higher than those in applications, although they are metric is based on residential use ASHRAE 90.1–2013 are economically excluded from coverage. Id. patterns and, by itself, may not be justified for any of the three water-

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TABLE IV.1—NOMENCLATURE FOR TYPES OF WATER-LOOP, GROUND-LOOP, AND GROUND-WATER-SOURCE HEAT PUMPS

ASHRAE standard 90.1–2010 ASHRAE standard 90.1–2013 Test procedure

Water-source (86° entering water) ...... Water-to-air, water-loop ...... ISO Standard 13256–1. Ground-water-source (59° entering water) ...... Water-to-air, ground-water. Ground-water source (77° entering water) ...... Brine-to-air, ground-loop. Water-source water-to-water (86° entering water) ...... Water-to-water, water-loop ...... ISO Standard 13256–2. Water-source water-to-water (59° entering water) ...... Water-to-water, ground-water. Ground-water-source brine-to-water (77° entering water) ...... Brine-to-water, ground-loop.

In the April 2014 NODA, DOE that neither ASHRAE Standard 90.1 nor devices, refrigerant reversing valve, and considered adding a definition for DOE have standards for models above indoor fan. Such equipment includes, ‘‘water-source heat pump’’ to the Code 135,000 Btu/h. (AHRI, No. 24 at p. 3; but is not limited to, water-to-air water- of Federal Regulations (CFR) that would Daikin Applied, No. 22 at p. 1) Daikin loop heat pumps.’’ DOE requests include both single-phase and three- Applied further commented that the additional comment on this proposed phase units of all capacities (up to size of the market above 135,000 Btu/h definition. This is identified as Issue 1 760,000 Btu/h) and would be applicable is approximately 2–3 percent of the under ‘‘Issues on Which DOE Seeks to water-to-air heat pumps. Specifically, total, that the AHRI certification Comment’’ in section X.E of this NOPR. DOE considered adapting the definition program stops at 166,000 Btu/h, and Furthermore, DOE is proposing to from that in the ASHRAE handbook: 9 that practically speaking, the largest revise the nomenclature for its water- ‘‘A water-source heat pump is a [single- models on the market are 250,000 Btu/ source heat pump equipment classes to phase or three-phase] reverse-cycle heat h. (Id.) Daikin Applied argued that there match the revised nomenclature in pump that uses [a circulating water would be test burdens associated with ASHRAE 90.1–2013: water-to-air, water- loop] as the heat source for heating and accommodating the larger sizes in test loop. Specifically, DOE proposes to as the heat sink for cooling. The main labs. (Id.) In response, DOE notes that revise Table 1 to 10 CFR 431.96 and components are a compressor, regardless of any current size limits on Tables 1 and 2 to 10 CFR 431.97 to refer refrigerant-to-water heat exchanger, water-source heat pump standards, it to ‘‘water-source (water-to-air, water- refrigerant-to-air heat exchanger, does not change the fact that Congress loop)’’ heat pumps rather than simply refrigerant expansion devices, and set forth the scope of coverage in the ‘‘water-source’’ heat pumps. Throughout refrigerant reversing valve.’’ DOE statutory definitions for ‘‘commercial this document, any reference to water- requested comment on this definition. package air conditioning and heating source heat pump equipment classes 79 FR 20114, 20120 (April 11, 2014). equipment’’ and ‘‘very large commercial should be considered as referring to Regarding the proposed definition, package air conditioning and heating water-to-air, water-loop heat pumps. Goodman Global agreed that it is equipment,’’ which is limited to In preparing this rulemaking, DOE beneficial to all stakeholders to define equipment with a cooling capacity noticed that the 2013 CFR 10 and the as clearly as possible the products being below 760,000 Btu per hour. (42 U.S.C. current e-CFR 11 contained errors in regulated. (Goodman Global, Inc., No. 6311(8)(A) and (D)) However, setting in Table 1 and Table 2 to 10 CFR 431.96 17 at p. 2) On the other hand, AHRI place a definition of ‘‘water-source heat and Table 2 to 10 CFR 431.97 for small stated that a definition for ‘‘water-source pump’’ that clearly delineates what that water-source heat pumps (i.e., less than heat pump’’ was outside the scope of equipment entails, as well as the limits 135,000 Btu/h), as well as in Table 1 to activity of this document, because on DOE’s regulatory authority, would 10 CFR 431.97 for small, large, and very ASHRAE Standard 90.1 does not not in and of itself generate any large water-source heat pumps. DOE has contain any definition of a water-source standards compliance responsibilities or determined that these errors were heat pump. (AHRI, No. 24 at p. 3) AHRI test burden. If the market changed and incorporated through the previous also argued that the lack of definition larger-size units became the norm, such ASHRAE-trigger final rule. 77 FR 28928 has not hampered implementation of standards might be appropriate, with (May 16, 2012). By this rulemaking, Federal minimum efficiency for such ASHRAE presumably setting levels for DOE seeks to clarify the relevant tables equipment and that DOE has not such equipment. However, providing by removing the inadvertently amended established any significant need or increased clarity through an appropriate language. provided any compelling reasons that definition is not directly tied to any 3. Packaged Terminal Air Conditioners require the addition of this definition. such future developments. and Heat Pumps (Id.) DOE agrees with Goodman Global Accordingly, DOE proposes to adopt and does not agree with AHRI, the following definition, adapted from EPCA defines a ‘‘packaged terminal tentatively concluding that the the ASHRAE Handbook and the air conditioner’’ as ‘‘a wall sleeve and a nomenclature changes in ASHRAE definition proposed in the April 2014 separate unencased combination of Standard 90.1 that moved away from the NODA, and specifically referencing the heating and cooling assemblies term ‘‘water-source’’ necessitate new nomenclature included in ASHRAE specified by the builder and intended inclusion of a definition for clarity. 90.1–2013: ‘‘Water-source heat pump for mounting through the wall. It AHRI and Daikin Applied expressed means a single-phase or three-phase includes a prime source of refrigeration, concern with the definition covering reverse-cycle heat pump of all capacities separable outdoor louvers, forced capacities up to 760,000 Btu/h, noting (up to 760,000 Btu/h) that uses a ventilation, and heating availability by circulating water loop as the heat source 9 2012 ASHRAE Handbook, Heating, Ventilating, for heating and as the heat sink for 10 See http://www.gpo.gov/fdsys/pkg/CFR-2013- and Air-Conditioning Systems and Equipment. cooling. The main components are a title10-vol3/pdf/CFR-2013-title10-vol3-part431- ASHRAE, Chapter 9 (Available at: https:// subpartF.pdf. www.ashrae.org/resources-publications/ compressor, refrigerant-to-water heat 11 See http://www.ecfr.gov/cgi-bin/retrieveECFR? description-of-the-2012-ashrae-handbook-hvac- exchanger, refrigerant-to-air heat gp=&SID=1f6aa69cce81d1ccc6e9158c94d81e91&r= systems-and-equipment). exchanger, refrigerant expansion PART&n=pt10.3.431#sp10.3.431.f.

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builder’s choice of hot water, steam, or 6311(8)) Therefore, EPCA’s definition of levels for three-phase TTW and SDHV electricity.’’ (42 U.S.C. 6311(10)(A)) ‘‘small commercial package air equipment are less than the applicable EPCA defines a ‘‘packaged terminal heat conditioning and heating equipment’’ Federal standards, DOE has tentatively pump’’ as ‘‘a packaged terminal air would include three-phase SDHV and concluded that it is not required to take conditioner that utilizes reverse cycle TTW heat pumps. In contrast, single- action on this equipment at this time refrigeration as its prime heat source phase SDHV and space-constrained (see 42 U.S.C. 6313(a)(6)(A)(i) and and should have supplementary heat equipment (including TTW), which are (B)(iii)(I)). DOE did not receive source available to builders with the not the subject of this document, have comment on this issue and reaffirms choice of hot water, steam, or electric separate product classes under DOE’s this position. resistant heat.’’ (42 U.S.C. 6311(10)(B)) residential central air conditioner and DOE codified these definitions at 10 heat pump standards (see 10 CFR 5. Single-Package Vertical Air CFR 431.92 in a direct final rule 430.32(c)). Conditioners and Single-Package published in the Federal Register on ASHRAE Standard 90.1–2013 Vertical Heat Pumps October 21, 2004. 69 FR 61962, 61970. appeared to change some of the EPCA, as amended, defines ‘‘single The current Federal energy efficiency levels for three-phase SDHV package vertical air conditioner’’ as air- conservation standards for the three and TTW equipment. Specifically, cooled commercial package air classes of PTACs for which ASHRAE ASHRAE Standard 90.1–2010 had conditioning and heating equipment Standard 90.1–2013 amended efficiency increased the cooling efficiency that: levels are shown in Table II.1 and are requirements for TTW heat pumps to (1) Is factory-assembled as a single found in DOE’s regulations at 10 CFR 13.0 SEER in comparison to the package that: 431.97. The Federal energy conservation efficiency levels of 12.0 SEER in (i) Has major components that are standards for PTACs are differentiated ASHRAE Standard 90.1–2007. However, arranged vertically; based on the cooling capacity and in March 2011, ASHRAE issued (ii) is an encased combination of physical dimensions (standard versus Proposed Addendum h for public cooling and optional heating nonstandard size). ASHRAE Standard review that would correct the minimum components; and 90.1–2013 increased the energy SEER for this equipment to 12.0 SEER, (iii) is intended for exterior mounting efficiency levels for all three standard- and this addendum was approved and on, adjacent interior to, or through an size PTAC equipment classes to incorporated into ASHRAE Standard outside wall; efficiency levels that meet those for 90.1–2013. Therefore, this change in (2) is powered by a single- or 3-phase PTHPs and surpass the current Federal ASHRAE Standard 90.1–2013 was current; energy conservation standard levels for correcting an editorial error in ASHRAE (3) may contain one or more separate PTACs. Therefore, DOE conducted an Standard 90.1–2010. indoor grilles, outdoor louvers, various analysis of the potential energy savings For SDHV air conditioners and heat ventilation options, indoor free air due to amended standards for standard- pumps, ASHRAE Standard 90.1–2013 discharges, ductwork, wall plenum, or size PTACs in the April 2014 NODA. 79 increases the cooling efficiency sleeves; and FR 20114, 20120–21 (April 11, 2014). requirement from 10.0 SEER to 11.0 (4) has heating components that may Prior to the ASHRAE trigger, in SEER. It also includes a heating include electrical resistance, steam, hot February 2013, DOE published a notice efficiency requirement for SDHV heat water, or gas, but may not include of public meeting and availability of the pumps of 6.8 HSPF, which was present reverse cycle refrigeration as a heating Framework Document regarding energy in ASHRAE 90.1–2007 but not ASHRAE means. conservation standards for packaged 90.1–2010 (which DOE also thought to (42 U.S.C. 6311(22) ; 10 CFR 431.92) terminal air conditioners and heat be an editorial error). These changes EPCA, as amended, defines ‘‘single pumps standards. 78 FR 12252 (Feb. 22, were made through Addendum bj to package vertical heat pump’’ as a single- 2013). This Framework Document was ASHRAE 90.1–2010, which noted that package vertical air conditioner that published as a first step toward meeting the previously adopted Addendum j to (1) uses reverse cycle refrigeration as the six-year look back requirement ASHRAE Standard 90.1–2010 had its primary heat source; and specified in EISA 2007. (42 U.S.C. deleted the SDHV equipment class (2) may include secondary 6313(a)(6)(C)(i)) As part of the six-year entirely because all SDHV models sold supplemental heating by means of look back, in September 2014, DOE were single-phase residential products, electrical resistance, steam, hot water, or issued a NOPR for PTAC and PTHP but that Addendum bj was re- gas. equipment that included equipment establishing the equipment class (42 U.S.C. 6311(23); 10 CFR 431.92) classes for which ASHRAE Standard because manufacturers had expressed The current Federal energy 90.1–2013 increased efficiency levels an intention to introduce three-phase conservation standards for the six (i.e., standard-size PTACs), as well as equipment to the market. In addition, classes of single-package vertical units those for which it did not. 79 FR 55537 Addendum bj noted that it contained (SPVUs) for which ASHRAE Standard (Sept. 16, 2014). Consequently, PTACs minimum efficiency levels identical to 90.1–2013 amended efficiency levels are will not be discussed in the remainder those established by DOE for single- shown in Table II.1 and can be found in of this document; comments received on phase residential SDHV products. DOE’s regulations at 10 CFR 431.97. The the April 2014 NODA related to PTACs The DOE standards for both equipment classes for SPVACs and were discussed in the PTAC NOPR. commercial (three-phase) TTW and SPVHPs, as well as their attendant SDHV air conditioners, which are 13.0 Federal energy conservation standards, 4. Small-Duct, High-Velocity, and SEER, and for heat pumps, which are are differentiated based on cooling Through-The-Wall Equipment 13.0 SEER and 7.7 HSPF, were capacity. ASHRAE Standard 90.1–2013 EPCA does not separate three-phase established for the overall equipment increased the energy efficiency levels small-duct high-velocity (SDHV) or category of small commercial package for all six equipment classes to through-the-wall (TTW) heat pumps air-conditioning and heating equipment efficiency levels that surpass the current from other types of small commercial by EISA 2007, which amended EPCA. Federal energy conservation standard package air-conditioning and heating (42 U.S.C. 6313(a)(7)(D)) Because the levels. Therefore, DOE conducted an equipment in its definitions. (42 U.S.C. ASHRAE Standard 90.1–2013 efficiency analysis of the potential energy savings

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due to amended standards for this size category. ASHRAE Standard 90.1– this current rulemaking to ASHRAE- equipment in the April 2014 NODA. 79 2013 appeared to change the standby triggered equipment. However, in FR 20114, 20121 (April 11, 2014). loss levels for four equipment classes October 2014, the agency issued a In response to the April 2014 NODA, (gas-fired storage water heaters, oil-fired request for information (RFI) regarding Lennox urged DOE to adopt the storage water heaters, gas-fired commercial water heaters to initiate a ASHRAE Standard 90.1–2013 efficiency instantaneous water heaters, and oil- separate six-year look back rulemaking levels for SPVUs. (Lennox International fired instantaneous water heaters) to for all categories of commercial water Inc., No. 0015 at p. 2) On the other efficiency levels that surpass the current heating equipment. 79 FR 62899 (Oct. hand, the Advocates encouraged DOE to Federal energy conservation standard 21, 2014). initiate a rulemaking for SPVUs to levels. However, as discussed in the C. Test Procedures consider higher efficiency levels than April 11, 2014 NODA, upon review of those in ASHRAE Standard 90.1–2013 the changes, DOE believes that all EPCA requires the Secretary to amend because of potential national energy changes to standby loss levels for these the DOE test procedures for covered savings up to 0.48 quads. (Advocates, equipment classes were editorial errors ASHRAE equipment to the latest No. 21 at p. 3) DOE notes that prior to because they are identical to SI version of those generally accepted the release of ASHRAE Standard 90.1– (International System of Units; metric industry testing procedures or the rating 2013, DOE had already been conducting system) formulas rather than I–P (Inch- procedures developed or recognized by a rulemaking on SPVUs as a result of a Pound; English system) formulas. 79 FR AHRI or by ASHRAE, as referenced by one-time review requirement added by 20114, 20123. Therefore, DOE did not ASHRAE/IES Standard 90.1, unless the EISA 2007. See 76 FR 25622, 25633 conduct an analysis of the potential Secretary determines by rule published (May 5, 2011). DOE will continue to energy savings for this equipment. DOE in the Federal Register and supported conduct its SPVU analysis as part of a received no comment on this issue. by clear and convincing evidence that separate rulemaking that will also meet As discussed in the April 11, 2014 the latest version of the industry test the requirements of the ASHRAE trigger, NODA, ASHRAE Standard 90.1–2013 procedure does not meet the and accordingly, DOE has not included also changed the standby loss level for requirements for test procedures any further analysis or results regarding electric storage water heaters, in this described in paragraphs (2) and (3) of 42 SPVUs in this NOPR. In the April 11, case in a purposeful manner to align U.S.C. 6314(a).12 (42 U.S.C. 2014 NODA, DOE also discussed its with the current Federal energy 6314(a)(4)(B)) ASHRAE Standard 90.1– consideration of a space-constrained conservation standard level. Id. Because 2013 updated several of its test SPVU equipment class (79 FR 20114, these levels meet and do not exceed the procedures for ASHRAE equipment. 20121–23); DOE’s consideration of that current Federal standards, DOE did not Specifically, ASHRAE Standard 90.1– issue will also occur in the separate conduct an analysis of the potential 2013 updated to the most recent SPVU rulemaking. energy savings for this equipment class. editions of test procedures for small ASHRAE Standard 90.1–2013 also B. Commercial Water Heaters commercial package air conditioners increased the thermal efficiency levels and heating equipment (AHRI 210/240– EPCA defines ‘‘storage water heater’’ for oil-fired storage water heaters to 2008 with Addendum 1 and 2, as a water heater that heats and stores efficiency levels that surpass the current Performance Rating of Unitary Air- water within the appliance at a Federal energy conservation standards. Conditioning & Air-Source Heat Pump thermostatically controlled temperature Therefore, DOE conducted an analysis Equipment), large and very large for delivery on demand. This term does of the potential energy savings due to commercial package air conditioners not include units with an input rating amended thermal efficiency standards and heating equipment (AHRI 340/360– of 4,000 Btu/h or more per gallon of for oil-fired storage water heaters in the 2007 with Addenda 1 and 2, stored water. (42 U.S.C. 6311(12)(A)) April 2014 NODA. Id. Performance Rating of Commercial and DOE further clarified this definition in DOE did not receive any comments Industrial Unitary Air-Conditioning and its regulations by adding that it is from stakeholders specific to the Heat Pump Equipment), variable industrial equipment. 10 CFR 431.102. efficiency level DOE should adopt for refrigerant flow equipment (AHRI 1230– EPCA defines ‘‘instantaneous water oil-fired storage water heaters. Based on 2010 with Addendum 1, Performance heater’’ as a water heater that has an the results of the April 2014 NODA, Rating of Variable Refrigerant Flow input rating of at least 4,000 Btu/h per DOE has determined that there are (VRF) Multi-Split Air-Conditioning and gallon of stored water. (42 U.S.C. minimal energy savings available from Heat Pump Equipment), commercial 6311(12)(B)) DOE further clarified this this equipment and has not conducted warm-air furnaces (ANSI (American definition in its regulations by adding further analyses on these products. National Standards Institute) Z21.47– that it is industrial equipment, Therefore, DOE is proposing in this 2012, Standard for Gas-Fired Central including products meeting this NOPR to adopt the energy efficiency description that are designed to heat levels contained in ASHRAE Standard 12 (2) Test procedures prescribed in accordance water to temperatures of 180°F or 90.1–2013 for commercial oil-fired with this section shall be reasonably designed to higher. 10 CFR 431.102. storage water heaters (see section produce test results which reflect energy efficiency, The current Federal energy VIII.D.3). energy use, and estimated operating costs of a type of industrial equipment (or class thereof) during a conservation standards for the five In response to the April 2014 NODA, representative average use cycle (as determined by classes of storage and instantaneous DOE received comment from the the Secretary), and shall not be unduly burdensome water heaters for which ASHRAE Advocates that the standards for all to conduct. (3) If the test procedure is a procedure Standard 90.1–2013 amended efficiency commercial water heaters, not just oil- for determining estimated annual operating costs, such procedure shall provide that such costs shall levels are shown in Table II.1 and set fired storage water heaters, are due for be calculated from measurements of energy use in forth in DOE’s regulations at 10 CFR a six-year look back. (Advocates, No. 21 a representative average-use cycle (as determined 431.110. The equipment classes for at p. 3) Although DOE acknowledges its by the Secretary), and from representative average commercial storage and instantaneous statutory obligation to review the unit costs of the energy needed to operate such equipment during such cycle. The Secretary shall water heaters, and attendant Federal standards for commercial water heaters, provide information to manufacturers of covered energy conservation standards, are in order to best allocate available equipment respecting representative average unit differentiated based on fuel type and resources, DOE is limiting the scope of costs of energy.

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Furnaces), and commercial water does not contain any updates to the A. Market Assessment heaters (ANSI Z21.10.3–2011, Gas Water sections currently referenced by the Heaters, Volume III, Storage Water DOE test procedure, so no additional To begin its review of the ASHRAE Heaters with Input Ratings Above burden would be expected to result Standard 90.1–2013 efficiency levels, 75,000 Btu Per Hour, Circulating and from this test procedure update. DOE developed information that Instantaneous). DOE is aware that some commercial provides an overall picture of the In the April 2014 NODA, DOE furnaces are designed for make-up air market for the equipment concerned, preliminarily reviewed each of the test heating (i.e., heating 100 percent including the purpose of the equipment, procedures that were updated in outdoor air). DOE defines ‘‘commercial the industry structure, and market ASHRAE Standard 90.1–2013 and warm air furnace’’ at 10 CFR 431.72 as characteristics. This activity included discussed the changes to those industry self-contained oil-fired or gas-fired both quantitative and qualitative test procedures. 79 FR 20114, 20123–25 furnaces designed to supply heated air assessments based primarily on (April 11, 2014). DOE found that for through ducts to spaces that require it, publicly-available information. The AHRI 210/240, AHRI 340/360, AHRI with a capacity (rated maximum input) subjects addressed in the market 1230, and ANSI Z1.10.3, DOE had at or above 225,000 Btu/h. Further, assessment for this rulemaking include already incorporated by reference the DOE’s definitions specify that this equipment classes, manufacturers, most recent version 13 and did not need equipment includes combination warm quantities, and types of equipment sold to take action. DOE received no air furnace/electric air conditioning and offered for sale. The key findings of comment on this issue. For ANSI units but does not include unit heaters DOE’s market assessment are Z21.47, DOE determined that the and duct furnaces. Given the summarized in the following sections. changes to the 2012 version do not characteristics of this category of For additional detail, see chapter 2 of impact those provisions of that industry commercial furnaces, DOE tentatively the NOPR technical support document test procedure that are used under the concludes that gas-fired and oil-fired (TSD). DOE test procedure for gas-fired warm commercial furnaces that are designed air furnaces, and, therefore, such for make-up air heating and that have 1. Equipment Classes changes do not affect the energy input ratings at or above 225,000 Btu/h As discussed previously, the Federal efficiency ratings for gas-fired furnaces. meet the definition of ‘‘commercial energy conservation standards for air- Consequently, DOE determined that no warm air furnace’’ because they are self- further action was required at the time. contained units that supply heated air cooled air conditioners and heat pumps Id. at 20124–25. In response to the April through ducts. Consequently, DOE is are differentiated based on the cooling 2014 NODA, AHRI, Goodman Global, clarifying that commercial warm air capacity (i.e., small, large, or very large). and Lennox International agreed with furnaces that are designed for make-up For small equipment, there is an DOE’s substantive assessment of ANSI air heating are subject to DOE’s additional disaggregation into: (1) Z21.47–2012. (AHRI, No. 24 at p. 5; regulatory requirements, including Equipment less than 65,000 Btu/h and Goodman Global, Inc., No. 18 at p. 2; being tested according to the test (2) equipment greater than or equal to Lennox International, Inc., No. 15 at p. procedure specified in 10 CFR 431.76. 65,000 Btu/h and less than 135,000 Btu/ 6) However, in keeping with EPCA’s DOE is seeking comments on any h. ASHRAE Standard 90.1–2013 also mandate to incorporate the latest relevant issues that would affect the test differentiates the equipment that is less version of the applicable industry test procedure for commercial warm air than 65,000 Btu/h into split system and procedure pursuant to 42 U.S.C. furnaces. Interested parties are welcome single package subcategories. In the 6314(a)(4)(B), DOE is proposing to to comment on any aspect of the DOE past, DOE has followed the same incorporate by reference ANSI Z21.47– commercial warm air furnaces test disaggregation. However, when EISA 2012. Once again, DOE anticipates no procedure as part of this comprehensive 2007 increased the efficiency levels to substantive change or increase in test 7-year-review. This is identified as issue identical levels across single package burden to be associated with this test 2 in section X.E, ‘‘Issues on Which DOE and split system equipment, effective in procedure amendment for warm air Seeks Comment.’’ 2008, DOE combined the equipment furnaces. classes in the CFR, resulting in only two DOE is also required to review the test V. Methodology for Small Commercial equipment classes, one for air procedures for covered ASHRAE Air-Cooled Air Conditioners and Heat conditioners and one for heat pumps. 74 equipment at least once every seven Pumps Less Than 65,000 Btu/h FR 12058, 12074 (March 23, 2009). years. (42 U.S.C. 6314(a)(1)(A)) In This section addresses the analyses Because ASHRAE has increased the addition to the updates to the referenced DOE has performed for this rulemaking standard for only single package air standards discussed previously, DOE is with respect to small commercial air- conditioners, and has increased the proposing to update the citations and cooled air conditioners and heat pumps HSPF level to a more stringent level for incorporations by reference in DOE’s less than 65,000 Btu/h. A separate split system heat pumps than for single regulations for commercial warm-air subsection addresses each analysis. In package heat pumps, and DOE is furnaces to the most recent version of overview, DOE used a spreadsheet to obligated to adopt, at a minimum, the ASHRAE 103, Method of Testing for calculate the life-cycle cost (LCC) and increased level in ASHRAE 90.1–2013 Annual Fuel Utilization Efficiency of payback periods (PBPs) of potential for that equipment class, DOE proposes Residential Central Furnaces and Boiler energy conservation standards. DOE to re-create separate equipment classes (i.e., ASHRAE 103–2007). The used another spreadsheet to provide for single package and split system applicable sections of this standard shipments projections and then equipment in the overall equipment include measurement of condensate and calculate national energy savings and classes of small commercial package air calculation of additional heat gain and net present value impacts of potential conditioners and heat pumps (three- heat losses for condensing furnaces. amended energy conservation phase air-cooled) less than 65,000 Btu/ DOE notes that the most recent version standards. h, as shown in Table V.1.

13 This final rule for commercial heating, air- published in the Federal Register on May 16, 2012. conditioning, and water-heating equipment was 77 FR 28928.

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TABLE V.1—PROPOSED EQUIPMENT CLASSES FOR SMALL COMMERCIAL PACKAGED AIR-CONDITIONING AND HEATING EQUIPMENT <65,000 Btu/h

Cooling Product capacity Sub-category Btu/h)

Small Commercial Packaged Air Conditioning and Heating Equipment (Air-Cooled, 3-Phase, Split System) ...... <65,000 AC HP Small Commercial Packaged Air Conditioning and Heating Equipment (Air-Cooled, 3-Phase, Single Package) <65,000 AC HP

2. Review of Current Market utilized this database in developing c. Market Data base-case efficiency distributions. In order to obtain the information DOE reviewed the AHRI database to needed for the market assessment for The Heating, Air-conditioning and characterize the efficiency and performance of small commercial air- this rulemaking, DOE consulted a Refrigeration Distributors International (HARDI) is a trade association that cooled air conditioners and heat pumps variety of sources, including represents over 450 wholesale heating, less than 65,000 Btu/h models currently manufacturer literature, manufacturer ventilating, air-conditioning, and on the market. The full results of this Web sites, and the AHRI certified refrigeration (HVACR) companies, plus market characterization are found in directory.14 The information DOE over 300 manufacturing associates and chapter 2 of the NOPR TSD. For split- gathered serves as resource material nearly 140 manufacturing system air conditioners, the average throughout the rulemaking. The sections representatives. HARDI estimates that SEER value was 13.9, and 120 models below provide an overview of the 80 percent of the revenue of HVACR (0.1 percent of the total models) have market assessment, and chapter 2 of the systems goes through its members.16 SEER ratings below the ASHRAE NOPR TSD provides additional detail DOE did not utilize HARDI data for this Standard 90.1–2013 level of 13.0 SEER. on the market assessment, including rule. For single-package air conditioners, the citations to relevant sources. average SEER value was 14.3, and 1,450 The Air Conditioning Contractors of models (45 percent of the total models) a. Trade Association Information America (ACCA) is another trade have SEER ratings below the ASHRAE association whose members include Standard 90.1–2013 level of 14.0 SEER. DOE researched various trade groups over 4,000 contractors and 60,000 representing manufacturers, For single-package heat pumps, the professionals in the indoor environment average SEER value is 14.0. Of the distributors, and installers of the various and energy service community. types of equipment being analyzed in models identified by DOE, 653 models According to their Web site, ACCA (54 percent of the total models) have this rulemaking. AHRI is one of the provides contractors with technical, SEER ratings below the ASHRAE largest trade associations for legal, and market resources, helping to Standard 90.1–2013 level of 14.0 SEER. manufacturers of space-heating, cooling, promote good practices and to keep The average HSPF value for this 17 and water-heating equipment, buildings safe, clean, and affordable. equipment class is 7.9. Of the models representing more than 90 percent of the DOE did not use ACCA data for this identified by DOE, 632 models (52 residential and commercial air- rule. percent of the total models) have HSPF conditioning, space-heating, water- b. Manufacturer Information ratings below the ASHRAE Standard heating, and commercial refrigeration 90.1–2013 levels of 8.0. For split-system equipment manufactured in the United DOE reviewed data for air-cooled heat pumps, the average SEER value for 15 States. AHRI also develops and commercial air conditioners and heat this equipment class is 13.7. Of the publishes test procedure standards for pumps currently on the market by models identified by DOE, 30,009 measuring and certifying the examining the AHRI Directory of models (64 percent of the total models) performance of residential and Certified Product Performance. DOE have SEER ratings below the ASHRAE commercial HVAC equipment and identified 23 parent companies Standard 90.1–2013 level of 14.0. The coordinates with the International (comprising 61 manufacturers) of small average HSPF for this equipment class Organization for Standardization (ISO) three-phase air-cooled air conditioners is 7.9. Of the models identified by DOE, to help harmonize U.S. standards with and heat pumps, which are listed in 36,902 models (79 percent of the total international standards, if feasible. chapter 2 of the NOPR TSD. Of these models) have HSPF ratings below the AHRI also maintains the AHRI Directory manufacturers, five were identified as ASHRAE Standard 90.1–2013 level of of Certified Product Performance, which small businesses based upon number of 8.2. For more information on market is a database that lists all the products employees and the employee thresholds performance data, see chapter 2 of the and equipment that have been certified set by the Small Business NOPR TSD. by AHRI, thereby providing equipment Administration. More details on this B. Engineering Analysis ratings for all manufacturers who elect analysis can be found below in section to participate in the program. DOE IX.B. The engineering analysis establishes the relationship between an increase in 14 AHRI Directory of Certified Product 16 Heating, Air-conditioning & Refrigeration energy efficiency and the increase in Performance (2013) (Available at: Distributors International Web site, About HARDI cost (manufacturer selling price (MSP)) www.ahridirectory.org) (Last accessed November (2014) (Available at: www.hardinet.org/about-hardi- of a piece of equipment DOE is 11, 2013). 0) (Last accessed February 10, 2014). evaluating for potential amended energy 15 Air-Conditioning, Heating, and Refrigeration 17 Air Conditioning Contractors of America Web Institute Web site, About Us (2013) (Available at: site, About ACCA (2014) (Available at: conservation standards. This www.ari.org/site/318/About-Us) (Last accessed www.acca.org/acca) (Last accessed February 10, relationship serves as the basis for cost- December 18, 2014). 2014). benefit calculations for individual

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consumers, manufacturers, and the 1. Approach cost-efficiency curve for the Nation. The engineering analysis For this analysis, DOE used a representative capacity and apply it to identifies representative baseline combination of the efficiency-level and all three-phase products. equipment, which is the starting point the cost-assessment approach. DOE used DOE based the cost-efficiency for analyzing possible energy efficiency the efficiency-level approach to identify relationship for three-phase central air improvements. For covered ASHRAE incremental improvements in efficiency conditioners and heat pumps on reverse equipment, DOE sets the baseline for for each equipment class and the cost- engineering conducted for the June 2011 analysis at the ASHRAE Standard 90.1 assessment approach to develop a cost direct final rule (DFR) for single-phase efficiency level, because by statute, DOE for each efficiency level. The efficiency central air conditioners and heat pumps. cannot adopt any level below the levels that DOE considered in the 76 FR 37408. DOE researched revised ASHRAE level. The engineering engineering analysis were representative manufacturer literature and noticed that analysis then identifies higher efficiency of three-phase central air conditioners most model numbers between single- levels and the incremental increase in and heat pumps currently produced by phase products and three-phase product cost associated with achieving manufacturers at the time the equipment are interchangeable, with the higher efficiency levels. After engineering analysis was developed. only a single-digit difference in the identifying the baseline models and cost DOE relied on data reported in the AHRI model number for the supply voltage. of achieving increased efficiency, DOE Directory of Certified Product Although three-phase equipment estimates the additional costs to the Performance to select representative contains three-phase compressors commercial consumer through an efficiency levels. instead of single-phase compressors, analysis of contractor costs and markups DOE generated a bill of materials DOE did not notice any inconsistency in and uses that information in the (BOM) for each representative product energy efficiency ratings between single- downstream analyses to examine the that it disassembled. DOE did this for phase products and three-phase costs and benefits associated with multiple manufacturers’ products that equipment. To supplement the 2011 increased equipment efficiency. span a range of efficiency levels for the DFR data (29 physical teardowns and 12 equipment classes that are analyzed in catalog teardowns), DOE completed one DOE typically structures its this rulemaking. The BOMs describe the physical teardown and seven catalog engineering analysis around one of three manufacture of the equipment in detail, teardowns of three-phase equipment. methodologies: (1) The design-option listing all parts and including all This approach allowed DOE to provide approach, which calculates the manufacturing steps required to make an estimate of equipment prices at incremental costs of adding specific each part and to assemble the unit. DOE different efficiencies and spanned a design options to a baseline model; (2) also conducted catalog teardowns to range of technologies currently on the the efficiency-level approach, which supplement the information obtained market that are used to achieve the calculates the relative costs of achieving directly from physical teardowns. increased efficiency levels. increases in energy efficiency levels Subsequently, DOE developed a cost 2. Baseline Equipment without regard to the particular design model that calculates manufacturer options used to achieve such increases; production cost (MPC) for each unit, DOE selected baseline efficiency and/or (3) the reverse-engineering or based on the detailed BOM data. levels as reference points for each cost-assessment approach, which Chapter 3 of the NOPR TSD describes equipment class, against which it involves a ‘‘bottom-up’’ manufacturing DOE’s cost model in greater detail. The measured changes resulting from cost assessment based on a detailed bill calculated costs are plotted as a function potential amended energy conservation of materials derived from teardowns of of the equipment efficiency levels standards. DOE defined the baseline the equipment being analyzed. A (based on rated efficiency) to create efficiency levels as reference points to supplementary method called a catalog cost-efficiency curves. DOE notes that compare the technology, energy savings, teardown uses published manufacturer the cost at some efficiency levels was and cost of equipment with higher catalogs and supplementary component interpolated or extrapolated based on energy efficiency levels. Typically, units data to estimate the major physical the available physical and catalog at the baseline efficiency level just meet differences between a piece of teardown data. Federal energy conservation standards equipment that has been physically DOE developed cost-efficiency curves and provide basic consumer utility. disassembled and another piece of for a representative capacity of three However, EPCA requires that DOE must similar equipment for which catalog tons, which it decided well represents adopt either the ASHRAE Standard data are available to determine the cost the range of capacities on the market for 90.1–2013 levels or more-stringent of the latter equipment. Deciding which commercial three-phase products. levels. Therefore, because the ASHRAE methodology to use for the engineering Because other capacity levels had Standard 90.1–2013 levels were the analysis depends on the equipment, the similar designs and efficiency levels, lowest levels that DOE could adopt, design options under study, and any cost-efficiency curves were not DOE used those levels as the reference historical data upon which DOE may developed for any other capacities. points against which more-stringent draw. Instead, DOE was able to utilize the levels were evaluated.

Split-system Single-pack- Split-system Single-pack- AC age AC HP age HP

SEER

Baseline—Federal Standard ...... 13.0 13.0 13.0 13.0 Baseline—ASHRAE Standard ...... 13.0 14.0 14.0 14.0

HSPF

Baseline—Federal Standard ...... 7.7 7.7

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Split-system Single-pack- Split-system Single-pack- AC age AC HP age HP

Baseline—ASHRAE Standard ...... 8.2 8.0

Table V.2 shows the current baseline air-cooled air conditioners and heat and ASHRAE efficiency levels for each pumps <65,000 Btu/h. equipment class of small commercial

TABLE V.2—BASELINE EFFICIENCY LEVELS FOR SMALL COMMERCIAL AIR-COOLED AIR CONDITIONERS (AC) AND HEAT PUMPS (HP) <65,000 Btu/h

Split-system Single-pack- Split-system Single-pack- AC age AC HP age HP

SEER

Baseline—Federal Standard ...... 13.0 13.0 13.0 13.0 Baseline—ASHRAE Standard ...... 13.0 14.0 14.0 14.0

HSPF

Baseline—Federal Standard ...... 7.7 7.7 Baseline—ASHRAE Standard ...... 8.2 8.0

3. Identification of Increased Efficiency compared to 18.05 for single-package capable of reaching the same efficiency Levels for Analysis heat pumps. DOE has tentatively levels as single-package units. For the determined that split-system heat engineering analysis, DOE rounded the DOE analyzed several efficiency pumps are capable of reaching the same ‘‘max-tech’’ levels to integer values of 18 levels and obtained incremental cost efficiency level as single-package units, and 19 for split-system and single- data for the four equipment classes because the same technologies to package heat pumps, and split-system under consideration. Table V.3 presents increase efficiency can be employed and single-package air conditioners, the efficiency levels examined for each across both equipment classes. As a respectively. The impact of this equipment class. As part of the result, the analyzed ‘‘max-tech’’ level for rounding, which results in efficiency engineering analyses, DOE considered single-package and split-system heat levels that are whole-number values of up to six efficiency levels beyond the pumps was 18.05. In the April 2014 SEER, is minimal. baseline for each equipment class. DOE commercial heating, air-conditioning, derived the maximum technologically and water-heating equipment NODA, The efficiency levels for each feasible (‘‘max-tech’’) level from the DOE determined the ‘‘max-tech’’ level considered equipment class are market maximum in the AHRI Certified for single-package air conditioners to be presented in Table V.3. For additional Directory,18 as of November 2013. The 19.15. 79 FR 20114, 20126 (April 11, details on the efficiency levels selected highest available efficiency level for 2014). DOE also tentatively determined for analysis, see chapter 3 of the NOPR split-system heat pumps was 16.2, that split-system air conditioners are TSD.

TABLE V.3—EFFICIENCY LEVELS FOR SMALL COMMERCIAL AIR-COOLED AIR CONDITIONERS AND HEAT PUMPS <65,000 Btu/h

Split-system Single-pack- Split-system HP Single-package HP Efficiency level AC age AC SEER SEER SEER HSPF SEER HSPF

Federal Baseline ...... 13 13 13 7.7 13 7.7 0—ASHRAE Baseline* ...... 14 14 14 8.2 14 8.0 1 ...... 15 15 15 8.5 15 8.4 2 ...... 16 16 16 8.7 16 8.8 3 ...... 17 17 17 9.0 17 8.9 4** ...... 18 18 18 9.2 18 9.1 5*** ...... 19 19 * For consistency across equipment classes, DOE refers to 14 SEER as EL 0, which is only the ASHRAE Baseline for three of the equipment classes, excluding split-system AC. ** Efficiency Level 4 is ‘‘Max-Tech’’ for HP equipment classes. *** Efficiency Level 5 is ‘‘Max-Tech’’ for AC equipment classes.

18 See: http://www.ahridirectory.org/ ahridirectory/pages/home.aspx.

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4. Engineering Analysis Results TABLE V.7—MANUFACTURER PRODUC- b. Shipping Costs The results of the engineering analysis TION COSTS FOR THREE-TON SIN- Manufacturers of commercial HVAC are cost-efficiency curves based on GLE-PACKAGE COMMERCIAL AIR- products typically pay for freight results from the cost models for COOLED HEAT PUMPS—Continued (shipping) to the first step in the analyzed units. DOE’s calculated MPCs distribution chain. Freight is not a for small commercial air conditioners SEER HSPF MPC [$] manufacturing cost, but because it is a and heat pumps less than 65,000 Btu/h substantial cost incurred by the are shown in Table V.4 through Table 14 ...... 8.0 1,372 manufacturer, DOE accounts for V.7, and further details on the 15 ...... 8.4 1,504 shipping costs separately from other calculation of these curves can be found 16 ...... 8.8 1,637 non-production costs that comprise the in chapter 3 of the NOPR TSD. DOE 17 ...... 8.9 1,769 manufacturer markup. DOE calculated used the cost-efficiency curves from the 18 ...... 9.1 1,902 the MSP for small commercial air- engineering analysis as an input for the cooled air-conditioners and heat pumps life-cycle cost and payback period a. Manufacturer Markups by multiplying the MPC at each analyses. efficiency level (determined from the DOE applies a non-production cost cost model) by the manufacturer multiplier (the manufacturer markup) to TABLE V.4—MANUFACTURER PRODUC- markup and adding shipping costs for the full MPC to account for corporate TION COSTS FOR THREE-TON SPLIT- equipment at the given efficiency level. non-production costs and profit. The More specifically, DOE calculated SYSTEM COMMERCIAL AIR-COOLED resulting manufacturer selling price AIR CONDITIONERS shipping costs at each efficiency level (MSP) is the price at which the based on a typical 53-foot straight-frame manufacturer can recover all production SEER MPC [$] trailer with a storage volume of 4,240 and non-production costs and earn a cubic feet. DOE examined the sizes of 13 ...... 855 profit. To meet new or amended energy small commercial air-cooled air- 14 ...... 937 conservation standards, manufacturers conditioners and heat pumps and 15 ...... 1,023 often introduce design changes to their determined the number of units that 16 ...... 1,115 equipment lines that result in increased would fit in each trailer, based on 17 ...... 1,212 manufacturer production costs. assumptions about the arrangement of 18 ...... 1,316 Depending on the competitive 19 ...... 1,427 units in the trailer. See chapter 3 of the environment for these particular types NOPR TSD for more details about the of equipment, some or all of the methodology DOE used to determine the TABLE V.5—MANUFACTURER PRODUC- increased production costs may be shipping costs. TION COSTS FOR THREE-TON SIN- passed from manufacturers to retailers C. Markups Analysis GLE-PACKAGE COMMERCIAL AIR- and eventually to commercial COOLED AIR CONDITIONERS consumers in the form of higher The markups analysis develops purchase prices. As production costs appropriate markups in the distribution SEER MPC [$] increase, manufacturers typically incur chain to convert the estimates of additional overhead. The MSP should manufacturer selling price derived in 13 ...... 1,003 be high enough to recover the full cost the engineering analysis to commercial 14 ...... 1,122 of the equipment (i.e., full production consumer prices. (‘‘Commercial 15 ...... 1,241 and non-production costs) and yield a consumer’’ refers to purchasers of the 16 ...... 1,361 profit. The manufacturer markup has an equipment being regulated.) DOE 17 ...... 1,480 calculates overall baseline and 18 ...... 1,599 important bearing on profitability. A 19 ...... 1,719 high markup under a standards scenario incremental markups based on the suggests manufacturers can pass along equipment markups at each step in the the increased variable costs and some of distribution chain. The incremental TABLE V.6—MANUFACTURER PRODUC- the capital and product conversion costs markup relates the change in the TION COSTS FOR THREE-TON SPLIT- (the one-time expenditures) to the manufacturer sales price of higher- SYSTEM COMMERCIAL AIR-COOLED consumer. A low markup suggests that efficiency models (the incremental cost HEAT PUMPS manufacturers will not be able to increase) to the change in the recover as much of the necessary commercial consumer price. SEER HSPF MPC [$] investment in plants and equipment. In the 2014 NOPR for Central Unitary Air Conditioners (CUAC), which 13 ...... 7.7 1,068 For small commercial air-cooled air- includes equipment similar to but larger 14 ...... 8.2 1,154 conditioners and heat pumps, DOE used than that in this NOPR, DOE determined 15 ...... 8.5 1,244 a manufacturer markup of 1.3, as that there are three types of distribution 16 ...... 8.7 1,377 developed for the 2011 direct final rule channels to describe how the equipment 17 ...... 9.0 1,486 for single-phase central air conditioners 18 ...... 9.2 1,601 passes from the manufacturer to the and heat pumps. 76 FR 37408 (June 27, commercial consumer. 79 FR 58948, 2011). This markup was calculated 58975 (Sept. 30, 2014). In the new TABLE V.7—MANUFACTURER PRODUC- using U.S. Security and Exchange construction market, the manufacturer TION COSTS FOR THREE-TON SIN- Commission (SEC) 10–K reports for sells the equipment to a wholesaler. The GLE-PACKAGE COMMERCIAL AIR- publicly-owned heating and cooling wholesaler sells the equipment to a COOLED HEAT PUMPS companies, as well as feedback from mechanical contractor, who sells it to a manufacturer interviews. See chapter 3 general contractor, who in turn sells the SEER HSPF MPC [$] of the NOPR TSD for more details about equipment to the commercial consumer the methodology DOE used to determine or end user as part of the building. In 13 ...... 7.7 1,239 the manufacturing markup. the replacement market, the

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manufacturer sells to a wholesaler, who Chapter 5 of the NOPR TSD provides normalized the provided FLEOHs to the sells to a mechanical contractor, who in further detail on the estimation of UEC data discussed above to vary the turn sells the equipment to the markups. average UEC across region and building commercial consumer or end user. In type. The building types used in this D. Energy Use Analysis the third distribution channel, used in analysis are small retail establishments both the new construction and The energy use analysis provides and small offices. replacement markets, the manufacturer estimates of the annual energy In the April 11, 2014 NODA, DOE sells the equipment directly to the consumption of small air-cooled air stated that it also considered analyzing customer through a national account. conditioners and heat pumps with heating UECs for heat pumps. 79 FR In this NOPR, DOE used two of the cooling capacities less than 65,000 20114, 20126. However, in reviewing three distribution channels described Btu/h at the considered efficiency the 2011 analysis, DOE found that the above to determine the markups. Given levels. DOE uses these values in the LCC heating UECs did not scale and PBP analyses and in the NIA. the small cooling capacities of air proportionally with HSPF for The cooling unit energy consumption conditioners and heat pumps less than commercial installations. Id. Therefore, (UEC) by equipment type and efficiency DOE preliminarily determined that it 65,000 Btu/h, DOE did not use the level came from the national impact national accounts distribution chain in was not possible to quantify energy analysis associated with the 2011 direct savings given the available data. DOE the markups analysis. National accounts final rule (DFR) for residential central are composed of large commercial requested comment seeking data and air conditioners and heat pumps. information related to the heating consumers of HVAC equipment that (EERE–2011–BT–STD–0011–0011). negotiate equipment prices directly with energy use of commercial heat pumps. Specifically, DOE used the UECs for Id. at 20137. the manufacturers, such as national single-phase equipment installed in retail chains. The end market consumers In response, AHRI commented that commercial buildings. The UECs for Pacific Northwest National Laboratory of three-ton central air conditioners and split system and single package heat pumps are small offices and small (PNNL) analyzes the benefits of equipment were similar in the 2011 increased efficiency requirements in retailers and do not fit the profile of analysis for lower efficiency levels, but large national chains. ASHRAE 90.1–2013, and it increased at higher efficiency levels, the only the heating seasonal performance factor In the 2014 CUAC NOPR, based on UECs available were for split-system (HSPF) for 3-phase heat pumps less than information that equipment equipment. DOE assumed that the 65,000 Btu/h. Therefore, PNNL may manufacturers provided, commercial similarities at lower levels could be have information on the energy savings consumers were estimated to purchase expected to hold at higher efficiency related to ASHRAE’s standard. (AHRI, 50 percent of the covered equipment levels; therefore, DOE is using the UECs No. 24 at p. 6) Goodman suggests it is through small mechanical contractors, for split equipment for all equipment logical for there to be a reasonable 32.5 percent through large mechanical classes in this NOPR, including split relationship between the HSPF rating contractors, and the remaining 17.5 system and single package. In the April and UEC. (Goodman Global, Inc., No. 18 percent through national accounts. 79 11, 2014 NODA, DOE requested at p. 2) On the other hand, Lennox FR 58948, 58976 (Sept. 30, 2014). For comment on the use of UECs from an pointed out that HSPF is an efficiency this NOPR, DOE removed the national analysis of single-phase products in metric designed to reflect the accounts distribution channel and commercial applications. 79 FR 20114, performance of a heat pump operating recalculated the size of the small and 20137. In response. Goodman, Lennox, against a residential load profile in large mechanical contractor distribution and AHRI commented that single-phase which the building balance point is at channels assuming they make up the and three-phase products should not 65°F. Most commercial buildings have entire market. Therefore, the small differ substantially in energy enough internal heat gain that their mechanical distribution chain accounts consumption. (Goodman Global, Inc., heating balance points can be at 30°F or for 61 percent of equipment purchases No. 18 at p. 2; Lennox International, below.21 Therefore, the heat pump will (i.e., 50 percent divided by the sum of Inc., No. 15 at p. 6; AHRI, No. 24 at p. not have a heating demand until the 50 percent and 32.5 percent), and the 5) Goodman added that for products less ambient temperature reaches this large mechanical contractor distribution than 65,000 Btu/h, industry practice balance point. Much of the performance involves creating a single-phase product chain represents 39 percent of contribution for heat pumps to reach a and then changing the compressor from purchases. high HSPF comes from its performance single-phase to three-phase while For this NOPR, DOE used the in the temperature range where it will leaving the motors for the condenser fan markups from the 2014 CUAC NOPR, never operate in a commercial building. and evaporator blower at single-phase. for which DOE utilized updated For this reason, there will be little (Goodman Global, Inc., No. 18 at p. 2) versions of: (1) The Heating, Air energy savings from increasing HSPF for DOE agrees with the commenters and Conditioning & Refrigeration commercial air-cooled equipment. has maintained this approach. Distributors International 2010 Profit (Lennox International Inc., No. 15 at p. Report to develop wholesaler markups; In order to assess variability in the cooling UEC by region and building 8) (2) the Air Conditioning Contractors of DOE notes that ASHRAE increased America’s (ACCA) 2005 Financial type, DOE used a Pacific Northwest 20 the HSPF and SEER levels for this Analysis for the HVACR Contracting National Laboratory report that estimated the annual energy usage of equipment to levels that matched DOE’s Industry to develop mechanical residential requirements, for contractor markups; and (3) U.S. Census space cooling and heating products using a Full Load Equivalent Operating Bureau economic data for the 21 Hour (FLEOH) approach. DOE In other words, the quantity of people, lighting, commercial and institutional building and equipment in the commercial building produce construction industry to develop general so much heat (i.e., internal heat gain) that heating 19 Subject Series (Available at: www.census.gov/econ/ is not required until the temperature is quite low, contractor markups. census/data/historical_data.html). as mentioned in this case to be 30 °F. In contrast, 20 See Appendix D of the 2000 Screening Analysis residential buildings tend to have lower internal 19 U.S. Census Bureau, 2007 Economic Census, for EPACT-Covered Commercial HVAC and Water- heat gain, so heating is required at a higher Construction Industry Series and Wholesale Trade Heating Equipment. (EERE–2006–STD–0098–0015) temperature.

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consistency in the market rather than becomes the Federal minimum, and the from data provided in RS Means 2013.22 necessarily to achieve energy savings. In LCC calculates the LCC savings likely to RS Means provides estimates for light of Goodman and Lennox’s result from higher efficiency levels installation costs for the subject comments, DOE has further reviewed compared with the ASHRAE base-case. equipment by equipment capacity, as the results of the simulations for the DOE conducted an LCC and PBP well as cost indices that reflect the 2011 DFR and determined that the analysis for small commercial air-cooled variation in installation costs for 656 heating loads for these small air conditioners and heat pumps less cities in the United States. The RS commercial applications are extremely than 65,000 btu/h using a computer Means data identify several cities in all low (less than 500 kwh/year). As a spreadsheet model. When combined 50 States and the District of Columbia. result, DOE has not included any energy with Crystal Ball (a commercially- DOE incorporated location-based cost savings due to the increase in HSPF for available software program), the LCC indices into the analysis to capture this equipment. and PBP model generates a Monte Carlo variation in installation costs, simulation to perform the analyses by depending on the location of the E. Life-Cycle Cost and Payback Period incorporating uncertainty and consumer. Analysis variability considerations in certain of Based on these data, DOE tentatively The purpose of the LCC and PBP the key parameters as discussed below. concluded that data for 3-ton rooftop air analysis is to analyze the effects of Inputs to the LCC and PBP analysis are conditioners would be sufficiently potential amended energy conservation categorized as: (1) Inputs for representative of the installation costs standards on commercial consumers of establishing the total installed cost and for air conditioners less than 65,000 btu/ small commercial air-cooled air (2) inputs for calculating the operating h. For heat pumps, DOE used the conditioners and heat pumps less than expense. The following sections contain installation costs for 3-ton air-source 65,000 btu/h by determining how a brief discussions of comments on the heat pumps. potential amended standard affects their inputs and key assumptions of DOE’s DOE also varied installation cost as a operating expenses (usually decreased) LCC and PBP analysis and explain how function of equipment weight. Because and their total installed costs (usually DOE took these comments into weight tends to increase with increased). consideration. They are also described equipment efficiency, installation cost The LCC is the total consumer in detail in chapter 6 of the NOPR TSD. increased with equipment efficiency. expense over the life of the equipment, 1. Equipment Costs The weight of the equipment in each consisting of equipment and installation class and efficiency level was costs plus operating costs (i.e., expenses In the LCC and PBP analysis, the determined through the engineering for energy use, maintenance, and equipment costs faced by purchasers of analysis. repair). DOE discounts future operating small air-cooled air conditioning and costs to the time of purchase using heat pump equipment are derived from 3. Unit Energy Consumption commercial consumer discount rates. the MSPs estimated in the engineering The calculation of annual per-unit The PBP is the estimated amount of analysis, the overall markups estimated energy consumption by each class of the time (in years) it takes commercial in the markups analysis, and sales tax. subject small air-cooled air conditioning consumers to recover the increased total To develop an equipment price trend and heating equipment at each installed cost (including equipment and for the NOPR, DOE derived an inflation- considered efficiency level is based on installation costs) of a more-efficient adjusted index of the producer price the energy use analysis as described type of equipment through lower index (PPI) for ‘‘unitary air- above in section V.D and in chapter 4 operating costs. DOE calculates the PBP conditioners, except air source heat of the NOPR TSD. by dividing the change in total installed pumps’’ from 1978 to 2013, which is the cost (normally higher) due to a standard PPI series most relevant to small air- 4. Electricity Prices and Electricity Price by the change in annual operating cost cooled air-conditioning equipment. The Trends (normally lower) that results from the PPI index for heat pumps covered too DOE used average and marginal potential standard. However, unlike the short a time period to provide a useful electricity prices by Census Division LCC, DOE only considers the first year’s picture of pricing trends, so the air- based on tariffs from a representative operating expenses in the PBP conditioner time series was used for sample of electric utilities. This calculation. Because the PBP does not both air conditioners and heat pumps. approach calculates energy expenses account for changes in operating DOE expects this to be a reasonably based on actual commercial building expenses over time or the time value of accurate assessment for heat pumps average and marginal electricity prices money, it is also referred to as a simple because heat pumps are produced by that customers are paying.23 The PBP. the same manufacturers as air- Commercial Buildings Energy For any given efficiency level, DOE conditioners and contain most of the Consumption Survey (CBECS) 1992 and measures the PBP and the change in same components. Although the overall CBECS 1995 surveys provide monthly LCC relative to an estimate of the base- PPI index shows a long-term declining electricity consumption and demand for case efficiency level. For split-system air trend, data for the last decade have a large sample of buildings. DOE used conditioners, for which ASHRAE did shown a flat-to-slightly-rising trend. these values to help develop usage not increase efficiency levels, the base- Given the uncertainty as to which of the patterns associated with various case estimate reflects the market in the trends will prevail in coming years, building types. Using these monthly absence of amended energy DOE chose to apply a constant price values in conjunction with the tariff conservation standards, including the trend (at 2013 levels) for the NOPR. See data, DOE calculated monthly electricity market for equipment that exceeds the chapter 6 of the NOPR TSD for more current energy conservation standards. information on the price trends. 22 RS Means Mechanical Cost Data 2013. Reed For single-package air conditioners, Construction Data, LLC (2012). split-system heat pumps, and single- 2. Installation Costs 23 Coughlin, K., C. Bolduc, R. Van Buskirk, G. Rosenquist and J.E. McMahon, ‘‘Tariff-based package heat pumps, the base-case DOE derived national average Analysis of Commercial Building Electricity Prices’’ estimate reflects the market in the case installation costs for small air-cooled air (2008) Lawrence Berkeley National Laboratory: where the ASHRAE 90.1–2013 level conditioning and heat pump equipment Berkeley, CA. Report No. LBNL–55551.

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bills for each building. The average 6. Repair Costs or investment. Most companies use both price of electricity is defined as the total Repair costs are costs to the debt and equity capital to fund electricity bill divided by total commercial consumer associated with investments, so the cost of capital is the electricity consumption. From this repairing or replacing components that weighted-average cost to the firm of average price, the marginal price for have failed. DOE utilized RS Means 26 to equity and debt financing. DOE uses the electricity consumption was determined find the repair costs for small capital asset pricing model (CAPM) to by applying a 5-percent decrement to commercial air-cooled air conditioners calculate the equity capital component, the average CBECS consumption data and heat pumps. For air conditioners, and financial data sources to calculate and recalculating the electricity bill. DOE used the repair costs for a 3-ton, the cost of debt financing. Using building location and the prices single-zone rooftop unit. For heat DOE derived the discount rates by derived from the above method, an pumps, DOE took the repair costs for estimating the weighted-average cost of average and marginal price were 1.5-ton, 5-ton, and 10-ton air-to-air heat capital (WACC) of companies that determined for each region of the U.S. pumps and linearly scaled the repair purchase air-cooled air-conditioning costs to derive a 3-ton repair cost. DOE equipment. More details regarding The average electricity price DOE’s estimates of commercial multiplied by the baseline electricity assumed that the repair would be a one- time event in year 10 of the equipment consumer discount rates are provided in consumption for each equipment class chapter 6 of the NOPR TSD. defines the baseline LCC. For each life. DOE then annualized the present efficiency level, the operating cost value of the cost over the average 9. Base-Case Market Efficiency savings are calculated by multiplying equipment life of 19 or 16 years (for air Distribution the electricity consumption savings conditioners and heat pumps, For the LCC analysis, DOE analyzes (relative to the baseline) by the marginal respectively) to obtain an annualized the considered efficiency levels relative consumption price. equivalent repair cost. This value ranges to a base case (i.e., the case without from $141 to $154 at the baseline level, For this NOPR, the tariff-based prices amended energy efficiency standards, in depending on equipment class. The this case the current Federal standards were updated to 2013 using the materials portion of the repair cost was commercial electricity price index for split-system air conditioners, and the scaled with the percentage increase in default scenario in which DOE is published in the AEO. An examination manufacturers’ production cost by of data published by the Edison Electric required to adopt the efficiency levels in efficiency level. The labor cost was held ASHRAE 90.1–2013 for the three Institute 24 indicates that the rate of constant across efficiency levels. This increase of marginal and average prices equipment classes triggered by annualized repair cost was then added ASHRAE). This analysis requires an is not significantly different, so the same to the maintenance cost to create an estimate of the distribution of factor was used for both pricing annual ‘‘maintenance and repair cost’’ equipment efficiencies in the base case estimates. DOE projected future for the lifetime of the equipment. For (i.e., what consumers would have electricity prices using trends in average further discussion of how DOE derived purchased in the compliance year in the commercial electricity price from AEO and implemented repair costs, see absence of amended standards for split- 2014. chapter 6 of the NOPR TSD. system air conditioners, or amended For further discussion of electricity 7. Equipment Lifetime standards more stringent than those in prices, see chapter 6 of the NOPR TSD. Equipment lifetime is the age at ASHRAE 90.1–2013 for the three triggered equipment classes). DOE refers 5. Maintenance Costs which the subject small air-cooled air conditioners and heat pumps less than to this distribution of equipment energy Maintenance costs are costs to the 65,000 Btu/h are retired from service. efficiencies as the base-case efficiency commercial consumer of ensuring DOE based equipment lifetime on a distribution. For more information on continued operation of the equipment retirement function in the form of a the development of the base-case (e.g., checking and maintaining Weibull probability distribution. DOE distribution, see section V.F.3 and refrigerant charge levels and cleaning used the inputs from the 2011 DFR chapter 6 of the NOPR TSD. heat-exchanger coils). DOE derived technical support document for central 10. Compliance Date annualized maintenance costs for small air conditioners and heat pumps, which DOE calculated the LCC and PBP for commercial air-cooled air conditioners represented a mean lifetime of 19.01 all commercial consumers as if each and heat pumps from RS Means data.25 years for air conditioners and 16.24 were to purchase new equipment in the These data provided estimates of years for heat pumps, and used the same year that compliance with amended person-hours, labor rates, and materials values for units in both residential and required to maintain commercial air- commercial applications. (EERE–2011– standards is required. Generally, conditioning and heating equipment. BT–STD–0011–0012) Given the covered equipment to which a new or The estimated annualized maintenance similarity of such equipment types, DOE amended energy conservation standard cost is $298 for air conditioners rated believes the lifetime for single-phase applies must comply with the standard between 36,000 Btu/h and 288,000 equipment may be a reasonable if such equipment is manufactured or Btu/h and $329 for heat pumps rated approximation of the lifetime for similar imported on or after a specified date. In between 36,000 Btu/h and 288,000 three-phase equipment. this NOPR, DOE is evaluating whether Btu/h; this capacity range includes the more-stringent efficiency levels than 8. Discount Rate equipment that is the subject of this those in ASHRAE Standard 90.1–2013 NOPR. DOE assumed that the The discount rate is the rate at which would be technologically feasible, maintenance costs do not vary with future expenditures are discounted to economically justified, and result in a efficiency level. estimate their present value. The cost of significant additional amount of energy capital commonly is used to estimate savings. If DOE were to propose a rule prescribing energy conservation 24 Edison Electric Institute, EEI Typical Bills and the present value of cash flows to be Average Rates Report (bi-annual, 2007–2012). derived from a typical company project standards at the efficiency levels 25 RS Means Facilities Maintenance & Repair Cost contained in ASHRAE Standard 90.1– Data 2013. Reed Construction Data, LLC. (2012). 26 Id. 2013 for the three triggered equipment

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classes, EPCA states that compliance under the 6 year look back, DOE applied F. National Impact Analysis—National with any such standards shall be a different compliance date. Energy Savings and Net Present Value required on or after a date which is two Specifically, EPCA states that amended Analysis or three years (depending on equipment standards prescribed under this The national impact analysis (NIA) size) after the compliance date of the subsection shall apply to products evaluates the effects of a considered applicable minimum energy efficiency manufactured after a date that is the energy conservation standard from a requirement in the amended ASHRAE/ later of: (I) the date that is 3 years after national perspective rather than from IES standard. (42 U.S.C. 6313(a)(6)(D)) publication of the final rule establishing the consumer perspective represented Given the equipment size at issue here, a new standard; or (II) the date that is by the LCC. This analysis assesses the DOE has applied the two-year 6 years after the effective date of the net present value (NPV) (future amounts implementation period to determine the current standard for a covered product. discounted to the present) and the compliance date of any energy (42 U.S.C. 6313(a)(6)(C)(iv)) Because national energy savings (NES) of total conservation standard equal to the DOE must publish a final rule by April commercial consumer costs and savings, efficiency levels specified by ASHRAE 9, 2016, in the case that it adopts which are expected to result from Standard 90.1–2013 proposed by this standards higher than those in ASHRAE amended standards at specific efficiency rulemaking. Thus, if DOE decides to Standard 90.1 for the other three levels. For each efficiency level adopt the efficiency levels in ASHRAE equipment classes, DOE projected that analyzed, DOE calculated the NPV and Standard 90.1–2013, the compliance the date under clause (I) would be April NES for adopting more-stringent date of the rulemaking would be 2019, which is later than the date under standards than the efficiency levels dependent upon the date specified in clause (II). For purposes of its analysis, specified in ASHRAE Standard 90.1– ASHRAE Standard 90.1–2013 or its DOE used 2019 as the first year of 2013. publication date, if none is specified. In compliance with amended standards. The NES refers to cumulative energy this case, the rule would apply to small savings from 2017 through 2046 for the Economic justification is not required commercial air-cooled air conditioners three equipment classes triggered by for DOE to adopt the efficiency levels in and heat pumps less than 65,000 Btu/h ASHRAE; however when evaluating ASHRAE 90.1–2013, as DOE is manufactured on or after January 1, more-stringent standards, energy statutorily required to, at a minimum, 2017, which is two years after the date savings do not begin accruing until the adopt those levels. Therefore, DOE did specified in ASHRAE Standard 90.1– later compliance date of 2020. DOE 2013. not perform an LCC analysis on the calculated new energy savings in each If DOE were to propose a rule ASHRAE Standard 90.1–2013 levels, year relative to a base case, defined as prescribing energy conservation and for purposes of the LCC analysis, DOE adoption of the efficiency levels standards more stringent than the DOE used 2020 as the first year of specified by ASHRAE Standard 90.1– efficiency levels contained in ASHRAE compliance with amended standards. 2013. DOE also calculated energy Standard 90.1–2013, EPCA states that 11. Payback Period Inputs savings from adopting efficiency levels compliance with any such standards is specified by ASHRAE Standard 90.1– required for products manufactured on The payback period is the amount of 2013 compared to the EPCA base case or after a date which is four years after time it takes the commercial consumer (i.e., the current Federal standards). the date the final rule is published in to recover the additional installed cost For split-system air conditioners, the the Federal Register. (42 U.S.C. of more-efficient equipment, compared NES refers to cumulative energy savings 6313(a)(6)(D)) DOE has applied this 4- to baseline equipment, through energy from 2019 through 2048 for all year implementation period to cost savings. Payback periods are standards cases. DOE calculated new determine the compliance date for any expressed in years. Payback periods that energy savings in each year relative to energy conservation standard more exceed the life of the equipment mean a base case, defined as the current stringent than the efficiency levels that the increased total installed cost is Federal standards, which are equivalent specified by ASHRAE Standard 90.1– not recovered in reduced operating to the efficiency levels specified by 2013 that might be prescribed at the expenses. ASHRAE Standard 90.1–2013. final rule stage for the three equipment The NPV refers to cumulative Similar to the LCC, the inputs to the classes triggered by ASHRAE. Thus, for monetary savings. DOE calculated net PBP calculation are the total installed equipment for which DOE might adopt monetary savings in each year relative cost of the equipment to the commercial a level more stringent than the ASHRAE to the base case (ASHRAE Standard efficiency levels, the rule would apply consumer for each efficiency level and 90.1–2013) as the difference between to products manufactured on or after a the average annual operating total operating cost savings and date four years from the date of expenditures for each efficiency level increases in total installed cost. publication of the final rule, which the for each building type and Census Cumulative savings are the sum of the statute requires to be completed by Division, weighted by the probability of annual NPV over the specified period. April 9, 2016 (thereby resulting in a shipment to each market. The PBP DOE accounted for operating cost compliance date no later than April 9, calculation uses the same inputs as the savings until past 2100, when the 27 2020). LCC analysis, except that discount rates equipment installed in the 30th year For split system air-cooled air are not needed. Because the simple PBP after the compliance date of the conditioners, which DOE evaluated does not take into account changes in amended standards should be retired. operating expenses over time or the time 27 Since ASHRAE published ASHRAE Standard value of money, DOE considered only 1. Approach 90.1–2013 on October 9, 2013, EPCA requires that DOE publish a final rule adopting more-stringent the first year’s operating expenses to The NES and NPV are a function of standards than those in ASHRAE Standard 90.1– calculate the PBP, unlike the LCC, the total number of units in use and 2013, if warranted, within 30 months of ASHRAE which is calculated over the lifetime of their efficiencies. Both the NES and action (i.e., by April 2016). Thus, four years from the equipment. Chapter 6 of the NOPR NPV depend on annual shipments and April 2016 would be April 2020, which would be the anticipated compliance date for DOE adoption TSD provides additional detail about equipment lifetime. Both calculations of more-stringent standards. the PBP. start by using the shipments estimate

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and the quantity of units in service to an increased demand for its service. increase in order to obtain the net derived from the shipments model. The NEMS model assumes a certain savings (or expense) for each year. DOE With regard to estimating the NES, elasticity factor to account for an then discounted the annual net savings because more-efficient air conditioners increased demand for service due to the (or expenses) to 2014 for air and heat pumps are expected to increase in cooling (or heating) conditioners and heat pumps bought on gradually replace less-efficient ones, the efficiency.28 EIA refers to this as an or after 2017 (or 2019) and summed the energy per unit of capacity used by the efficiency rebound. For the small discounted values to provide the NPV of air conditioners and heat pumps in commercial air conditioning and an efficiency level. An NPV greater than service gradually decreases in the heating equipment market, there are two zero shows net savings (i.e., the standards case relative to the base case. ways that a rebound effect could occur: efficiency level would reduce DOE calculated the NES by subtracting (1) Increased use of the air conditioning commercial consumer expenditures energy use under a standards-case equipment within the commercial relative to the base case in present value scenario from energy use in a base-case buildings in which they are installed; terms). An NPV that is less than zero scenario. and (2) additional instances of air indicates that the efficiency level would Unit energy savings for each conditioning of building spaces that result in a net increase in commercial equipment class are taken from the LCC were not being cooled before. consumer expenditures in present value spreadsheet for each efficiency level and DOE does not expect either of these terms. weighted based on market efficiency instances to occur because the annual To make the analysis more distributions. To estimate the total energy use for this equipment is very transparent to all interested parties, energy savings for each efficiency level, low; therefore, the energy cost savings DOE used a commercially-available DOE first calculated the national site from more-efficient equipment would spreadsheet tool to calculate the energy energy consumption (i.e., the energy likely not be high enough to induce a savings and the national economic costs directly consumed by the units of commercial consumer to increase the and savings from potential amended equipment in operation) for each class use of the equipment, either in a standards. Interested parties can review of air conditioner and heat pumps for previously-cooled space or another DOE’s analyses by changing various each year of the analysis period. The previously-uncooled space. Therefore, input quantities within the spreadsheet. NES and NPV analysis periods begin DOE did not assume a rebound effect in Unlike the LCC analysis, the NES with the earliest expected compliance the present NOPR analysis. DOE seeks spreadsheet does not use distributions date of amended Federal energy input from interested parties on whether for inputs or outputs, but relies on conservation standards (i.e., 2017 for the there will be a rebound effect for national average first costs and energy equipment classes triggered by improvements in the efficiency of small costs developed from the LCC ASHRAE, assuming DOE adoption of commercial air conditioners and heat spreadsheet. DOE used the NES the baseline ASHRAE Standard 90.1– pumps. If interested parties believe a spreadsheet to perform calculations of 2013 efficiency levels, and 2019 for rebound effect would occur, DOE is energy savings and NPV using the split-system air conditioners, 3 years interested in receiving data quantifying annual energy consumption and total after DOE would likely issue a final rule the effects, as well as input regarding installed cost data from the LCC requiring standards more stringent than how should DOE quantify this in its analysis. DOE projected the energy ASHRAE). For the analysis of DOE’s analysis. This is identified as Issue 3 savings, energy cost savings, equipment potential adoption of more-stringent under ‘‘Issues on Which DOE Seeks costs, and NPV of benefits for efficiency levels for the equipment Comment’’ in section X.E of this NOPR. equipment sold in each small classes triggered by ASHRAE, the To estimate NPV, DOE calculated the commercial air-cooled air conditioner earliest compliance date would be 2020, net impact as the difference between net and heat pump class from 2017 through four years after DOE would likely issue operating cost savings (including 2046 (or 2019 through 2048). For the a final rule requiring such standards. electricity cost savings and increased three equipment classes triggered by Second, DOE determined the annual site repair costs) and increases in total ASHRAE, for efficiency levels more energy savings, consisting of the installed costs (including customer stringent than those in ASHRAE 90.1– difference in site energy consumption prices). DOE calculated the NPV of each 2013, energy savings and costs do not between the base case and the standards considered standard level over the life begin accruing until 2020, the estimated case for each class of small commercial of the equipment using the following first year of compliance. The projections air conditioner and heat pump less than three steps. First, DOE determined the provided annual and cumulative values 65,000 Btu/h. Third, DOE converted the difference between the equipment costs for all four output parameters described annual site energy savings into the under the standard-level case and the previously. annual primary and FFC energy savings base case in order to obtain the net 2. Shipments Analysis using annual conversion factors derived equipment cost increase resulting from Equipment shipments are an from the AEO 2014 version of the the higher standard level. As noted in important element in the estimate of the Energy Information Administration’s section V.E.1, DOE used a constant price future impact of a potential energy (EIA) National Energy Modeling System assumption as the default price forecast. conservation standard. DOE developed (NEMS). Finally, DOE summed the Second, DOE determined the difference shipment projections for small annual primary and FFC energy savings between the base-case operating costs commercial air-cooled air conditioners from 2017 to 2046 (or 2019 to 2048) to and the standard-level operating costs in and heat pumps less than 65,000 Btu/h calculate the total NES for that period. order to obtain the net operating cost and, in turn, calculated equipment stock DOE performed these calculations for savings from each higher efficiency over the course of the analysis period by each efficiency level considered for level. Third, DOE determined the assuming a Weibull distribution with an small commercial air conditioners and difference between the net operating average 19-year equipment life for air heat pumps in this rulemaking. cost savings and the net equipment cost DOE considered whether a rebound conditioners and a 16-year life for heat effect is applicable in its NES analysis. 28 An overview of the NEMS model and pumps. (See section V.E.7 for more A rebound effect occurs when an documentation is found at http://www.eia.doe.gov/ information on lifetime.) DOE used the increase in equipment efficiency leads oiaf/aeo/overview/index.html. shipments projection and the equipment

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stock to determine the NES. The DOE received several comments on reverse. Therefore, DOE used the AHRI- shipments portion of the spreadsheet the NODA in response to these reported growth rates from 2010 to 2011 model projects small commercial air- shipments estimates. Goodman found it (10 percent for air conditioners and 1 cooled air conditioner and heat pump illogical for DOE to base the initial value percent for heat pumps) to scale its shipments through 2046. of shipments on data that was estimated projected 2010 shipments to 2011, at In the April 11, 2014 NODA, DOE a decade and a half ago. (Goodman which time it could begin projecting relied on 1999 shipment estimates along Global, Inc., No. 18 at p. 3) The initial shipments using Annual Energy Outlook with trends from the U.S. Census to values, Goodman stated, should come (AEO) 2014 forecasts (2011 through estimate shipments for this equipment. from aggregated data provided by an 2040) for commercial floor space. DOE 79 FR 20114, 20130. Table V.8 shows industry trade association such as AHRI. assumed that shipments of small the 1999 shipments estimates from the (Id.) Goodman, AHRI, and Lennox also commercial air-cooled air conditioners 2000 Screening Analysis for EPACT- argued that by averaging shipments over Covered Commercial HVAC and Water- 1999 to 2010, DOE did not account for and heat pumps would be related to the Heating Equipment (EERE–2006–STD– the recent decline in shipments and, growth of commercial floor space. DOE 0098–0015). While the U.S. Census therefore, was overstating market used this projection, with an average provides shipments data for air-cooled volumes and potential energy savings. annual growth rate of 1 percent, to equipment less than 65,000 Btu/h, it (AHRI, No. 24 at p. 8; Goodman, No. 18 project shipments for each of the four does not disaggregate the shipments into at p. 3; Lennox International, No. 15 at equipment classes through 2040. For single-phase and three-phase. Therefore, p. 7) AHRI also asserted that the years beyond 2040, DOE also applied an DOE used the Census data from 1999 to analysis did not support either the average annual growth rate of 1 percent. 29 2010 as a trend from which to assumption that current shipments of Table V.9 shows the projected extrapolate DOE’s 1999 estimated packaged three-phase heat pumps less shipments for the different equipment shipments data (which is divided by than 65,000 Btu/h are at 1999 levels and classes of small commercial air-cooled equipment class) for three-phase will decrease only slowly during the air conditioners and heat pumps less equipment for the time period from next 35 years or the assumption that than 65,000 Btu/h for selected years 2000 to 2010. DOE then used the current shipments of three-phase split- from 2017 to 2046, as well as the estimated shipments from 1999 to 2010 system heat pumps less than 65,000 to establish a trend from which to Btu/h are nearly double those of 1999 cumulative shipments. As equipment project shipments beyond 2010. For and will more than double again in the purchase price and repair costs increase heat pumps, DOE used a linear trend, next 35 years. (AHRI, No. 24 at p. 8). with efficiency, DOE recognizes that which is slightly decreasing for single- In response to these comments, DOE higher first costs and repair costs can package units and increasing for split reviewed its shipments analysis. AHRI result in a drop in shipments. However, systems. However, for single-package air did not provide any more recent data, so DOE had no basis for estimating the conditioners, the trend was DOE continued to rely on the 1999 elasticity of shipments for small precipitously declining. As a result, for estimates for the initial value. However, commercial air-cooled air conditioners single-package air conditioners for the DOE did revise its shipment projections and heat pumps less than 65,000 Btu/h years after 2010, DOE used the average for the years beyond 2010. Because the as a function of first costs, repair costs, value from 1999 to 2010. Census data end in 2010, DOE cannot or operating costs. In addition, because use that data to determine whether air-cooled air conditioners are likely the TABLE V.8—DOE ESTIMATED SHIP- shipments continue to decline past lowest-cost option for air conditioning MENTS OF SMALL THREE-PHASE 2010. Therefore, DOE reviewed AHRI’s small office and retail applications, DOE COMMERCIAL AIR CONDITIONERS monthly shipments data for the broader has tentatively concluded that it is AND HEAT PUMPS <65,000 Btu/h category of central air conditioners and unlikely that shipments would change heat pumps to determine more recent as a result of higher first costs and repair trends.30 DOE found that the average Equipment class 1999 costs. Therefore, DOE presumed that the annual growth rate from 2005 to 2010 shipments projection would not change Three-Phase Air-Cooled Split- was ¥12 percent for air conditioners System Air Conditioners and ¥4 percent for heat pumps. with higher standard levels. DOE seeks <65,000 Btu/h ...... 91,598 However, the average annual growth input on this assumption. This is Three-Phase Air-Cooled Single- rate from 2010 to 2014 was 7 percent for identified as Issue 4 under ‘‘Issues on Package Air Conditioners air conditioners and 8 percent for heat Which DOE Seeks Comment’’ in section <65,000 Btu/h ...... 213,728 X.E of this NOPR. Chapter 7 of the Three-Phase Air-Cooled Split- pumps. These data indicate that the System Heat Pumps <65,000 decline in shipments through 2010 has NOPR TSD provides additional details Btu/h ...... 11,903 stopped and has in fact begun to on the shipments forecasts. Three-Phase Air-Cooled Single- Package Heat Pumps <65,000 30 AHRI, HVACR & Water Heating Industry Btu/h ...... 27,773 Statistical Profile (2012) (Available at: http:// www.ari.org/site/883/Resources/Statistics/AHRI- Industry-Statistical-Profile). See also AHRI Monthly 29 U.S. Census Bureau, Current Industrial Reports Shipments: http://www.ari.org/site/498/Resources/ for Refrigeration, Air Conditioning, and Warm Air Statistics/Monthly-Shipments; especially December Heating Equipment, MA333M. Note that the current 2013 release: http://www.ari.org/App_Content/ahri/ industrial reports were discontinued in 2010, so files/Statistics/Monthly%20Shipments/2013/ more recent data are not available. (Available at: December2013.pdf; May 2014 release: http:// http://www.census.gov/manufacturing/cir/ www.ari.org/App_Content/ahri/files/Statistics/ historical_data/ma333m/index.html). Monthly%20Shipments/2014/May2014.pdf.

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TABLE V.9—SHIPMENTS PROJECTION FOR SMALL COMMERCIAL AIR-COOLED AIR CONDITIONERS AND HEAT PUMPS <65,000 Btu/h

Units shipped by year and equipment class Cumulative Equipment shipments 2017 2020 2025 2030 2035 2040 2046 (2017– 2046) *

Three-Phase Air-Cooled Split-Sys- tem Air Conditioners <65,000 Btu/ h ...... 80,210 83,175 87,651 91,610 96,170 101,593 107,802 2,806,115 Three-Phase Air-Cooled Single- Package Air Conditioners <65,000 Btu/h ...... 122,271 126,790 133,613 139,649 146,600 154,867 164,332 4,277,584 Three-Phase Air-Cooled Split-Sys- tem Heat Pumps <65,000 Btu/h ... 19,634 20,360 21,455 22,424 23,541 24,868 26,388 686,883 Three-Phase Air-Cooled Single- Package Heat Pumps <65,000 Btu/h ...... 25,157 26,086 27,490 28,732 30,162 31,863 33,810 880,091 Total ...... 247,272 256,411 270,210 282,415 296,473 313,191 332,333 8,650,673 * Note that the analysis period for split-system air conditioners is 2019–2048, but for comparison purposes, the same time period for cumu- lative shipments is shown for each equipment class.

3. Base-Case and Standards-Case Global also disagreed that roughly half used a ‘‘roll-up’’ scenario to establish Forecasted Distribution of Efficiencies or more of commercial HVAC products the market shares by efficiency level for less than 65,000 Btu/h shipped today the year that compliance would be In the April 11, 2014 NODA, DOE are above the minimum efficiency level; required with amended standards (i.e., presented base-case efficiency Goodman estimated roughly three- 2017 for adoption of efficiency levels in distributions based on model quarters of such models are at base ASHRAE Standard 90.1–2013 or 2020 if availability in the AHRI certified efficiency today. (Goodman Global, Inc. DOE adopts more-stringent efficiency directory. 79 FR 20114, 20132. DOE No 18 at p. 3) Neither AHRI nor levels than those in ASHRAE Standard bundled the efficiency levels into Goodman provided any data to support ‘‘efficiency ranges’’ and determined the 90.1–2013). 79 FR 20114, 20132. DOE their positions or to allow DOE to better collected information that suggests the percentage of models within each range. estimate the base-case efficiency DOE applied the percentages of models efficiencies of equipment in the base distribution. Therefore, DOE has case that did not meet the standard level within each efficiency range to the total retained the initial distribution used in under consideration would roll up to unit shipments for a given equipment the NODA. class to estimate the distribution of For this NOPR, DOE has estimated a meet the standard level. This shipments within the base case. In base-case efficiency trend of an increase information also suggests that response, AHRI commented that DOE’s of approximately 1 SEER every 35 years, equipment efficiencies in the base case use of a market-weighted unit energy based on the EER trend from 2012 to that were above the standard level consumption (UEC) based on the 2035 found in the Commercial Unitary under consideration would not be distribution of efficiencies of available Air Conditioner Advance Notice of affected. In response to the April 2014 models was flawed. (AHRI, No. 24 at p. Proposed Rulemaking (ANOPR).31 DOE NODA, AHRI and Goodman agreed that 7) AHRI stated that the majority of used this same trend in the standards- the roll-up scenario was a reasonable shipments involve models at or near the case scenarios. DOE requests comment assumption. (AHRI, No. 24 at p. 8; minimum efficiency standard level, on the estimated efficiency trend. This Goodman Global, Inc., No. 18 at p. 3) with volume of shipments decreasing as is identified as Issue 5 under ‘‘Issues on Table V.10 presents the estimated base- efficiency increases. Although there Which DOE Seeks Comment’’ in section case efficiency market shares for each may be no information on the exact X.E of this NOPR. small commercial air-cooled air percentages, AHRI considered this to be As in the April 11, 2014 NODA, for conditioner and heat pump equipment the general pattern. (Id.) Goodman each efficiency level analyzed, DOE class.

TABLE V.10—BASE-CASE EFFICIENCY MARKET SHARES FOR SMALL COMMERCIAL AIR-COOLED AIR CONDITIONERS AND HEAT PUMPS <65,000 Btu/h

Three-phase air-cooled split-system air conditioners <65,000 Three-phase air-cooled Three-phase air-cooled Three-phase air-cooled Btu/h single-package air con- split-system heat pumps single-package heat (2019) ditioners <65,000 Btu/h <65,000 Btu/h pumps <65,000 Btu/h (2020) (2020) (2020) Market Market Market Market SEER share SEER share SEER share SEER share (%) (%) (%) (%)

13 ...... 26 13 0 13 0 13 0 14 ...... 50 14 52 14 80 14 69

31 See DOE’s technical support document 45460 (Available at: http://www.regulations.gov/ DOE assumed that the EER trend would reasonably underlying DOE’s July 29, 2004 ANOPR. 69 FR #!documentDetail;D=EERE-2006-STD-0103-0078). represent a SEER trend.

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TABLE V.10—BASE-CASE EFFICIENCY MARKET SHARES FOR SMALL COMMERCIAL AIR-COOLED AIR CONDITIONERS AND HEAT PUMPS <65,000 Btu/h—Continued

Three-phase air-cooled split-system air conditioners <65,000 Three-phase air-cooled Three-phase air-cooled Three-phase air-cooled Btu/h single-package air con- split-system heat pumps single-package heat (2019) ditioners <65,000 Btu/h <65,000 Btu/h pumps <65,000 Btu/h (2020) (2020) (2020) Market Market Market Market SEER share SEER share SEER share SEER share (%) (%) (%) (%)

15 ...... 22 15 30 15 19 15 21 16 ...... 2 16 7 16 1 16 9 17 ...... 0 17 4 17 0 17 1 18 ...... 0 18 7 18 0 18 1 19 ...... 0 19 0 ...... Note: The 0% market share at 13.0 SEER for three equipment classes is accounting for the default adoption of ASHRAE Standard 90.1–2013 levels in 2017.

4. National Energy Savings and Net primary energy using annual conversion and a 3-percent real discount rate. The Present Value factors derived from the AEO 2014 7-percent rate is an estimate of the version of NEMS. Cumulative energy average before-tax rate of return on The stock of small commercial air- savings are the sum of the NES for each private capital in the U.S. economy. cooled air conditioner and heat pump year over the timeframe of the analysis. DOE used this discount rate to equipment less than 65,000 Btu/h is the In response to the recommendations approximate the opportunity cost of total number of units in each equipment of a committee on ‘‘Point-of-Use and class purchased or shipped from capital in the private sector, because Full-Fuel-Cycle Measurement recent OMB analysis has found the previous years that have survived until Approaches to Energy Efficiency a given point. The NES spreadsheet,32 average rate of return on capital to be Standards’’ appointed by the National near this rate. DOE used the 3-percent through use of the shipments model, Academy of Sciences, DOE announced keeps track of the total number of units rate to capture the potential effects of its intention to use FFC measures of standards on private consumption (e.g., shipped each year. For purposes of the energy use and greenhouse gas and NES and NPV analyses, DOE assumes through higher prices for products and other emissions in the national impact reduced purchases of energy). This rate that shipments of air conditioner and analyses and emissions analyses heat pump units survive for an average represents the rate at which society included in future energy conservation discounts future consumption flows to of 19 years and 16 years, respectively, standards rulemakings. 76 FR 51281 following a Weibull distribution, at the their present value. This rate can be (Aug. 18, 2011). After evaluating the approximated by the real rate of return end of which time they are removed approaches discussed in the August 18, from service. on long-term government debt (i.e., 2011 notice, DOE published a statement yield on United States Treasury notes The national annual energy of amended policy in the Federal minus annual rate of change in the consumption is the product of the Register in which DOE explained its Consumer Price Index), which has annual unit energy consumption and determination that NEMS is the most averaged about 3 percent on a pre-tax the number of units of each vintage in appropriate tool for its FFC analysis and basis for the past 30 years. the stock, summed over all vintages. its intention to use NEMS for that This approach accounts for differences purpose. 77 FR 49701 (Aug. 17, 2012). Table V.11 summarizes the inputs to in unit energy consumption from year to The approach used for this NOPR is the NES spreadsheet model along with year. In determining national annual described in Appendix 8–A of the a brief description of the data sources. energy consumption, DOE estimated NOPR TSD. The results of DOE’s NES and NPV energy consumption and savings based In accordance with the OMB’s analysis are summarized in section on site energy and converted the guidelines on regulatory analysis, DOE VIII.B.1.b and described in detail in electricity consumption and savings to calculated NPV using both a 7-percent chapter 8 of the NOPR TSD.

TABLE V.11—SUMMARY OF SMALL COMMERCIAL AIR-COOLED AIR CONDITIONER AND HEAT PUMPS <65,000 Btu/h NES AND NPV MODEL INPUTS

Inputs Description

Shipments ...... Annual shipments based on U.S. Census, AHRI monthly shipment reports, and AEO2014 forecasts of commercial floor space. (See chapter 7 of the NOPR TSD.) Compliance Date of Standard ...... 2020 for adoption of a more-stringent efficiency level than those specified by ASHRAE Stand- ard 90.1–2013 for the three equipment classes triggered by ASHRAE. 2017 for adoption of the efficiency levels specified by ASHRAE Standard 90.1–2013. 2019 for split-system air conditioners. Base-Case Efficiencies ...... Distribution of base-case shipments by efficiency level, with efficiency trend of an increase of 1 EER every 35 years.

32 The NES spreadsheet can be found in the www.regulations.gov/#!docketDetail;D=EERE-2014- docket for the ASHRAE rulemaking at: BT-STD-0015.

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TABLE V.11—SUMMARY OF SMALL COMMERCIAL AIR-COOLED AIR CONDITIONER AND HEAT PUMPS <65,000 Btu/h NES AND NPV MODEL INPUTS—Continued

Inputs Description

Standards-Case Efficiencies ...... Distribution of shipments by efficiency level for each standards case. In compliance year, units below the standard level ‘‘roll-up’’ to meet the standard. Efficiency trend of an increase of 1 EER every 35 years. Annual Energy Use per Unit ...... Annual national weighted-average values are a function of efficiency level. (See chapter 4 of the NOPR TSD.) Total Installed Cost per Unit ...... Annual weighted-average values are a function of efficiency level. (See chapter 5 of the NOPR TSD.) Annualized Maintenance and Repair Costs per Annual weighted-average values are a function of efficiency level. (See chapter 5 of the Unit. NOPR TSD.) Escalation of Fuel Prices ...... AEO2014 forecasts (to 2040) and extrapolation for beyond 2040. (See chapter 8 of the NOPR TSD.) Site to Primary and FFC Conversion ...... Based on AEO2014 forecasts (to 2040) and extrapolation for beyond 2040. (See chapter 8 of the NOPR TSD.) Discount Rate ...... 3 percent and 7 percent real. Present Year ...... Future costs are discounted to 2014.

VI. Methodology for Water-Source Heat nomenclature for these equipment Of these manufacturers, seven were Pumps classes to refer to ‘‘water-to-air, water- identified as small businesses based loop.’’ In this document, DOE is upon number of employees and the This section addresses the analyses proposing to revise the nomenclature for employee thresholds set by the Small DOE has performed for this rulemaking these equipment classes (but not the Business Administration. More details with respect to water-source heat broader category) to match that used by on this analysis can be found below in pumps. A separate subsection addresses ASHRAE. each analysis. In overview, DOE used a section IX.B. spreadsheet to calculate the LCC and 2. Review of Current Market c. Market Data PBPs of potential energy conservation In order to obtain the information standards. DOE used another needed for the market assessment for DOE reviewed the AHRI database to spreadsheet to provide shipments this rulemaking, DOE consulted a characterize the efficiency and projections and then calculate national variety of sources, including performance of water-source (water-to- energy savings and net present value manufacturer literature, manufacturer air, water-loop) heat pump models impacts of potential amended energy Web sites, and the AHRI certified currently on the market. The full results conservation standards. directory.33 The information DOE of this market characterization are found in chapter 2 of the NOPR TSD. For A. Market Assessment gathered serves as resource material throughout the rulemaking. The sections water-source heat pumps less than To begin its review of the ASHRAE that follow provide an overview of the 17,000 Btu/h, the average EER was 13.8, Standard 90.1–2013 efficiency levels, market assessment, and chapter 2 of the and the average coefficient of DOE developed information that NOPR TSD provides additional detail performance (COP) was 4.7. Of the provides an overall picture of the on the market assessment, including models identified by DOE, 34 (six market for the equipment concerned, citations to relevant sources. percent of the total models) have EERs including the purpose of the equipment, rated below the ASHRAE Standard the industry structure, and market a. Trade Association Information 90.1–2013 levels, and 30 (five percent of characteristics. This activity included DOE identified the same trade groups the total models) have COPs rated below both quantitative and qualitative relevant to water-source heat pumps as the ASHRAE Standard 90.1–2013 levels. assessments based primarily on to those listed in section V.A.2.a for For water-source heat pumps greater publicly-available information. The small air-cooled air conditioners and than or equal to 17,000 Btu/h and less subjects addressed in the market heat pumps, namely AHRI, HARDI, and than 65,000 Btu/h, the average EER was assessment for this rulemaking include ACCA. DOE used data available from 15.2, and the average COP was 4.9. Of equipment classes, manufacturers, AHRI in its analysis, as described in the the models identified by DOE, 72 (two quantities, and types of equipment sold next section. percent of the total models) have EERs and offered for sale. The key findings of b. Manufacturer Information rated below the ASHRAE Standard DOE’s market assessment are 90.1–2013 levels, and 133 (four percent summarized subsequently. For DOE reviewed data for water-source of the total models) have COPs rated additional detail, see chapter 2 of the (water-to-air, water-loop) heat pumps below the ASHRAE Standard 90.1–2013 NOPR TSD. currently on the market by examining levels. For water-source heat pumps the AHRI Directory of Certified Product greater than or equal to 65,000 Btu/h 1. Equipment Classes Performance. DOE identified 18 parent and less than 135,000 Btu/h, the average EPCA and ASHRAE Standard 90.1– companies (comprising 21 EER was 14.7, and the average COP was 2013 both divide water-source heat manufacturers) of water-source (water- 4.8. Of the models identified by DOE, pumps into three categories based on to-air, water-loop) heat pumps, which five (one percent of the total models) the following cooling capacity ranges: are listed in chapter 2 of the NOPR TSD. have EERs rated below the ASHRAE (1) <17,000 Btu/h; (2) ≥17,000 and Standard 90.1–2013 levels, and two (0.5 ≥ 33 AHRI Directory of Certified Product <65,000 Btu/h; and (3) 65,000 and Performance (2013) (Available at: percent of the total models) have COPs <135,000 Btu/h. As noted previously, www.ahridirectory.org) (Last accessed November rated below the ASHRAE Standard ASHRAE 90.1–2013 revised the 11, 2013). 90.1–2013 levels.

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B. Engineering Analysis of the latter equipment. Deciding which increases by including all major parts The engineering analysis establishes methodology to use for the engineering and components. In the end, the the relationship between an increase in analysis depends on the equipment, the approach allowed DOE to provide energy efficiency and the increase in design options under study, and any estimates of equipment prices for the cost (manufacturer selling price (MSP)) historical data upon which DOE may range of efficiencies currently available of a piece of equipment DOE is draw. on the market. After selecting efficiency levels for evaluating for potential amended energy 1. Approach conservation standards. This each capacity class, as described in the relationship serves as the basis for cost- For this analysis, DOE used a sections that follow, DOE selected benefit calculations for individual combination of the efficiency-level products for the catalog teardown consumers, manufacturers, and the approach and the cost-assessment analysis that corresponded to the Nation. The engineering analysis approach. DOE used the efficiency-level representative efficiencies and cooling identifies representative baseline approach to identify incremental capacities. The engineering analysis equipment, which is the starting point improvements in efficiency for each included data for over 60 water-source for analyzing possible energy efficiency equipment class and the cost- heat pumps. DOE calculated the MPC improvements. For covered ASHRAE assessment approach to develop a cost for products spanning the full range of equipment, DOE sets the baseline for for each efficiency level. The efficiency efficiencies from the baseline to the analysis at the ASHRAE Standard 90.1 levels that DOE considered in the max-tech level for each analyzed efficiency level, because by statute, DOE engineering analysis were representative equipment class. In some cases, catalog cannot adopt any level below the of commercial water-source heat pumps data providing sufficient information for revised ASHRAE level. The engineering currently produced by manufacturers at cost analysis were not available at each analysis then identifies higher efficiency the time the engineering analysis was efficiency level under consideration. levels and the incremental increase in developed. DOE relied on data reported Hence, DOE calculated the costs for product cost associated with achieving in the AHRI Directory of Certified some of the efficiency levels based on the higher efficiency levels. After Product Performance to select the cost/efficiency trends observed for identifying the baseline models and cost representative efficiency levels. This other efficiency levels for which such of achieving increased efficiency, DOE directory reported EER, COP, heating catalog data were available. The estimates the additional costs to the and cooling capacities, and other data engineering analysis is described in commercial consumer through an for all three application types (water- more detail in chapter 3 of the NOPR analysis of contractor costs and loop, ground-water, ground-loop) for all TSD. markups, and uses that information in AHRI-certified units. After identifying 2. Baseline Equipment the downstream analyses to examine the representative efficiency levels, DOE costs and benefits associated with used a catalog teardown or ‘‘virtual DOE selected baseline efficiency increased equipment efficiency. teardown’’ approach to estimate levels as reference points for each DOE typically structures its equipment costs at each level. DOE equipment class, against which it engineering analysis around one of three obtained general descriptions of key measured changes resulting from methodologies: (1) The design-option water-source heat pump components in potential amended energy conservation approach, which calculates the product literature and used data standards. DOE defined the baseline incremental costs of adding specific collected for dozens of HVAC products efficiency levels as reference points to design options to a baseline model; (2) to characterize the components’ design compare the technology, energy savings, the efficiency-level approach, which details. This approach was used instead and cost of equipment with higher calculates the relative costs of achieving of the physical teardown approach due energy efficiency levels. Typically, units increases in energy efficiency levels to time constraints. at the baseline efficiency level just meet without regard to the particular design Although there are benefits to using a Federal energy conservation standards options used to achieve such increases; catalog teardown approach, DOE notes and provide basic consumer utility. and/or (3) the reverse-engineering or that there are drawbacks as well. Most However, EPCA requires that DOE must cost-assessment approach, which significantly, there are differences adopt either the ASHRAE Standard involves a ‘‘bottom-up’’ manufacturing between water-source heat pumps and 90.1–2013 levels or more-stringent cost assessment based on a detailed bill the commercial heating and cooling levels. Therefore, because the ASHRAE of materials derived from teardowns of equipment that were physically torn Standard 90.1–2013 levels were the the equipment being analyzed. A down. DOE was only able to account for lowest levels that DOE could adopt, supplementary method called a catalog these difference based upon data DOE used those levels as the reference teardown uses published manufacturer supplied from manufacturer catalogs or points against which more-stringent catalogs and supplementary component component data. Therefore, there may levels were evaluated. Table VI.1 shows data to estimate the major physical be additional minor details or parts of the current baseline and ASHRAE differences between a piece of the units that were not accounted for. efficiency levels for each water-source equipment that has been physically However, DOE has tentatively heat pump equipment class. In Table disassembled and another piece of concluded that this approach provides a VI.2 below, the ASHRAE levels are similar equipment for which catalog reasonable approximation of the cost designated ‘‘0’’ and more-stringent data are available to determine the cost increases associated with efficiency levels are designated 1, 2, and so on.

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TABLE VI.1—BASELINE EFFICIENCY LEVELS FOR WATER-SOURCE HEAT PUMPS

Water-source Water-source Water-source (water-to-air, (water-to-air, (water-to-air, water-loop) water-loop) water-loop) heat pumps heat pumps heat pumps ≥17,000 and ≥65,000 and <17,000 Btu/h <65,000 Btu/h <135,000 Btu/h

Efficiency level (EER)

Baseline—Federal Standard ...... 11.2 12.0 12.0 Baseline—ASHRAE Standard ...... 12.2 13.0 13.0

3. Identification of Increased Efficiency the technology paths that manufacturers Product Performance, manufacturer Levels for Analysis of residential heating products catalogs, and other publicly-available commonly use to maintain cost-effective literature. The efficiency levels selected DOE developed and considered designs while increasing energy for analysis for each water-source heat potential increased energy efficiency efficiency. DOE developed more- pump equipment class are shown in levels for each equipment class. These stringent energy efficiency levels for Table VI.2. Chapter 3 of the NOPR TSD more-stringent efficiency levels are each of the equipment classes, based on shows additional details on the representative of efficiency levels along a review of AHRI’s Directory of Certified efficiency levels selected for analysis.

TABLE VI.2—EFFICIENCY LEVELS FOR ANALYSIS OF WATER-SOURCE HEAT PUMPS

Water-source Water-source Water-source (water-to-air, (water-to-air, (water-to-air, water-loop) water-loop) water-loop) heat pumps heat pumps heat pumps ≥17,000 and ≥65,000 and <17,000 Btu/h <65,000 Btu/h <135,000 Btu/h

Efficiency Level (EER, Btu/W-h)

Baseline—Federal Standard ...... 11.2 12.0 12.0 Baseline—ASHRAE Level (0) ...... 12.2 13.0 13.0 Efficiency Level 1 ...... 13.0 14.6 14.0 Efficiency Level 2 ...... 14.0 16.6 15.0 Efficiency Level 3 ...... 15.7 18.0 16.0 Efficiency Level 4 * ...... 16.5 19.2 17.2 Efficiency Level 5 ** ...... 18.1 21.6 ...... * Efficiency Level 4 is ‘‘Max-Tech’’ for the largest equipment classes. ** Efficiency Level 5 is ‘‘Max-Tech’’ for the two smaller equipment classes.

4. Engineering Analysis Results analyzed units. DOE’s calculated MPCs an input for the life-cycle cost and PBP for the three analyzed classes of water- analysis. Further details regarding MPCs The results of the engineering analysis source heat pumps are shown in Table for water-source heat pumps may be are cost-efficiency curves based on VI.3. DOE used the cost-efficiency found in chapter 3 of the NOPR TSD. results from the cost models for curves from the engineering analysis as

TABLE VI.3—MANUFACTURER PRODUCTION COSTS FOR WATER-SOURCE HEAT PUMPS

Water-source Water-source Water-source (water-to-air, water- (water-to-air, water- (water-to-air, loop) loop) water-loop) heat pumps heat pumps heat pumps <17,000 Btu/h ≥17,000 and ≥65,000 and <65,000 Btu/h <135,000 Btu/h EER MPC MPC MPC ($) EER ($) EER ($)

ASHRAE—Level 0 ...... 12.2 860 13.0 1,346 13.0 3,274 Efficiency Level 1 ...... 13.0 904 14.6 1,463 14.0 3,660 Efficiency Level 2 ...... 14.0 960 16.6 1,609 15.0 4,045 Efficiency Level 3 ...... 15.7 1,053 18.0 1,711 16.0 4,431 Efficiency Level 4 ...... 16.5 1,097 19.2 1,798 17.2 4,893 Efficiency Level 5 ...... 18.1 1,185 21.6 1,974 ......

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a. Manufacturer Markups cooled air-conditioners and heat pumps, In the April 11, 2014 NODA, DOE did As discussed in detail in section as discussed in section V.C. DOE not analyze heating UECs for water- V.B.4.a, DOE applies a non-production understands that the equipment move source heat pumps because of lack of cost multiplier (the manufacturer through the same distribution channels data availability. 79 FR 20114, 20126. markup) to the full MPC to account for and that, therefore, using the same DOE requested input and data related to markups is reasonable. In addition, corporate non-production costs and this topic but did not receive any. For DOE’s development of markups within profit. The resulting manufacturer this NOPR, to characterize the heating- those channels is at the broader selling price (MSP) is the price at which side performance, DOE analyzed CBECS equipment category level, in this case the manufacturer can recover all 2003 data to develop a national-average heating, ventilation, and air- production and nonproduction costs annual energy use per square foot for conditioning equipment. As with small and earn a profit. Because water-source buildings that use heat pumps. DOE commercial air-cooled equipment, DOE heat pumps and commercial air-cooled assumed that the average COP of the did not use national accounts in its equipment are sold by similar heating commercial unitary heat pump (CUHP) markups analysis for water-source heat 34 and cooling product manufacturers, was 2.9. DOE converted the energy use pumps, because DOE does not believe per square foot value to annual energy DOE used the same manufacturer that the commercial consumers of markup of 1.3 that was developed for use per ton using a ton-per-square-foot water-source heat pump equipment less relationship derived from the energy use small commercial air-cooled air- than 135,000 Btu/h would typically be conditioners and heat pumps, as analysis in the 2014 CUAC NOPR. national retail chains that negotiate (EERE–2013–BT–STD–0007–0027) This described in chapter 3 of the NOPR directly with manufacturers. DOE seeks TSD. analysis relates to equipment larger than comment on whether the use of national some of the equipment that is the b. Shipping Costs accounts would be appropriate in this subject of this current NOPR and is analysis. This is identified as Issue 6 Manufacturers of commercial HVAC directly applicable only to air-source under ‘‘Issues on Which DOE Seeks equipment typically pay for freight heat pumps rather than water-source Comment’’ in section X.E of this NOPR. heat pumps. However, for this NOPR, (shipping) to the first step in the Chapter 6 of the NOPR TSD provides distribution chain. Freight is not a DOE assumed that this estimate was further detail on the estimation of sufficiently representative of the heating manufacturing cost, but because it is a markups. substantial cost incurred by the energy use for all three classes of water- manufacturer, DOE accounts for D. Energy Use Analysis source heat pumps. DOE seeks comment on this issue. This is identified as Issue shipping costs separately from other The energy use analysis provides non-production costs that comprise the estimates of the annual energy 7 under ‘‘Issues on Which DOE Seeks manufacturer markup. DOE calculated consumption of water-source heat Comment’’ in section X.E of this NOPR. Because equipment energy use is a the MSP for water-source heat pumps by pumps at the considered efficiency function of efficiency, DOE assumed multiplying the MPC at each efficiency levels. DOE uses these values in the LCC that the annual heating energy level (determined from the cost model) and PBP analyses and in the NIA. by the manufacturer markup and adding The cooling unit energy consumption consumption of a unit scales shipping costs. Shipping costs for water- (UEC) by equipment type and efficiency proportionally with its heating COP source heat pumps were calculated level used in the April 11, 2014 NODA efficiency level. Finally, to determine similarly to those for small commercial came from Appendix D of the 2000 the COPs of units with given EERs, DOE air-cooled air-conditioners and heat Screening Analysis for EPACT-Covered correlated COP to EER based on the 35 pumps described in section V.B.4.b. See Commercial HVAC and Water-Heating AHRI Certified Equipment Database. chapter 3 of the NOPR TSD for more Equipment. (EERE–2006–STD–0098– Thus, for any given cooling efficiency of details about DOE’s shipping cost 0015) 79 FR 20114, 20126–27. Where a water-source heat pump, DOE was assumptions and the shipping costs per identical efficiency levels were able to use this method to establish the unit for each water-source heat pump available, DOE used the UEC directly corresponding heating efficiency, and, product class. from the screening analysis. For in turn, the associated annual heating additional efficiency levels, DOE scaled energy consumption. C. Markups Analysis the UECs based on the ratio of EER, as In order to create variability in the The markups analysis develops was done in the original analysis. In cooling and heating UECs by region and appropriate markups in the distribution response to the NODA, AHRI building type, DOE used a Pacific 36 chain to convert the estimates of commented that DOE should use up-to- Northwest National Laboratory report manufacturer selling price derived in date data to estimate the cooling UEC of that estimated the annual energy usage the engineering analysis to commercial water-source heat pumps, because of space cooling and heating products consumer prices. (‘‘Commercial significant improvements have been using a Full Load Equivalent Operating consumer’’ refers to purchasers of the made in envelope construction in the 14 Hour (FLEOH) approach. DOE equipment being regulated.) DOE years since the screening analysis was normalized the provided FLEOHs to the calculates overall baseline and performed. (AHRI, No. 24 at p. 6) In UECs taken from the 2011 DFR for incremental markups based on the reviewing this comment, DOE found central air conditioners and heat pumps equipment markups at each step in the that the NEMS commercial demand to vary the average UEC across region distribution chain. The incremental module accounts for improvements in 34 A heating efficiency of 2.9 COP corresponds to markup relates the change in the building shell characteristics and the existing minimum heating efficiency standard manufacturer sales price of higher- changes in internal load by adjusting the for commercial unitary heat pumps, a value which efficiency models (the incremental cost cooling energy use with a factor that is DOE believes is representative of the heat pump increase) to the change in the a function of region and building stock characterized by CBECS. commercial consumer price. activity. Consequently, for this NOPR, 35 See: http://www.ahridirectory.org/ ahridirectory/pages/homeM.aspx. For water-source heat pumps, DOE DOE used these factors to adjust the 36 See Appendix D of the 2000 Screening Analysis used the same markups that were cooling energy use from the 2000 for EPACT-Covered Commercial HVAC and Water- developed for small commercial air- Screening Analysis. Heating Equipment. (EERE–2006–STD–0098–0015)

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and building type. In this analysis, DOE perform the analyses by incorporating 17,000 btu/h, greater than or equal to used the following building types: uncertainty and variability 17,000 and less than 65,000 btu/h, and Office, education, lodging, multi-family considerations in certain of the key greater than or equal to 65,000 and less apartments, and healthcare. DOE seeks parameters as discussed below. Inputs than 135,000 btu/h, respectively. comment on whether these building to the LCC and PBP analysis are DOE also varied installation cost as a types are appropriate or whether there categorized as: (1) Inputs for function of equipment weight. Because are other building types that should be establishing the total installed cost and weight tends to increase with considered for the water-source heat (2) inputs for calculating the operating equipment efficiency, installation cost pump analysis. This is identified as expense. The following sections contain increased with equipment efficiency. Issue 8 under ‘‘Issues on Which DOE brief discussions of comments on the The weight of the equipment in each Seeks Comment’’ in section X.E of this inputs and key assumptions of DOE’s class and efficiency level was NOPR. LCC and PBP analysis and explain how determined through the engineering E. Life-Cycle Cost and Payback Period DOE took these comments into analysis. Analysis consideration. They are also described 3. Unit Energy Consumption in detail in chapter 6 of the NOPR TSD. The purpose of the LCC and PBP The calculation of annual per-unit analysis is to analyze the effects of 1. Equipment Costs energy consumption by each class of the potential amended energy conservation In the LCC and PBP analysis, the subject water-source heat pumps at each standards on commercial consumers of equipment costs faced by purchasers of considered efficiency level based on the water-source heat pumps by water-source heat pumps are derived energy use analysis is described above determining how a potential amended from the MSPs estimated in the in section VI.D and in chapter 4 of the standard affects their operating engineering analysis, the overall NOPR TSD. expenses (usually decreased) and their markups estimated in the markups 4. Electricity Prices and Electricity Price total installed costs (usually increased). analysis, and sales tax. The LCC is the total consumer To develop an equipment price trend Trends expense over the life of the equipment, for the NOPR, DOE derived an inflation- DOE used the same average and consisting of equipment and installation adjusted index of the PPI for ‘‘all other marginal electricity prices and costs plus operating costs (i.e., expenses miscellaneous refrigeration and air- electricity price trends as discussed in for energy use, maintenance, and conditioning equipment’’ from 1990– the methodology for small commercial repair). DOE discounts future operating 2013, which is the PPI series most air-cooled air conditioners and heat costs to the time of purchase using relevant to water-source heat pumps. pumps (see section V.E.4). These data commercial consumer discount rates. Although the inflation-adjusted index were developed for the broader The PBP is the estimated amount of shows a declining trend from 1990 to commercial air-conditioning category time (in years) it takes commercial 2004, data since 2008 have shown a flat- and, thus, are also relevant to water- consumers to recover the increased total to-slightly rising trend. Given the source heat pumps. installed cost (including equipment and uncertainty as to which of the trends 5. Maintenance Costs installation costs) of a more-efficient will prevail in coming years, DOE chose type of equipment through lower to apply a constant price trend (at 2013 Maintenance costs are costs to the operating costs. DOE calculates the PBP levels) for each efficiency level in each commercial consumer of ensuring by dividing the change in total installed equipment class for the NOPR. See continued operation of the equipment cost (normally higher) due to a standard chapter 6 of the NOPR TSD for more (e.g., checking and maintaining by the change in annual operating cost information on the price trends. refrigerant charge levels and cleaning (normally lower) that results from the heat-exchanger coils). Because RS potential standard. However, unlike the 2. Installation Costs Means does not provide maintenance LCC, DOE only considers the first year’s DOE derived installation costs for costs for water-source heat pumps, DOE operating expenses in the PBP water-source heat pump equipment used annualized maintenance costs for calculation. Because the PBP does not from current RS Means data (2013).37 RS air-source heat pumps, the closest account for changes in operating Means provides estimates for related equipment category, derived expense over time or the time value of installation costs for the subject from RS Means data.38 DOE does not money, it is also referred to as a simple equipment by equipment capacity, as expect the maintenance costs for water- PBP. well as cost indices that reflect the source heat pumps to differ significantly For any given efficiency level, DOE variation in installation costs for 656 from those for air-source heat pumps. measures the PBP and the change in cities in the United States. The RS These data provided estimates of LCC relative to an estimate of the base- Means data identify several cities in all person-hours, labor rates, and materials case efficiency level. For water-source 50 States and the District of Columbia. required to maintain commercial air- heat pumps, the base-case estimate DOE incorporated location-based cost source heat pumps. The estimated reflects the market in the case where the indices into the analysis to capture annualized maintenance cost is $329 for ASHRAE level becomes the Federal variation in installation costs, a heat pump rated up to 60,000 Btu/h minimum, and the LCC calculates the depending on the location of the and $398 for a heat pump rated greater LCC savings likely to result from higher consumer. than 60,000 Btu/h. DOE applied the efficiency levels compared with the Based on these data, DOE tentatively former cost to water-source heat pumps ASHRAE base case. concluded that data for 1-ton, 3-ton, and less than 17,000 Btu/h and heat pumps DOE conducted an LCC and PBP 7.5-ton water-source heat pumps would greater than or equal to 17,000 and less analysis for water-source heat pumps be sufficiently representative of the than 65,000 Btu/h. DOE applied the using a computer spreadsheet model. installation costs for of water-source latter cost to water-source heat pumps When combined with Crystal Ball (a heat pumps with capacities of less than greater than or equal to 65,000 Btu/h commercially-available software program), the LCC and PBP model 37 RS Means Mechanical Cost Data 2013. Reed 38 RS Means Facilities Maintenance & Repair Cost generates a Monte Carlo simulation to Construction Data, LLC. (2012). Data 2013. Reed Construction Data, LLC. (2012).

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and less than 135,000 Btu/h. DOE NOPR, DOE based equipment lifetime were to purchase new equipment in the requests comment on how maintenance on a retirement function in the form of year that compliance with amended costs for water-source heat pumps might a Weibull probability distribution. standards is required. Generally, be expected to differ from that for air- Because a function specific to water- covered equipment to which a new or source heat pumps. This is identified as source heat pumps was not available, amended energy conservation standard Issue 9 under ‘‘Issues on Which DOE DOE used that for air-cooled air applies must comply with the standard Seeks Comment’’ in section X.E of this conditioners presented in the 2011 DFR if such equipment is manufactured or NOPR. (EERE–2011–BT–STD–0011–0012), as it imported on or after a specified date. In is for similar equipment and 6. Repair Costs this NOPR, DOE is evaluating whether represented the desired mean lifetime of more-stringent efficiency levels than Repair costs are costs to the 19 years. DOE requests data and those in ASHRAE Standard 90.1–2013 commercial consumer associated with information that would help it develop would be technologically feasible, repairing or replacing components that a retirement function specific to water- economically justified, and result in a have failed. As with maintenance costs, source heat pumps. This is identified as significant additional amount of energy RS Means does not provide repair costs Issue 11 under ‘‘Issues on Which DOE savings. If DOE were to propose a rule for water-source heat pumps. Therefore, Seeks Comment’’ in section X.E of this prescribing energy conservation DOE assumed the repair costs for water- NOPR. standards at the efficiency levels source heat pumps would be similar to 8. Discount Rate contained in ASHRAE Standard 90.1– air-source units and utilized RS 2013, EPCA states that compliance with 39 Means to find the repair costs for air- The discount rate is the rate at which any such standards shall be required on source heat pumps. DOE does not future expenditures are discounted to or after a date which is two or three expect the repair costs for water-source estimate their present value. The cost of years (depending on equipment size) heat pumps to differ significantly from capital commonly is used to estimate after the compliance date of the those for air-source heat pumps. DOE the present value of cash flows to be applicable minimum energy efficiency took the repair costs for 1.5-ton, 5-ton, derived from a typical company project requirement in the amended ASHRAE/ and 10-ton air to air heat pumps and or investment. Most companies use both IES standard. (42 U.S.C. 6313(a)(6)(D)) linearly scaled the repair costs to derive debt and equity capital to fund Given the equipment size at issue here, repair costs for 1-ton, 3-ton, and 7.5-ton investments, so the cost of capital is the DOE has applied the two-year equipment. DOE assumed that the repair weighted-average cost of capital implementation period to determine the would be a one-time event in year 10 of (WACC) to the firm of equity and debt compliance date of any energy the equipment life. DOE then financing. DOE uses the capital asset conservation standard equal to the annualized the present value of the cost pricing model (CAPM) to calculate the efficiency levels specified by ASHRAE over the average equipment life (see equity capital component, and financial Standard 90.1–2013 proposed by this next section) to obtain an annualized data sources to calculate the cost of debt rulemaking. Thus, if DOE decides to equivalent repair cost. This value financing. adopt the efficiency levels in ASHRAE ranged from $92 to $237 for the DOE derived the discount rates by Standard 90.1–2013, the compliance ASHRAE baseline, depending on estimating the cost of capital of date of the rulemaking would be equipment class. The materials portion companies that purchase water-source dependent upon the date specified in of the repair cost was scaled with the heat pump equipment. More details ASHRAE Standard 90.1–2013 or its percentage increase in manufacturers’ regarding DOE’s estimates of publication date, if none is specified. In production cost by efficiency level. The commercial consumer discount rates are this case, the rule would apply to water- labor cost was held constant across provided in chapter 6 of the NOPR TSD. source heat pumps manufactured on or efficiency levels. This annualized repair after October 9, 2015, which is two cost was then added to the maintenance 9. Base-Case Market Efficiency years after the publication date of cost to create an annual ‘‘maintenance Distribution ASHRAE Standard 90.1–2013. and repair cost’’ for the lifetime of the For the LCC analysis, DOE analyzes equipment. For further discussion of the considered efficiency levels relative If DOE were to propose a rule how DOE derived and implemented to a base case (i.e., the case without prescribing energy conservation repair costs, see chapter 8 of the NOPR amended energy efficiency standards, in standards more stringent than the TSD. DOE requests comment on how this case the default scenario in which efficiency levels contained in ASHRAE repair costs for water-source heat pumps DOE is statutorily required to adopt the Standard 90.1–2013, EPCA states that might be expected to differ from that for efficiency levels in ASHRAE 90.1– compliance with any such standards is air-source heat pumps. This is identified 2013). This analysis requires an estimate required for equipment manufactured as Issue 10 under ‘‘Issues on Which of the distribution of equipment on or after a date which is four years DOE Seeks Comment’’ in section X.E of efficiencies in the base case (i.e., what after the date the final rule is published this NOPR. consumers would have purchased in the in the Federal Register. (42 U.S.C. compliance year in the absence of 6313(a)(6)(D)) DOE has applied this 4- 7. Equipment Lifetime amended standards more stringent than year implementation period to Equipment lifetime is the age at those in ASHRAE 90.1–2013). DOE determine the compliance date for any which the subject water-source heat refers to this distribution of equipment energy conservation standard more pump are retired from service. In the energy efficiencies as the base-case stringent than the efficiency levels April 11, 2014 NODA, DOE used a mean efficiency distribution. For more specified by ASHRAE Standard 90.1– lifetime of 19 years from the 2000 information on the development of the 2013 that might be prescribed at the screening analysis for EPACT-Covered base-case distribution, see section VI.F.3 final rule stage. Thus, for equipment for Commercial HVAC and Water-Heating and chapter 6 of the NOPR TSD. which DOE might adopt a level more Equipment (EERE–2006–STD–0098– stringent than the ASHRAE efficiency 0015). 79 FR 20114, 20133. For this 10. Compliance Date levels, the rule would apply to such DOE calculated the LCC and PBP for equipment manufactured on or after a 39 Id. all commercial consumers as if each date four years from the date of

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publication of the final rule, which the costs and savings, which are expected to pumps are part of engineered water-loop statute requires to be completed by result from amended standards at systems designed for specific April 9, 2016 (thereby resulting in a specific efficiency levels. For each applications. It is highly unlikely that compliance date no later than April 9, efficiency level analyzed, DOE the operation or installation of these 2020).40 calculated the NPV and NES for systems would be changed simply as a Economic justification is not required adopting more-stringent standards than result of energy cost savings. Therefore, for DOE to adopt the efficiency levels in the efficiency levels specified in DOE did not assume a rebound effect in ASHRAE 90.1–2013, as DOE is ASHRAE Standard 90.1–2013. the present NOPR analysis. DOE seeks statutorily required to, at a minimum, The NES refers to cumulative energy input from interested parties on whether adopt those levels. Therefore, DOE did savings from 2016 through 2045; 41 there will be a rebound effect for not perform an LCC analysis on the however, when evaluating more- improvements in the efficiency of water- ASHRAE Standard 90.1–2013 levels, stringent standards, energy savings do source heat pumps. If interested parties and, for purposes of the LCC analysis, not begin accruing until the later believe a rebound effect would occur, DOE used 2020 as the first year of compliance date of 2020. DOE DOE is interested in receiving data compliance with amended standards. calculated new energy savings in each quantifying the effects, as well as input year relative to a base case, defined as 11. Payback Period Inputs regarding how DOE should quantify this DOE adoption of the efficiency levels in its analysis. This is identified as Issue The payback period is the amount of specified by ASHRAE Standard 90.1– 3 under ‘‘Issues on Which DOE Seeks time it takes the commercial consumer 2013. DOE also calculated energy Comment’’ in section X.E of this NOPR. to recover the additional installed cost savings from adopting efficiency levels of more-efficient equipment, compared specified by ASHRAE Standard 90.1– 2. Shipments Analysis to baseline equipment, through energy 2013 compared to the EPCA base case Equipment shipments are an cost savings. Payback periods are (i.e., the current Federal standards). important element in the estimate of the expressed in years. Payback periods that The NPV refers to cumulative future impact of a potential energy exceed the life of the equipment mean monetary savings. DOE calculated net conservation standard. DOE developed that the increased total installed cost is monetary savings in each year relative shipment projections for water-source not recovered in reduced operating to the base case (ASHRAE Standard heat pumps and, in turn, calculated expenses. 90.1–2013) as the difference between equipment stock over the course of the Similar to the LCC, the inputs to the total operating cost savings and analysis period by assuming a Weibull PBP calculation are the total installed increases in total installed cost. distribution with an average 19-year cost of the equipment to the commercial Cumulative savings are the sum of the equipment life. (See section V.E.7 for consumer for each efficiency level and annual NPV over the specified period. more information on equipment the average annual operating DOE accounted for operating cost lifetime.) DOE used the shipments expenditures for each efficiency level savings until past 2100, when the projection and the equipment stock to for each building type and Census equipment installed in the thirtieth year determine the NES. The shipments Division, weighted by the probability of after the compliance date of the portion of the spreadsheet model shipment to each market. The PBP amended standards should be retired. projects water-source heat pump calculation uses the same inputs as the shipments through 2045. LCC analysis, except that discount rates 1. Approach In the April 11, 2014 NODA, DOE are not needed. Because the simple PBP The NES and NPV are a function of based its shipments analysis for water- does not take into account changes in the total number of units and their source heat pumps on data from the operating expenses over time or the time efficiencies. Both the NES and NPV U.S. Census. 79 FR 20114, 20130. The value of money, DOE considered only depend on annual shipments and U.S. Census published historical (1980, the first year’s operating expenses to equipment lifetime. Both calculations 1983–1994, 1997–2006, and 2008–2010) calculate the PBP, unlike the LCC, start by using the shipments estimate water-source heat pump shipment which is calculated over the lifetime of and the quantity of units in service data.42 Table VI.4 exhibits the shipment the equipment. Chapter 6 of the NOPR derived from the shipments model. DOE data provided for a selection of years. TSD provides additional detail about used the same approach to determine DOE analyzed data from the years 1990– the PBP. NES and NPV for water-source heat 2010 to establish a trend from which to F. National Impact Analysis—National pumps which was used for small project shipments beyond 2010. DOE Energy Savings and Net Present Value commercial air-cooled air-conditioning used a linear trend. Because the Census Analysis and heating equipment, as described in data do not distinguish between section V.F.1. In this case, the analysis equipment capacities, DOE used the The NIA evaluates the effects of a period runs from 2016 through 2045. shipments data by equipment class considered energy conservation DOE considered whether a rebound provided by AHRI in 1999, and standard from a national perspective effect is applicable in its NES analysis, published in the 2000 Screening rather than from the consumer a concept explained in detail in section Analysis for EPACT-Covered perspective represented by the LCC. V.F.1. DOE does not expect commercial Commercial HVAC and Water-Heating This analysis assesses the NPV (future consumers with water-source heat Equipment (EERE–2006–STD–0098– amounts discounted to the present) and pump equipment to increase their use of 0015), to distribute the total water- the NES of total commercial consumer the equipment, either in a previously source heat pump shipments to cooled space or another previously 40 individual equipment classes. Table Since ASHRAE published ASHRAE Standard uncooled space. Water-source heat 90.1–2013 on October 9, 2013, EPCA requires that DOE publish a final rule adopting more-stringent 42 U.S. Census Bureau, Current Industrial Reports standards than those in ASHRAE Standard 90.1– 41 Although the expected compliance date for for Refrigeration, Air Conditioning, and Warm Air 2013, if warranted, within 30 months of ASHRAE adoption of the efficiency levels in ASHRAE Heating Equipment, MA333M. Note that the current action (i.e., by April 2016). Thus, four years from Standard 90.1–2013 is October 9, 2015, DOE began industrial reports were discontinued in 2010, so April 2016 would be April 2020, which would be its analysis period in 2016 to avoid ascribing more recent data are not available (Available at: the anticipated compliance date for DOE adoption savings to the three-quarters of 2015 prior to the http://www.census.gov/manufacturing/cir/ of more-stringent standards. compliance date. historical_data/ma333m/index.html).

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VI.5 exhibits the shipment data constant and has used this same projected shipments for each equipment provided for 1999. DOE assumed that distribution in its projection of future class can be found in the ASHRAE this distribution of shipments across the shipments of water-source heat pumps. NOPR TSD. various equipment classes remained The complete historical data set and the

TABLE VI.4—TOTAL SHIPMENTS OF WATER-SOURCE HEAT PUMPS [Census Product Code: 333415E181]

1989 1999 2009

Total ...... 157,080 120,545 180,101

TABLE VI.5—TOTAL SHIPMENTS OF WATER-SOURCE HEAT PUMPS (AHRI)

Equipment class 1999 Percent

WSHP <17000 Btu/h ...... 41,000 31 WSHP 17000–65000 Btu/h ...... 86,000 65 WSHP 65000–135000 Btu/h ...... 5,000 4

In the April 11, 2014 NODA, DOE these shipments in its estimates as water-source heat pump applications noted that an EIA report on geothermal reported in Table VI.4. DOE believes that use models also rated for water- heat pump manufacturers 43 shows that water-source heat pumps operate loop application. Id. at 20130–31. In shipments of water-source units with a water loop using a boiler or response, AHRI reported that it has no (defined by EIA as those tested to ARI– chiller as the heat source or sink, and data on the market share of various 320) as only 22,009 in 2009 and 7,808 that, therefore, may not be considered applications and no comment on the in 2000, which is significantly less than ‘‘geothermal;’’ in this case, the EIA current shipments or future trends. that reported by the Census (product report may not include a comprehensive (AHRI, No. 24 at p. 7) DOE did not code 333415E181) and by AHRI. 79 FR number of water-source heat pump receive any other comment on this 20114, 20130. DOE added that both the shipments. Id. issue. Consequently, DOE has retained Census data and the EIA report show In the April 11, 2014 NODA, DOE the shipments analysis used in the April consistent shipments of separately- requested comment on the market for 11, 2014 NODA for water-source heat reported ground-source and ground- water-source heat pumps, especially water-source heat pumps (listed as what magnitude of annual shipments is pumps. Table VI.6 shows the projected Census product code 333415G and most accurate and how shipments are shipments for the different equipment defined by EIA as those tested to ARI– expected to change over time. DOE also classes of water-source heat pumps for 325/330) at approximately 87,000 sought comment on the share of the selected years from 2016 to 2045, as shipments in 2009; DOE is not counting market for ground-source and ground- well as the cumulative shipments.

TABLE VI.6—SHIPMENTS PROJECTION FOR WATER-SOURCE HEAT PUMPS

Units Shipped by Year and Equipment Class Cumulative Equipment shipments 2016 2020 2025 2030 2035 2040 2045 (2016– 2045)

WSHP <17000 Btu/h...... 62,934 68,072 74,495 80,918 87,341 93,764 100,187 2,446,810 WSHP 17000–65000 Btu/h ...... 132,007 142,785 156,258 169,731 183,203 196,676 210,148 5,132,334 WSHP 65000–135000 Btu/h ...... 7,675 8,301 9,085 9,868 10,651 11,435 12,218 7,579,144

Total ...... 202,616 219,159 239,838 260,517 281,195 301,874 322,553 7,877,536

As equipment purchase price and installed for their higher efficiency as Which DOE Seeks Comment’’ in section repair costs increase with efficiency, compared to air-cooled equipment, DOE X.E of this NOPR. Chapter 7 of the DOE recognizes that higher first costs has tentatively concluded that it is NOPR TSD provides additional details and repair costs can result in a drop in unlikely that shipments would change on the shipments forecasts. shipments. However, DOE had no basis as a result of higher first costs and repair 3. Base-Case and Standards-Case for estimating the elasticity of costs. Therefore, DOE presumed that the Forecasted Distribution of Efficiencies shipments for water-source heat pumps shipments projection would not change as a function of first costs, repair costs, with higher standard levels. DOE seeks In the April 11, 2014 NODA, DOE or operating costs. In addition, because input on this assumption. This is presented base-case efficiency water-source heat pumps are often identified as Issue 4 under ‘‘Issues on distributions based on model

43 U.S. Energy Information Administration, 2009 (2010) (Available at: www.eia.gov/renewable/ Geothermal Heat Pump Manufacturing Activities renewables/geothermalrpt09.pdf).

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availability in the AHRI certified based on the trend from 2012 to 2035 the market shares by efficiency level for directory. 79 FR 20114, 20132. As noted found in the Commercial Unitary Air the first full year that compliance would in section V.F.3, DOE received Conditioner Advance Notice of be required with amended standards comments that this was an incorrect Proposed Rulemaking (ANOPR).44 DOE (i.e., 2016 for adoption of efficiency assumption; however, no data were used this same trend in the standards- levels in ASHRAE Standard 90.1–2013 provided that would allow DOE to case scenarios. DOE requests comment or 2020 if DOE adopts more-stringent better estimate the base-case efficiency on its estimated efficiency trends. This efficiency levels than those in ASHRAE distribution. Therefore, DOE has is identified as Issue 5 under ‘‘Issues on Standard 90.1–2013). As noted in retained the initial distribution used in Which DOE Seeks Comment’’ in section section V.F.3, stakeholders agreed that the April 2014 NODA. X.E of this NOPR. this was a reasonable assumption. Table For this NOPR, DOE has estimated a As in the April 11, 2014 NODA, for VI.7 presents the estimated base-case base-case efficiency trend of an increase each efficiency level analyzed, DOE efficiency market shares for each water- of approximately 1 EER every 35 years, used a ‘‘roll-up’’ scenario to establish source heat pump equipment class.

TABLE VI.7—BASE-CASE EFFICIENCY MARKET SHARES IN 2020 FOR WATER-SOURCE HEAT PUMPS

Water-source (water-to-air, water-loop) heat pumps Water-source (water-to-air, Water-source (water-to-air, <17,000 Btu/h water-loop) heat pumps water-loop) heat pumps ≥17,000 and ≥65,000 and <65,000 Btu/h <135,000 Btu/h Market share EER % Market share Market share EER % EER %

11.2 ...... 0.0 12.0 0.0 12.0 0.0 12.2 ...... 0.7 13.0 7.6 13.0 0.0 13.0 ...... 49.7 14.6 55.1 14.0 29.8 14.0 ...... 22.0 16.6 25.0 15.0 48.5 15.7 ...... 20.5 18.0 8.9 16.0 20.1 16.5 ...... 4.9 19.2 2.5 17.0 1.7 18.1 ...... 2.3 21.6 1.0

NOTE: The 0% market share at the first listed EER level is accounting for the default adoption of ASHRAE Standard 90.1–2013 levels in 2016.

4. National Energy Savings and Net the stock, summed over all vintages. analyses and emissions analyses Present Value This approach accounts for differences included in future energy conservation in unit energy consumption from year to standards rulemakings. 76 FR 51281 The stock of water-source heat pump year. In determining national annual (Aug. 18, 2011). After evaluating the equipment is the total number of units energy consumption, DOE estimated approaches discussed in the August 18, in each equipment class purchased or energy consumption and savings based 2011 notice, DOE published a statement shipped from previous years that have on site energy and converted the of amended policy in the Federal survived until a given point in time. The electricity consumption and savings to Register in which DOE explained its 45 NES spreadsheet, through use of the primary energy using annual conversion determination that NEMS is the most shipments model, keeps track of the factors derived from the AEO 2014 appropriate tool for its FFC analysis and total number of units shipped each year. version of NEMS. Cumulative energy its intention to use NEMS for that For purposes of the NES and NPV savings are the sum of the NES for each purpose. 77 FR 49701 (Aug. 17, 2012). analyses, DOE assumes that shipments year over the timeframe of the analysis. The approach used for this NOPR is of water-source heat pump units survive In response to the recommendations described in Appendix 8–A of the for an average of 19 years, following a of a committee on ‘‘Point-of-Use and NOPR TSD. Weibull distribution, at the end of Full-Fuel-Cycle Measurement Table VI.8 summarizes the inputs to which time they are removed from Approaches to Energy Efficiency the NES spreadsheet model along with service. Standards’’ appointed by the National a brief description of the data sources. The national annual energy Academy of Sciences, DOE announced The results of DOE’s NES and NPV consumption is the product of the its intention to use FFC measures of analysis are summarized in section annual unit energy consumption and energy use and greenhouse gas and VIII.B.2.b and described in detail in the number of units of each vintage in other emissions in the national impact chapter 7 of the NOPR TSD.

TABLE VI.8—SUMMARY OF WATER-SOURCE HEAT PUMP NES AND NPV MODEL INPUTS

Inputs Description

Shipments ...... Annual shipments based on U.S. Census data. (See chapter 7 of the NOPR TSD.) Compliance Date of Standard...... 2020 for adoption of a more-stringent efficiency level than those specified by ASHRAE Standard 90.1–2013. 2016 for adoption of the efficiency levels specified by ASHRAE Standard 90.1–2013. Base-Case Efficiencies ...... Distribution of base-case shipments by efficiency level, with efficiency trend of an in- crease of 1 EER every 35 years.

44 See DOE’s technical support document 45 The NES spreadsheet can be found in the underlying DOE’s July 29, 2004 ANOPR. 69 FR docket for the ASHRAE rulemaking at: 45460 (Available at: www.regulations.gov/ www.regulations.gov/#!docketDetail;D=EERE-2014- #!documentDetail;D=EERE-2006-STD-70103-0078). BT-STD-0015.

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TABLE VI.8—SUMMARY OF WATER-SOURCE HEAT PUMP NES AND NPV MODEL INPUTS—Continued

Inputs Description

Standards-Case Efficiencies ...... Distribution of shipments by efficiency level for each standards case. In compliance year, units below the standard level ‘‘roll-up’’ to meet the standard. Efficiency trend of an increase of 1 EER every 35 years. Annual Energy Use per Unit ...... Annual national weighted-average values are a function of efficiency level. (See chapter 4 of the NOPR TSD.) Total Installed Cost per Unit ...... Annual weighted-average values are a function of efficiency level. (See chapter 5 of the NOPR TSD.) Annualized Maintenance and Repair Costs per Unit ...... Annual weighted-average values are a function of efficiency level. (See chapter 5 of the NOPR TSD.) Escalation of Fuel Prices ...... AEO2014 forecasts (to 2040) and extrapolation for beyond 2040. (See chapter 8 of the NOPR TSD.) Site to Primary and FFC Conversion ...... Based on AEO2014 forecasts (to 2040) and extrapolation for beyond 2040. (See chapter 8 of the NOPR TSD.) Discount Rate ...... 3 percent and 7 percent real. Present Year ...... Future costs are discounted to 2014.

VII. Methodology for Emissions emissions and upstream emissions. The 2014, assume that CAIR remains a Analysis and Monetizing Carbon method that DOE used to derive binding regulation through 2040.49 Dioxide and Other Emissions Impacts emissions factors is described in chapter The attainment of emissions caps is 9 of the NOPR TSD. typically flexible among EGUs and is A. Emissions Analysis enforced through the use of emissions EIA prepares the AEO using NEMS. In the emissions analysis, DOE allowances and tradable permits. estimates the reduction in power sector Each annual version of NEMS Beginning in 2016, however, SO incorporates the projected impacts of 2 emissions of carbon dioxide (CO2), emissions will decline significantly as a existing air quality regulations on nitrogen oxides (NOX), sulfur dioxide result of the Mercury and Air Toxics emissions. AEO 2014 generally (SO2), and mercury (Hg) from potential Standards (MATS) for power plants. 77 amended energy conservation standards represents current legislation and FR 9304 (Feb. 16, 2012). In the final for the ASHRAE equipment that is the environmental regulations, including MATS rule, EPA established a standard subject of this document. In addition, recent government actions, for which for hydrogen chloride as a surrogate for DOE estimates emissions impacts in implementing regulations were acid gas hazardous air pollutants (HAP), production activities (extracting, available as of October 31, 2013. and also established a standard for SO2 processing, and transporting fuels) that SO2 emissions from affected electric (a non-HAP acid gas) as an alternative provide the energy inputs to power generating units (EGUs) are subject to equivalent surrogate standard for acid plants. These are referred to as nationwide and regional emissions cap- gas HAP. The same controls are used to ‘‘upstream’’ emissions. Together, these and-trade programs. Title IV of the reduce HAP and non-HAP acid gas; emissions account for the full-fuel cycle Clean Air Act sets an annual emissions thus, SO2 emissions will be reduced as (FFC). In accordance with DOE’s FFC cap on SO for affected EGUs in the 48 a result of the control technologies 2 installed on coal-fired power plants to Statement of Policy (76 FR 51281 (Aug. contiguous States and the District of comply with the MATS requirements 18, 2011) as amended at 77 FR 49701 Columbia (DC). (42 U.S.C. 7651 et seq.) for acid gas. AEO 2014 assumes that, in (August 17, 2012)), the FFC analysis SO emissions from 28 eastern States 2 order to continue operating, coal plants also includes impacts on emissions of and DC were also limited under the methane (CH4) and nitrous oxide (N2O), must have either flue gas Clean Air Interstate Rule (CAIR). 70 FR desulfurization or dry sorbent injection both of which are recognized as 25162 (May 12, 2005). CAIR, which greenhouse gases. The combustion systems installed by 2016. Both created an allowance-based trading emissions factors and the method DOE technologies are used to reduce acid gas program that operates along with the used to derive upstream emissions emissions, and also reduce SO2 Title IV program, was remanded to the factors are described in chapter 9 of the emissions. Under the MATS, emissions EPA by the U.S. Court of Appeals for the NOPR TSD. The cumulative emissions District of Columbia Circuit, but it 49 On April 29, 2014, the U.S. Supreme Court reduction estimated for the subject 47 ASHRAE equipment is presented in remained in effect. In 2011, EPA reversed the judgment of the D.C. Circuit and issued a replacement for CAIR, the remanded the case for further proceedings section VIII.C. consistent with the Supreme Court’s opinion. The DOE primarily conducted the Cross-State Air Pollution Rule (CSAPR). Supreme Court held in part that EPA’s methodology emissions analysis using emissions 76 FR 48208 (Aug. 8, 2011). On August for quantifying emissions that must be eliminated 21, 2012, the D.C. Circuit issued a in certain states due to their impacts in other factors for CO2 and most of the other decision to vacate CSAPR.48 The court downwind states was based on a permissible, gases derived from data in AEO 2014. workable, and equitable interpretation of the Clean ordered EPA to continue administering Combustion emissions of CH4 and N2O Air Act provision that provides statutory authority were estimated using emissions CAIR. The emissions factors used for for CSAPR. See EPA v. EME Homer City Generation, this NOPR, which are based on AEO No 12–1182, slip op. at 32 (U.S. April 29, 2014). On intensity factors published by the U.S. October 23, 2014, the D.C. Circuit lifted the stay of Environmental Protection Agency (EPA) CSAPR. Pursuant to this action, CSAPR will go into in its Greenhouse Gas (GHG) Emissions 47 See North Carolina v. EPA, 550 F.3d 1176 (D.C. effect (and the Clean Air Interstate Rule will sunset) Factors Hub.46 DOE developed separate Cir. 2008); North Carolina v. EPA, 531 F.3d 896 as of January 1, 2015. However, because DOE used (D.C. Cir. 2008). emissions factors based on AEO 2014 for this emissions factors for power sector 48 See EME Homer City Generation, LP v. EPA, NOPR, the analysis assumes that CAIR, not CSAPR, 696 F.3d 7, 38 (D.C. Cir. 2012), cert. granted, 81 is the regulation in force. The difference between 46 See http://www.epa.gov/climateleadership/ U.S.L.W. 3567, 81 U.S.L.W. 3696, 81 U.S.L.W. 3702 CAIR and CSAPR is not relevant for the purpose of inventory/ghg-emissions.html. (U.S. June 24, 2013) (No. 12–1182). DOE’s analysis of SO2 emissions.

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will be far below the cap established by 1. Social Cost of Carbon assessment will suffer from uncertainty, CAIR, so it is unlikely that excess SO2 The SCC is an estimate of the speculation, and lack of information emissions allowances resulting from the monetized damages associated with an about: (1) Future emissions of GHGs; (2) lower electricity demand would be incremental increase in carbon the effects of past and future emissions needed or used to permit offsetting emissions in a given year. It is intended on the climate system; (3) the impact of increases in SO2 emissions by any to include (but is not limited to) changes changes in climate on the physical and regulated EGU. Therefore, DOE believes in net agricultural productivity, human biological environment; and (4) the that energy efficiency standards will health, property damages from translation of these environmental reduce SO2 emissions in 2016 and increased flood risk, and the value of impacts into economic damages. As a beyond. ecosystem services. Estimates of the result, any effort to quantify and SCC are provided in dollars per metric monetize the harms associated with CAIR established a cap on NOX climate change will raise questions of ton of CO2. A domestic SCC value is emissions in 28 eastern States and the science, economics, and ethics and District of Columbia.50 Energy meant to reflect the value of damages in the United States resulting from a unit should be viewed as provisional. conservation standards are expected to Despite the limits of both change in CO2 emissions, while a global have little effect on NOX emissions in SCC value is meant to reflect the value quantification and monetization, SCC those States covered by CAIR, because estimates can be useful in estimating the excess NO emissions allowances of damages worldwide. X Under section 1(b) of Executive Order social benefits of reducing CO2 resulting from the lower electricity 12866, ‘‘Regulatory Planning and emissions. The agency can estimate the demand could be used to permit Review,’’ 58 FR 51735 (Oct. 4, 1993), benefits from reduced (or costs from offsetting increases in NO X emissions. agencies must, to the extent permitted increased) emissions in any future year However, standards would be expected by law, ‘‘assess both the costs and the by multiplying the change in emissions to reduce NOX emissions in the States benefits of the intended regulation and, in that year by the SCC values not affected by the caps, so DOE recognizing that some costs and benefits appropriate for that year. The NPV of estimated NOX emissions reductions are difficult to quantify, propose or the benefits can then be calculated by from the standards considered in this adopt a regulation only upon a reasoned multiplying each of these future benefits by an appropriate discount factor and NOPR for these States. determination that the benefits of the summing across all affected years. The MATS limit mercury emissions intended regulation justify its costs.’’ It is important to emphasize that the from power plants, but they do not The purpose of the SCC estimates interagency process is committed to include emissions caps. DOE estimated presented here is to allow agencies to updating these estimates as the science mercury emissions using emissions incorporate the monetized social and economic understanding of climate factors based on AEO 2014, which benefits of reducing CO2 emissions into change and its impacts on society incorporates the MATS. cost-benefit analyses of regulatory improves over time. In the meantime, actions. The estimates are presented the interagency group will continue to B. Monetizing Carbon Dioxide and with an acknowledgement of the many Other Emissions Impacts explore the issues raised by this analysis uncertainties involved and with a clear and consider public comments as part of As part of the development of this understanding that they should be the ongoing interagency process. updated over time to reflect increasing proposed rule, DOE considered the b. Development of Social Cost of Carbon estimated monetary benefits from the knowledge of the science and economics of climate impacts. Values reduced emissions of CO and NO that 2 X As part of the interagency process that are expected to result from each of the In 2009, an interagency process was developed these SCC estimates, efficiency levels considered. In order to initiated to offer a preliminary technical experts from numerous assessment of how best to quantify the make this calculation analogous to the agencies met on a regular basis to calculation of the NPV of consumer benefits from reducing carbon dioxide consider public comments, explore the emissions. To ensure consistency in benefit, DOE considered the reduced technical literature in relevant fields, emissions expected to result over the how benefits are evaluated across and discuss key model inputs and Federal agencies, the Administration lifetime of equipment shipped in the assumptions. The main objective of this forecast period for each efficiency level. sought to develop a transparent and process was to develop a range of SCC defensible method, specifically This section summarizes the basis for values using a defensible set of input designed for the rulemaking process, to the monetary values used for each of assumptions grounded in the existing quantify avoided climate change these emissions and presents the values scientific and economic literatures. In damages from reduced CO emissions. considered in this NOPR. 2 this way, key uncertainties and model The interagency group did not For this NOPR, DOE relied on a set of differences transparently and undertake any original analysis. Instead, values for the social cost of carbon consistently inform the range of SCC it combined SCC estimates from the (SCC) that was developed by a Federal estimates used in the rulemaking existing literature to use as interim interagency process. The basis for these process. values until a more comprehensive values is summarized in the next a. Monetizing Carbon Dioxide Emissions analysis could be conducted. The section, and a more detailed description outcome of the preliminary assessment of the methodologies used is provided When attempting to assess the by the interagency group was a set of as an appendix to chapter 14 of the incremental economic impacts of CO2 five interim values: Global SCC NOPR TSD. emissions, the analyst faces a number of estimates for 2007 (in 2006$) of $55, challenges. A report from the National $33, $19, $10, and $5 per metric ton of 51 50 Research Council points out that any CSAPR also applies to NOX, and it would CO2. These interim values represented supersede the regulation of NOX under CAIR. As the first sustained interagency effort stated previously, the current analysis assumes that 51 National Research Council, Hidden Costs of CAIR, not CSAPR, is the regulation in force. The Energy: Unpriced Consequences of Energy within the U.S. government to develop difference between CAIR and CSAPR with regard to Production and Use, National Academies Press: an SCC for use in regulatory analysis. DOE’s analysis of NOX is slight. Washington, DC (2009). The results of this preliminary effort

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were presented in several proposed and emissions result in changes in economic in regulatory analyses. Three sets of final rules. damages. A key objective of the values are based on the average SCC interagency process was to enable a c. Current Approach and Key from the three integrated assessment consistent exploration of the three Assumptions models, at discount rates of 2.5, 3, and models, while respecting the different 5 percent. The fourth set, which After the release of the interim values, approaches to quantifying damages represents the 95th percentile SCC the interagency group reconvened on a taken by the key modelers in the field. estimate across all three models at a 3- regular basis to generate improved SCC An extensive review of the literature percent discount rate, was included to estimates. Specifically, the group was conducted to select three sets of represent higher-than-expected impacts considered public comments and input parameters for these models: from climate change further out in the further explored the technical literature Climate sensitivity, socio-economic and tails of the SCC distribution. The values in relevant fields. The interagency group emissions trajectories, and discount relied on three integrated assessment rates. A probability distribution for grow in real terms over time. models commonly used to estimate the climate sensitivity was specified as an Additionally, the interagency group SCC: the FUND, DICE, and PAGE input into all three models. In addition, determined that a range of values from models. These models are frequently the interagency group used a range of 7 percent to 23 percent should be used cited in the peer-reviewed literature and scenarios for the socio-economic to adjust the global SCC to calculate were used in the last assessment of the parameters and a range of values for the domestic effects,52 although preference Intergovernmental Panel on Climate discount rate. All other model features is given to consideration of the global Change (IPCC). Each model was given were left unchanged, relying on the benefits of reducing CO2 emissions. equal weight in the SCC values that model developers’ best estimates and Table VII.1 presents the values in the were developed. judgments. 2010 interagency group report,53 which Each model takes a slightly different In 2010, the interagency group is reproduced in appendix 10–A of the approach to model how changes in selected four sets of SCC values for use NOPR TSD.

TABLE VII.1—ANNUAL SCC VALUES FROM 2010 INTERAGENCY REPORT, 2010–2050

[2007$ per metric ton CO2]

Discount rate Year 5% 3% 2.5% 3% Average Average Average 95th percentile

2010 ...... 4.7 21.4 35.1 64.9 2015 ...... 5.7 23.8 38.4 72.8 2020 ...... 6.8 26.3 41.7 80.7 2025 ...... 8.2 29.6 45.9 90.4 2030 ...... 9.7 32.8 50.0 100.0 2035 ...... 11.2 36.0 54.2 109.7 2040 ...... 12.7 39.2 58.4 119.3 2045 ...... 14.2 42.1 61.7 127.8 2050 ...... 15.7 44.9 65.0 136.2

The SCC values used for this Table VII.2 shows the updated sets of emerges is the average SCC across document were generated using the SCC estimates from the 2013 models at the 3-percent discount rate. most recent versions of the three interagency update in 5-year increments However, for purposes of capturing the integrated assessment models that have from 2010 to 2050. The full set of uncertainties involved in regulatory been published in the peer-reviewed annual SCC estimates between 2010 and impact analysis, the interagency group literature.54 2050 is reported in appendix 10–B of emphasizes the importance of including the NOPR TSD. The central value that all four sets of SCC values.

TABLE VII.2—ANNUAL SCC VALUES FROM 2013 INTERAGENCY REPORT, 2010–2050

[2007$ per metric ton CO2]

Discount rate Year 5% 3% 2.5% 3% Average Average Average 95th percentile

2010 ...... 11 32 51 89 2015 ...... 11 37 57 109

52 It is recognized that this calculation for Working Group on Social Cost of Carbon, United Order 12866, Interagency Working Group on Social domestic values is approximate, provisional, and States Government (February 2010) (Available at: Cost of Carbon, United States Government (May highly speculative. There is no a priori reason why www.whitehouse.gov/sites/default/files/omb/ 2013; revised November 2013) (Available at: domestic benefits should be a constant fraction of inforeg/for-agencies/Social-Cost-of-Carbon-for- http://www.whitehouse.gov/sites/default/files/omb/ net global damages over time. RIA.pdf). assets/inforeg/technical-update-social-cost-of- 53 Social Cost of Carbon for Regulatory Impact 54 Technical Update of the Social Cost of Carbon carbon-for-regulator-impact-analysis.pdf). Analysis Under Executive Order 12866, Interagency for Regulatory Impact Analysis Under Executive

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TABLE VII.2—ANNUAL SCC VALUES FROM 2013 INTERAGENCY REPORT, 2010–2050—Continued

[2007$ per metric ton CO2]

Discount rate Year 5% 3% 2.5% 3% Average Average Average 95th percentile

2020 ...... 12 43 64 128 2025 ...... 14 47 69 143 2030 ...... 16 52 75 159 2035 ...... 19 56 80 175 2040 ...... 21 61 86 191 2045 ...... 24 66 92 206 2050 ...... 26 71 97 220

It is important to recognize that a relevant growth rates for the 2040–2050 VIII. Analytical Results and number of key uncertainties remain, and period in the interagency update. Conclusions that current SCC estimates should be DOE multiplied the CO2 emissions A. Efficiency Levels Analyzed treated as provisional and revisable reduction estimated for each year by the because they will evolve with improved SCC value for that year in each of the 1. Small Commercial Air-Cooled Air scientific and economic understanding. four cases. To calculate a present value Conditioners and Heat Pumps Less The interagency group also recognizes of the stream of monetary values, DOE Than 65,000 Btu/h that the existing models are imperfect discounted the values in each of the The methodology for small and incomplete. The 2009 National four cases using the specific discount Research Council report mentioned commercial air-cooled air conditioners rate that had been used to obtain the and heat pumps less than 65,000 Btu/h previously points out that there is SCC values in each case. tension between the goal of producing was presented in section V of this quantified estimates of the economic 2. Valuation of Other Emissions NOPR. Table VIII.1 presents the market damages from an incremental ton of Reductions baseline efficiency level and the higher carbon and the limits of existing efforts efficiency levels analyzed for each As noted previously, DOE has taken to model these effects. There are a equipment class of small commercial into account how considered energy number of analytical challenges that are air-cooled air conditioners and heat conservation standards would reduce being addressed by the research pumps less than 65,000 Btu/h subject to site NO emissions nationwide and community, including research X this proposed rule. The EPCA baseline programs housed in many of the Federal increase power sector NOX emissions in efficiency levels correspond to the agencies participating in the interagency those 22 States not affected by the CAIR. lowest efficiency levels currently process to estimate the SCC. The DOE estimated the monetized value of available on the market. The efficiency interagency group intends to net NOX emissions reductions resulting levels above the baseline represent periodically review and reconsider from each of the efficiency levels efficiency levels specified by ASHRAE those estimates to reflect increasing considered for this NOPR based on Standard 90.1–2013 and efficiency knowledge of the science and estimates found in the relevant levels more stringent than those economics of climate impacts, as well as scientific literature. Estimates of specified in ASHRAE Standard 90.1– improvements in modeling. monetary value for reducing NOX from 2013 where equipment is currently In summary, in considering the stationary sources range from $476 to available on the market. Note that for potential global benefits resulting from $4,893 per ton in 2013$.55 DOE the energy savings and economic reduced CO2 emissions, DOE used the calculated monetary benefits using a analysis, efficiency levels above those values from the 2013 interagency report medium value for NOX emissions of specified in ASHRAE Standard 90.1– adjusted to 2013$ using the implicit $2,684 per short ton (in 2013$) and real 2013 are compared to ASHRAE price deflator for gross domestic product discount rates of 3 percent and 7 Standard 90.1–2013 as the baseline (GDP) from the Bureau of Economic percent. rather than the EPCA baseline (i.e., the Analysis. For each of the four sets of DOE is evaluating appropriate current Federal standards). For split- SCC cases specified, the values for monetization of avoided SO2 and Hg system air conditioners, for which emissions in 2015 were $12.0, $40.5, emissions in energy conservation ASHRAE 90.1–2013 did not change the $62.4, and $119 per metric ton avoided standards rulemakings. DOE has not efficiency level, all efficiency levels are (values expressed in 2013$). DOE included monetization of those compared to the Federal or EPCA derived values after 2050 using the emissions in the current analysis. baseline.

55 U.S. Office of Management and Budget, Office Regulations and Unfunded Mandates on State, www.whitehouse.gov/sites/default/files/omb/assets/ of Information and Regulatory Affairs, 2006 Report Local, and Tribal Entities (2006) (Available at: omb/inforeg/2006_cb/2006_cb_final_report.pdf). to Congress on the Costs and Benefits of Federal

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TABLE VIII.1—EFFICIENCY LEVELS ANALYZED FOR SMALL COMMERCIAL AIR-COOLED AIR CONDITIONERS AND HEAT PUMPS <65,000 Btu/h

Small three- Small three- Small three- Small three- phase air-cooled phase air-cooled phase air-cooled phase air-cooled split-system air single-package split-system single-package conditioners air conditioners heat pumps heat pumps <65,000 Btu/h <65,000 Btu/h <65,000 Btu/h <65,000 Btu/h

Efficiency Level (SEER/HSPF)

Baseline—Federal Standard ...... 13 13 13/7.7 13/7.7 ASHRAE Level (0) ...... * 14 14 14/8.2 14/8.0 Efficiency Level 1 ...... 15 15 15/8.5 15/8.4 Efficiency Level 2 ...... 16 16 16/8.7 16/8.8 Efficiency Level 3 ...... 17 17 17/9.0 17/8.9 Efficiency Level 4 ** ...... 18 18 18.0/9.2 18.0/9.1 Efficiency Level 5 *** ...... 19 19 ...... * For split system air conditioners, the ASHRAE level is 13.0 SEER. DOE analyzed the 14.0 SEER level as a level more stringent than ASHRAE, but designated it as efficiency level 0 for consistency in SEER level across equipment classes. ** Efficiency Level 4 is ‘‘Max-Tech’’ for HP equipment classes. *** Efficiency Level 5 is ‘‘Max-Tech’’ for AC equipment classes.

2. Water-Source Heat Pumps pumps subject to this proposed rule. represent efficiency levels specified in Table VIII.2 presents the baseline The baseline efficiency levels ASHRAE Standard 90.1–2013 and more- efficiency level and the more-stringent correspond to the lowest efficiency stringent efficiency levels where efficiency levels analyzed for each levels currently available on the market. equipment is currently available on the equipment class of water-source heat The efficiency levels above the baseline market.

TABLE VIII.2—EFFICIENCY LEVELS ANALYZED FOR WATER-SOURCE HEAT PUMPS

Water-source Water-source Water-source (water-to-air, (water-to-air, (water-to-air, water-loop) water-loop) water-loop) heat pumps heat pumps heat pumps ≥17,000 and ≥65,000 and <17,000 Btu/h <65,000 Btu/h <135,000 Btu/h

Efficiency Level (EER/COP)

Baseline—Federal Standard ...... 11.2/4.2 12.0/4.2 12.0/4.2 ASHRAE Level (0) ...... 12.2/4.3 13.0/4.3 13.0/4.3 Efficiency Level 1 ...... 13.0/4.6 14.6/4.8 14.0/4.7 Efficiency Level 2 ...... 14.0/4.8 16.6/5.3 15.0/4.8 Efficiency Level 3 ...... 15.7/5.1 18.0/5.6 16.0/5.0 Efficiency Level 4 * ...... 16.5/5.3 19.2/5.9 17.2/5.1 Efficiency Level 5 ** ...... 18.1/5.6 21.6/6.5 ...... * Efficiency Level 4 is ‘‘Max-Tech’’ for the largest equipment class. ** Efficiency Level 5 is ‘‘Max-Tech’’ for the two smaller equipment classes.

3. Commercial Oil-Fired Storage Water presents the baseline efficiency level The efficiency levels above the baseline Heaters and the more-stringent efficiency levels represent efficiency levels specified in analyzed for the class of oil-fired storage ASHRAE Standard 90.1–2013 and more- The methodology for oil-fired storage water heaters subject to this proposed stringent efficiency levels where water heating equipment was presented rule. The baseline efficiency levels equipment is currently available on the in the April 2014 NODA. 79 FR 20114, correspond to the lowest efficiency market. 20129–33 (April 11, 2014). Table VIII.3 levels currently available on the market.

TABLE VIII.3—EFFICIENCY LEVELS ANALYZED FOR COMMERCIAL OIL-FIRED STORAGE WATER-HEATING EQUIPMENT

Oil-fired storage water-heating equipment (≤105,000 Btu/h and <4,000 Btu/h/gal) (%)

Efficiency level (Et)

Baseline—Federal Standard ...... 78 ASHRAE Level (0) ...... 80 Efficiency Level 1 ...... 81

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TABLE VIII.3—EFFICIENCY LEVELS ANALYZED FOR COMMERCIAL OIL-FIRED STORAGE WATER-HEATING EQUIPMENT— Continued

Oil-fired storage water-heating equipment (≤105,000 Btu/h and <4,000 Btu/h/gal) (%)

Efficiency Level 2—‘‘Max-Tech’’— ...... 82

B. Energy Savings and Economic level. The LCC analysis also provides or a net LCC savings for the commercial Justification information on the percentage of consumer. Another output is the average commercial consumers that are net LCC savings from standard- 1. Small Commercial Air-Cooled Air negatively affected by an increase in the compliant equipment, as well as the Conditioners and Heat Pumps Less minimum efficiency standard. average PBP for the consumer Than 65,000 Btu/h DOE also performed a PBP analysis as investment in standard-compliant a. Economic Impacts on Commercial part of the LCC analysis. The PBP is the equipment. Customers number of years it would take for the Chapter 6 of the NOPR TSD provides 1. Life-Cycle Cost and Payback Period commercial consumer to recover the detailed information on the LCC and increased costs of higher-efficiency PBP analyses. To evaluate the net economic impact equipment as a result of energy savings Table VIII.4 through Table VIII.11 of potential amended energy based on the operating cost savings. The show the LCC and PBP results for all conservation standards on commercial PBP is an economic benefit-cost efficiency levels considered for each consumers of small commercial air- measure that uses benefits and costs class of small commercial air-cooled air cooled air conditioners and heat pumps, without discounting. Chapter 6 of the conditioner and heat pump in this DOE conducted LCC and PBP analyses NOPR TSD provides detailed NOPR. In the first of each pair of tables, for each efficiency level. In general, information on the LCC and PBP the simple payback is measured relative higher-efficiency equipment would analyses. to the baseline equipment (i.e., affect commercial consumers in two DOE’s LCC and PBP analyses equipment at the current Federal ways: (1) Purchase price would provided five key outputs for each standards for split-system air increase, and (2) annual operating costs efficiency level above the baseline (i.e., conditioners or equipment with the would decrease. Inputs used for efficiency levels above the current efficiency levels required in ASHRAE calculating the LCC and PBP include Federal standard for split-system air Standard 90.1–2013 for the three total installed costs (i.e., equipment conditioners or efficiency levels more triggered equipment classes). In the price plus installation costs), and stringent than those in ASHRAE second tables, the LCC savings are operating costs (i.e., annual energy Standard 90.1–2013 for the three measured relative to the base-case usage, energy prices, energy price triggered equipment classes), as efficiency distribution in the trends, repair costs, and maintenance reported in Table VIII.4 through Table compliance year (i.e., the range of costs). The LCC calculation also uses VIII.11 below. These outputs include equipment expected to be on the market equipment lifetime and a discount rate. the proportion of small commercial air- in the absence of amended standards for The output of the LCC model is a cooled air conditioner and heat pump split-system air conditioners or the mean LCC savings (or cost 56) for each purchases in which the purchase of default case where DOE adopts the equipment class, relative to the baseline such a unit that is compliant with the efficiency levels in ASHRAE Standard small commercial air-cooled air amended energy conservation standard 90.1–2013 for the three triggered conditioner and heat pump efficiency creates a net LCC increase, no impact, equipment classes).

TABLE VIII.4—AVERAGE LCC AND PBP RESULTS BY EFFICIENCY LEVEL FOR SMALL THREE-PHASE AIR-COOLED SPLIT- SYSTEM AIR CONDITIONERS <65,000 Btu/h

Average costs 2013$ Simple pay- Average life- Efficiency level First year’s op- Lifetime oper- back time Installed cost erating cost ating cost LCC (years) (years)

Baseline ...... $3,859 $765 $7,424 $11,282 N/A 19 0 ...... 4,106 762 7,389 11,495 68 19 1 ...... 4,353 755 7,326 11,680 49 19 2 ...... 4,619 749 7,268 11,887 47 19 3 ...... 4,873 753 7,302 12,176 80 19 4 ...... 5,138 757 7,342 12,480 148 19 5 ...... 5,415 762 7,400 12,815 562 19 Note: The results for each efficiency level are calculated assuming that all commercial consumers use equipment with that efficiency level. The PBP is measured relative to the baseline equipment.

56 An LCC cost is shown as a negative savings in the results presented.

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TABLE VIII.5—LCC SAVINGS RELATIVE TO THE BASE-CASE EFFICIENCY DISTRIBUTION FOR SMALL THREE-PHASE AIR- COOLED SPLIT-SYSTEM AIR CONDITIONERS <65,000 Btu/h

Life-cycle cost savings % of Cus- tomers Average sav- Efficiency level that experi- ings * ence Net cost 2013$

0 ...... 26 (55) 1 ...... 75 (196) 2 ...... 97 (398) 3 ...... 100 (687) 4 ...... 100 (992) 5 ...... 100 (1,326) * The calculation includes households with zero LCC savings (no impact).

TABLE VIII.6—AVERAGE LCC AND PBP RESULTS BY EFFICIENCY LEVEL FOR SMALL THREE-PHASE AIR-COOLED SINGLE- PACKAGE AIR CONDITIONERS <65,000 Btu/h

Average costs 2013$ Simple pay- Average Life- Efficiency level back time First year’s op- Lifetime oper- (years) (years) Installed cost erating cost ating cost LCC

ASHRAE Baseline ...... $4,731 $761 $7,408 $12,139 N/A 19 1 ...... 5,036 747 7,275 12,311 47 19 2 ...... 5,343 742 7,224 12,567 50 19 3 ...... 5,642 746 7,262 12,904 80 19 4 ...... 5,944 750 7,300 13,244 128 19 5 ...... 6,308 755 7,350 13,659 261 19 Note: The results for each efficiency level are calculated assuming that all commercial consumers use equipment with that efficiency level. The PBP is measured relative to the baseline equipment.

TABLE VIII.7—LCC SAVINGS RELATIVE TO THE BASE-CASE EFFICIENCY DISTRIBUTION FOR SMALL THREE-PHASE AIR- COOLED SINGLE-PACKAGE AIR CONDITIONERS <65,000 Btu/h

Life-cycle cost savings % of Customers Efficiency level that experience Average savings * Net cost 2013$

1 ...... 49 (89) 2 ...... 81 (297) 3 ...... 89 (596) 4 ...... 93 (913) 5 ...... 100 (1,326) * The calculation includes households with zero LCC savings (no impact).

TABLE VIII.8—AVERAGE LCC AND PBP RESULTS BY EFFICIENCY LEVEL FOR SMALL THREE-PHASE AIR-COOLED SPLIT- SYSTEM HEAT PUMPS <65,000 Btu/h

Average costs 2013$ Simple Average Efficiency level payback lifetime First year’s Lifetime (years) (years) Installed cost operating cost operating cost LCC

ASHRAE Baseline ...... $4,467 $784 $6,969 $11,436 N/A 16 1 ...... 4,725 772 6,857 11,582 35 16 2 ...... 5,066 766 6,807 11,873 41 16 3 ...... 5,346 766 6,811 12,157 54 16 4 ...... 5,636 767 6,819 12,454 70 16 Note: The results for each efficiency level are calculated assuming that all commercial consumers use equipment with that efficiency level. The PBP is measured relative to the baseline equipment.

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TABLE VIII.9—LCC SAVINGS RELATIVE TO THE BASE-CASE EFFICIENCY DISTRIBUTION FOR SMALL THREE-PHASE AIR- COOLED SPLIT-SYSTEM HEAT PUMPS <65,000 Btu/h

Life-cycle cost savings % of customers that Efficiency level experience Average savings * Net cost 2013$

1 ...... 75 (117) 2 ...... 99 (406) 3 ...... 100 (690) 4 ...... 100 (988) * The calculation includes households with zero LCC savings (no impact).

TABLE VIII.10—AVERAGE LCC AND PBP RESULTS BY EFFICIENCY LEVEL FOR SMALL THREE-PHASE AIR-COOLED SINGLE- PACKAGE HEAT PUMPS <65,000 Btu/h

Average costs 2013$ Simple pay- Average life- Efficiency level back time First year’s op- Lifetime oper- (years) (years) Installed cost erating cost ating cost LCC

ASHRAE Baseline ...... $5,103 $786 $6,982 $12,085 N/A 16 1 ...... 5,444 773 6,869 12,313 50 16 2 ...... 5,771 766 6,810 12,581 50 16 3 ...... 6,099 767 6,817 12,915 67 16 4 ...... 6,484 768 6,823 13,307 87 16 Note: The results for each efficiency level are calculated assuming that all commercial consumers use equipment with that efficiency level. The PBP is measured relative to the baseline equipment.

TABLE VIII.11—LCC SAVINGS RELATIVE TO THE BASE-CASE EFFICIENCY DISTRIBUTION FOR SMALL THREE-PHASE AIR- COOLED SINGLE-PACKAGE HEAT PUMPS <65,000 Btu/h

Life-cycle cost savings % of customers that Efficiency level experience Average savings * Net cost 2013$

1 ...... 68 ($157) 2 ...... 90 ($399) 3 ...... 99 ($728) 4 ...... 99 ($1,117) * The calculation includes households with zero LCC savings (no impact).

b. National Impact Analysis efficiency levels (or current Federal energy consumption of small 1. Amount and Significance of Energy levels for split-system air conditioners) commercial air-cooled air conditioners Savings to energy consumption of the same and heat pumps under the current EPCA small commercial air-cooled air base case (i.e., under current Federal To estimate the lifetime energy conditioners and heat pumps under standards). DOE examined up to five savings for equipment shipped through more-stringent efficiency standards. For efficiency levels higher than those of 2046 (or 2048) due to amended energy the three equipment classes triggered by ASHRAE Standard 90.1–2013. Table conservation standards, DOE compared ASHRAE, DOE also compared the VIII.12 through Table VIII.15 show the the energy consumption of small energy consumption of those small projected national energy savings at commercial air-cooled air conditioners commercial air-cooled air conditioners each of the considered standard levels. and heat pumps less than 65,000 Btu/h and heat pumps under the ASHRAE (See chapter 8 of the NOPR TSD.) under the ASHRAE Standard 90.1–2013 Standard 90.1–2013 efficiency levels to

TABLE VIII.12—POTENTIAL ENERGY SAVINGS FOR SMALL THREE-PHASE AIR-COOLED SPLIT-SYSTEM AIR CONDITIONERS <65,000 Btu/h

Primary energy FFC energy savings Efficiency level savings estimate estimate (quads) (quads)

Level 0—14 SEER ...... 0.02 0.02 Level 1—15 SEER ...... 0.08 0.08

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TABLE VIII.12—POTENTIAL ENERGY SAVINGS FOR SMALL THREE-PHASE AIR-COOLED SPLIT-SYSTEM AIR CONDITIONERS <65,000 Btu/h—Continued

Primary energy FFC energy savings Efficiency level savings estimate estimate (quads) (quads)

Level 2—16 SEER ...... 0.13 0.14 Level 3—17 SEER ...... 0.16 0.17 Level 4—18 SEER ...... 0.18 0.19 Level 5—‘‘Max-Tech’’—19 SEER ...... 0.19 0.20

TABLE VIII.13—POTENTIAL ENERGY SAVINGS FOR SMALL THREE-PHASE AIR-COOLED SINGLE-PACKAGE AIR CONDITIONERS <65,000 Btu/h

Primary energy savings FFC energy Efficiency level estimate* savings estimate* (quads) (quads)

Level 0—ASHRAE—14 SEER ...... 0.04 0.04 Level 1—15 SEER ...... 0.05 0.06 Level 2—16 SEER ...... 0.11 0.12 Level 3—17 SEER ...... 0.15 0.15 Level 4—18 SEER ...... 0.18 0.18 Level 5—‘‘Max-Tech’’—19 SEER ...... 0.19 0.20 * The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1–2013 were calculated rel- ative to the efficiency levels that would result if ASHRAE Standard 90.1–2013 standards were adopted.

TABLE VIII.14—POTENTIAL ENERGY SAVINGS FOR SMALL THREE-PHASE AIR-COOLED SPLIT-SYSTEM HEAT PUMPS <65,000 Btu/h

Primary energy FFC energy Efficiency level savings estimate* savings estimate* (quads) (quads)

Level 0—ASHRAE—14 SEER ...... 0.01 0.01 Level 1—15 SEER ...... 0.01 0.01 Level 2—16 SEER ...... 0.02 0.02 Level 3—17 SEER ...... 0.03 0.03 Level 4—‘‘Max-Tech’’—18 SEER ...... 0.03 0.03 * The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1–2013 were calculated rel- ative to the efficiency levels that would result if ASHRAE Standard 90.1–2013 standards were adopted.

TABLE VIII.15—POTENTIAL ENERGY SAVINGS FOR SMALL THREE-PHASE AIR-COOLED SINGLE-PACKAGE HEAT PUMPS <65,000 Btu/h

Primary energy FFC energy Efficiency level savings estimate* savings estimate* (quads) (quads)

Level 0—ASHRAE—14 SEER ...... 0.01 0.01 Level 1—15 SEER ...... 0.01 0.01 Level 2—16 SEER ...... 0.02 0.02 Level 3—17 SEER ...... 0.03 0.03 Level 4—‘‘Max-Tech’’—18 SEER ...... 0.04 0.04 * The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1–2013 were calculated rel- ative to the efficiency levels that would result if ASHRAE Standard 90.1–2013 standards were adopted.

2. Net Present Value of Customer Costs benefit or cost of standards to the percent and a 3-percent real discount and Benefits Nation. In accordance with OMB’s rate. Table VIII.16 and Table VIII.17 guidelines on regulatory analysis (OMB provide an overview of the NPV results. The NPV analysis is a measure of the Circular A–4, section E (Sept. 17, 2003)), (See chapter 8 of the NOPR TSD for cumulative commercial consumer DOE calculated NPV using both a 7- further detail.)

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TABLE VIII.16—SUMMARY OF CUMULATIVE NET PRESENT VALUE FOR SMALL THREE-PHASE AIR-COOLED AIR CONDITIONERS AND HEAT PUMPS <65,000 Btu/h [Discounted at seven percent] [Net present value (billion 2013$)]

Efficiency Efficiency Efficiency Efficiency Efficiency Efficiency Equipment class level 0 level 1 level 2 level 3 level 4 level 5

Three-Phase Air-Cooled Split-System Air Conditioners .. <65,000 Btu/h...... (0.04) (0.16) (0.36) (0.61) (0.88) (1.08) Three-Phase Air-Cooled Single-Package Air Condi- tioners ...... <65,000 Btu/h...... *N/A (0.13) (0.40) (0.75) (1.16) (1.51) Three-Phase Air-Cooled Split-System Heat Pumps <65,000 Btu/h...... *N/A (0.03) (0.08) (0.14) (0.18) **N/A Three-Phase Air-Cooled Single-Package Heat Pumps <65,000 Btu/h ...... *N/A (0.04) (0.10) (0.19) (0.25) **N/A Notes: Numbers in parentheses indicate negative NPV. The net present value for efficiency levels more stringent than those specified by ASHRAE Standard 90.1–2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1–2013 standards were adopted. * Economic analysis was not conducted for the ASHRAE levels (EL 0). ** The max-tech level for this equipment class is EL 4.

TABLE VIII.17—SUMMARY OF CUMULATIVE NET PRESENT VALUE FOR SMALL THREE-PHASE AIR-COOLED AIR CONDITIONERS AND HEAT PUMPS <65,000 Btu/h [Discounted at three percent] [Net present value (billion 2013$)]

Efficiency Efficiency Efficiency Efficiency Efficiency Efficiency Equipment class level 0 level 1 level 2 level 3 level 4 level 5

Three-Phase Air-Cooled Split-System Air Conditioners <65,000 Btu/h...... (0.07) (0.26) (0.61) (1.11) (1.64) (2.01) Three-Phase Air-Cooled Single-Package Air Condi- tioners <65,000 Btu/h ...... * N/A (0.20) (0.71) (1.41) (2.21) (2.84) Three-Phase Air-Cooled Split-System Heat Pumps <65,000 Btu/h...... * N/A (0.05) (0.14) (0.25) (0.32) ** N/A Three-Phase Air-Cooled Single-Package Heat Pumps <65,000 Btu/h...... * N/A (0.07) (0.18) (0.34) (0.46) ** N/A Notes: Numbers in parentheses indicate negative NPV. The net present value for efficiency levels more stringent than those specified by ASHRAE Standard 90.1–2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1–2013 standards were adopted. * Economic analysis was not conducted for the ASHRAE levels (EL 0). ** The max-tech level for this equipment class is EL 4.

2. Water-Source Heat Pumps efficiency levels considered for each savings are measured relative to the class of water-source heat pump in this a. Economic Impacts on Commercial base-case efficiency distribution in the NOPR. In the first of each pair of tables, Customers compliance year (i.e., the range of the simple payback is measured relative equipment expected to be on the market 1. Life-Cycle Cost and Payback Period to the baseline equipment (i.e., in the default case where DOE adopts equipment with the efficiency level the efficiency levels in ASHRAE Table VIII.18 through Table VIII.23 specified in ASHRAE Standard 90.1– Standard 90.1–2013). show the LCC and PBP results for all 2013). In the second tables, the LCC

TABLE VIII.18—AVERAGE LCC AND PBP RESULTS BY EFFICIENCY LEVEL FOR WATER-SOURCE HEAT PUMPS (WATER-TO- AIR, WATER-LOOP) <17,000 Btu/h

Average costs 2013$ Simple pay- Average life- Efficiency level back time First year’s op- Lifetime oper- (years) (years) Installed cost erating cost ating cost LCC

ASHRAE Baseline ...... $3,184 $645 $7,581 $10,765 $3,184 1 ...... 3,320 636 7,469 10,789 15 3,320 2 ...... 3,494 628 7,385 10,879 17 3,494 3 ...... 3,782 619 7,271 11,054 20 3,782 4 ...... 3,917 615 7,229 11,146 21 3,917 5 ...... 4,189 609 7,159 11,349 24 4,189 Note: The results for each efficiency level are calculated assuming that all commercial consumers use equipment with that efficiency level. The PBP is measured relative to the baseline equipment.

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TABLE VIII.19—LCC SAVINGS REL- TABLE VIII.19—LCC SAVINGS REL- ATIVE TO THE BASE-CASE EFFI- ATIVE TO THE BASE-CASE EFFI- CIENCY DISTRIBUTION FOR WATER- CIENCY DISTRIBUTION FOR WATER- SOURCE (WATER-TO-AIR, WATER- SOURCE (WATER-TO-AIR, WATER- LOOP) HEAT PUMPS <17,000 Btu/h LOOP) HEAT PUMPS <17,000 Btu/ h—Continued Life-cycle cost savings Life-cycle cost savings Percent of Efficiency level customers Average Percent of that savings * customers Average experience Efficiency level that savings * experience Net cost 2013$ Net cost 2013$ 1 ...... 0 0 2 ...... 46 (46) 5 ...... 95 (458) 3 ...... 68 (173) 4 ...... 89 (259) * The calculation includes households with zero LCC savings (no impact).

TABLE VIII.20—AVERAGE LCC AND PBP RESULTS BY EFFICIENCY LEVEL FOR WATER-SOURCE (WATER-TO-AIR, WATER- LOOP) HEAT PUMPS ≥17,000 Btu/h AND <65,000 Btu/h

Average costs 2013$ Simple Average Efficiency level payback lifetime First year’s Lifetime (years) (years) Installed cost operating cost operating cost LCC

ASHRAE Baseline ...... $4,834 $1,102 $12,980 $17,814 ...... 19 1 ...... 5,111 1,059 12,473 17,584 6.2 19 2 ...... 5,458 1,024 12,057 17,515 7.3 19 3 ...... 5,700 1,008 11,868 17,569 8.2 19 4 ...... 5,908 999 11,759 17,667 9.1 19 5 ...... 6,328 982 11,564 17,892 10.8 19 Note: The results for each efficiency level are calculated assuming that all commercial consumers use equipment with that efficiency level. The PBP is measured relative to the baseline equipment.

TABLE VIII.21—LCC SAVINGS REL- TABLE VIII.21—LCC SAVINGS REL- TABLE VIII.21—LCC SAVINGS REL- ATIVE TO THE BASE-CASE EFFI- ATIVE TO THE BASE-CASE EFFI- ATIVE TO THE BASE-CASE EFFI- CIENCY DISTRIBUTION FOR WATER- CIENCY DISTRIBUTION FOR WATER- CIENCY DISTRIBUTION FOR WATER- SOURCE (WATER-TO-AIR, WATER- SOURCE (WATER-TO-AIR, WATER- SOURCE (WATER-TO-AIR, WATER- LOOP) HEAT PUMPS ≥17,000 Btu/h LOOP) HEAT PUMPS ≥17,000 Btu/h LOOP) HEAT PUMPS ≥17,000 Btu/h AND < 65,000 Btu/h AND < 65,000 Btu/h—Continued AND < 65,000 Btu/h—Continued

Life-cycle cost savings Life-cycle cost savings Life-cycle cost savings Percent of Percent of Percent of customers Average customers Average Efficiency level customers Average Efficiency level that savings * Efficiency level that savings * that savings * experience experience experience Net cost 2013$ Net cost 2013$ Net cost 2013$

1 ...... 2 19 4 ...... 66 (80) 5 ...... 76 (303) 2 ...... 29 62 * The calculation includes households with 3 ...... 53 14 zero LCC savings (no impact).

TABLE VIII.22—AVERAGE LCC AND PBP RESULTS BY EFFICIENCY LEVEL FOR WATER-SOURCE (WATER-TO-AIR, WATER- LOOP) HEAT PUMPS ≥65,000 Btu/h AND <135,000 Btu/h

Average costs 2013$ Simple Average Efficiency level payback lifetime First year’s Lifetime (years) (years) Installed cost operating cost operating cost LCC

ASHRAE Baseline ...... $11,886 $2,170 $25,586 $37,471 ...... 19 1 ...... 12,832 2,095 24,705 37,537 14 19 2 ...... 13,780 2,057 24,246 38,026 16 19 3 ...... 14,681 2,024 23,865 38,546 17 19

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TABLE VIII.22—AVERAGE LCC AND PBP RESULTS BY EFFICIENCY LEVEL FOR WATER-SOURCE (WATER-TO-AIR, WATER- LOOP) HEAT PUMPS ≥65,000 Btu/h AND <135,000 Btu/h—Continued

Average costs 2013$ Simple Average Efficiency level payback lifetime First year’s Lifetime (years) (years) Installed cost operating cost operating cost LCC

4 ...... 15,817 1,993 23,492 39,309 20 19 Note: The results for each efficiency level are calculated assuming that all commercial consumers use equipment with that efficiency level. The PBP is measured relative to the baseline equipment.

TABLE VIII.23—LCC SAVINGS REL- ** The base-case efficiency distribution has levels to energy consumption of 0-percent market share at the ASHRAE base- ATIVE TO THE BASE-CASE EFFI- line; therefore, there are no savings for EL1. commercial water-source heat pumps CIENCY DISTRIBUTION FOR WATER- under the current EPCA base case (i.e., SOURCE (WATER-TO-AIR, WATER- b. National Impact Analysis under current Federal standards). DOE LOOP) HEAT PUMPS ≥65,000 Btu/h 1. Amount and Significance of Energy examined up to five efficiency levels AND <135,000 Btu/h Savings higher than those of ASHRAE Standard 90.1–2013. Table VIII.24 through Table To estimate the lifetime energy VIII.26 show the projected national Life-cycle cost savings savings for equipment shipped through energy savings at each of the considered Percent of 2045 due to amended energy conservation standards, DOE compared standard levels. (See chapter 8 of the Efficiency level customers Average that savings* the energy consumption of commercial NOPR TSD.) experience water-source heat pumps under the Net cost 2013$ ASHRAE Standard 90.1–2013 efficiency levels to energy consumption of the 1 ...... ** 0 ** 0 same water-source heat pumps under 2 ...... 27 (147) more-stringent efficiency standards. 3 ...... 72 (556) DOE also compared the energy 4 ...... 93 (1,305) consumption of those commercial * The calculation includes households with water-source heat pumps under the zero LCC savings (no impact). ASHRAE Standard 90.1–2013 efficiency

TABLE VIII.24—POTENTIAL ENERGY SAVINGS FOR WATER-SOURCE (WATER-TO-AIR, WATER-LOOP) HEAT PUMPS <17,000 Btu/h

Primary energy FFC energy Efficiency level savings estimate * savings estimate * (quads) (quads)

Level 0—ASHRAE—12.2 EER **. Level 1—13.0 EER ...... 0.0002 0.0002 Level 2—14.0 EER ...... 0.02 0.02 Level 3—15.7 EER ...... 0.06 0.06 Level 4—16.5 EER ...... 0.08 0.08 Level 5—‘‘Max-Tech’’—18.1 EER ...... 0.11 0.11 * The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1–2013 were calculated rel- ative to the efficiency levels that would result if ASHRAE Standard 90.1–2013 standards were adopted. ** The base-case efficiency distribution has 0-percent market share at the Federal baseline; therefore, there are no savings for the ASHRAE level.

TABLE VIII.25—POTENTIAL ENERGY SAVINGS FOR WATER-SOURCE (WATER-TO-AIR, WATER-LOOP) HEAT PUMPS ≥17,000 AND <65,000 Btu/h

Primary energy FFC energy Efficiency level savings estimate * savings estimate * (quads) (quads)

Level 0—ASHRAE—13.0 EER **. Level 1—14.6 EER ...... 0.02 0.03 Level 2—16.6 EER ...... 0.26 0.27 Level 3—18.0 EER ...... 0.45 0.47 Level 4—19.2 EER ...... 0.60 0.63 Level 5—‘‘Max-Tech’’—21.6 EER ...... 0.83 0.87 * The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1–2013 were calculated rel- ative to the efficiency levels that would result if ASHRAE Standard 90.1–2013 standards were adopted. ** The base-case efficiency distribution has 0-percent market share at the Federal baseline; therefore, there are no savings for the ASHRAE level.

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TABLE VIII.26—POTENTIAL ENERGY SAVINGS FOR WATER-SOURCE (WATER-TO-AIR, WATER-LOOP) HEAT PUMPS ≥65,000 AND <135,000 Btu/h

Primary energy FFC energy Efficiency level savings estimate * savings estimate * (quads) (quads)

Level 0—ASHRAE—13.0 EER **. Level 1—14.0 EER **. Level 2—15.0 EER ...... 0.01 0.01 Level 3—16.0 EER ...... 0.03 0.03 Level 4—‘‘Max-Tech’’—17.2 EER ...... 0.05 0.05 * The potential energy savings for efficiency levels more stringent than those specified by ASHRAE Standard 90.1–2013 were calculated rel- ative to the efficiency levels that would result if ASHRAE Standard 90.1–2013 standards were adopted. ** The base-case efficiency distribution has 0-percent market share at the Federal baseline and the ASHRAE baseline; therefore, there are no savings for the ASHRAE level or EL1.

2. Net Present Value of Customer Costs (See chapter 8 of the NOPR TSD for and Benefits further detail.) Table VIII.27 and Table VIII.28 provide an overview of the NPV results.

TABLE VIII.27—SUMMARY OF CUMULATIVE NET PRESENT VALUE FOR WATER-SOURCE (WATER-TO-AIR, WATER-LOOP) HEAT PUMPS [Discounted at seven percent] [Net present value (billion 2013$)]

Efficiency Efficiency Efficiency Efficiency Efficiency Equipment class level 1 level 2 level 3 level 4 level 5

Water-Source (Water-to-Air, Water-Loop) HP <17,000 Btu/h ...... (0 .00) (0.04) (0.13) (0.19) (0.30) Water-Source (Water-to-Air, Water-Loop) HP ≥17,000 to <65,000 Btu/h ...... 0 .01 0.01 (0.09) (0.24) (0.53) Water-Source (Water-to-Air, Water-Loop) HP ≥65,000 to 135,000 Btu/h ...... * (0 .01) (0.05) (0.10) **N/A Notes: Numbers in parentheses indicate negative NPV. The net present value for efficiency levels more stringent than those specified by ASHRAE Standard 90.1–2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1–2013 standards were adopted. Economic analysis was not conducted for the ASHRAE levels (EL 0). * The base-case efficiency distribution has 0-percent market share at the ASHRAE baseline; therefore, there are no savings for EL1. ** The max-tech level for this equipment class is EL 4.

TABLE VIII.28—SUMMARY OF CUMULATIVE NET PRESENT VALUE FOR WATER-SOURCE (WATER-TO-AIR, WATER-LOOP) HEAT PUMPS [Discounted at three percent] [Net Present Value (Billion 2013$)]

Efficiency Efficiency Efficiency Efficiency Efficiency Equipment class level 1 level 2 level 3 level 4 level 5

Water-Source (Water-to-Air, Water-Loop) HP <17,000 Btu/h ...... (0 .00) (0.05) (0.19) (0 .29) (0.46) Water-Source (Water-to-Air, Water-Loop) HP ≥17,000 to <65,000 Btu/h ...... 0 .03 0.26 0 .22 0.05 (0.31) Water-Source (Water-to-Air, Water-Loop) HP ≥65,000 to 135,000 Btu/h ...... (*) (0 .02) (0 .07) (0 .14) ** N/A Notes: Numbers in parentheses indicate negative NPV. The net present value for efficiency levels more stringent than those specified by ASHRAE Standard 90.1–2013 were calculated relative to the efficiency levels that would result if ASHRAE Standard 90.1–2013 standards were adopted. Economic analysis was not conducted for the ASHRAE levels (EL 0). * The base-case efficiency distribution has 0-percent market share at the ASHRAE baseline; therefore, there are no savings for EL1. ** The max-tech level for this equipment class is EL 4.

3. Commercial Oil-Fired Storage Water savings resulting from the analyses heaters in the Commercial Building Heaters conducted as part of the April 2014 Energy Consumption Survey (CBECS) NODA. 79 FR 20114, 20136 (April 11, might not be fully correct because of DOE estimated the potential primary 2014). In response to the NODA, AHRI regional variations between the two energy savings in quads (i.e., 1015 Btu) stated that DOE’s derivation of unit energy sources. (AHRI, No. 24 at p. 7) for each efficiency level considered energy consumption for oil-fired storage After re-examining the energy savings within each equipment class analyzed. water heaters based on a proportional analysis for oil-fired storage water Table VIII.29 shows the potential energy relationship to gas-fired storage water heaters, DOE has tentatively determined

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that any resulting imprecision in this As mentioned in section IV.B, DOE 65,000 Btu/h, water-source heat pumps, estimate would not be enough to make did not conduct an economic analysis and oil-fired storage water heaters the energy-savings estimates for this for this oil-fired storage water heater covered in this NOPR could also class non-trivial, and, therefore, DOE equipment category because of the produce environmental benefits in the did not adjust its analysis for the NOPR. minimal energy savings. form of reduced emissions of air C. Need of the Nation To Conserve pollutants and greenhouse gases. TABLE VIII.29—POTENTIAL ENERGY Energy Table VIII.30 and Table VIII.31 SAVINGS ESTIMATES FOR COMMER- provide DOE’s estimate of cumulative CIAL OIL-FIRED STORAGE WATER An improvement in the energy efficiency of the equipment subject to emissions reductions projected to result HEATERS >105,000 Btu/h AND from the efficiency levels analyzed in <4,000 Btu/h/gal this rule, where economically justified, is likely to improve the security of the this rulemaking.57 The tables include both power sector emissions and Primary en- nation’s energy system by reducing FFC energy overall demand for energy, to strengthen upstream emissions. The upstream ergy sav- savings esti- Efficiency level ings esti- mate * the economy, and to reduce the emissions were calculated using the mate * environmental impacts or costs of multipliers discussed in section VII.A. (Quads) (Quads) energy production. Reduced electricity DOE reports annual CO2, NOX, and Hg Level 0— demand may also improve the reliability emissions reductions for each efficiency ASHRAE— of the electricity system, particularly level in chapter 9 of the NOPR TSD. As 80% Et ...... 0.002 0.002 during peak-load periods. Reductions in discussed in section VII.A, DOE did not Level 1—81% Et 0.001 0.001 national electric generating capacity include NOX emissions reduction from Level 2—‘‘Max- estimated for each efficiency level power plants in States subject to CAIR, Tech’’—82% considered in this rulemaking, because an energy conservation Et ...... 0.002 0.002 throughout the same analysis period as standard would not affect the overall * The potential energy savings for efficiency the NIA, are reported in chapter 11 of level of NOX emissions in those States levels more stringent than those specified by the NOPR TSD. ASHRAE Standard 90.1–2013 were calculated due to the emissions caps mandated by relative to the efficiency levels that would re- Energy savings from amended CAIR. sult if ASHRAE Standard 90.1–2013 standards standards for the small air-cooled air were adopted. conditioners and heat pumps less than

TABLE VIII.30—CUMULATIVE EMISSIONS REDUCTION FOR POTENTIAL STANDARDS FOR SMALL THREE-PHASE AIR-COOLED AIR CONDITIONERS AND HEAT PUMPS <65,000 Btu/h [2017–2046 for ASHRAE level; 2020–2046 for more-stringent levels; 2019–2048 for split-system air conditioners]

Efficiency level ASHRAE/0 1 2 3 4 5

Power Sector Emissions

CO2 (million metric tons) ...... 3 .7 8 .9 16 .8 20.8 24 .3 25 .9 SO2 (thousand tons) ...... 2.9 6.9 13.0 16 .1 18 .8 20 .1 NOX (thousand tons) ...... 2.8 6.7 12 .6 15 .6 18.2 19 .4 Hg (tons) ...... 0 .01 0.02 0 .04 0.05 0.06 0 .06 N2O (thousand tons) ...... 0.05 0.13 0 .24 0.30 0 .35 0.37 CH4 (thousand tons) ...... 0 .38 0.90 1.69 2 .10 2.45 2 .61

Upstream Emissions

CO2 (million metric tons) ...... 0 .22 0.54 1.00 1 .24 1.45 1 .54 SO2 (thousand tons) ...... 0.04 0.09 0 .17 0.22 0 .25 0.27 NOX (thousand tons) ...... 3.2 7.6 14 .3 17 .7 20.7 22 .0 Hg (tons) ...... 0 .0001 0.0002 0.0004 0.0005 0 .0006 0 .0006 N2O (thousand tons) ...... 0.002 0 .005 0 .009 0.011 0.012 0.013 CH4 (thousand tons) ...... 19 45 83 103 121 128

Total FFC Emissions

CO2 (million metric tons) ...... 4 .0 9 .5 17 .8 22.1 25 .8 27 .4 SO2 (thousand tons) ...... 2.9 7.0 13.2 16 .4 19 .1 20 .3 NOX (thousand tons) ...... 6.0 14 .3 26 .8 33.4 38 .9 41 .4 Hg (tons) ...... 0 .01 0.02 0 .04 0.05 0.06 0 .06 N2O (thousand tons) ...... 0.06 0.13 0 .25 0.31 0 .36 0.39 CH4 (thousand tons) ...... 19 45 85 105 123 131 Note: The potential emissions reduction for efficiency levels more stringent than those specified by ASHRAE Standard 90.1–2013 were cal- culated relative to the efficiency levels that would result if ASHRAE Standard 90.1–2013 standards were adopted.

57 Because DOE did not conduct additional of environmental benefits for amended standards analysis for oil-fired storage water heaters, estimates for that equipment type are not shown here.

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TABLE VIII.31—CUMULATIVE EMISSIONS REDUCTION FOR POTENTIAL STANDARDS FOR WATER-SOURCE HEAT PUMPS [2016–2045 for ASHRAE level; 2020–2045 for more-stringent levels]

Efficiency level ASHRAE/0 * 1 2 3 4 5

Power Sector Emissions

CO2 (million metric tons) ...... 1 .4 16 .3 30.5 41 .6 56 .8 SO2 (thousand tons) ...... 1.1 12.9 24 .2 32 .9 44 .9 NOX (thousand tons) ...... 1.1 12 .3 23 .1 31.4 42 .9 Hg (tons) ...... 0 .003 0 .040 0.075 0.101 0.139 N2O (thousand tons) ...... 0.02 0.23 0 .44 0.60 0 .81 CH4 (thousand tons) ...... 0 .14 1.63 3.06 4 .17 5.69

Upstream Emissions

CO2 (million metric tons) ...... 0 .08 0.97 1.81 2 .47 3.37 SO2 (thousand tons) ...... 0.01 0.17 0 .32 0.43 0 .59 NOX (thousand tons) ...... 1.2 13 .8 25 .9 35.2 48 .0 Hg (tons) ...... 0 .00003 0.00037 0.00070 0 .00095 0.00130 N2O (thousand tons) ...... 0.001 0 .008 0 .016 0.021 0.029 CH4 (thousand tons) ...... 7 .0 80 .5 150 .8 205 .2 279 .9

Total FFC Emissions

CO2 (million metric tons) ...... 1 .5 17 .3 32.4 44 .0 60 .1 SO2 (thousand tons) ...... 1.1 13.1 24 .5 33 .3 45 .5 NOX (thousand tons) ...... 2.3 26 .1 49 .0 66.7 91 .0 Hg (tons) ...... 0 .004 0 .040 0.075 0.102 0.140 N2O (thousand tons) ...... 0.02 0.24 0 .45 0.62 0 .84 CH4 (thousand tons) ...... 7 .2 82 .1 153 .9 209 .4 285 .6 Note: The potential emissions reduction for efficiency levels more stringent than those specified by ASHRAE Standard 90.1–2013 were cal- culated relative to the efficiency levels that would result if ASHRAE Standard 90.1–2013 standards were adopted. * There are no reductions for the ASHRAE level because there is no market share projected at the Federal baseline in the base case.

As part of the analysis for this NOPR, assessment models, at discount rates of magnitude of projected climate change DOE estimated monetary benefits likely 2.5 percent, 3 percent, and 5 percent. increases. to result from the reduced emissions of The fourth set, which represents the Table VIII.32 and Table VIII.33 CO2 and NOX estimated for each of the 95th-percentile SCC estimate across all present the global value of CO2 efficiency levels analyzed for small air- three models at a 3-percent discount emissions reductions at each efficiency cooled air conditioners and heat pumps rate, is included to represent higher- level. For each of the four cases, DOE less than 65,000 Btu/h, water-source than-expected impacts from temperature calculated a present value of the stream heat pumps, and oil-fired storage water change further out in the tails of the of annual values using the same heaters. As discussed in section VII.B.1, SCC distribution. The four SCC values discount rate as was used in the studies for CO2, DOE used values for the SCC upon which the dollar-per-ton values for CO2 emissions reductions in 2015, developed by an interagency process. expressed in 2013$, are $12.0/ton, are based. DOE calculated domestic The interagency group selected four sets $40.5/ton, $62.4/ton, and $119/ton. The values as a range from 7 percent to 23 of SCC values for use in regulatory percent of the global values, and these values for later years are higher due to analyses. Three sets are based on the results are presented in chapter 10 of increasing emissions-related costs as the average SCC from three integrated the NOPR TSD.

TABLE VIII.32—GLOBAL PRESENT VALUE OF CO2 EMISSIONS REDUCTION FOR POTENTIAL STANDARDS FOR SMALL THREE-PHASE AIR-COOLED AIR CONDITIONERS AND HEAT PUMPS <65,000 Btu/h

SCC scenario * Efficiency level 3% discount 5% discount 3% discount 2.5% discount rate, 95th rate, average rate, average rate, average ercentile

million 2013$

Power Sector Emissions

ASHRAE/0 ...... 23 110 177 340 1 ...... 53 261 420 808 2 ...... 103 498 799 1541 3 ...... 127 617 990 1910 4 ...... 149 721 1156 2231 5 ...... 159 768 1232 2378

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TABLE VIII.32—GLOBAL PRESENT VALUE OF CO2 EMISSIONS REDUCTION FOR POTENTIAL STANDARDS FOR SMALL THREE-PHASE AIR-COOLED AIR CONDITIONERS AND HEAT PUMPS <65,000 Btu/h—Continued

SCC scenario * Efficiency level 3% discount 5% discount 3% discount 2.5% discount rate, 95th rate, average rate, average rate, average ercentile

Upstream Emissions

ASHRAE/0 ...... 1 .3 6.5 10 20 1 ...... 3.1 15 25 48 2 ...... 6.0 29 47 91 3 ...... 7.4 36 59 113 4 ...... 8.7 43 68 132 5 ...... 9.3 45 73 140

Total FFC Emissions

ASHRAE/0 ...... 24 116 187 360 1 ...... 56 277 445 856 2 ...... 109 527 846 1632 3 ...... 135 654 1049 2023 4 ...... 157 763 1224 2362 5 ...... 168 814 1305 2518 Note: The potential emissions reduction for efficiency levels more stringent than those specified by ASHRAE Standard 90.1–2013 were cal- culated relative to the efficiency levels that would result if ASHRAE Standard 90.1–2013 standards were adopted. * For each of the four cases, the corresponding SCC value for emissions in 2015 is $12.0, $40.5, $62.4 and $119 per metric ton (2013$).

TABLE VIII.33—GLOBAL PRESENT VALUE OF CO2 EMISSIONS REDUCTION FOR POTENTIAL STANDARDS FOR WATER- SOURCE HEAT PUMPS

SCC scenario * Efficiency level 3% discount 5% discount 3% discount 2.5% discount rate, 95th rate, average rate, average rate, average percentile

million 2013$

Power Sector Emissions

ASHRAE/0 ** ...... 1 ...... 8.7 42 68 131 2 ...... 99 482 773 1491 3 ...... 186 902 1448 2794 4 ...... 253 1228 1972 3804 5 ...... 347 1681 2698 5206

Upstream Emissions

ASHRAE/0 ** ...... 1 ...... 0.5 2.5 4.0 7.7 2 ...... 5.8 28 45 88 3 ...... 11 53 85 164 4 ...... 15 72 116 224 5 ...... 20 99 159 306

Total FFC Emissions

ASHRAE/0 ** ...... 1 ...... 9.2 45 72 138 2 ...... 105 510 818 1579 3 ...... 196 955 1533 2958 4 ...... 267 1300 2088 4028 5 ...... 367 1780 2856 5512 Note: The potential emissions reduction for efficiency levels more stringent than those specified by ASHRAE Standard 90.1–2013 were cal- culated relative to the efficiency levels that would result if ASHRAE Standard 90.1–2013 standards were adopted. * For each of the four cases, the corresponding SCC value for emissions in 2015 is $12.0, $40.5, $62.4 and $119 per metric ton (2013$). ** There are no reductions for the ASHRAE level because there is no market share projected at the Federal baseline in the base case.

DOE is well aware that scientific and contribution of CO2 and other GHG global climate and the potential economic knowledge about the emissions to changes in the future resulting damages to the world economy

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continues to evolve rapidly. Thus, any TABLE VIII.34—PRESENT VALUE OF * There are no reductions for the ASHRAE value placed in this rulemaking on level because there is no market share pro- NOX EMISSIONS REDUCTION FOR jected at the Federal baseline in the base reducing CO2 emissions is subject to POTENTIAL STANDARDS FOR SMALL case. change. DOE, together with other THREE-PHASE AIR-COOLED AIR Federal agencies, will continue to D. Proposed Standards CONDITIONERS AND HEAT PUMPS review various methodologies for <65,000 Btu/h—Continued 1. Small Commercial Air-Cooled Air estimating the monetary value of Conditioners and Heat Pumps Less reductions in CO2 and other GHG [2017–2046 for ASHRAE Level; 2020–2046 for More-Stringent Levels; 2019–2048 for Than 65,000 Btu/h emissions. This ongoing review will Split-System Air Conditioners] consider the comments on this subject As noted previously, EPCA specifies that are part of the public record for this that, for any commercial and industrial Efficiency 3% discount 7% discount equipment addressed under 42 U.S.C. and other rulemakings, as well as other level rate rate 6313(a)(6)(A)(i), DOE may prescribe an methodological assumptions and issues. energy conservation standard more However, consistent with DOE’s legal 5 ...... 26 10 stringent than the level for such obligations, and taking into account the Total FFC Emissions equipment in ASHRAE Standard 90.1, uncertainty involved with this as amended, only if ‘‘clear and particular issue, DOE has included in ASHRAE/0 .... 7.0 2.8 convincing evidence’’ shows that a this NOPR the most recent values and 1 ...... 16 6.5 more-stringent standard would result in analyses resulting from the interagency 2 ...... 32 13 significant additional conservation of review process. 3 ...... 39 16 energy and is technologically feasible DOE also estimated a range for the 4 ...... 46 19 5 ...... 49 20 and economically justified. (42 U.S.C. cumulative monetary value of the 6313(a)(6)(A)(ii)(II)) This requirement economic benefits associated with NOX Note: The potential emissions reduction for also applies to split-system air emissions reductions anticipated to efficiency levels more stringent than those specified by ASHRAE Standard 90.1–2013 conditioners evaluated under the 6-year result from amended standards for the were calculated relative to the efficiency levels look back. (42 U.S.C. 6313)(a)(6)(C)(i) small air-cooled air conditioners and that would result if ASHRAE Standard 90.1– (II)) heat pumps less than 65,000 Btu/h, 2013 standards were adopted. In evaluating more-stringent water-source heat pumps, and oil-fired efficiency levels than those specified by storage water heaters that are the subject TABLE VIII.35—PRESENT VALUE OF ASHRAE Standard 90.1–2013 for small of this NOPR. The dollar-per-ton values NOX EMISSIONS REDUCTION FOR air-cooled air conditioners and heat that DOE used are discussed in section POTENTIAL STANDARDS FOR WATER- pumps less than 65,000 Btu/h, DOE VII.B.2. SOURCE HEAT PUMPS reviewed the results in terms of their Table VIII.34 and Table VIII.35 [2016–2045 for ASHRAE Level; 2020–2045 technological feasibility, significance of present the present value of cumulative for More-Stringent Levels] energy savings, and economic NOX emissions reductions for each justification. efficiency level calculated using the Efficiency 3% 7% DOE has tentatively concluded that average dollar-per-ton values and 7- level discount rate discount rate all of the SEER and HSPF levels percent and 3-percent discount rates. considered by DOE are technologically million 2013$ feasible, as units with equivalent TABLE VIII.34—PRESENT VALUE OF Power Sector Emissions efficiency appeared to be available in NOX EMISSIONS REDUCTION FOR the current market at all levels POTENTIAL STANDARDS FOR SMALL ASHRAE/0* ...... examined. 1 ...... 1.3 0.5 DOE examined the potential energy THREE-PHASE AIR-COOLED AIR 2 ...... 15 6.0 savings that would result from the CONDITIONERS AND HEAT PUMPS 3 ...... 27 11 efficiency levels specified in ASHRAE <65,000 Btu/h 4 ...... 37 15 Standard 90.1–2013 and compared these 5 ...... 51 21 [2017–2046 for ASHRAE Level; 2020–2046 to the potential energy savings that for More-Stringent Levels; 2019–2048 for would result from efficiency levels more Split-System Air Conditioners] Upstream Emissions stringent than those in ASHRAE Efficiency 3% discount 7% discount ASHRAE/0* ...... Standard 90.1–2013. DOE estimates that level rate rate 1 ...... 1.4 0.5 0.05 quads of energy would be saved if 2 ...... 16 6.2 DOE adopts the efficiency levels set in million 2013$ 3 ...... 30 12 ASHRAE Standard 90.1–2013 for each 4 ...... 41 16 5 ...... 56 22 small air-cooled air conditioner and Power Sector Emissions heat pump class specified in that ASHRAE/0 .... 3.3 1.4 Total FFC Emissions standard. If DOE were to adopt 1 ...... 7.8 3.2 efficiency levels more stringent than 2 ...... 15 6.4 ASHRAE/0*. those specified by ASHRAE Standard 3 ...... 19 7.9 1 ...... 2.7 1.1 90.1–2013, the potential additional 4 ...... 22 9.2 2 ...... 31 12 energy savings range from 0.02 quads to 5 ...... 23 9.9 3 ...... 57 23 0.45 quads. Associated with proposing 4 ...... 78 31 5 ...... 107 43 more-stringent efficiency levels for the Upstream Emissions three triggered equipment classes is a Note: The potential emissions reduction for three-year delay in implementation ASHRAE/0 .... 3.6 1.4 efficiency levels more stringent than those 1 ...... 8.6 3.3 specified by ASHRAE Standard 90.1–2013 compared to the adoption of energy 2 ...... 17 6.6 were calculated relative to the efficiency levels conservation standards at the levels 3 ...... 21 8.2 that would result if ASHRAE Standard 90.1– specified in ASHRAE Standard 90.1– 4 ...... 24 9.5 2013 standards were adopted. 2013 (see section V.E.10). This delay in

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implementation of amended energy adopting efficiency levels more energy that would result from adoption conservation standards would result in stringent than those set forth in of more-stringent efficiency levels than a small amount of energy savings being ASHRAE Standard 90.1–2013. The those specified in ASHRAE Standard lost in the first years (2017 through analytical results show negative average 90.1–2013 would be economically 2020) compared to the savings from LCC savings and negative national NPV justified. Therefore, DOE is proposing to adopting the levels in ASHRAE at both 7-percent and 3-percent discount adopt the energy efficiency levels for Standard 90.1–2013; however, this loss rate for all efficiency levels in all four these products as set forth in ASHRAE may be compensated for by increased equipment classes. These results Standard 90.1–2013. For split-system air savings in later years. Taken in indicate that adoption of efficiency conditioners, for which the efficiency isolation, the energy savings associated levels more stringent than those in level was not updated in Standard 90.1– with more-stringent standards might be ASHRAE Standard 90.1–2013 as Federal 2013, DOE is making a determination considered significant enough to energy conservation standards would warrant adoption of such standards. likely lead to negative economic that standards for the product do not However, as noted previously, energy outcomes for the Nation. Consequently, need to be amended for the reasons savings are not the only factor that DOE this criterion for adoption of more- stated above. Table VIII.36 presents the must consider. stringent standard levels does not proposed amended energy conservation In considering whether potential appear to have been met. standards and compliance dates for standards are economically justified, As such, DOE does not have ‘‘clear small air-cooled air conditioners and DOE also examined the LCC savings and and convincing evidence’’ that any heat pumps less than 65,000 Btu/h. national NPV that would result from significant additional conservation of

TABLE VIII.36—PROPOSED ENERGY CONSERVATION STANDARDS FOR SMALL THREE-PHASE AIR-COOLED AIR CONDITIONERS AND HEAT PUMPS <65,000 Btu/h

Equipment type Efficiency level Compliance date

Three-Phase Air-Cooled Split System Air Conditioners ...... 13.0 SEER * ...... June 16, 2008. <65,000 Btu/h ...... Three-Phase Air-Cooled Single Package Air Conditioners ...... 14.0 SEER ...... January 1, 2017. <65,000 Btu/h ...... Three-Phase Air-Cooled Split System Heat Pumps <65,000 Btu/h ...... 14.0 SEER ...... January 1, 2017. 8.2 HSPF Three-Phase Air-Cooled Single Package Heat Pumps <65,000 Btu/h ...... 14.0 SEER ...... January 1, 2017. 8.0 HSPF *13.0 SEER is the existing Federal minimum energy conservation standard for three-phase air-cooled split system air conditioners <65,000 Btu/h.

2. Water-Source Heat Pumps 90.1–2013, the potential additional ASHRAE Standard 90.1–2013. With a 7- energy savings range from 0.03 quads to percent discount rate, EL 1 results in In evaluating more-stringent positive NPV, and ELs 2 through 5 efficiency levels for water-source heat 1.0 quads. Associated with proposing result in negative NPV. With a 3-percent pumps than those specified by ASHRAE more-stringent efficiency levels is a discount rate, ELs 1 and 2 create Standard 90.1–2013, DOE reviewed the four-and-a-half-year delay in positive NPV, while ELs 3 through 5 results in terms of their technological implementation compared to the result in negative NPVs. These results feasibility, significance of energy adoption of energy conservation indicate that adoption of efficiency savings, and economic justification. standards at the levels specified in ASHRAE Standard 90.1–2013 (see levels more stringent than those in DOE has tentatively concluded that ASHRAE Standard 90.1–2013 as Federal all of the EER and COP levels section VI.E.10). This delay in implementation of amended energy energy conservation standards might considered by DOE are technologically lead to negative economic outcomes for feasible, as units with equivalent conservation standards would result in a small amount of energy savings being the Nation, except at EL1, which offers efficiency appeared to be available in very little energy savings. the current market at all levels lost in the first years (2016 through 2020) compared to the savings from Furthermore, although DOE based it examined. analyses on the best available data when DOE examined the potential energy adopting the levels in ASHRAE Standard 90.1–2013; however, this loss examining the potential energy savings savings that would result from the and the economic justification of efficiency levels specified in ASHRAE may be compensated for by increased savings in later years. Taken in efficiency levels more stringent than Standard 90.1–2013 and compared these those specified in ASHRAE Standard isolation, the energy savings associated to the potential energy savings that 90.1–2013, DOE believes there are with more-stringent standards might be would result from efficiency levels more several limitations regarding that data considered significant enough to stringent than those in ASHRAE which should be considered before warrant adoption of such standards. Standard 90.1–2013. DOE does not proposing amended energy conservation However, as noted above, energy estimate any energy savings from standards for water-source heat pumps. adopting the levels set in ASHRAE savings are not the only factor which First, DOE reexamined the Standard 90.1–2013, as very few models DOE must consider. uncertainty in its analysis of water- exist on the market below that level, and In considering whether potential source heat pumps. As noted in section by 2020, DOE expects those models to standards are economically justified, VI.D, DOE relied on cooling energy use be off the market. If DOE were to adopt DOE also examined the NPV that would estimates from a 2000 study. While DOE efficiency levels more stringent than result from adopting efficiency levels applied a scaling factor to attempt to those specified by ASHRAE Standard more stringent than those set forth in account for changes in buildings since

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2000, this is only a rough estimate. DOE Third, DOE relied on shipments indicates that many commercial considered running building estimates from the U.S. Census. As consumers are already purchasing simulations by applying a water-source noted in section VI.F.2, these estimates equipment well above the baseline. heat pump module to reference are considerably higher than those Consequently, it is likely that the true buildings. However, DOE has been found in an EIA report. Furthermore, improvements in efficiency in the unable to obtain reliable information on DOE disaggregated the shipments into absence of a standard may be higher the distribution of water-source heat equipment class using data from over a than estimated. This possibility pump applications. Therefore, it is not decade ago. Although DOE requested increases the uncertainty of the energy clear which building types would be comment in the April 2014 NODA, DOE savings estimates. To the extent that most useful to simulate and how DOE has not received any information or data manufacturers improve equipment would weight the results of the regarding the shipments of this efficiency and commercial consumers simulations. Furthermore, DOE has no equipment. Any inaccuracy in the choose to purchase improved products field data with which to corroborate the shipment projection in total or by in the absence of standards, the energy results of the simulations. The analysis equipment class contributes to the savings estimates would likely be of heating energy use is also very uncertainty of the energy savings results reduced. and, thus, makes it difficult for DOE to uncertain; DOE relied on estimates for In light of the above, DOE would air-source heat pumps, but it is unclear determine that any additional energy savings are significant. again restate the statutory test for whether water-source heat pumps adopting energy conservation standards would have similar heating usage, as Fourth, due to the limited data on the existing distribution of shipments by more stringent than the levels in they tend to be used in different efficiency level or historical efficiency ASHRAE Standard 90.1. DOE must have applications. Any inaccuracy in UEC trends, DOE was not able to assess ‘‘clear and convincing’’ evidence in directly impacts the energy savings possible future changes in either the order to propose efficiency levels more estimates and consumer impacts. available efficiencies of equipment in stringent than those specified in Second, in developing its analysis, the water-source heat pump market or ASHRAE Standard 90.1–2013, and for DOE made refinements to various the sales distribution of shipments by the reasons explained in this document, inputs, such as heating UEC and repair efficiency level in the absence of setting the totality of information does not meet cost. DOE observed that the NPV results more-stringent standards. Instead, DOE the level necessary to support these were highly sensitive to small changes applied an efficiency trend from a more-stringent efficiency levels for in these inputs, with NPV for EL 2, for commercial air conditioner rulemaking water-source heat pumps. Consequently, example, changing from positive to published 10 years ago. DOE recognizes DOE has tentatively decided to propose negative and back over several that manufacturers may continue to the efficiency levels in ASHRAE iterations. This model sensitivity, make future improvements in water- Standard 90.1–2013 as amended energy combined with high uncertainty in source heat pump efficiencies even in conservation standards for all three various inputs, makes it difficult for the absence of mandated energy water-source heat pump equipment DOE to determine that the results conservation standards. In particular, classes. Accordingly, Table VIII.37 provide clear and convincing evidence water-source heat pumps tend to be a presents the proposed amended energy that higher standards would be fairly efficient product, and the conservation standards and compliance economically justified. distribution of model availability dates for water-source heat pumps.

TABLE VIII.37—PROPOSED ENERGY CONSERVATION STANDARDS FOR WATER-SOURCE HEAT PUMPS

Equipment type Efficiency level Compliance date

Water-Source (Water-to-Air, Water-Loop) HP <17,000 Btu/h ...... 12.2 EER ...... October 9, 2015. 4.3 COP Water-Source (Water-to-Air, Water-Loop) HP ≥17,000 to <65,000 Btu/h ...... 13.0 EER ...... October 9, 2015. 4.3 COP Water-Source (Water-to-Air, Water-Loop) HP ≥65,000 to 135,000 Btu/h ...... 13.0 EER ...... October 9, 2015. 4.3 COP

DOE seeks comments from interested convincing evidence in support of such and economically justified. (42 U.S.C. parties on its proposed amended energy an approach. 6313(a)(6)(A)(ii)(II)) conservation standards for water-source 3. Commercial Oil-Fired Storage Water In evaluating more-stringent heat pumps, as well as the other Heaters efficiency levels for oil-fired storage efficiency levels considered. This is water-heating equipment than those identified as Issue 12 under ‘‘Issues on EPCA specifies that, for any specified by ASHRAE Standard 90.1– Which DOE Seeks Comment’’ in section commercial and industrial equipment 2013, DOE reviewed the results in terms X.E of this NOPR. Although DOE addressed under 42 U.S.C. of the significance of their additional currently believes that it would be 6313(a)(6)(A)(i), DOE may prescribe an energy savings. DOE believes that the appropriate to adopt the efficiency energy conservation standard more energy savings from increasing national levels in ASHRAE Standard 90.1–2013 stringent than the level for such energy conservation standards for oil- for water-source heat pumps, DOE may equipment in ASHRAE Standard 90.1, fired storage water heaters above the consider the possibility of setting as amended, only if ‘‘clear and levels specified by ASHRAE Standard standards at more-stringent efficiency convincing evidence’’ shows that a 90.1–2013 would be minimal. As such, levels if public comments and more-stringent standard would result in DOE does not have ‘‘clear and additional data supply clear and significant additional conservation of convincing evidence’’ that significant energy and is technologically feasible additional conservation of energy would

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result from adoption of more-stringent proposing to adopt the energy efficiency energy conservation standard and standard levels. Therefore, DOE did not levels for this equipment type as set compliance date for oil-fired storage examine whether the levels are forth in ASHRAE Standard 90.1–2013. water heaters. economically justified, and DOE is Table VIII.38 presents the proposed

TABLE VIII.38—PROPOSED ENERGY CONSERVATION STANDARDS FOR OIL-FIRED STORAGE WATER HEATERS

Efficiency level Equipment type (Et) Compliance date

Oil-Fired Storage Water Heaters >105,000 Btu/h and <4,000 Btu/h/gal ...... 80% ...... October 9, 2015.

IX. Procedural Issues and Regulatory (Jan. 21, 2011)). Executive Order 13563 B. Review Under the Regulatory Review is supplemental to and explicitly Flexibility Act reaffirms the principles, structures, and A. Review Under Executive Order 12866 The Regulatory Flexibility Act (5 and 13563 definitions governing regulatory review U.S.C. 601 et seq.) requires preparation established in Executive Order 12866. Section 1(b)(1) of Executive Order of an initial regulatory flexibility To the extent permitted by law, agencies analysis (IRFA) for any rule that by law 12866, ‘‘Regulatory Planning and are required by Executive Order 13563 Review,’’ 58 FR 51735 (Oct. 4, 1993), must be proposed for public comment, to: (1) Propose or adopt a regulation unless the agency certifies that the rule, requires each agency to identify the only upon a reasoned determination problem that it intends to address, if promulgated, will not have a that its benefits justify its costs including, where applicable, the failures significant economic impact on a (recognizing that some benefits and of private markets or public institutions substantial number of small entities. As costs are difficult to quantify); (2) tailor that warrant new agency action, as well required by Executive Order 13272, regulations to impose the least burden as to assess the significance of that ‘‘Proper Consideration of Small Entities problem. The problems that the on society, consistent with obtaining in Agency Rulemaking,’’ 67 FR 53461 proposed standards set forth in this regulatory objectives, taking into (August 16, 2002), DOE published NOPR address are as follows: account, among other things, and to the procedures and policies on February 19, extent practicable, the costs of 2003, to ensure that the potential (1) Insufficient information and the high cumulative regulations; (3) select, in impacts of its rules on small entities are costs of gathering and analyzing relevant information leads some customers to miss choosing among alternative regulatory properly considered during the opportunities to make cost-effective approaches, those approaches that rulemaking process. 68 FR 7990. DOE investments in energy efficiency. maximize net benefits (including has made its procedures and policies (2) In some cases the benefits of more potential economic, environmental, available on the Office of the General efficient equipment are not realized due to public health and safety, and other Counsel’s Web site (http://energy.gov/ misaligned incentives between purchasers advantages; distributive impacts; and gc/office-general-counsel). and users. An example of such a case is when equity); (4) to the extent feasible, specify For manufacturers of small air-cooled the equipment purchase decision is made by a building contractor or building owner who performance objectives, rather than air conditioners and heat pumps less does not pay the energy costs. specifying the behavior or manner of than 65,000 Btu/h, water-source heat (3) There are external benefits resulting compliance that regulated entities must pumps, and oil-fired storage water from improved energy efficiency of small air- adopt; and (5) identify and assess heaters, the Small Business cooled air conditioners and heat pumps less available alternatives to direct Administration (SBA) has set a size than 65,000 Btu/h, water-source heat pumps, regulation, including providing threshold, which defines those entities and oil-fired storage water heaters that are classified as ‘‘small businesses’’ for the not captured by the users of such equipment. economic incentives to encourage the desired behavior, such as user fees or purposes of the statute. DOE used the These benefits include externalities related to SBA’s small business size standards to public health, environmental protection, and marketable permits, or providing national energy security that are not reflected information upon which choices can be determine whether any small entities in energy prices, such as reduced emissions made by the public. would be subject to the requirements of of air pollutants and greenhouse gases that the rule. 65 FR 30836, 30848 (May 15, impact human health and global warming. DOE emphasizes as well that 2000), as amended at 65 FR 53533, DOE attempts to quantify some of the Executive Order 13563 requires agencies 53544 (Sept. 5, 2000) and 77 FR 49991, external benefits through use of social cost of to use the best available techniques to 50000 (August 20, 2012), as codified at carbon values. quantify anticipated present and future 13 CFR part 121. The size standards are In addition, DOE has determined that benefits and costs as accurately as listed by North American Industry the proposed regulatory action is not an possible. In its guidance, the Office of Classification System (NAICS) code and ‘‘economically significant regulatory Information and Regulatory Affairs has industry description and are available at action’’ under section 3(f)(1) of emphasized that such techniques may http://www.sba.gov/sites/default/files/ Executive Order 12866. Accordingly, include identifying changing future Size_Standards_Table.pdf. The DOE has not prepared a regulatory compliance costs that might result from ASHRAE equipment covered by this impact analysis (RIA) for this rule, and technological innovation or anticipated rule are classified under NAICS 333318, the Office of Information and Regulatory behavioral changes. For the reasons ‘‘Other Commercial and Service Affairs (OIRA) in the Office of stated in the preamble, DOE believes Industry Machinery Manufacturing’’ Management and Budget (OMB) has not that this NOPR is consistent with these (oil-fired water heaters) and NAICS reviewed this rule. principles, including the requirement 333415, ‘‘Air-Conditioning and Warm DOE has also reviewed this regulation that, to the extent permitted by law, Air Heating Equipment and Commercial pursuant to Executive Order 13563, benefits justify costs and that net and Industrial Refrigeration Equipment issued on January 18, 2011 (76 FR 3281 benefits are maximized. Manufacturing’’ (all other equipment

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addressed by the document). For an 2003. 68 FR 7990. As part of this Because EPCA requires DOE to adopt entity to be considered as a small rulemaking, DOE examined the the ASHRAE levels or to propose higher business, the SBA sets a threshold of potential impacts of amended standard standards, DOE is limited in terms of 1,000 employees or fewer for the first levels on manufacturers, as well as the the steps it can take to mitigate impacts category including commercial water potential implications of the proposed to small businesses, but DOE reasons heaters and 750 employees or fewer for revisions to the commercial warm air that such mitigation has already the second category. furnace test procedures on compliance occurred since small manufacturers had DOE examined each of the burdens. input into the development of the manufacturers it found during its DOE examined the impact of raising industry consensus standard that DOE is market assessment and used publicly- the standards to the proposed levels by statutorily required to adopt. DOE available information to determine if examining the distribution of requests public comment on the number any manufacturers identified qualify as efficiencies of commercially-available of small manufacturers producing a small business under the SBA models in the AHRI Directory. For covered three-phase central air guidelines discussed previously. (For a water-source heat pumps and oil-fired conditioners, water-source heat pumps, list of all manufacturers of ASHRAE storage water heaters, DOE found that and oil-fired storage water-heating equipment covered by this rule, see all manufacturers in the directory, equipment. Additionally, DOE requests chapter 2 of the NOPR TSD.) DOE’s including the small manufacturers, data on the market shares of small research involved individual company already offer equipment at and above manufactures covered in this Web sites and marketing research tools the efficiency levels being proposed. rulemaking and the potential impacts of (e.g., Hoovers reports 58) to create a list While these small manufacturers would this rule on those manufacturers. of companies that manufacture the types have to discontinue a fraction of their As for the specific changes being of ASHRAE equipment affected by this models in order to comply with the proposed for the commercial warm air rule. DOE screened out companies that standards proposed in this rulemaking, furnace test procedure, the test do not have domestic manufacturing DOE does not believe that there would procedures (ANSI Z21.47–2012 and operations for ASHRAE equipment (i.e., be a significant burden placed on ASHRAE 103–2007) that DOE is manufacturers that produce all of their industry, as the market would shift to proposing to incorporate by reference do ASHRAE equipment internationally). the new baseline levels when not include any updates to the DOE also did not consider compliance with the new standards is methodology in those sections utilized manufacturers that are subsidiaries of required. in the DOE test procedure. Thus, DOE parent companies that exceed the For small commercial air-cooled air has tentatively concluded that this test applicable 1000-employee or 750- conditioners and heat pumps, DOE procedure rulemaking would keep the employee threshold set by the SBA to be found one small manufacturer of single- DOE test procedure current with the small businesses. DOE identified 16 package units in the directory with no latest version of the applicable industry companies that qualify as small models that could meet the proposed testing standards, but it will not change manufacturers: 5 central air conditioner ASHRAE levels. the methodology used to generate manufacturers (of the 23 total To estimate the impacts of the ratings of commercial warm air identified), 7 water-source heat pump proposed standard, DOE researched furnaces. Consequently, the proposed manufacturers (of the 18 total prior energy conservation standard test procedure amendments would not identified), and 7 oil-fired storage water analyses of the covered equipment, as be expected to have a substantive heater manufacturers (of the 10 total well as any analyses of comparable impact on manufacturers, either large or identified). Please note that there are 3 single-phase products. The 2011 direct small. small manufacturers that produce final rule for residential furnaces, For the reasons stated previously, equipment in more than one of these central air conditioners, and heat pumps DOE did not prepare an initial categories. included analysis for a 14 SEER regulatory flexibility analysis for the Based on reviews of product listing efficiency level for split-system as well proposed rule. DOE will transmit its data in the AHRI Directory for as single-package air conditioners and certification and a supporting statement commercial equipment, DOE estimates heat pumps. 76 FR 37408 (June 27, of factual basis to the Chief Counsel for that small manufacturers account for 2011). The 2011 analysis indicated that Advocacy of the SBA for review less than 1 percent of the market for manufacturers would need to include pursuant to 5 U.S.C. 605(b). covered three-phase central air additional heat exchanger surface area and to include modulating components C. Review Under the Paperwork conditioner equipment and less than 5 Reduction Act of 1995 percent of the market for covered water- to reach the 14 SEER level from a 13 source heat pump equipment. In the oil- SEER baseline. The 2011 analyses Manufacturers of the ASHRAE fired storage water heat market, DOE further concluded that these equipment subject to this NOPR must understands that one of the small improvements could be made without certify to DOE that their equipment manufacturers is a significant player in significant investments in equipment complies with any applicable energy the market. That manufacturer accounts and production assets. The proposed conservation standards. In certifying for 34 percent of product listings. DOE levels for oil-fired storage water heaters compliance, manufacturers must test believes that the remaining oil-fired or water-source heat pumps have not their equipment according to the storage water heater manufacturers been analyzed as a part of any prior applicable DOE test procedures for the account for less than 5 percent of the energy conservation standard relevant ASHRAE equipment, including market. rulemakings. any amendments adopted for those test DOE has reviewed this proposed rule However, DOE understands that the procedures on the date that compliance under the provisions of the Regulatory ASHRAE standards were developed is required. DOE has established Flexibility Act and the policies and through an industry consensus process, regulations for the certification and procedures published on February 19, which included consideration of recordkeeping requirements for all manufacturer input, including the covered consumer products and 58 For more information see: http:// impacts to small manufacturers, when commercial equipment, including the www.hoovers.com/. increasing the efficiency of equipment. ASHRAE equipment in this NOPR. 76

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FR 12422 (March 7, 2011). The development of regulatory policies that G. Review Under the Unfunded collection-of-information requirement have Federalism implications. On Mandates Reform Act of 1995 for the certification and recordkeeping March 14, 2000, DOE published a Title II of the Unfunded Mandates is subject to review and approval by statement of policy describing the Reform Act of 1995 (UMRA) requires OMB under the Paperwork Reduction intergovernmental consultation process each Federal agency to assess the effects Act (PRA). This requirement has been it will follow in the development of of Federal regulatory actions on State, approved by OMB under OMB control such regulations. 65 FR 13735. DOE has local, and Tribal governments and the number 1910–1400. Public reporting examined this proposed rule and has private sector. Public Law 104–4, sec. burden for the certification is estimated tentatively determined that it would not 201 (codified at 2 U.S.C. 1531). For a to average 20 hours per response, have a substantial direct effect on the proposed regulatory action likely to including the time for reviewing States, on the relationship between the result in a rule that may cause the instructions, searching existing data national government and the States, or expenditure by State, local, and Tribal sources, gathering and maintaining the on the distribution of power and governments, in the aggregate, or by the data needed, and completing and responsibilities among the various private sector, of $100 million or more reviewing the collection of information. levels of government. EPCA governs and Notwithstanding any other provision in any one year (adjusted annually for prescribes Federal preemption of State of the law, no person is required to inflation), section 202 of UMRA requires respond to, nor shall any person be regulations as to energy conservation for a Federal agency to publish a written subject to a penalty for failure to comply the equipment types that are the subject statement that estimates the resulting with, a collection of information subject of this proposed rule. States can petition costs, benefits, and other effects on the to the requirements of the PRA, unless DOE for exemption from such national economy. (2 U.S.C. 1532(a), (b)) that collection of information displays a preemption to the extent, and based on The UMRA also requires a Federal currently valid OMB Control Number. criteria, set forth in EPCA. (42 U.S.C. agency to develop an effective process 6297) Therefore, no further action is to permit timely input by elected D. Review Under the National required by Executive Order 13132. officers of State, local, and Tribal Environmental Policy Act of 1969 governments on a proposed ‘‘significant F. Review Under Executive Order 12988 Pursuant to the National intergovernmental mandate,’’ and Environmental Policy Act (NEPA) of With respect to the review of existing requires an agency plan for giving notice 1969, DOE has determined that the regulations and the promulgation of and opportunity for timely input to proposed rule fits within the category of new regulations, section 3(a) of potentially affected small governments actions included in Categorical Executive Order 12988, ‘‘Civil Justice before establishing any requirements that might significantly or uniquely Exclusion (CX) B5.1 and otherwise Reform,’’ imposes on Federal agencies affect them. On March 18, 1997, DOE meets the requirements for application the general duty to adhere to the published a statement of policy on its of a CX. See 10 CFR part 1021, App. B, following requirements: (1) Eliminate process for intergovernmental B5.1(b); 1021.410(b) and Appendix B, drafting errors and ambiguity; (2) write B(1)–(5). The proposed rule fits within consultation under UMRA. 62 FR regulations to minimize litigation; and the category of actions because it is a 12820. DOE’s policy statement is also (3) provide a clear legal standard for rulemaking that establishes energy available at http://energy.gov/gc/office- affected conduct rather than a general conservation standards for consumer general-counsel. standard; and (4) promote simplification products or industrial equipment, and This proposed rule contains neither and burden reduction. 61 FR 4729 (Feb. for which none of the exceptions an intergovernmental mandate nor a 7, 1996). Regarding the review required identified in CX B5.1(b) apply. mandate that may result in the by section 3(a), section 3(b) of Executive Therefore, DOE has made a CX expenditure by State, local, and Tribal Order 12988 specifically requires that determination for this rulemaking, and governments, in the aggregate, or by the Executive agencies make every DOE does not need to prepare an private sector, of $100 million or more Environmental Assessment or reasonable effort to ensure that the in any year. Accordingly, no assessment Environmental Impact Statement for regulation: (1) Clearly specifies the or analysis is required under the UMRA. this proposed rule. DOE’s CX preemptive effect, if any; (2) clearly H. Review Under the Treasury and determination for this proposed rule is specifies any effect on existing Federal General Government Appropriations available at http://cxnepa.energy.gov/. law or regulation; (3) provides a clear legal standard for affected conduct Act, 1999 E. Review Under Executive Order 13132 while promoting simplification and Section 654 of the Treasury and Executive Order 13132, ‘‘Federalism,’’ burden reduction; (4) specifies the General Government Appropriations imposes certain requirements on retroactive effect, if any; (5) adequately Act, 1999 (Pub. L. 105–277) requires Federal agencies formulating and defines key terms; and (6) addresses Federal agencies to issue a Family implementing policies or regulations other important issues affecting clarity Policymaking Assessment for any rule that preempt State law or that have and general draftsmanship under any that may affect family well-being. This Federalism implications. 64 FR 43255 guidelines issued by the Attorney rule would not have any impact on the (August 10, 1999). The Executive Order General. Section 3(c) of Executive Order autonomy or integrity of the family as requires agencies to examine the 12988 requires Executive agencies to an institution. Accordingly, DOE has constitutional and statutory authority review regulations in light of applicable concluded that it is not necessary to supporting any action that would limit standards in section 3(a) and section prepare a Family Policymaking the policymaking discretion of the 3(b) to determine whether they are met Assessment. States and to carefully assess the or it is unreasonable to meet one or necessity for such actions. The more of them. DOE has completed the I. Review Under Executive Order 12630 Executive Order also requires agencies required review and determined that, to Pursuant to Executive Order 12630, to have an accountable process to the extent permitted by law, this ‘‘Governmental Actions and Interference ensure meaningful and timely input by proposed rule meets the relevant with Constitutionally Protected Property State and local officials in the standards of Executive Order 12988. Rights,’’ 53 FR 8859 (March 18, 1988),

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DOE has determined that this proposed L. Review Under the Information In addition, you can attend the public rule would not result in any takings that Quality Bulletin for Peer Review meeting via webinar. Webinar might require compensation under the On December 16, 2004, OMB, in registration information, participant Fifth Amendment to the U.S. consultation with the Office of Science instructions, and information about the Constitution. and Technology Policy (OSTP), issued capabilities available to webinar participants will be published on DOE’s J. Review Under the Treasury and its Final Information Quality Bulletin Web site at: https:// General Government Appropriations for Peer Review (the Bulletin). 70 FR www1.gotomeeting.com/register/ Act, 2001 2664 (Jan. 14, 2005). The Bulletin establishes that certain scientific 584170792. Participants are responsible Section 515 of the Treasury and information shall be peer reviewed by for ensuring their systems are General Government Appropriations qualified specialists before it is compatible with the webinar software. Act, 2001 (44 U.S.C. 3516 note) provides disseminated by the Federal for Federal agencies to review most B. Procedure for Submitting Prepared Government, including influential disseminations of information to the General Statements for Distribution scientific information related to agency public under information quality Any person who has plans to present regulatory actions. The purpose of the guidelines established by each agency a prepared general statement may bulletin is to enhance the quality and pursuant to general guidelines issued by request that copies of his or her credibility of the Government’s OMB. OMB’s guidelines were published statement be made available at the scientific information. Under the at 67 FR 8452 (Feb. 22, 2002), and public meeting. Such persons may Bulletin, the energy conservation DOE’s guidelines were published at 67 submit requests, along with an advance standards rulemaking analyses are FR 62446 (Oct. 7, 2002). DOE has electronic copy of their statement in ‘‘influential scientific information,’’ reviewed this NOPR under the OMB PDF (preferred), Microsoft Word or which the Bulletin defines as ‘‘scientific and DOE guidelines and has concluded Excel, WordPerfect, or text (ASCII) file information the agency reasonably can that it is consistent with applicable format, to the appropriate address determine will have, or does have, a policies in those guidelines. shown in the ADDRESSES section at the clear and substantial impact on beginning of this document. The request K. Review Under Executive Order 13211 important public policies or private and advance copy of statements must be sector decisions.’’ Id. at 2667. Executive Order 13211, ‘‘Actions received at least one week before the Concerning Regulations That In response to OMB’s Bulletin, DOE conducted formal in-progress peer public meeting and may be emailed, Significantly Affect Energy Supply, hand-delivered, or sent by mail. DOE Distribution, or Use’’ 66 FR 28355 (May reviews of the energy conservation standards development process and prefers to receive requests and advance 22, 2001), requires Federal agencies to copies via email. Please include a prepare and submit to OIRA at OMB, a analyses and has prepared a Peer Review Report pertaining to the energy telephone number to enable DOE staff to Statement of Energy Effects for any make follow-up contact, if needed. proposed significant energy action. A conservation standards rulemaking ‘‘significant energy action’’ is defined as analyses. Generation of this report C. Conduct of the Public Meeting any action by an agency that involved a rigorous, formal, and DOE will designate a DOE official to promulgates or is expected to lead to documented evaluation using objective preside at the public meeting and may promulgation of a final rule, and that: criteria and qualified and independent also use a professional facilitator to aid (1) Is a significant regulatory action reviewers to make a judgment as to the discussion. The meeting will not be a under Executive Order 12866, or any technical/scientific/business merit, the judicial or evidentiary-type public successor order; and (2) is likely to have actual or anticipated results, and the hearing, but DOE will conduct it in a significant adverse effect on the productivity and management accordance with section 336 of EPCA supply, distribution, or use of energy, or effectiveness of programs and/or (42 U.S.C. 6306). A court reporter will (3) is designated by the Administrator of projects. The ‘‘Energy Conservation be present to record the proceedings and OIRA as a significant energy action. For Standards Rulemaking Peer Review prepare a transcript. DOE reserves the any proposed significant energy action, Report’’ dated February 2007 has been right to schedule the order of the agency must give a detailed disseminated and is available at the presentations and to establish the statement of any adverse effects on following Web site: http://energy.gov/ procedures governing the conduct of the energy supply, distribution, or use eere/buildings/peer-review. public meeting. There shall not be should the proposal be implemented, X. Public Participation discussion of proprietary information, and of reasonable alternatives to the costs or prices, market share, or other action and their expected benefits on A. Attendance at the Public Meeting commercial matters regulated by U.S. energy supply, distribution, and use. The time, date, and location of the anti-trust laws. After the public meeting, DOE has tentatively concluded that public meeting are listed in the DATES interested parties may submit further this regulatory action, which sets forth and ADDRESSES sections at the beginning comments on the proceedings, as well proposed energy conservation standards of this document. If you plan to attend as on any aspect of the rulemaking, until for certain types of ASHRAE equipment, the public meeting, please notify Ms. the end of the comment period. is not a significant energy action Brenda Edwards at (202) 586–2945 or The public meeting will be conducted because the proposed standards are not [email protected]. As in an informal, conference style. DOE a significant regulatory action under explained in the ADDRESSES section, will present summaries of comments Executive Order 12866 and are not foreign nationals visiting DOE received before the public meeting, likely to have a significant adverse effect Headquarters are subject to advance allow time for prepared general on the supply, distribution, or use of security screening procedures. Any statements by participants, and energy, nor has it been designated as foreign national wishing to participate encourage all interested parties to share such by the Administrator at OIRA. in the meeting should advise DOE of their views on issues affecting this Accordingly, DOE has not prepared a this fact as soon as possible by rulemaking. Each participant will be Statement of Energy Effects on the contacting Ms. Brenda Edwards to allowed to make a general statement proposed rule. initiate the necessary procedures. (within time limits determined by DOE),

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before the discussion of specific topics. document attached to your comment. Campaign form letters. Please submit DOE will allow, as time permits, other Otherwise, persons viewing comments campaign form letters by the originating participants to comment briefly on any will see only first and last names, organization in batches of between 50 to general statements. organization names, correspondence 500 form letters per PDF or as one form At the end of all prepared statements containing comments, and any letter with a list of supporters’ names on a topic, DOE will permit participants documents submitted with the compiled into one or more PDFs. This to clarify their statements briefly and comments. reduces comment processing and comment on statements made by others. Do not submit to www.regulations.gov posting time. Participants should be prepared to information for which disclosure is Confidential Business Information. answer questions by DOE and by other restricted by statute, such as trade Pursuant to 10 CFR 1004.11, any person participants concerning these issues. secrets and commercial or financial submitting information that he or she DOE representatives may also ask information (hereinafter referred to as believes to be confidential and exempt questions of participants concerning Confidential Business Information by law from public disclosure should other matters relevant to this (CBI)). Comments submitted through submit via email, postal mail, or hand rulemaking. The official conducting the www.regulations.gov cannot be claimed delivery/courier two well-marked public meeting will accept additional as CBI. Comments received through the copies: One copy of the document comments or questions from those Web site will waive any CBI claims for marked ‘‘confidential’’ including all the attending, as time permits. The the information submitted. For information believed to be confidential, presiding official will announce any information on submitting CBI, see the and one copy of the document marked further procedural rules or modification Confidential Business Information ‘‘non-confidential’’ with the information of the above procedures that may be section below. believed to be confidential deleted. needed for the proper conduct of the DOE processes submissions made Submit these documents via email or on public meeting. through www.regulations.gov before a CD, if feasible. DOE will make its own A transcript of the public meeting will posting. Normally, comments will be be included in the docket, which can be posted within a few days of being determination about the confidential viewed as described in the Docket submitted. However, if large volumes of status of the information and treat it section at the beginning of this comments are being processed according to its determination. document and will be accessible on the simultaneously, your comment may not Factors of interest to DOE when DOE Web site. In addition, any person be viewable for up to several weeks. evaluating requests to treat submitted may buy a copy of the transcript from Please keep the comment tracking information as confidential include: (1) the transcribing reporter. number that www.regulations.gov A description of the items; (2) whether provides after you have successfully and why such items are customarily D. Submission of Comments uploaded your comment. treated as confidential within the DOE will accept comments, data, and Submitting comments via email, hand industry; (3) whether the information is information regarding this proposed delivery/courier, or mail. Comments and generally known by or available from rule before or after the public meeting, documents submitted via email, hand other sources; (4) whether the but no later than the date provided in delivery, or mail also will be posted to information has previously been made the DATES section at the beginning of www.regulations.gov. If you do not want available to others without obligation this proposed rule. Interested parties your personal contact information to be concerning its confidentiality; (5) an may submit comments, data, and other publicly viewable, do not include it in explanation of the competitive injury to information using any of the methods your comment or any accompanying the submitting person which would described in the ADDRESSES section at documents. Instead, provide your result from public disclosure; (6) when the beginning of this document. contact information in a cover letter. such information might lose its Submitting comments via Include your first and last names, email confidential character due to the www.regulations.gov. The address, telephone number, and passage of time; and (7) why disclosure www.regulations.gov Web page will optional mailing address. The cover of the information would be contrary to require you to provide your name and letter will not be publicly viewable as the public interest. contact information. Your contact long as it does not include any It is DOE’s policy that all comments information will be viewable to DOE comments may be included in the public docket, Building Technologies staff only. Your Include contact information each time without change and as received, contact information will not be publicly you submit comments, data, documents, including any personal information viewable except for your first and last and other information to DOE. If you provided in the comments (except names, organization name (if any), and submit via mail or hand delivery/ information deemed to be exempt from submitter representative name (if any). courier, please provide all items on a public disclosure). If your comment is not processed CD, if feasible, in which case it is not properly because of technical necessary to submit printed copies. No E. Issues on Which DOE Seeks Comment difficulties, DOE will use this telefacsimiles (faxes) will be accepted. Although DOE welcomes comments information to contact you. If DOE Comments, data, and other on any aspect of this proposal, DOE is cannot read your comment due to information submitted to DOE particularly interested in receiving technical difficulties and cannot contact electronically should be provided in comments and views of interested you for clarification, DOE may not be PDF (preferred), Microsoft Word or parties concerning the following issues: able to consider your comment. Excel, WordPerfect, or text (ASCII) file However, your contact information format. Provide documents that are not 1. DOE’s proposed definition of ‘‘water- will be publicly viewable if you include secured, that are written in English, and source heat pump.’’ 2. Any relevant issues that would affect the it in the comment itself or in any that are free of any defects or viruses. test procedures for commercial warm-air documents attached to your comment. Documents should not contain special furnaces. Interested parties are welcome to Any information that you do not want characters or any form of encryption comment on any aspect of these test to be publicly viewable should not be and, if possible, they should carry the procedures as part of this comprehensive 7- included in your comment, nor in any electronic signature of the author. year-review.

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3. Is there a rebound effect in small air- ■ 2. Section 431.75 is amended by manufacturers may wish to begin using cooled three-phase air conditioner and heat revising paragraphs (b) and (c) to read this amended test procedure pump equipment less than 65,000 Btu/h or as follows: immediately. Any representations made water-source heat pump energy use as a with respect to the energy use or result of improvements in the efficiency of § 431.75 Materials incorporated by efficiency of such commercial warm air such units? reference. 4. Would shipments of small air-cooled furnaces must be made in accordance * * * * * with whichever version is selected. three-phase air conditioners and heat pump (b) ANSI. American National equipment less than 65,000 Btu/h or water- (b) Testing. Where this section source heat pump equipment change at more- Standards Institute. 25 W. 43rd Street, prescribes use of ANSI Z21.47–2012 or stringent standard levels? 4th Floor, New York, NY 10036. (212) UL Standard 727–2006 (incorporated by 5. The use of the projected base-case 642–4900 or go to http://www.ansi.org. reference, see § 431.75), perform only efficiency trend of an increase of 1 SEER or (1) ANSI Z21.47–2012, (‘‘ANSI the procedures pertinent to the EER every 35 years for small air-cooled three- Z21.47–2012’’), ‘‘Gas-Fired Central measurement of the steady-state phase air conditioner and heat pump Furnaces,’’ ANSI approved on March efficiency, as specified in paragraph (c) equipment less than 65,000 Btu/h and water- 27, 2012, IBR approved for § 431.76. of this section. source heat pump equipment. (2) [Reserved] (c) Test set-up—(1) Test set-up for 6. Should the mark-ups analysis for water- (c) ASHRAE. American Society of gas-fired commercial warm air furnaces. source heat pumps include national Heating, Refrigerating and Air- accounts? The test set-up, including flue 7. DOE’s methodology for developing Conditioning Engineers Inc., 1791 Tullie requirement, instrumentation, test heating UECs for water-source heat pumps. Circle, NE., Atlanta, Georgia 30329, conditions, and measurements for DOE also seeks relevant data on this issue. (404) 636–8400, or go to: http:// determining thermal efficiency is as 8. The appropriate building types for the www.ashrae.org. specified in sections 1.1 (Scope), 2.1 water-source heat pump energy use analysis, (1) ASHRAE Standard 103–2007, (General), 2.2 (Basic Test which currently include office, education, sections 7.2.2.4, 7.8, 9.2, and 11.3.7, Arrangements), 2.3 (Test Ducts and lodging, multi-family, and healthcare. ‘‘Method of Testing for Annual Fuel Plenums), 2.4 (Test Gases), 2.5 (Test 9. How maintenance costs for water-source Utilization Efficiency of Residential Pressures and Burner Adjustments), 2.6 heat pumps might be expected to differ from Central Furnaces and Boilers,’’ ANSI that for air-source heat pumps. (Static Pressure and Air Flow 10. How repair costs for water-source heat approved on March 25, 2008, IBR Adjustments), 2.39 (Thermal Efficiency), pumps might be expected to differ from that approved for § 431.76. and 4.2.1 (Basic Test Arrangements for for air-source heat pumps. (2) [Reserved] Direct Vent Central Furnaces) of ANSI 11. What is the appropriate retirement * * * * * Z21.47–2012 (incorporated by reference, function for water-source heat pumps? ■ 3. Section 431.76 is revised to read as see § 431.75). The thermal efficiency test 12. The proposed standard levels for water- follows: must be conducted only at the normal source heat pumps, as well as the other inlet test pressure, as specified in efficiency levels considered. § 431.76 Uniform test method for the section 2.5.1 of ANSI Z21.47–2012, and measurement of energy efficiency of at the maximum hourly Btu input rating commercial warm air furnaces. XI. Approval of the Office of the specified by the manufacturer for the Secretary (a) Scope. This section covers the test product being tested. The Secretary of Energy has approved requirements used to measure the (2) Test setup for oil-fired commercial publication of this notice of proposed energy efficiency of commercial warm warm air furnaces. The test setup, rulemaking. air furnaces with a rated maximum including flue requirement, input of 225,000 Btu per hour or more. instrumentation, test conditions, and List of Subjects in 10 CFR Part 431 On and after [DATE 360 DAYS AFTER measurement for measuring thermal PUBLICATION OF THE FINAL RULE Administrative practice and efficiency is as specified in sections 1 IN THE Federal Register], any procedure, Confidential business (Scope), 2 (Units of Measurement), 3 representations made with respect to the information, Energy conservation, (Glossary), 37 (General), 38 and 39 (Test energy use or efficiency of commercial Incorporation by reference, Reporting Installation), 40 (Instrumentation, warm air furnaces must be made in and recordkeeping requirements. except 40.4 and 40.6.2 through 40.6.7, accordance with the results of testing which are not required for the thermal Issued in Washington, DC, on December pursuant to this section. At that time, efficiency test), 41 (Initial Test 23, 2014. you must use the relevant procedures in Conditions), 42 (Combustion Test— Kathleen B. Hogan, ANSI Z21.47–2012 or UL 727–2006 Burner and Furnace), 43.2 (Operation Deputy Assistant Secretary for Energy (incorporated by reference, see Tests), 44 (Limit Control Cutout Test), Efficiency, Energy Efficiency and Renewable § 431.75). On and after [DATE 30 DAYS 45 (Continuity of Operation Test), and Energy. AFTER PUBLICATION OF THE FINAL 46 (Air Flow, Downflow or Horizontal For the reasons set forth in the RULE IN THE Federal Register] and Furnace Test), of UL 727–2006 preamble, DOE proposes to amend part prior to [DATE 360 DAYS AFTER (incorporated by reference, see 431 of Chapter II, Subchapter D, of Title PUBLICATION OF THE FINAL RULE § 431.75). You must conduct a fuel oil 10 of the Code of Federal Regulations as IN THE Federal Register], analysis for heating value, hydrogen set forth below: manufacturers must test commercial content, carbon content, pounds per warm air furnaces in accordance with gallon, and American Petroleum PART 431—ENERGY EFFICIENCY this section or the section as it appeared Institute (API) gravity as specified in PROGRAM FOR CERTAIN at 10 CFR part 430, subpart B in the 10 section 8.2.2 of HI BTS–2000 COMMERCIAL AND INDUSTRIAL CFR parts 200 to 499 edition revised (incorporated by reference, see EQUIPMENT January 1, 2014. DOE notes that, § 431.75). The steady-state combustion because testing under this section is conditions, specified in Section 42.1 of ■ 1. The authority citation for part 431 required as of [DATE 360 DAYS AFTER UL 727–2006, are attained when continues to read as follows: PUBLICATION OF THE FINAL RULE variations of not more than 5 °F in the Authority: 42 U.S.C. 6291–6317. IN THE Federal Register], measured flue gas temperature occur for

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three consecutive readings taken 15 procedure specified in section 2.39, section, to obtain the thermal efficiency minutes apart. Thermal Efficiency, of ANSI Standard of a condensing furnace. (d) Additional test measurements—(1) Z21.47–2012 (incorporated by reference, ■ 4. Section 431.92 is amended by Measurement of flue CO2 (carbon see § 431.75). adding in alphabetical order a definition dioxide) for oil-fired commercial warm (2) Oil-fired commercial warm air for ‘‘Water-source heat pump’’ to read as air furnaces. In addition to the flue furnaces. You must calculate the follows: temperature measurement specified in percent flue loss (in percent of heat section 40.6.8 of UL 727–2006 input rate) by following the procedure § 431.92 Definitions concerning (incorporated by reference, see commercial air conditioners and heat specified in sections 11.1.4, 11.1.5, and pumps. § 431.75), you must locate one or two 11.1.6.2 of the HI BTS–2000 sampling tubes within six inches (incorporated by reference, see * * * * * downstream from the flue temperature § 431.75). The thermal efficiency must Water-source heat pump means a probe (as indicated on Figure 40.3 of UL be calculated as: single-phase or three-phase reverse- 727–2006). If you use an open end tube, cycle heat pump that uses a circulating Thermal Efficiency (percent) = 100 it must project into the flue one-third of water loop as the heat source for heating percent ¥ flue loss (in percent). the chimney connector diameter. If you and as the heat sink for cooling. The use other methods of sampling CO2, you (f) Procedure for the calculation of the main components are a compressor, must place the sampling tube so as to additional heat gain and heat loss, and refrigerant-to-water heat exchanger, obtain an average sample. There must be adjustment to the thermal efficiency, for refrigerant-to-air heat exchanger, no air leak between the temperature a condensing commercial warm air refrigerant expansion devices, probe and the sampling tube location. furnace. (1) You must calculate the refrigerant reversing valve, and indoor You must collect the flue gas sample at latent heat gain from the condensation fan. Such equipment includes, but is not the same time the flue gas temperature of the water vapor in the flue gas, and limited to, water-to-air water-loop heat is recorded. The CO2 concentration of calculate heat loss due to the flue pumps. the flue gas must be as specified by the condensate down the drain, as specified ■ 5. Section 431.97 is amended by: manufacturer for the product being in sections 11.3.7.1 and 11.3.7.2 of ■ a. Revising paragraph (b); tested, with a tolerance of ±0.1 percent. ASHRAE Standard 103–2007 ■ b. Redesignating Tables 4 through 8 as You must determine the flue CO2 using (incorporated by reference, see Tables 5 through 9 respectively, in an instrument with a reading error no § 431.75), with the exception that in the paragraphs (c), (d), (e) and (f); and greater than ±0.1 percent. equation for the heat loss due to hot ■ c. Revising paragraph (c). (2) Procedure for the measurement of condensate flowing down the drain in The revisions read as follows: condensate for a gas-fired condensing section 11.3.7.2, the assumed indoor commercial warm air furnace. The test temperature of 70 °F and the § 431.97 Energy efficiency standards and their compliance dates. procedure for the measurement of the temperature term TOA must be replaced condensate from the flue gas under by the measured room temperature as * * * * * steady-state operation must be specified in section 2.2.8 of ANSI (b) Each commercial air conditioner conducted as specified in sections Z21.47–2012 (incorporated by reference, or heat pump (not including single 7.2.2.4, 7.8, and 9.2 of ASHRAE 103– see § 431.75). package vertical air conditioners and 2007 (incorporated by reference, see (2) Adjustment to the thermal single package vertical heat pumps, § 431.75) under the maximum rated efficiency for condensing furnaces. You packaged terminal air conditioners and input conditions. You must conduct this must adjust the thermal efficiency as packaged terminal heat pumps, condensate measurement for an calculated in paragraph (e)(1) of this computer room air conditioners, and additional 30 minutes of steady-state section by adding the latent gain, variable refrigerant flow systems) operation after completion of the steady- expressed in percent, from the manufactured on or after the state thermal efficiency test specified in condensation of the water vapor in the compliance date listed in the paragraph (c) of this section. flue gas, and subtracting the heat loss corresponding table must meet the (e) Calculation of thermal efficiency— (due to the flue condensate down the applicable minimum energy efficiency (1) Gas-fired commercial warm air drain), also expressed in percent, both standard level(s) set forth in Tables 1, 2, furnaces. You must use the calculation as calculated in paragraph (f)(1) of this 3, and 4 of this section.

TABLE 1 TO § 431.97—MINIMUM COOLING EFFICIENCY STANDARDS FOR AIR-CONDITIONING AND HEATING EQUIPMENT [Not including single package vertical air conditioners and single package vertical heat pumps, packaged terminal air conditioners and packaged terminal heat pumps, computer room air conditioners, and variable refrigerant flow multi-split air conditioners and heat pumps]

Compliance date: equipment Equipment category Cooling capacity Sub-category Heating type Efficiency level manufactured on and after . . .

Small Commercial Packaged <65,000 Btu/h ...... AC ...... All ...... SEER = 13 ...... June 16, 2008. Air-Conditioning and Heat- HP ...... All ...... SEER = 13 ...... June 16, 2008.1 ing Equipment (Air- Cooled, 3-Phase, Split- System). Small Commercial Packaged <65,000 Btu/h ...... AC ...... All ...... SEER = 13 ...... June 16, 2008.1 Air-Conditioning and Heat- HP ...... All ...... SEER = 13 ...... June 16, 2008.1 ing Equipment (Air- Cooled, 3-Phase, Single- Package).

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TABLE 1 TO § 431.97—MINIMUM COOLING EFFICIENCY STANDARDS FOR AIR-CONDITIONING AND HEATING EQUIPMENT— Continued [Not including single package vertical air conditioners and single package vertical heat pumps, packaged terminal air conditioners and packaged terminal heat pumps, computer room air conditioners, and variable refrigerant flow multi-split air conditioners and heat pumps]

Compliance date: equipment Equipment category Cooling capacity Sub-category Heating type Efficiency level manufactured on and after . . .

Small Commercial Packaged ≥65,000 Btu/h and AC ...... No Heating or Electric Re- EER = 11.2 ...... January 1, 2010. Air-Conditioning and Heat- <135,000 Btu/h. sistance Heating. ing Equipment (Air- HP ...... All Other Types of Heating EER = 11.0 ...... January 1, 2010. Cooled). No Heating or Electric Re- EER = 11.0 ...... January 1, 2010. sistance Heating. All Other Types of Heating EER = 10.8 ...... January 1, 2010. Large Commercial Packaged ≥135,000 Btu/h AC ...... No Heating or Electric Re- EER = 11.0 ...... January 1, 2010. Air-Conditioning and Heat- and <240,000 sistance Heating. ing Equipment (Air- Btu/h. HP ...... All Other Types of Heating EER = 10.8 ...... January 1, 2010. Cooled). No Heating or Electric Re- EER = 10.6 ...... January 1, 2010. sistance Heating. All Other Types of Heating EER = 10.4 ...... January 1, 2010. Very Large Commercial ≥240,000 Btu/h AC ...... No Heating or Electric Re- EER = 10.0 ...... January 1, 2010. Packaged Air-Conditioning and <760,000 sistance Heating. and Heating Equipment Btu/h. HP ...... All Other Types of Heating EER = 9.8 ...... January 1, 2010. (Air-Cooled). No Heating or Electric Re- EER = 9.5 ...... January 1, 2010. sistance Heating. All Other Types of Heating EER = 9.3 ...... January 1, 2010. Small Commercial Package <65,000 Btu/h ...... AC ...... All ...... EER = 12.1 ...... October 29, 2003. Air-Conditioning and Heat- ≥65,000 Btu/h and AC ...... No Heating or Electric Re- EER = 12.1 ...... June 1, 2013. ing Equipment (Water- <135,000 Btu/h. sistance Heating. Cooled). All Other Types of Heating EER = 11.9 ...... June 1, 2013. Large Commercial Package ≥135,000 and AC ...... No Heating or Electric Re- EER = 12.5 ...... June 1, 2014. Air-Conditioning and Heat- <240,000 Btu/h. sistance Heating. ing Equipment (Water- All Other Types of Heating EER = 12.3 ...... June 1, 2014. Cooled). Very Large Commercial ≥240,000 and AC ...... No Heating or Electric Re- EER = 12.4 ...... June 1, 2014. Package Air-Conditioning <760,000 Btu/h. sistance Heating. and Heating Equipment All Other Types of Heating EER = 12.2 ...... June 1, 2014. (Water-Cooled). Small Commercial Package <65,000 Btu/h ...... AC ...... All ...... EER = 12.1 ...... October 29, 2003. Air-Conditioning and Heat- ≥65,000 and AC ...... No Heating or Electric Re- EER = 12.1 ...... June 1, 2013. ing Equipment (Evapo- <135,000 Btu/h. sistance Heating. ratively-Cooled). All Other Types of Heating EER = 11.9 ...... June 1, 2013. Large Commercial Package ≥135,000 and AC ...... No Heating or Electric Re- EER = 12.0 ...... June 1, 2014. Air-Conditioning and Heat- <240,000 Btu/h. sistance Heating. ing Equipment (Evapo- All Other Types of Heating EER = 11.8 ...... June 1, 2014. ratively-Cooled). Very Large Commercial ≥240,000 and AC ...... No Heating or Electric Re- EER = 11.9 ...... June 1, 2014. Package Air-Conditioning <760,000 Btu/h. sistance Heating. and Heating Equipment All Other Types of Heating EER = 11.7 ...... June 1, 2014. (Evaporatively-Cooled). Small Commercial Packaged <17,000 Btu/h ...... HP ...... All ...... EER = 11.2 ...... October 29, 2003.2 Air- Conditioning and ≥17,000 Btu/h and HP ...... All ...... EER = 12.0 ...... October 29, 2003.2 Heating Equipment <65,000 Btu/h. (Water-Source: Water-to- ≥65,000 Btu/h and HP ...... All ...... EER = 12.0 ...... October 29, 2003.2 Air, Water-Loop). <135,000 Btu/h. 1 And manufactured before January 1, 2017. See Table 3 of this section for updated efficiency standards. 2 And manufactured before October 9, 2015. See Table 3 of this section for updated efficiency standards.

TABLE 2 TO § 431.97—MINIMUM HEATING EFFICIENCY STANDARDS FOR AIR-CONDITIONING AND HEATING EQUIPMENT [Heat Pumps]

Compliance date: equipment Equipment category Cooling capacity Efficiency level manufactured on and after . . .

Small Commercial Packaged Air-Conditioning and Heating <65,000 Btu/h ...... HSPF = 7.7 ...... June 16, 2008.1 Equipment (Air-Cooled, 3-Phase, Split-System). Small Commercial Packaged Air-Conditioning and Heating <65,000 Btu/h ...... HSPF = 7.7 ...... June 16, 2008.1 Equipment (Air-Cooled, 3-Phase, Single-Package). Small Commercial Packaged Air-Conditioning and Heating ≥65,000 Btu/h and <135,000 COP = 3.3 ...... January 1, 2010. Equipment (Air-Cooled). Btu/h.

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TABLE 2 TO § 431.97—MINIMUM HEATING EFFICIENCY STANDARDS FOR AIR-CONDITIONING AND HEATING EQUIPMENT— Continued [Heat Pumps]

Compliance date: equipment Equipment category Cooling capacity Efficiency level manufactured on and after . . .

Large Commercial Packaged Air-Conditioning and Heating ≥135,000 Btu/h and <240,000 COP = 3.2 ...... January 1, 2010. Equipment (Air-Cooled). Btu/h. Very Large Commercial Packaged Air-Conditioning and Heat- ≥240,000 Btu/h and <760,000 COP = 3.2 ...... January 1, 2010. ing Equipment (Air-Cooled). Btu/h. Small Commercial Packaged Air-Conditioning and Heating <135,000 Btu/h ...... COP = 4.2 ...... October 29, 2003.2 Equipment (Water-Source: Water-to-Air, Water-Loop). 1 And manufactured before January 1, 2017. See Table 3 of this section for updated efficiency standards. 2 And manufactured before October 9, 2015. See Table 3 of this section for updated efficiency standards.

TABLE 3 TO § 431.97—UPDATES TO THE MINIMUM COOLING EFFICIENCY STANDARDS FOR CERTAIN AIR-CONDITIONING AND HEATING EQUIPMENT

Compliance date: equip- Equipment category Cooling capacity Sub-category Heating type Efficiency level ment manufactured on and after . . .

Small Commercial Packaged <65,000 Btu/h ...... AC ...... All ...... SEER = 13.0 ...... June 16, 2008. Air-Conditioning and Heat- ing Equipment (Air- Cooled, 3-Phase, Split- System). HP ...... All ...... SEER = 14.0 ...... January 1, 2017. Small Commercial Packaged <65,000 Btu/h ...... AC ...... All ...... SEER = 14.0 ...... January 1, 2017. Air-Conditioning and Heat- ing Equipment (Air- Cooled, 3-Phase, Single- Package). HP ...... All ...... SEER = 14.0 ...... January 1, 2017. Small Commercial Packaged <17,000 Btu/h ...... HP ...... All ...... EER = 12.2 ...... October 9, 2015. Air-Conditioning and Heat- ing Equipment (Water- Source: Water-to-Air, Water-Loop). ≥17,000 Btu/h and HP ...... All ...... EER = 13.0 ...... October 9, 2015. <65,000 Btu/h. ≥65,000 Btu/h and HP ...... All ...... EER = 13.0 ...... October 9, 2015. <135,000 Btu/h.

TABLE 4 TO § 431.97—UPDATES TO THE MINIMUM HEATING EFFICIENCY STANDARDS FOR CERTAIN AIR-CONDITIONING AND HEATING EQUIPMENT [Heat pumps]

Compliance date: equipment Equipment category Cooling capacity Efficiency level manufactured on and after . . .

Small Commercial Packaged Air-Conditioning and Heating Equipment (Air- <65,000 Btu/h ...... HSPF = 8.2 ...... January 1, 2017. Cooled, 3-Phase, Split-System). Small Commercial Packaged Air-Conditioning and Heating Equipment (Air- <65,000 Btu/h ...... HSPF = 8.0 ...... January 1, 2017. Cooled, 3-Phase, Single-Package). Small Commercial Packaged Air-Conditioning and Heating Equipment (Water- <135,000 Btu/h ...... COP = 4.3 ...... October 9, 2015. Source: Water-to-Air, Water-Loop).

(c) Each packaged terminal air size PTACs and PTHPs) must meet the (for non-standard size PTACs and conditioner (PTAC) and packaged applicable minimum energy efficiency PTHPs) must meet the applicable terminal heat pump (PTHP) standard level(s) set forth in Table 5 of minimum energy efficiency standard manufactured on or after January 1, this section. Each PTAC and PTHP level(s) set forth in Table 6 of this 1994, and before October 8, 2012 (for manufactured on or after October 8, section. standard size PTACs and PTHPs) and 2012 (for standard size PTACs and * * * * * before October 7, 2010 (for non-standard PTHPs) and on or after October 7, 2010

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■ 6. Section 431.110 is revised to read § 431.110 Energy conservation standards water storage tank and hot water supply as follows: and their effective dates. boiler 1 must meet the applicable energy Each commercial storage water heater, conservation standard level(s) as instantaneous water heater, unfired hot follows:

Energy conservation standard a Minimum thermal Minimum efficiency thermal c (equipment efficiency Equipment category Size Maximum standby loss manufactured on (equipment (equipment manufactured on and b and after manufactured on after October 29, 2003) October 29, and after 2003 and before October 9, October 9, 2015) b 2015) b

Electric storage water heaters ...... All ...... 0.30 + 27/Vm (%/hr) ...... N/A ...... N/A. 1/2 Gas-fired storage water heaters ...... ≤155,000 Btu/hr ...... Q/800 + 110(Vr) (Btu/hr) ...... 80% ...... 80%. 1/2 >155,000 Btu/hr ...... Q/800 + 110(Vr) (Btu/hr) ...... 80% ...... 80%. 1/2 Oil-fired storage water heaters ...... ≤155,000 Btu/hr ...... Q/800 + 110(Vr) (Btu/hr) ...... 78% ...... 80%. 1/2 >155,000 Btu/hr ...... Q/800 + 110(Vr) (Btu/hr) ...... 78% ...... 80%. Gas-fired instantaneous water heaters and <10 gal ...... N/A ...... 80% ...... 80%. hot water supply boilers. 1/2 ≥10 gal ...... Q/800 + 110(Vr) (Btu/hr) ...... 80% ...... 80%. Oil-fired instantaneous water heaters and hot <10 gal ...... N/A ...... 80% ...... 80%. water supply boilers. 1/2 ≥10 gal ...... Q/800 + 110(Vr) (Btu/hr) ...... 78% ...... 78%. Equipment category Size Minimum thermal insulation

Unfired hot water storage tank ...... All ...... R–12.5

a Vm is the measured storage volume, and Vr is the rated volume, both in gallons. Q is the nameplate input rate in Btu/hr. b For hot water supply boilers with a capacity of less than 10 gallons: (1) The standards are mandatory for products manufactured on and after October 21, 2005, and (2) products manufactured prior to that date, and on or after October 23, 2003, must meet either the standards listed in this table or the applicable standards in subpart E of this part for a ‘‘commercial packaged boiler.’’ c Water heaters and hot water supply boilers having more than 140 gallons of storage capacity need not meet the standby loss requirement if: (1) The tank surface area is thermally insulated to R–12.5 or more; (2) a standing pilot light is not used; and (3) for gas or oil-fired storage water heaters, they have a fire damper or fan assisted combustion.

[FR Doc. 2014–30839 Filed 1–7–15; 8:45 am] BILLING CODE 6450–01–P

1 Any packaged boiler that provides service water, boiler’’ in subpart E of this part, but does not meet subpart, must meet the requirements that apply to that meets the definition of ‘‘commercial packaged the definition of ’’ hot water supply boiler’’ in this it under subpart E.

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Part IV

Federal Communications Commission

47 CFR Parts 1 and 17 Acceleration of Broadband Deployment by Improving Wireless Facilities Siting Policies; Final Rule

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FEDERAL COMMUNICATIONS Portals II, 445 12th Street SW., Room do not consider the scale of small COMMISSION CY–B402, Washington, DC 20554; the wireless facility deployments. contractor’s Web site, http:// 3. Thus, while small wireless 47 CFR Parts 1 and 17 www.bcpiweb.com; or by calling (800) technologies are increasingly deployed 378–3160, facsimile (202) 488–5563, or [WT Docket Nos. 13–238, 13–32; WC Docket to meet the growing demand for high email [email protected]. Copies of No. 11–59; FCC 14–153] mobile data speeds and ubiquitous the R&O also may be obtained via the coverage, the Commission’s rules and Acceleration of Broadband Commission’s Electronic Comment processes under NEPA and section 106, Deployment by Improving Wireless Filing System (ECFS) by entering the Facilities Siting Policies docket number WT Docket 13–238. even as modified over time, have not Additionally, the complete item is reflected those technical advances. AGENCY: Federal Communications available on the Federal Accordingly, the Commission concludes Commission. Communications Commission’s Web that it will serve the public interest to ACTION: Final rule. site at http://www.fcc.gov. update its environmental and historic preservation rules in large measure to I. NEPA and NHPA Review of Small SUMMARY: In this document, the Federal account for innovative small facilities, Wireless Facilities Communications Commission and the Commission takes substantial (Commission) adopts rules to update 1. The Commission first adopts steps to advance the goal of widespread and tailor the manner in which it measures to update its review processes wireless deployment, including evaluates the impact of proposed under the National Environmental clarifying and amending its categorical deployments of wireless infrastructure Policy Act of 1969 (NEPA) and section exclusions. The Commission concludes on the environment and historic 106 of the National Historic that these categorical exclusions, as properties. The Commission also adopts Preservation Act of 1966 (NHPA or codified in Section 1.1306(c) and Note rules to clarify and implement statutory section 106), with a particular emphasis 1 of its rules, do not have the potential requirements applicable to State and on accommodating new wireless local governments in their review of technologies that use smaller antennas for individually or cumulatively wireless infrastructure siting and compact radio equipment to significant environmental impacts. The applications, and it adopts an provide mobile voice and broadband Commission finds that these exemption from its environmental service. These technologies, including clarifications and amendments will public notification process for towers distributed antenna systems (DAS), serve both the industry and the that are in place for only short periods small cells, and others, can be deployed conservation values its review process of time. Taken together, these steps will on a variety of non-traditional structures was intended to protect. These steps reduce the cost and delays associated such as utility poles, as well as on will eliminate many unnecessary review with facility siting and construction, rooftops and inside buildings, to processes and the sometimes and thereby facilitate the delivery of enhance capacity or fill in coverage cumbersome compliance measures that more wireless capacity in more gaps. Updating the Commission’s accompany them, relieving the industry locations to consumers throughout the environmental and historic preservation of review process requirements in cases United States. rules will enable these innovations to where they are not needed. These steps DATES: Effective February 9, 2015, flourish, delivering more broadband will advance the goal of spurring except for § 1.40001, which shall be service to more communities, while efficient wireless broadband effective April 8, 2015; however, reducing the need for potentially deployment while also ensuring that the §§ 1.40001(c)(3)(i), 1.40001(c)(3)(iii), intrusive new construction and Commission continues to protect 1.140001(c)(4), and 17.4(c)(1)(vii), safeguarding the values the rules are environmental and historic preservation which have new information collection designed to protect. 2. The Commission’s environmental values. requirements, will not be effective until and historic preservation rules have approved by the Office of Management A. NEPA Categorical Exclusions traditionally been directed toward the and Budget (OMB). The Commission deployment of macrocells on towers and 1. Regulatory Background will publish a document in the Federal other tall structures. Since 1974, these Register announcing OMB approval and 4. Section 1.1306 (Note 1) clarifies rules have excluded collocations of the relevant effective date. antennas from most of the requirements that the requirement to file an FOR FURTHER INFORMATION CONTACT: under the Commission’s NEPA review Environmental Assessment (EA) under Peter Trachtenberg, Spectrum and process, recognizing the benefits to the section 1.1307(a) generally does not Competition Policy Division, Wireless environment and historic properties apply to ‘‘the mounting of antenna(s) on Telecommunications Bureau, (202) 418– from the use of existing support an existing building or antenna tower’’ 7369, email [email protected]. structures over the construction of new or to the installation of wire or cable in SUPPLEMENTARY INFORMATION: This is a structures. These exclusions have an existing underground or aerial summary of the Commission’s Report limitations. The collocation exclusion corridor, even if an environmentally and Order (R&O), WT Docket Nos. 13– under NEPA, which was first sensitive circumstance identified in 238, 13–32; WC Docket No. 11–59; FCC established in 1974, on its face section 1.1307(a) is present. Note 1 14–153, adopted October 17, 2014 and encompasses only deployments on reflects a preference first articulated by released October 21, 2014. The full text existing towers and buildings, as these the Commission in 1974, and codified of this document is available for were the only support structures widely into Note 1 in 1986, that ‘‘[t]he use of inspection and copying during business used 40 years ago, and does not existing buildings, towers or corridors is hours in the FCC Reference Information encompass collocations on existing an environmentally desirable alternative Center, Portals II, 445 12th Street SW., utility poles, for example. The to the construction of new facilities and Room CY–A257, Washington, DC 20554. collocation exclusions in the is encouraged.’’ Also, it may be purchased from the Commission’s process for historic Commission’s duplicating contractor at preservation review under section 106

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2. Antennas Mounted on Existing on existing towers and buildings will encompass the on-site equipment Buildings and Towers not have significant effects, and with the associated with the antenna, including a. Clarification of ‘‘Antenna’’ Commission’s experience administering backup power sources. Further, the the NEPA process, in which a need for such power sources at tower 5. The Commission first clarifies that collocation has never been identified by sites is largely undisputed, as backup the term ‘‘antenna’’ as used in Note 1 the Commission or the public to have power is critical for continued service in encompasses all on-site equipment caused a significant environmental the event of natural disasters or other associated with the antenna, including effect. The Commission further notes power disruptions—times when the transceivers, cables, wiring, converters, that the proffered examples appear to need and demand for such service is power supplies, equipment cabinets and confuse consideration under the often at its greatest. The Commission shelters, and other comparable Commission’s NEPA process with amends Note 1 to clarify that the equipment. The Commission concludes review under local process, which the categorical exclusion encompasses that this is the only logically consistent Commission does not address here. To equipment associated with the antenna, interpretation of the term, as associated the extent that rare circumstances exist including the critical component of equipment is a standard part of such where ‘‘even the smallest change could backup power. collocations, and the antennas subject to result in a significant effect, based on 9. Finally, the Commission notes that NEPA review cannot operate without it. the intrinsic sensitivity of a particular sections 1.1306(b)(1)–(3) and 1.1307(c) Thus, interpreting the term ‘‘antenna’’ resource,’’ the Commission concludes and (d) of its rules provide for situations as omitting associated equipment would that such extraordinary circumstances where environmental concerns are eviscerate the categorical exclusion by are appropriately addressed through presented and, as called for by the requiring routine NEPA review for sections 1.1307(c) and (d), as necessary. requirement that categorical exclusions nearly every collocation. Such an 7. The Commission finds include consideration of extraordinary interpretation would frustrate the unpersuasive Tempe’s argument that the circumstances, closer scrutiny and categorical exclusion’s purpose. The NEPA categorical exclusion for potential additional environmental Commission also notes that its collocation should not encompass review are appropriate. The interpretation of ‘‘antenna’’ in this backup generators in particular. Tempe Commission concludes that individual context is consistent with how the argues that generators cause ‘‘fumes, cases presenting extraordinary Commission has defined the term noise, and the potential for exposure to circumstances in which collocated ‘‘antenna’’ in the comparable context of hazardous substances if there is a leak generators or other associated its process for reviewing effects of or a spill’’ and ‘‘should not be allowed equipment may have a significant effect proposed deployments on historic to be installed without the appropriate on the environment, including cases in properties. Specifically, the oversight.’’ The Wireless which closely spaced generators may Commission’s section 106 historic Telecommunications Bureau addressed have a significant cumulative effect or preservation review is governed by two all of these potential impacts in its Final where the deployment of such programmatic agreements, and in both, Programmatic Environmental generators would violate local codes in the term ‘‘antenna’’ encompasses all Assessment for the Antenna Structure a manner that raises environmental associated equipment. Registration Program (PEA), and did not concerns, will be adequately addressed 6. Further, if associated equipment find any to be significant. Tempe’s own through these provisions. presented significant concerns, the comments, moreover, confirm that b. Antennas Mounted in the Interior of Commission would expect that backup generators are already subject to Buildings otherwise excluded collocations that extensive local, State, and Federal included such equipment would, at regulation, suggesting that further 10. The Commission clarifies that the some point over the past 40 years, have oversight from the Commission would existing NEPA categorical exclusion for been subject to environmental not meaningfully augment existing mounting antennas ‘‘on’’ existing objections or petitions to deny. The environmental safeguards. In assessing buildings applies to installations in the Commission is unaware of any such environmental effect, an agency may interior of existing buildings. An objections or petitions directed at factor in an assumption that the action antenna mounted on a surface inside a backup generators or any other is performed in compliance with other building is as much ‘‘on’’ the building associated equipment, or of any past applicable regulatory requirements in as an antenna mounted on a surface on EAs that found any significant the absence of a basis in the record the exterior, and the Commission finds environmental effect from such beyond mere speculation that the action nothing in the language of the equipment. The Commission finds some threatens violations of such categorical exclusion, in the adopting commenters’ generalized assertions of a requirements. Tempe’s comments order, or in the current record risk of environmental effects to be support the Commission’s conclusion supporting a distinction between unpersuasive, and the Commission that such regulations applicable to collocations on the exterior or in the reaffirms that the collocations covered backup generators address Tempe’s interior that would limit the scope of by Note 1, including the collocation of concerns. The Commission finds that the categorical exclusion to exterior associated equipment addressed by its cell sites with such generators will collocations. To the contrary, it is even clarification, will not individually or rarely if ever be grouped in sufficient more likely that indoor installations will cumulatively have a significant effect on proximity to present a risk of have no significant environmental the human environment. While cumulative effects. effects in the environmentally sensitive Alexandria et al. submit a declaration 8. The Commission finds no reason to areas in which proposed deployments from Joseph Monaco asserting that interpret ‘‘antenna’’ in the Note 1 NEPA would generally trigger the need to ‘‘[m]inor additions to existing facilities collocation categorical exclusion to omit prepare an EA, such as wilderness areas, could have significant effects even if backup generators or other kinds of wildlife preserves, and flood plains. The only incremental to past disturbances,’’ backup power equipment. The existing Note 1 collocation categorical the Commission finds this position is Commission finds that the term exclusion reflects a finding that inconsistent with the Commission’s ‘‘antenna’’ as used in the categorical collocations do not individually or finding that the mounting of antennas exclusion should be interpreted to cumulatively have a significant effect on

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the human environment, even if they c. Antennas Mounted on Other support this determination, and would otherwise trigger the requirement Structures opponents offer no persuasive basis to of an EA under the criteria identified in 11. The Commission adopts its distinguish the environmental effects of sections 1.1307(a)(1)–(3) and (5)–(8). proposal to extend the categorical collocations on antenna towers and The Commission finds that this exclusion for collocations on towers and buildings from the effects of conclusion applies equally or even more buildings to collocations on other collocations on other existing structures. strongly to an antenna deployed inside existing man-made structures. The Indeed, in this regard, the Commission a building than to one on its exterior, Commission concludes that notes that buildings and towers, which since the building’s exterior structure deployments covered by this extension are already excluded under Note 1, are typically taller than structures such as would serve as a buffer against any will not individually or cumulatively utility poles and road signs. While some effects. The Commission notes that the have a significant impact on the human environment. The Commission updates commenters raise concerns about First Responder Network Authority possible water-tank contamination or the categorical exclusion adopted as (FirstNet), the National driver distraction, these concerns do not part of Note 1 in 1986 to reflect the Telecommunications and Information present persuasive grounds to limit the modern development of wireless Administration (NTIA), and other categorical exclusion. Under sections technologies that can be collocated on a agencies have adopted categorical 1.1306(a) and (b), collocations on much broader range of existing exclusions covering internal structures such as water tanks and road structures. This measure will facilitate modifications and equipment additions signs are already categorically excluded collocations and speed deployment of inside buildings and structures. For from the obligation to file an EA unless wireless broadband to consumers example, in adopting categorical they occur in the environmentally without significantly affecting the exclusions as part of its implementation sensitive circumstances identified in environment. sections 1.1307(a) or (b) (such as in of the Broadband Technology 12. In finding that it is appropriate to wildlife preserves or flood plains). Opportunities Program, NTIA noted that broaden the categorical exclusion Nothing in the record leads the excluding interior modifications and contained in section 1.1306 Note 1 to Commission to find that collocations in equipment additions reflects long- apply to other structures, the such sensitive areas that currently standing categorical exclusions and Commission relies in part on its prior require EAs present greater risks of administrative records, including in findings regarding the environmental particular ‘‘the legacy categorical water tank contamination or driver effects of collocations. In implementing distraction than collocations outside exclusions from the U.S. Department of NEPA requirements in 1974, for Agriculture, U.S. Department of such areas. For similar reasons, the example, the Commission found that Commission is also not persuaded by Homeland Security, and the Federal mounting an antenna on an existing Springfield’s argument that extending Emergency Management Agency.’’ building or tower ‘‘has no significant the categorical exclusion to other While a Federal agency cannot apply aesthetic effect and is environmentally structures without ‘‘qualifying another agency’s categorical exclusion preferable to the construction of a new delimitations for how DAS facilities are to a proposed Federal action, it may tower, provided there is compliance defined and where they may be substantiate a categorical exclusion of with radiation safety standards.’’ In installed may have unacceptable its own based on another agency’s revising its NEPA rules in 1986, the impacts on historic and other sensitive experience with a comparable Commission found that antennas neighborhoods.’’ Springfield offers no categorical exclusion. This long- mounted on towers and buildings are argument to explain why the NEPA standing practice of numerous agencies among those deployments that will categorical exclusion for collocations on that conduct comparable activities, normally have no significant impact on utility poles should be more restrictive reflecting experience that confirms the the environment. The Commission notes than the exclusion for collocations on propriety of the categorical exclusion, in particular that collocations will buildings. Moreover, the Commission provides further support for the typically add only marginal if any extra notes that the NEPA categorical conclusion that internal collocations height to a structure, and that in 2011, exclusion the Commission addresses will not individually or cumulatively in a proceeding addressing the here does not exclude the proposed have a significant effect on the human Commission’s NEPA requirements with collocation from NHPA review for environment. With respect to Tempe’s respect to migratory birds, the effects on historic properties or historic concern about generators being placed Commission reaffirmed that collocations districts. on towers and buildings are unlikely to inside buildings as the result of 14. The Commission also notes that have environmental effects and thus collocations, the Commission relies on the exclusion from section 106 review such collocations are categorically local building, noise, and safety in the Collocation Agreement is not excluded from review for impact on regulations to address these concerns, limited to collocations on towers and birds. Further, given that towers and buildings but also specifically includes and the Commission anticipates that buildings are typically much taller than collocations on other existing non-tower such regulations will almost always other man-made structures on which structures. Further, the U.S. Fish and require generators to be outside of any antennas will be collocated, the Wildlife Service has found collocations residential buildings where their use Commission expects that there will be on existing non-tower structures to be would present health or safety concerns even less potential for significant effects environmentally desirable with regard or else place very strict requirements on on birds from collocations on such other to impacts on birds, noting that they any placement in the interior. The structures. will in virtually every circumstance Commission finds it appropriate to 13. In the Infrastructure NPRM, the have less impact than would amend Note 1 to clarify that the Note 1 Commission tentatively concluded that construction of a new tower. collocation categorical exclusion applies the same determination applies with 15. Considering that collocating on to the mounting of antennas in the regard to collocations on other these structures is necessary for interior of buildings as well as the structures such as utility poles and broadband deployment, and in light of exterior. water towers. Numerous commenters the environmental benefits of

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encouraging collocation rather than the and there could well be a greater be no construction or excavation more construction of new structures, the potential outside the right-of-way for than 30 feet beyond the existing antenna Commission finds that extending the visual impact or new or significant structure property. Further, given that categorical exclusion to other structures ground disturbance that might have the the industry now has almost a decade of advances the public interest and meets potential for significant environmental experience applying this substantial its obligations under NEPA. effects. Finally, the record supports the increase test to construction in the conclusion that a categorical exclusion rights-of-way under the NPA exclusion, 3. Categorical Exclusion of Deployments limited to deployments within the and in light of the efficiencies to be in Communications or Utilities Rights- rights-of-way will address most of the gained from using a similar test here, of-Way deployments that would be covered by the Commission finds the Collocation 16. The Commission adopts a a categorical exclusion that also Agreement test, as modified here, to be categorical exclusion for certain encompassed deployments nearby. appropriate in this context. wireless facilities deployed in above- Sprint, for example, emphasizes that 21. The Commission concludes that ground utility and communications ‘‘many DAS and small cells will be facilities subject to this categorical rights-of-way. The Commission finds attached to existing structures and exclusion will not have a significant that such deployments will not installed within utility rights-of-way effect on the environment either individually or cumulatively have a corridors.’’ individually or cumulatively, and that significant effect on the environment. 19. For purposes of this categorical the categorical exclusion is appropriate. Given that DAS and small-cell nodes are exclusion, the Commission defines a In the NPA Report and Order, 70 FR 556 often deployed in communications and substantial increase in size in similar Jan 4, 2005, the Commission found that utilities rights-of-way, the Commission fashion to how it is defined in the excluding construction in utilities or concludes that the categorical exclusion Collocation Agreement. Thus, a communications rights-of-way from will significantly advance the deployment would result in a historic preservation review was deployment of such facilities in a substantial increase in size if it would: warranted because, ‘‘[w]here such manner that safeguards environmental (1) Exceed the height of existing support structures will be located near existing values. structures that are located in the right- similar poles, . . . the likelihood of an 17. Specifically, this categorical of-way within the vicinity of the incremental adverse impact on historic exclusion, which the Commission proposed construction by more than properties is minimal.’’ The incorporates into its rules as section 10% or twenty feet, whichever is Commission finds that the potential 1.1306(c), covers construction of greater; (2) involve the installation of incremental impacts on the wireless facilities, including more than four new equipment cabinets environment are similarly minimal. deployments on new or replacement or more than one new equipment Indeed, deploying these facilities should poles, only if: (1) The facility will be shelter; (3) add an appurtenance to the rarely involve more than minimal new located in a right-of-way that is body of the structure that would ground disturbance, given that designated by a Federal, State, local, or protrude from the edge of the structure constructing the existing facilities likely Tribal government for communications more than twenty feet, or more than the disturbed the ground already and given towers, above-ground utility width of the structure at the level of the the limitations on the size of any new transmission or distribution lines, or appurtenance, whichever is greater poles. Moreover, any new pole will also any associated structures and (except that the deployment may exceed cause minimal visual effect because by equipment; (2) the right-of-way is in this size limit if necessary to shelter the definition comparable structures must active use for such designated purposes; antenna from inclement weather or to already exist in the vicinity of the new and (3) the facility will not constitute a connect the antenna to the tower via deployment in that right-of-way, and substantial increase in size over existing cable); or (4) involve excavation outside new poles covered by this categorical support structures that are located in the the current site, defined as the area that exclusion will not be substantially right-of-way within the vicinity of the is within the boundaries of the leased or larger. Further, because such corridors proposed construction. owned property surrounding the are already employed for utility or 18. Although the Commission sought deployment or that is in proximity to communications uses, and the new comment, in the Infrastructure NPRM, the structure and within the boundaries deployments will be comparable in size on whether to adopt a categorical of the utility easement on which the to such existing uses, these additional exclusion that covered facilities also facility is to be deployed, whichever is uses are unlikely to trigger new NEPA located within fifty feet of a more restrictive. concerns. Any such concerns would communications or utility right-of-way, 20. The Commission notes that it has have already been addressed when such similar to the exclusion from section found a similar test appropriate in other corridors were established, and the size 106 review in section III.E. of the contexts, including under its of the deployments the Commission National Programmatic Agreement environmental rules. In particular, the categorically excludes will not be (NPA), the Commission limits its NEPA first three criteria that the Commission substantial enough to raise the prospect categorical exclusion to facilities specifies above to define the scope of of cumulative effects. deployed within existing the NEPA rights-of-way categorical 22. The Commission also finds communications and utility rights-of- exclusion also define the scope of the support for these conclusions in the way. Industry commenters that support rights-of-way exclusion from historic categorical exclusions adopted by other applying the categorical exclusion to preservation review under the NPA. agencies, including FirstNet. In deployments within fifty feet of a right- Similarly, for purposes of Antenna establishing its own categorical of-way do not explain why the Structure Registration, the Commission exclusions, FirstNet noted as part of its conclusion that deployments in the does not require environmental notice Administrative Record that its right-of-way will not have a significant for a proposed tower replacement if, anticipated activities in constructing a effect on the human environment also among other criteria, the deployment nationwide public safety broadband apply outside of a right-of-way. Such will not cause a substantial increase in network would primarily include ‘‘the ground would not necessarily be in size under the first three criteria of the installation of cables, cell towers, active use for the designated purposes, Collocation Agreement, and there will antenna collocations, buildings, and

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power units,’’ for example in connection Commission noted in connection with is not limited by section 1.1307(a)(4) with ‘‘Aerial Plant/Facilities,’’ deployments on structures other than (section 106 review) or 1.1307(b) (RF ‘‘Towers,’’ ‘‘Collocations,’’ ‘‘Power communications towers and buildings, emissions), while collocations on Units,’’ and ‘‘Wireless such concerns do not currently warrant existing buildings or towers are subject Telecommunications Facilit[ies.]’’ It the submission of an EA. Rather, EAs to these provisions. The Commission defined a ‘‘Wireless are routinely required for deployments notes that even parties advocating an Telecommunications Facility’’ as ‘‘[a]n in communications or utility rights-of- extension of the categorical exclusion installation that sends and/or receives way only if they meet one of the criteria for installation of wire and cable to radio frequency signals, including specified in section 1.1307(a) or (b). additional telecommunications directional, omni-directional, and Deployments in the communications or components concede that the extension parabolic antennas, structures, or towers utility rights-of-way have never been should not apply to review of RF (no more than 199 feet tall with no guy identified in the Commission’s rules as emissions exposure, as the existing wires), to support receiving and/or an environmentally sensitive category; categorical exclusion does. This transmitting devices, cabinets, indeed, the use of such rights-of-way for distinction underscores that the existing equipment rooms, accessory equipment, antenna deployments is categorical exclusion of cables and and other structures, and the land or environmentally desirable as compared wires in aerial and underground structure on which they are all to deployments in other areas. Finally, corridors is based on an analysis that situated.’’ To address its NEPA the Commission finds it unnecessary to does not directly apply to other obligations in connection with these adopt Tempe’s proposed limitation, communications facilities. activities, FirstNet adopted a number of whether it is properly understood as a B. NHPA Exclusions categorical exclusions, including a proposal to categorically exclude only categorical exclusion for ‘‘[c]onstruction one non-substantial increase at a 1. Regulatory Background of wireless telecommunications particular site or in the same general facilities involving no more than five 26. Section 1.1307(a)(4) of the vicinity, as such limitation has proven Commission’s rules directs licensees acres (2 hectares) of physical unnecessary in the context of historic disturbance at any single site.’’ In and applicants, when determining preservation review. Having concluded whether a proposed action may affect adopting this categorical exclusion, that wireless facility deployments in FirstNet found that it was ‘‘supported by historic properties, to follow the communications or utility rights-of-way procedures in the rules of the Advisory long-standing categorical exclusions and have no potentially significant administrative records. In particular, Council on Historic Preservation environmental effects individually or (ACHP) as modified by the Collocation these include categorical exclusions cumulatively, the Commission finds no from the U.S. Department of Commerce, Agreement and the NPA, two basis to limit the number of times such programmatic agreements that took U.S. Department of Agriculture, and a categorical exclusion is used either at U.S. Department of Energy.’’ effect in 2001 and 2005, respectively. a particular site or in the same general The Collocation Agreement excludes 23. The Commission finds that vicinity. Indeed, the categorical FirstNet’s anticipated activities collocations on buildings or other non- exclusion encourages an tower structures outside of historic encompass the construction of wireless environmentally responsible approach facilities and support structures in the districts from routine section 106 review to deployment given that, as Note 1 and unless: (1) The structure is inside the rights-of-way, and are therefore section 1.1306(c) make clear, the use of comparable to the wireless facility boundary of a historic district, or it is existing corridors ‘‘is an deployments the Commission addresses within 250 feet of the boundary of a environmentally desirable alternative to here. Further, the Commission notes historic district and the antenna is the construction of new facilities.’’ And, that the categorical exclusions adopted visible from ground level within the apart from environmental by FirstNet are broader in scope than historic district; (2) the structure is a considerations, it would be contrary to the categorical exclusion the designated National Historic Landmark the public interest to unnecessarily limit Commission adopts for facilities or is listed in or eligible for listing in the the application of this categorical deployed within existing rights-of-way. National Register of Historic Places exclusion. The Commission further notes that (National Register); (3) the structure is several other agencies have found it 25. To the extent that commenters over 45 years old; or (4) the proposed appropriate to categorically exclude propose extending the Note 1 aerial and collocation is the subject of a pending other activities in existing rights-of-way underground corridor categorical complaint alleging adverse effect on unrelated to telecommunications. exclusion to include components of historic properties. 24. The Commission finds that the telecommunications systems other than 2. New Exclusions categorical exclusion addresses some wires and cables, the Commission concerns raised by municipalities, and declines to do so. The Commission finds 27. In addition to seeking comment on the Commission finds that other that the new section 1.1306(c) whether the Commission should add an concerns they raise are not relevant to categorical exclusion the Commission exclusion from section 106 review for the environmental review process. First, adopts for deployments in DAS and small cells generally, the the Commission notes that the communications or utilities rights-of- Infrastructure NPRM sought comment categorical exclusion it adopts addresses way will provide substantial and on whether to expand the existing Coconut Creek’s objection to above- appropriate relief, and that the record in categorical exclusion for collocations to ground deployments in areas with no this proceeding does not justify a further cover collocations on structures subject above-ground infrastructure because the expansion of the Note 1 categorical to review solely because of the Commission limits it to rights-of-way in exclusion. Further, the existing Note 1 structure’s age—that is, to deployments active use for above-ground utility categorical exclusion for wires and that are more than 45 years old but that structures or communications towers. cables in underground and aerial are not (1) inside the boundary of a Second, concerns about hazards to corridors is broader than the categorical historic district, or within 250 feet of the vehicular or pedestrian traffic are exclusion for installations on existing boundary of a historic district; (2) logically inapplicable. As the buildings or antenna towers because it located on a structure that is a

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designated National Historic Landmark to immediately adopt targeted The Commission’s action here is or is listed in or eligible for listing in the exclusions from its section 106 review consistent with its determination in the National Register; or (3) the subject of a process that will apply to small facilities NPA to apply a categorical exclusion pending complaint alleging adverse (and in some instances larger antennas) based upon a structure’s proximity to a effect on historic properties. in many circumstances and thereby property listed in or eligible to be listed 28. As an initial matter, the substantially advance the goal of in the National Register rather than Commission finds no basis to hold facilities deployment. The Commission whether a structure is over 45 years old categorically that small wireless may exclude activities from section 106 regardless of eligibility. Consistent with facilities such as DAS and small cells review upon determining that they have section 800.3(a)(1), the Commission are not Commission undertakings. no potential to cause effects to historic finds collocations meeting the While PCIA argues that small facilities properties, assuming such properties are conditions stated above have no could be distinguished, it does not present. As discussed in detail below, potential to affect historic properties identify any characteristic of such the Commission finds two targeted even if such properties are present. The deployments that logically removes circumstances that meet this test, one Commission nevertheless finds it them from the analysis applicable to applicable to utility structures and the appropriate to limit the adopted other facilities. Having determined that other to buildings and any other non- exclusions. Given the sensitivities DAS and small cell deployments tower structures. Pursuant to these articulated in the record, particularly constitute Federal undertakings subject findings the Commission establishes those from the National Conference of to section 106, the Commission two exclusions. State Historic Preservation Officers considers its authority based on section 31. First, the Commission excludes (NCSHPO) and other individual 800.3(a)(1) of ACHP’s rules to exclude collocations on existing utility commenting SHPOs, regarding such small facility deployments from structures, including utility poles and deployments in historic districts or on section 106 review. It is clear under the electric transmission towers, to the historic properties, the Commission terms of section 800.3(a)(1) that a extent they are not already excluded in concludes that any broader exclusions Federal agency may determine that an the Collocation Agreement, if: (1) The require additional consultation and undertaking is a type of activity that consideration, and are more collocated antenna and associated does not have the potential to cause appropriately addressed and developed equipment, when measured together effects to historic properties, assuming through the program alternative process with any other wireless deployment on historic properties were present, in that Commission staff have already the same structure, meet specified size which case, ‘‘the agency has no further begun. obligations under section 106 or this limitations; and (2) the collocation will part [36 part 800, subpart B].’’ involve no new ground disturbance. a. Collocations on Utility Structures 29. The commenters that propose a Second, the Commission excludes 32. Pursuant to section 800.3(a)(1) of general exclusion for DAS and small collocations on a building or other non- ACHP’s rules, the Commission finds cell deployments assert that under any tower structure, to the extent they are that antennas mounted on existing circumstances, such deployments have not already excluded in the Collocation utility structures have no potential for the potential for at most minimal effects, Agreement, if: (1) There is an existing effects on historic properties, assuming but they do not provide evidence to antenna on the building or other such properties are present, where the support such a broad conclusion. structure; (2) certain requirements of deployment meets the following Moreover, several commenters, proximity to the existing antenna are conditions: (1) The antenna and any including several SHPOs, express met, depending on the visibility and associated equipment, when measured concerns that such deployments do size of the new deployment; (3) the new together with any other wireless have the potential for effects in some antenna will comply with all zoning deployments on the same structure, cases. The Commission cannot find on conditions and historic preservation meets specified size limitations; and (2) this record that DAS and small-cell conditions on existing antennas that the deployment will involve no new facilities qualify for a general exclusion, directly mitigate or prevent effects, such ground disturbance. Notwithstanding and the Commission therefore as camouflage or concealment this finding of no potential for effects concludes, after consideration of the requirements; and (4) the deployment even assuming historic properties are record, that any broad exclusion of such will involve no new ground present, the Commission limits this facilities must be implemented at this disturbance. With respect to both of exclusion (as described above) in light time through the development of a these categories—utility structures and of the particular sensitivities related to ‘‘program alternative’’ as defined under other non-tower structures—the historic properties and districts. ACHP’s rules. The Commission is Commission extends the exclusion only Accordingly, this exclusion does not committed to making deployment to deployments that are not (1) inside apply to deployments that are (1) inside processes as efficient as possible the boundary of a historic district, or the boundary of a historic district, or without undermining the values that within 250 feet of the boundary of a within 250 feet of the boundary of a section 106 protects. The Commission historic district; (2) located on a historic district; (2) located on a staff are working on a program structure that is a designated National structure that is a designated National alternative that, through consultation Historic Landmark or is listed in or Historic Landmark or is listed in or with stakeholders, will ensure thorough eligible for listing in the National eligible for listing in the National consideration of all applicable interests, Register; or (3) the subject of a pending Register; or (3) the subject of a pending and will culminate in a system that complaint alleging adverse effect on complaint alleging adverse effect on eliminates additional bureaucratic historic properties. In other words, these historic properties. In other words, this processes for small facilities to the exclusions address collocations on new targeted exclusion addresses greatest extent possible consistent with utility structures and other non-tower collocations on utility structures where the purpose and requirements of section structures where historic preservation historic preservation review would 106. review would otherwise be required otherwise be required under existing 30. The Commission further under existing rules only because the rules only because the structures are concludes that it is in the public interest structures are more than 45 years old. more than 45 years old.

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33. For purposes of this exclusion, the must be limited cumulatively to power and other services, the volume of Commission defines utility structures as seventeen cubic feet in volume. Further, which may be impractical to calculate utility poles or electric transmission collocations under this rule will be and which should in any case have no towers in active use by a ‘‘utility’’ as limited to collocations that cause no effect on historic properties, consistent defined in section 224 of the new ground disturbance. with the established exclusion of cable Communications Act, but not including 35. Because the Commission finds in pre-existing aerial or underground light poles, lamp posts, and other that multiple collocations on a utility corridors; (2) ancillary equipment structures whose primary purpose is to structure could have a cumulative installed by other entities that is outside provide public lighting. Utility impact, the Commission further applies of the applicant’s ownership or control, structures are, by their nature, designed the size limits defined above on a such as a power meter installed by the to hold a variety of electrical, cumulative basis taking into account all electric utility in connection with the communications, or other equipment, pre-existing collocations. Specifically, if wireless deployment, and (3) and they already hold such equipment. there is a pre-existing wireless comparable equipment from pre- Their inherent characteristic thus deployment on the structure, and any of existing wireless deployments on the incorporates the support of attachments, this pre-existing equipment would structure. and their uses have continued to evolve remain after the collocation, then the 36. To meet the standard under with changes in technology since they volume limits apply to the cumulative section 800.3(a)(1), the Commission were first used in the mid-19th century volume of such pre-existing equipment further imposes a requirement of no new ground disturbance, consistent for for distribution of telegraph services. and the new collocated equipment. the most part with the NPA standard. Indeed, the Commission notes that Thus, for the new equipment to come Under the NPA standard, no new other, often larger facilities are added to under this exclusion, the sum of the ground disturbance occurs so long as utility structures without review. For volume of all pre-existing associated the depth of previous disturbance example, deployments of equipment equipment that remains after the exceeds the proposed construction supporting unlicensed wireless collocation and the new equipment depth (excluding footings and other operations like Wi-Fi access occur must be no greater than seventeen cubic anchoring mechanisms) by at least two without the Commission’s section 106 feet, and the sum of the volume of all feet. The Commission finds that footings review in any case, as do installations collocated antennas, including pre- of non-communication facilities such as and anchorings should be included in existing antennas that remain after the this context to ensure no potential for municipal traffic management collocation, must be no greater than six equipment or power equipment such as effects. Therefore, the Commission’s cubic feet. The Commission further finding is limited to cases where there electric distribution transformers. The provides that the cumulative limit of addition of DAS or small cell facilities is no ground disturbance or the depth seventeen cubic feet for wireless and width of previous disturbance to these structures is therefore fully equipment applies to all equipment on consistent with their existing use. exceeds the proposed construction the ground associated with an antenna depth and width, including the depth 34. While the potential for effects on the structure as well as associated and width of any proposed footings or from any deployments on utility equipment physically on the structure. other anchoring mechanisms, by at least structures is remote at most, the Thus, application of the limit is the two feet. Some Tribal Nations have Commission concludes that the same regardless of whether equipment indicated that exclusions of small additional conditions described above associated with a particular deployment facilities from section 106 review might support a finding that there is no such is deployed on the ground next to a be reasonable if there is no excavation potential at all, assuming the presence structure or on the structure itself. but that any ground disturbance would of historic properties. First, the While some commenters oppose an be cause for concern. The Commission Commission limits the size of exclusion based solely on PCIA’s finds that the restrictions it places on equipment covered by this exclusion. In volumetric definition, the Commission both of the Commission’s new section doing so, the Commission draws on a finds that the Commission’s exclusion 106 exclusions are sufficient to address PCIA proposal, which includes separate addresses their concerns. For example, this concern and ensure that there is no specific volumetric limits for antennas Tempe and the CA Local Governments potential for effects on historic and for enclosures of associated express concern that PCIA’s definition properties of Tribal religious or cultural equipment, but the Commission would allow an unlimited number of significance. These restrictions include modifies the definition in certain ground-mounted cabinets. The a strict requirement for both exclusions respects to meet the standard in ACHP’s Commission’s approach provides that of no new ground disturbance and rules that the undertaking must have no associated ground equipment must also restrictions on the size and placement of potential for effects. Specifically, the come within the volumetric limit for equipment. Furthermore, both Commission provides that the equipment enclosures, however, and exclusions are limited to collocations deployment may include covered therefore does not allow for unlimited (and therefore do not include new or antenna enclosures no more than three ground-based equipment. Further, replacement support structures). cubic feet in volume per enclosure, or because the Commission applies the 37. Adoption of this exclusion will exposed antennas that fit within an size limit on a cumulative basis, the provide significant efficiencies in the imaginary enclosure of no more than Commission’s exclusion directly section 106 process for DAS and small- three cubic feet in volume per imaginary addresses concerns that the PCIA cell deployments. Many DAS and small- enclosure, up to an aggregate maximum definition would allow multiple cell installations involve collocations on of six cubic feet. The Commission collocations that cumulatively exceed utility structures. PCIA also estimates further provides that all equipment the volumetric limits. Consistent with a that excluding collocations on these enclosures (or imaginary enclosures) proposal by PCIA, the Commission finds wooden poles would increase the associated with the collocation on any that certain equipment should be estimated number of excluded single structure, including all associated omitted from the calculation of the collocation structures by a factor of 10— equipment but not including separate equipment volume, including: (1) which would dramatically advance antennas or enclosures for antennas, Vertical cable runs for the connection of wireless infrastructure deployment

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without impacting historic preservation or surrounding public spaces and will existing rules only because the values. be added in the same vicinity as a pre- structures are more than 45 years old. existing antenna; (b) the new antenna 41. Consistent with the Verizon b. Collocations on Buildings and Other proposal, the Commission requires that Non-Tower Structures will be visible from adjacent streets or surrounding public spaces, provided there must already be an antenna on the 38. Verizon proposes an exclusion for that (i) it will replace a pre-existing building or other structure and that the collocations on any building or other antenna, (ii) the new antenna will be new antenna be in the same vicinity as structure over 45 years old if: (1) The located in the same vicinity as the pre- the pre-existing antenna. For this antenna will be added in the same existing antenna, (iii) the new antenna purpose, a non-visible new antenna is in location as other antennas previously will be visible only from adjacent streets the ‘‘same vicinity’’ as a pre-existing deployed; (2) the height of the new and surrounding public spaces that also antenna if it will be collocated on the antenna will not exceed the height of afford views of the pre-existing antenna, same rooftop, fac¸ade or other surface, the existing antennas by more than three (iv) the new antenna will not be more and a visible new antenna is in the feet, or the new antenna will not be ‘‘same vicinity’’ as a pre-existing than three feet larger in height or width visible from the ground regardless of the antenna if it is on the same rooftop, (including all protuberances) than the height increase; and (3) the new antenna fac¸ade, or other surface and the pre-existing antenna, and (v) no new will comply with any requirements centerpoint of the new antenna is placed on the existing antennas by the equipment cabinets will be visible from within 10 feet of the centerpoint of the State or local zoning authority or as a the adjacent streets or surrounding pre-existing antenna. Combined with result of any previous historic public spaces; or (c) the new antenna the other criteria discussed below, this preservation review process. will be visible from adjacent streets or requirement is designed to assure that a 39. Section 800.3(a)(1) of ACHP rules surrounding public spaces, provided new antenna will not have any authorizes an exclusion only where the that (i) it will be located in the same incremental effect on historic undertaking does not have the potential vicinity as a pre-existing antenna, (ii) properties, assuming they exist, as there to cause effects on historic properties, the new antenna will be visible only will be no additional incompatible assuming such historic properties are from adjacent streets and surrounding elements. present. While the Commission public spaces that also afford views of 42. In addition to Verizon’s proposed concludes that this standard allows for the pre-existing antenna, (iii) the pre- requirement that the deployment be in an exclusion applicable to many existing antenna was not deployed the same vicinity as an existing antenna, collocations on buildings and other pursuant to the exclusion based on this the Commission also adopts a condition structures that already house finding, (iv) the new antenna will not be of no-visibility from adjoining streets or collocations, the Commission finds more than three feet larger in height or any surrounding public spaces, with insufficient support in the record to width (including all protuberances) than two narrow exceptions. For the general adopt Verizon’s proposed exclusion in the pre-existing antenna, and (v) no new case, the Commission’s no-effects its entirety. While Verizon states that equipment cabinets will be visible from finding will apply only to a new adding an antenna to a building within the adjacent streets or surrounding antenna that is not visible from any the scope of its proposal would not have public spaces; (3) the new antenna will adjacent streets or surrounding public an effect that differs from those caused comply with all zoning conditions and spaces and is added in the same vicinity by existing antennas, the Commission historic preservation conditions as a pre-existing antenna. In adopting must also consider the cumulative applicable to existing antennas in the this standard, the Commission is effects of additional deployments on the same vicinity that directly mitigate or informed by the record and also in part integrity of a historic property to the prevent effects, such as camouflage or by General Services Administration extent that they add incompatible visual concealment requirements; and (4) the (GSA) Preservation Note 41, entitled elements. Further, while Verizon relies deployment of the new antenna will ‘‘Administrative Guide for Submitting heavily on the requirement that any new involve no new ground disturbance. Antenna Projects for External Review.’’ deployment must meet the same Preservation Note 41 recommends that Notwithstanding its finding of no conditions as the existing deployment, an agency may recommend a finding of potential for effects even assuming the Commission cannot assume that no effect where the antenna will not be historic properties are present, the conditions placed on a previous visible from the surrounding public deployment are always sufficient to Commission limits this exclusion in space or streets and the antenna will not prevent any effects, particularly in the light of many parties’ particular harm original historic materials or their event of multiple additional sensitivities related to historic replacements-in-kind. The Commission deployments. Indeed, it is often the case properties and districts. As with the notes that, in addition to the measures that mitigating conditions are designed exclusion for collocations on utility ensuring that there are no incremental to offset effects rather than eliminate or poles, this exclusion does not apply to visual effects from covered facilities, the reduce them entirely. The Commission deployments that are (1) inside the Commission’s finding of no effects in concludes that with certain boundary of a historic district, or within this case is also implicitly based on a modifications to Verizon’s proposal, 250 feet of the boundary of a historic requirement, as the GSA Note deployments covered by the test would district; (2) located on a structure that is recommends, that the deployment will have no potential for effects. a designated National Historic not harm original historic materials. 40. Specifically, the Commission Landmark or is listed in or eligible for Even assuming a building is historic, finds that collocations on buildings or listing in the National Register; or (3) however, as required by section other non-tower structures over 45 years the subject of a pending complaint 800.3(a)(1), this ‘‘no harm’’ criterion old will have no potential for effects on alleging adverse effect on historic would be satisfied by ensuring that any historic properties if: (1) There is an properties. In other words, this new anchoring on the building was not existing antenna on the building or targeted exclusion addresses performed on the historic materials of structure; (2) one of the following collocations on non-tower structures the property or their replacements-in- criteria is met: (a) The new antenna will where historic preservation review kind. It is therefore unnecessary to not be visible from any adjacent streets would otherwise be required under expressly impose a ‘‘no harm’’ condition

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in this case, as the exclusion the ground perspective that would afford a 3. Antennas Mounted in the Interior of Commission adopts does not apply to view of the new antenna these Buildings historic properties. Necessarily, any requirements ensure that the 47. The Collocation Agreement anchoring of deployments subject to the replacement deployment will not have provides that ‘‘[a]n antenna may be exclusion will not be in any historic an additional visual effect. mounted on a building’’ without section 44. Under its second partial exception materials of the property. The 106 review except under certain to the no-visibility requirement, the new Commission also notes that, under the circumstances, e.g., the building is a antenna may be in addition to, rather criteria the Commission adopts, the historic property or over 45 years of age. than a replacement of, a pre-existing deployment will occur only where The Commission clarifies that section V antenna, but must meet the other another antenna has already been of the Collocation Agreement covers requirements applicable to replacement reviewed under section 106 and collocations in buildings’ interiors. approved for deployment in the same antennas. The Commission requires that the pre-existing antenna itself not have Given the limited scope of the exclusion vicinity, and any conditions imposed on of collocations on buildings under the that prior deployment to minimize or been deployed pursuant to this exception. While this exception will Collocation Agreement (e.g., the eliminate historic impact, including building may not itself be listed in or specifications of where, how, or under allow an additional visual element to be added, the element is again limited to a eligible for listing in the National what conditions to construct, are part of Register or in or near a historic district), the Commission’s ‘‘no effect’’ finding comparably-sized antenna in the same viewshed (and again does not include there is no reason to distinguish interior and would apply as a condition of the collocations from exterior collocations exclusion. any new visible associated equipment). Further, because the pre-existing for purposes of assessing impacts on 43. The Commission makes a narrow antenna may not itself have been historic properties. exception to the no-visibility deployed pursuant to this no-effects requirement where the new antenna II. Environmental Notification finding, deployments cannot be daisy- would replace an existing antenna in Exemption for Registration of chained across the structure, which the same vicinity and where the Temporary Towers might present a potential for cumulative addition of the new antenna would not effects. 48. If pre-construction notice of a constitute a substantial increase in size 45. Consistent with the Verizon tower to the FAA is required, the over the replaced antenna. In this proposal, the Commission requires that Commission’s rules also require the situation, no additional incompatible the new antenna comply with all zoning tower owner to register the antenna visual element is being added, as one and historic preservation conditions structure in the Commission’s Antenna antenna is a substitution for the other. applicable to existing antennas in the Structure Registration (ASR) system, The Commission permits an same vicinity that directly mitigate or prior to construction or alteration. To insubstantial increase in size in this prevent effects, such as camouflage, fulfill responsibilities under NEPA, the situation. For purposes of this criterion, concealment, or painting requirements. Commission requires owners of the replacement facility would represent The Commission does not extend that proposed towers, including temporary a substantial increase in size if it is more requirement to conditions that have no towers that must be registered in the than three feet larger in height or width direct relationship to the facility’s effect ASR system to provide local and (including all protuberances) than the or how the facility is deployed, such as national notice prior to submitting a existing facility, or if it involves any a condition that requires the facility completed ASR application. Typically, new equipment cabinets that are visible owner to pay for historic site the ASR notice process takes from the street or adjacent public information signs or other conditions approximately 40 days. spaces. The Commission declines to intended to offset harms rather than 49. On May 15, 2013, in the adopt the NPA definition of ‘‘substantial prevent them. Its goal is to assure that Environmental Notification Waiver increase,’’ which allows greater any new deployments have no effects on Order (Waiver Order), the Commission increases in height or width in some historic properties. Payments or other granted an interim waiver of the ASR cases, because it applies to towers, not forms of mitigation applied to antennas environmental notification requirements to antenna deployments, and it is previously deployed on the building or for temporary towers meeting certain therefore overbroad with respect to the structure that were intended to criteria. The Commission provided that replacement of an existing antenna. The compensate for any adverse effect on the interim waiver would remain in Commission further notes that no one historic properties caused by those effect pending the completion of a has objected to Verizon’s proposed limit antennas but were not intended to rulemaking to address the issues raised on increases of three feet in this context. prevent that effect from occurring do not in the petition. In the Infrastructure Also, since the Commission is required advance its goal of assuring no effects NPRM, the Commission proposed to to ensure no potential for effects on from such collocations. The adopt a permanent exemption from the historic properties assuming such Commission does not require that the ASR pre-construction environmental properties are present, the Commission new antenna comply with such notification requirements consistent finds it appropriate to adopt a more conditions. with the interim exemption granted in stringent test than in the context of a 46. As with the exclusion the the Waiver Order. program alternative. For these reasons, Commission adopts for collocations on 50. The Commission now adopts a any increase in the number of utility structures, the Commission permanent exemption from its ASR equipment cabinets that are visible from imposes a strict requirement of no new environmental notification requirements the street or adjacent public spaces in ground disturbance. Thus, the exclusion for temporary towers that (1) will be in connection with a replacement antenna will permit ground disturbance only place for no more than 60 days; (2) constitutes a substantial increase in size. where the depth and width of previous require notice of construction to the In combination with the requirements disturbance exceeds the proposed FAA; (3) do not require marking or that the new antenna be within 10 feet construction depth and width lighting under FAA regulations; (4) will of the replaced antenna and that the pre- (including footings and other anchoring be less than 200 feet in height; and (5) existing antenna be visible from any mechanisms) by at least two feet. will either involve no excavation or

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involve excavation only where the having concluded that pre-construction not apply. Nor does the exemption depth of previous disturbance exceeds environmental notification is impact any local requirements. Further, the proposed construction depth categorically unnecessary in the the Commission provides, as proposed (excluding footings and other anchoring situations addressed here, the in the Infrastructure NPRM, that towers mechanisms) by at least two feet. The Commission finds it would be eligible for the notification exemption Commission finds that establishing the inefficient to require the filing and are still required to comply with the proposed exemption is consistent with adjudication of individual waiver Commission’s other NEPA its obligations under NEPA and the requests for these temporary towers. The requirements, including filing an EA in Council on Environmental Quality Commission concludes that adoption of any of the environmentally sensitive (CEQ) regulations, and will serve the the exemption is warranted. circumstances identified by the rules. public interest. 53. The Commission also adopts the The Commission further provides that if 51. As the Commission observed in proposal to require no post-construction an applicant determines that it needs to the Infrastructure NPRM, the ASR environmental notice for temporary complete an EA for a temporary tower notice process takes approximately 40 towers that qualify for the exemption. otherwise eligible for the exemption, or days and can take as long as two Ordinarily, when pre-construction if the relevant bureau makes this months. The record confirms that absent notice is waived due to an emergency determination pursuant to section the exemption, situations would arise situation, the Commission requires 1.1307(c) or (d) of the Commission’s where there is insufficient time to environmental notification shortly after rules, the application will not be exempt complete this process before a construction because such a deployment from the environmental notice temporary tower must be deployed to may be for a lengthy or indefinite period requirement. meet near-term demand. The record, as of time. The Commission finds that 55. The Commission concludes that well as the Commission’s own requiring post-construction notification making the exemption available for experience in administering the for towers intended to be in place for towers less than 200 feet above ground environmental notice rule, shows that a the limited duration covered by the level is appropriate and adequate to substantial number of temporary towers exemption is not in the public interest ensure that the exemption serves the that would qualify for the exemption as the exempted period is likely to be public interest both by minimizing require registration. The Commission over or nearly over by the time the potential significant environmental finds that absent an exemption, notice period ends. Additionally, the effects and by enabling wireless application of the ASR notice process to Commission notes again that it has providers to more effectively respond to these temporary towers will interfere rarely seen temporary antenna large or unforeseen spikes in demand with the ability of service providers to structures generate public comment for service. CTIA indicates that carriers meet important short term coverage and regarding potentially significant deploy temporary towers more than 150 capacity needs. environmental effects. The Commission feet tall to replace damaged towers of 52. At the same time, the benefits of further notes that of the many similar height, and that having to use environmental notice are limited in the commenters supporting an exemption, shorter towers to stand in for damaged case of temporary towers meeting these none opposed its proposal to exempt towers may reduce coverage and thereby criteria. The purpose of environmental qualifying temporary towers from post- limit the availability of service during notice is to facilitate public discourse construction environmental notification. emergencies. The Commission agrees regarding towers that may have a 54. The Commission finds that the with CTIA that reducing the maximum significant environmental impact. The objections to the proposed exemption tower height could undermine the Commission finds that towers meeting raised by Lee County, Tempe, and intended purpose of the exemption. the specified criteria are highly unlikely Orange County are misplaced. They Further, the proposed limit of less than to have significant environmental effects express concerns that a temporary 200 feet will allow appropriate due to their short duration, limited towers exemption would eliminate local flexibility for taller temporary models, height, absence of marking or lighting, review (including local environmental as they become available. and minimal to no excavation. As the review) and antenna structure 56. The Commission concludes that Commission explained in the Waiver registration requirements. The 60 days is an appropriate time limit for Order, its experience in administering exemption the Commission adopts does the deployment of towers under this the ASR public notice process confirms neither of these things. First, the exemption. This time limit has that antenna structures meeting the temporary towers measure does not substantial support in the record, and waiver criteria rarely if ever generate exempt any deployment from any the Commission finds that 60 days public comment regarding potentially otherwise applicable requirement under strikes the proper balance between significant environmental effects or are the Commission’s rules to provide making this exemption a useful and determined to require further notice to the FAA, to obtain an FAA effective tool for facilitating urgently environmental processing. In particular, ‘‘no-hazard’’ determination, or to needed short term communications since the Waiver Order has been in complete antenna structure registration. deployments and facilitating public place, the Commission has seen no In raising its concern, Orange County involvement in Commission decisions evidence that a temporary tower notes that it ‘‘operates . . . a large that may affect the environment. The exempted from notification by the regional airport that has recently brief duration of the covered waiver has had or may have had a expanded through construction of a deployments renders post-construction significant environmental effect. The third terminal.’’ The Commission finds notification unnecessary in the public Commission finds that the limited the exemption poses no threat to air interest because the deployment will be benefits of notice in these cases do not safety. As noted, deployments remains removed by the time a post-construction outweigh the potential detriment to the subject to all applicable requirements to notice period is complete or shortly public interest of prohibiting the notify the FAA and register the structure thereafter. As the intended deployment deployment of towers in circumstances in the ASR system. If the Commission period grows, however, the applicability in which the notification process cannot or the FAA requires either painting or of that reasoning erodes. For emergency be completed quickly enough to address lighting, i.e., because of a potential deployments that may last up to six short-term deployment needs. Further, threat to aviation, the exemption does months or even longer, post-

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construction notice will generally be exemption will take effect only when 6409(a), and implementing and warranted, as the Commission has the Wireless Telecommunications enforcing these requirements, in order indicated previously. Thus, the Bureau issues a Public Notice to prevent delay and confusion in such Commission finds that the existing announcing OMB’s approval. The implementation. As the Commission procedure—i.e., site-specific waivers Commission further provides that, until noted in the Infrastructure NPRM, that are generally conditioned on post- the new exemption is effective, the collocation on existing structures is construction notice—remains interim waiver of notification often the most efficient and economical appropriate for emergency towers that requirements for temporary towers solution for mobile wireless service will be deployed for longer periods than remains available. providers that need new cell sites to those covered by the narrow exemption expand their existing coverage area, the Commission establishes in this III. Implementation of Section 6409(a) increase their capacity, or deploy new proceeding. A. Background advanced services. The Commission 57. The Commission declines to agrees with industry commenters that 60. Congress adopted section 6409 in define consequences or to adopt special clarifying the terms in section 6409 will 2012 as a provision of Title VI of the enforcement mechanisms for misuse of eliminate ambiguities in interpretation Middle Class Tax Relief and Job the exemption, as proposed by some and thus facilitate the zoning process for Creation Act of 2012, which is more commenters. The Commission agrees collocations and other modifications to commonly known as the Spectrum Act. with Springfield, however, that the existing towers and base stations. Section 6409(a), entitled ‘‘Facility Commission should adopt a measure to Although these issues could be Modifications,’’ has three provisions. prevent the use of consecutive addressed over time through judicial deployments under the exemption to Subsection (a)(1) provides that decisions, the Commission concludes effectively exceed the time limit. The ‘‘[n]otwithstanding section 704 of the that addressing them now in a Commission therefore requires that at Telecommunications Act of 1996 comprehensive and uniform manner least 30 days must pass following the [codified as 47 U.S.C. 332(c)(7)] or any will ensure that the numerous and removal of one exempted temporary other provision of law, a State or local significant disagreements over the tower before the same applicant may government may not deny, and shall provision do not delay its intended rely on the exemption for another approve, any eligible facilities request benefits. temporary tower covering substantially for a modification of an existing 62. The record demonstrates very the same service area. While AT&T wireless tower or base station that does substantial differences in the views argues that the Commission should not not substantially change the physical advanced by local government and adopt measures to prevent ‘‘speculative dimensions of such tower or base wireless industry commenters on a wide abuses,’’ the Commission concludes that station.’’ Subsection (a)(2) defines the range of interpretive issues under the this narrow limitation on the term ‘‘eligible facilities request’’ as any provision. While many localities consecutive use of the exemption will request for modification of an existing recommend that the Commission defer help to ensure that it applies only to wireless tower or base station that to best practices to be developed on a deployments of brief duration, as involves (a) collocation of new collaborative basis, the Commission intended. Further, the Commission is transmission equipment; (b) removal of finds that there has been little progress not persuaded by CTIA’s argument that transmission equipment; or (c) in that effort since enactment of section such a restriction would interfere with replacement of transmission equipment. 6409(a) well over two years ago. While a carrier’s flexibility to respond to Subsection (a)(3) provides that the Commission generally encourages unforeseen events. The restriction ‘‘[n]othing in paragraph (a) shall be the development of voluntary best places no limit on the number of exempt construed to relieve the Commission practices, the Commission is also towers that can be deployed at any one from the requirements of the National concerned that voluntary best practices, time to cover a larger combined service Historic Preservation Act or the on their own, may not effectively area. The Commission also notes that its National Environmental Policy Act of resolve many of the interpretive rule provides for extensions of the 60- 1969.’’ Aside from the definition of disputes or ensure uniform application day period in appropriate cases, which ‘‘eligible facilities request,’’ section of the law in this instance. In light of should further ensure that applicants 6409(a) does not define any of its terms. these disputes, the Commission takes have sufficient flexibility to respond to Similarly, neither the definitional this opportunity to provide additional unforeseen events. section of the Spectrum Act nor that of certainty to parties. 58. The Commission further clarifies the Communications Act contains 63. Authority. The Commission finds that under appropriate conditions, such definitions of the section 6409(a) terms. that it has authority under section 6003 as natural disasters or national In the Infrastructure NPRM, the of the Spectrum Act to adopt rules to emergencies, the relevant bureau may Commission sought comment on clarify the terms in section 6409(a) and grant waivers of this limitation whether to address the provision more to establish procedures for effectuating applicable to defined geographic regions conclusively and comprehensively. The its requirements. The Commission also and periods. In addition, a party subject Commission found that it would serve has broad authority to ‘‘take any action to this limitation at a particular site may the public interest to seek comment on necessary to assist [FirstNet] in still request a site-specific waiver of the implementing rules to define terms that effectuating its duties and notice requirements for a subsequent the provision left undefined, and to fill responsibilities’’ to construct and temporary deployment at that site. in other interstices that may serve to operate a nationwide public safety 59. To implement the new temporary delay the intended benefits of section broadband network. The rules the towers exemption, Commission staff 6409(a). Commission adopts reflect the authority will modify FCC Form 854. The conferred by these provisions, as they Commission notes that the modification B. Discussion will facilitate and expedite of the form is subject to approval by the 61. After reviewing the voluminous infrastructure deployment in qualifying Office of Management and Budget record in this proceeding, the cases and thus advance wireless (OMB). To ensure clarity, the Commission decides to adopt rules broadband deployment by commercial Commission provides that the clarifying the requirements of section entities as well as FirstNet.

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1. Definition of Terms in Section context. It is important, however, to ‘‘communications’’ purposes. They 6409(a) interpret ‘‘base station’’ in the context of extend to any ‘‘tower’’ built for the sole a. Scope of Covered Services Congress’s intention to advance wireless or primary purpose of supporting any broadband service generally, including ‘‘FCC-licensed’’ facilities. The 64. The Commission first addresses both mobile and fixed broadband Commission finds these references the scope of wireless services to which services. The Commission notes, for particularly persuasive in ascertaining the provision applies through the example, that the Spectrum Act directs congressional intent, since section definitions of both ‘‘transmission the Commission to license the new 6409(a) expressly references the equipment’’ and ‘‘wireless tower or base commercial wireless services employing Commission’s continuing obligations to station.’’ After considering the H Block, AWS–3, and repurposed comply with NEPA and NHPA, which arguments in the record, the television broadcast spectrum under form the basis for these agreements. Commission concludes that section ‘‘flexible-use service rules’’—i.e., for 67. The Commission further 6409(a) applies both to towers and base fixed as well as mobile use. Moreover, concludes that a broad interpretation of stations and to transmission equipment in the context of wireless broadband ‘‘transmission equipment’’ is similarly used in connection with any service generally, the term ‘‘base appropriate in light of the purposes of Commission-authorized wireless station’’ describes fixed stations that section 6409(a) in particular and the communications service. The provide fixed wireless service to users Spectrum Act more generally. The Commission finds strong support in the as well as those that provide mobile statute’s Conference Report expresses record for this interpretation. With wireless service. Indeed, this is Congress’s intention to advance wireless respect to towers and base stations, the particularly true with regard to Long broadband service generally, and as Commission concludes that this Term Evolution (LTE), in which base PCIA states, a broad definition of this interpretation is warranted given stations can support both fixed and term will ensure coverage for all Congress’s selection of the broader term mobile service. The Commission finds wireless broadband services, including ‘‘wireless’’ in section 6409(a) rather than that, in the context of section 6409(a), future services not yet contemplated. the narrow term ‘‘personal wireless the term ‘‘base station’’ encompasses Defining ‘‘transmission equipment’’ service’’ it previously used in section both mobile and fixed services. broadly will facilitate the deployment of 332(c)(7), as well as Congress’s express wireless broadband networks and will 66. The Commission is also not intent that the provisions of the ‘‘minimize the need to continually Spectrum Act ‘‘advance wireless persuaded that it should exclude redefine the term as technology and broadband service,’’ promoting ‘‘billions ‘‘broadcast’’ from the scope of section applications evolve.’’ The Commission of dollars in private investment,’’ and 6409(a), both with respect to ‘‘wireless’’ also notes that a broad definition further the deployment of FirstNet. The towers and base stations and with reflects Congress’s definition of a Commission finds that interpreting respect to transmission equipment. The comparable term in the context of ‘‘wireless’’ in the narrow manner that Commission acknowledges that the term directly related provisions in the same some municipal commenters suggest ‘‘wireless providers’’ appears in other statute; in section 6408, the immediately would substantially undermine the goal sections of the Spectrum Act that do not preceding provision addressing uses of of advancing the deployment of encompass broadcast services. The adjacent spectrum, Congress defined the broadband facilities and services, and Commission does not agree, however, term ‘‘transmission system’’ broadly to that interpreting section 6409(a) to that use of the word ‘‘wireless’’ in include ‘‘any telecommunications, facilitate collocation opportunities on a section 6409’s reference to a ‘‘tower or broadcast, satellite, commercial mobile broad range of suitable structures will base station’’ can be understood without service, or other communications far better contribute to meeting these reference to context. The Commission system that employs radio spectrum.’’ goals, and is particularly important to interprets the term ‘‘wireless’’ as used in 68. The Commission disagrees with further the deployment of FirstNet. The section 6409(a) in light of the purpose commenters who contend that including Spectrum Act directs the FirstNet of this provision in particular and the broadcast equipment within covered authority, in carrying out its duty to larger purposes of the Spectrum Act as transmission equipment does not deploy and operate a nationwide public a whole. The Commission finds that advance the goals of the Spectrum Act. safety broadband network, to ‘‘enter into Congress intended the provision to While broadcast equipment does not agreements to utilize, to the maximum facilitate collocation in order to advance itself transmit wireless broadband extent economically desirable, existing the deployment of commercial and signals, its efficient collocation pursuant . . . commercial or other public safety broadband services, to section 6409(a) will expedite and communications infrastructure; and including the deployment of the minimize the costs of the relocation of . . . Federal, State, tribal, or local FirstNet network. The Commission broadcast television licensees that are infrastructure.’’ For all of these reasons, agrees with NAB that including reassigned to new channels in order to the Commission finds it appropriate to broadcast towers significantly advances clear the spectrum that will be offered interpret section 6409(a) as applying to this purpose by ‘‘supporting the for broadband services through the collocations on infrastructure that approximately 25,000 broadcast towers incentive auction, as mandated by the supports equipment used for all as collocation platforms.’’ The Spectrum Act. The Commission Commission-licensed or authorized Commission notes that a variety of concludes that inclusion of broadcast wireless transmissions. industry and municipal commenters service equipment in the scope of 65. The Commission is not persuaded likewise support the inclusion of transmission equipment covered by the that Congress’s use of the term ‘‘base broadcast towers for similar reasons. provision furthers the goals of the station’’ implies that the provision Finally, the Commission observes that legislation and will contribute in applies only to mobile service. As noted this approach is consistent with the particular to the success of the post- in the Infrastructure NPRM, the Collocation Agreement and the NPA, incentive auction transition of television Commission’s rules define ‘‘base both of which define ‘‘tower’’ to include broadcast stations to their new station’’ as a feature of a mobile broadcast towers. These agreements channels. The Commission notes that communications network, and the term address ‘‘wireless’’ communications the language of section 6409(a) is has commonly been used in that facilities and collocation for any broader than that used in section

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332(c)(7), and it is reasonable to primary power is intermittent or structure at a fixed location that enable construe it in a manner that does not unavailable. The Commission also Commission-licensed or authorized differentiate among various concludes that ‘‘transmission wireless communications between user Commission-regulated services, equipment’’ should be interpreted equipment and a communications particularly in the context of mandating consistent with the term ‘‘antenna’’ in network. The Commission finds that the approval of facilities that do not result the NPA and, given that the NPA term term includes any equipment associated in any substantial increase in physical encompasses ‘‘power sources’’ without with wireless communications service dimensions. limitation, the Commission finds that including, but not limited to, radio 69. The Commission further rejects ‘‘transmission equipment’’ includes transceivers, antennas, coaxial or fiber- arguments that Congress intended these backup power sources. Finally, while optic cable, regular and backup power terms to be restricted to equipment used the Commission recognizes the concerns supply, and comparable equipment. The in connection with personal wireless raised by local government commenters Commission notes that this definition services and public safety services. The regarding the potential hazards of reflects the types of equipment included Communications Act and the Spectrum backup power generators, the in its definition of ‘‘transmission Act already define those narrower Commission finds that these concerns equipment,’’ and that the record terms, and Congress chose not to are fully addressed in the standards generally supports this approach. For employ them in section 6409(a), applicable to collocation applications example, DC argues that the determining instead to use the broader discussed below. Commission should define a base term, ‘‘wireless.’’ The legislative history 72. The Commission defines station as ‘‘generally consist[ing] of supports the conclusion that Congress ‘‘transmission equipment’’ under radio transceivers, antennae, coaxial intended to employ broader language. In section 6409(a) as any equipment that cable, a regular and backup power the Conference Report, Congress facilitates transmission for any supply, and other associated emphasized that a primary goal of the Commission-licensed or authorized electronics.’’ TIA concurs that the term Spectrum Act was to ‘‘advance wireless wireless communication service, ‘‘base station’’ encompasses broadband service,’’ which would including, but not limited to, radio transmission equipment, including ‘‘promot[e] billions of dollars in private transceivers, antennas and other antennas, transceivers, and other investment, and creat[e] tens of relevant equipment associated with and equipment associated with and thousands of jobs.’’ In light of its clear necessary to their operation, including necessary to their operation, including intent to advance wireless broadband coaxial or fiber-optic cable, and regular coaxial cable and regular and backup deployment through enactment of and backup power supply. This power equipment. section 6409(a), the Commission finds it definition includes equipment used in implausible that Congress meant to any technological configuration 75. The Commission further finds, exclude facilities used for such services. associated with any Commission- consistent with the Commission’s authorized wireless transmission, proposal, that the term ‘‘existing . . . b. Transmission Equipment licensed or unlicensed, terrestrial or base station’’ includes a structure that, 70. The Commission adopts the satellite, including commercial mobile, at the time of the application, supports proposal in the Infrastructure NPRM to private mobile, broadcast, and public or houses an antenna, transceiver, or define ‘‘transmission equipment’’ to safety services, as well as fixed wireless other associated equipment that encompass antennas and other services such as microwave backhaul or constitutes part of a ‘‘base station’’ as equipment associated with and fixed broadband. defined above, even if the structure was necessary to their operation, including not built for the sole or primary purpose power supply cables and backup power c. Existing Wireless Tower or Base of providing such support. As the equipment. The Commission finds that Station Commission noted in the Infrastructure this definition reflects Congress’s intent 73. The Commission adopts the NPRM, while ‘‘tower’’ is defined in the to facilitate the review of collocations definitions of ‘‘tower’’ and ‘‘base Collocation Agreement and the NPA to and minor modifications, and it station’’ proposed in the Infrastructure include only those structures built for recognizes that Congress used the broad NPRM with certain modifications and the sole or primary purpose of term ‘‘transmission equipment’’ without clarifications, in order to give supporting wireless communications qualifications that would logically limit independent meaning to both of these equipment, the term ‘‘base station’’ is its scope. statutory terms, and consistent with not used in these agreements. The 71. The Commission is further Congress’s intent to promote the Commission rejects the proposal to persuaded by wireless industry deployment of wireless broadband define a ‘‘base station’’ to include any commenters that power supplies, services. First, the Commission structure that is merely capable of including backup power, are a critical concludes that the term ‘‘tower’’ is supporting wireless transmission component of wireless broadband intended to reflect the meaning of that equipment, whether or not it is deployment and that they are necessary term as it is used in the Collocation providing such support at the time of to ensure network resiliency. Indeed, Agreement. The Commission defines the application. The Commission agrees including backup power equipment ‘‘tower’’ to include any structure built with municipalities’ comments that by within the scope of ‘‘transmission for the sole or primary purpose of using the term ‘‘existing,’’ section equipment’’ under section 6409(a) is supporting any Commission-licensed or 6409(a) preserves local government consistent with Congress’s directive to authorized antennas and their authority to initially determine what the FirstNet Authority to ‘‘ensure the associated facilities. types of structures are appropriate for . . . resiliency of the network.’’ Tempe’s 74. As proposed in the Infrastructure supporting wireless transmission assertion that backup power is not NPRM, the Commission interprets ‘‘base equipment if the structures were not technically ‘‘necessary’’ because station’’ to extend the scope of the built (and thus were not previously transmission equipment can operate provision to certain support structures approved) for the sole or primary without it is unpersuasive. Backup other than towers. Specifically, the purpose of supporting such equipment. power is certainly necessary to Commission defines that term as the Some wireless industry commenters operations during those periods when equipment and non-tower supporting also support its interpretation that,

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while a tower that was built for the towers include their equipment The definition is sufficiently flexible to primary purpose of housing or compounds, then defining base stations encompass, as appropriate to section supporting communications facilities as equipment compounds alone would 6409(a)’s intent and purpose, future as should be considered ‘‘existing’’ even if render the term superfluous. The well as current base station technologies it does not currently host wireless Commission also notes that none of the and technological configurations, using equipment, other structures should be State statutes and regulations either licensed or unlicensed spectrum. considered ‘‘existing’’ only if they implementing section 6409(a) has 80. While the Commission does not support or house wireless equipment at limited its scope to equipment and accept municipal arguments to limit the time the application is filed. structures associated with towers. In section 6409(a) to equipment or 76. The Commission finds that the addition, the Commission agrees with structures associated with towers, the alternative definitions proposed by commenters who argue that limiting the Commission rejects industry arguments many municipalities are unpersuasive. definition of ‘‘base station’’ (and thus that section 6409(a) should apply more First, the Commission rejects arguments the scope of section 6409(a)) to broadly to include certain structures that a ‘‘base station’’ includes only the structures and equipment associated that neither were built for the purpose transmission system equipment, not the with towers would compromise the core of housing wireless equipment nor have structure that supports it. This reading policy goal of bringing greater efficiency base station equipment deployed upon conflicts with the full text of the to the process for collocations. Other them. The Commission finds no provision, which plainly contemplates structures are increasingly important to persuasive basis to interpret the collocations on a base station as well as the deployment of wireless statutory provision so broadly. The a tower. Section 6409(a) defines an communications infrastructure; omitting Commission agrees with Alexandria et ‘‘eligible facilities request’’ as a request them from the scope of section 6409(a) al. that the scope of section 6409(a) is to modify an existing wireless tower or would mean the statute’s efficiencies different from that of the Collocation base station by collocating on it (among would not extend to many if not most Agreement, as the statutory provision other modifications). This statutory wireless collocations, and would clearly applies only to collocations on structure precludes the Commission counterproductively exclude virtually an existing ‘‘wireless tower or base from limiting the term ‘‘base station’’ to all of the small cell collocations that station’’ rather than any existing ‘‘tower transmission equipment; collocating on have the least impact on local land use. or structure.’’ Further, interpreting base stations, which the statute 78. Some commenters arguing that ‘‘tower’’ to include structures ‘‘similar envisions, would be conceptually section 6409(a) covers no structures to a tower’’ would be contrary to the impossible unless the structure is part of other than those associated with towers very Collocation Agreement to which the definition as well. The Commission point to the Conference Report, which, these commenters point, which defines further disagrees that defining ‘‘base in describing the equivalent provision ‘‘tower’’ in the narrower fashion that the station’’ to include supporting in the House bill, states that the Commission adopts. The Commission structures will deprive ‘‘tower’’ of all provision ‘‘would require approval of also agrees with municipalities as a independent meaning. The Commission requests for modification of cell policy matter that local governments interprets ‘‘base station’’ not to include towers.’’ The Commission does not find should retain authority to make the wireless deployments on towers. this ambiguous statement sufficient to initial determination (subject to the Further, the Commission interprets overcome the language of the statute as constraints of section 332(c)(7)) of ‘‘tower’’ to include all structures built enacted, which refers to ‘‘modification which non-tower structures are for the sole or primary purpose of of an existing wireless tower or base appropriate for supporting wireless supporting Commission-licensed or station.’’ Moreover, this statement from transmission equipment; its authorized antennas, and their the report does not expressly state a interpretations of ‘‘tower’’ and ‘‘base associated facilities, regardless of limitation on the provision, and thus station’’ preserve that authority. whether they currently support base may reasonably be read as a simplified 81. Finally, the Commission agrees station equipment at the time the reference to towers as an important with Fairfax that the term ‘‘existing’’ application is filed. Thus, ‘‘tower’’ application of its mandate. The requires that wireless towers or base denotes a structure that is covered Commission does not view this stations have been reviewed and under section 6409(a) by virtue of its language as indicating Congress’s approved under the applicable local construction. In contrast, a ‘‘base intention that the provision zoning or siting process or that the station’’ includes a structure that is not encompasses only modifications of deployment of existing transmission a wireless tower only where it already structures that qualify as wireless equipment on the structure received supports or houses such equipment. towers. another form of affirmative State or local 77. The Commission is also not 79. The Commission thus adopts the regulatory approval (e.g., authorization persuaded by arguments that ‘‘base proposed definition of ‘‘base station’’ to from a State public utility commission). station’’ refers only to the equipment include a structure that currently Thus, if a tower or base station was compound associated with a tower and supports or houses an antenna, constructed or deployed without proper the equipment located upon it. First, no transceiver, or other associated review, was not required to undergo commenters presented evidence that equipment that constitutes part of a base siting review, or does not support ‘‘base station’’ is more commonly station at the time the application is transmission equipment that received understood to mean an equipment filed. The Commission also finds that another form of affirmative State or local compound as opposed to the broader ‘‘base station’’ encompasses the relevant regulatory approval; the governing definition of all equipment associated equipment in any technological authority is not obligated to grant a with transmission and reception and its configuration, including DAS and small collocation application under section supporting structures. Furthermore, the cells. The Commission disagrees with 6409(a). The Commission further Collocation Agreement’s definition of municipalities that argue that ‘‘base clarifies that a wireless tower that does ‘‘tower,’’ which the Commission adopts station’’ should not include DAS or not have a permit because it was not in in the R&O, treats equipment small cells. As the record supports, a zoned area when it was built, but was compounds as part of the associated there is no statutory language limiting lawfully constructed, is an ‘‘existing’’ towers for purposes of collocations; if the term ‘‘base station’’ in this manner. tower. The Commission finds that its

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interpretation of ‘‘existing’’ is consistent structure for the purpose of transmitting that involves’’ collocation, removal, or with the purposes of section 6409(a) to and/or receiving radio frequency signals replacement of transmission equipment. facilitate deployments that are unlikely for communications purposes.’’ The Given that structural enhancement of to conflict with local land use policies term ‘‘eligible support structure’’ means the support structure is a modification and preserve State and local authority to any structure that falls within the of the relevant tower or base station, the review proposals that may have definitions of ‘‘tower’’ or ‘‘base station.’’ Commission notes that permitting impacts. First, it ensures that a facility Consistent with the language of section structural enhancement as a part of a that was deployed unlawfully does not 6409(a)(2)(A)–(C), the Commission also covered request may be particularly trigger a municipality’s obligation to finds that a ‘‘modification’’ of a important to ensure that the relevant approve modification requests under ‘‘wireless tower or base station’’ infrastructure will be available for use section 6409(a). Further, it guarantees includes collocation, removal, or by FirstNet because of its obligation to that the structure has already been the replacement of an antenna or any other ‘‘ensure the safety, security, and subject of State or local review. This transmission equipment associated with resiliency of the [public safety interpretation should also minimize the supporting structure. broadband] network. . . .’’ In addition incentives for governing authorities to 84. The Commission disagrees with to hardening for Public Safety, increase zoning or other regulatory municipal commenters who argue that commercial providers may seek review in cases where minimally collocations are limited to mounting structural enhancement for many intrusive deployments are currently equipment on structures that already reasons, for example, to increase load permitted without review. For example, have transmission equipment on them. capacity or to repair defects due to under this interpretation, a That limitation is not consistent with corrosion or other damage. The homeowner’s deployment of a femtocell the Collocation Agreement’s definition Commission finds that such that is not subject to any zoning or other of ‘‘collocation,’’ and would not serve modification is part of an eligible regulatory requirements will not any reasonable purpose as applied to facilities request so long as the constitute a base station deployment towers built for the purpose of modification of the underlying support that triggers obligations to allow supporting transmission equipment. structure is performed in connection deployments of other types of facilities Nevertheless, the Commission observes with and is necessary to support a at that location under section 6409(a). that the Commission’s approach leads to collocation, removal, or replacement of By thus preserving State and local the same result in the case of ‘‘base transmission equipment. The authority to review the first base station stations;’’ since its definition of that Commission further clarifies that, to be deployment that brings any non-tower term includes only structures that covered under section 6409(a), any such structure within the scope of section already support or house base station structural enhancement must not 6409(a), the Commission ensures that equipment, section 6409(a) will not constitute a substantial change as subsequent collocations of additional apply to the first deployment of defined below. transmission equipment on that transmission equipment on such 86. The Commission agrees with structure will be consistent with structures. Thus, the Commission Alexandria et al., that ‘‘replacement,’’ as congressional intent that deployments disagrees with CA Local Governments used in section 6409(a)(2)(C), relates subject to section 6409(a) will not pose that adopting the Commission’s only to the replacement of a threat of harm to local land use values. proposed definition of collocation ‘‘transmission equipment,’’ and that 82. On balance, the Commission finds would require local governments to such equipment does not include the that the foregoing definitions are approve deployments on anything that structure on which the equipment is consistent with congressional intent to could house or support a component of located. Even under the condition that foster collocation on various types of a base station. Rather, section 6409(a) it would not substantially change the structures, while addressing will apply only where a State or local physical dimensions of the structure, municipalities’ valid interest in government has approved the replacement of an entire structure may preserving their authority to determine construction of a structure with the sole affect or implicate local land use values which structures are suitable for or primary purpose of supporting differently than the addition, removal, wireless deployment, and under what covered transmission equipment (i.e., a or replacement of transmission conditions. wireless tower) or, with regard to other equipment, and the Commission finds support structures, where the State or no textual support for the conclusion d. Collocation, Replacement, Removal, local government has previously that Congress intended to extend Modification approved the siting of transmission mandatory approval to new structures. 83. The Commission concludes again equipment that is part of a base station Thus, the Commission declines to that it is appropriate to look to the on that structure. In both cases, the State interpret ‘‘eligible facilities requests’’ to Collocation Agreement for guidance on or local government must decide that include replacement of the underlying the meaning of analogous terms, the site is suitable for wireless facility structure. particularly in light of section deployment before section 6409(a) will e. Substantial Change and Other 6409(a)(3)’s specific recognition of the apply. Commission’s obligations under NHPA 85. The Commission finds that the Conditions and Limitations and NEPA. As proposed in the term ‘‘eligible facilities request’’ 87. After careful review of the record, Infrastructure NPRM and supported by encompasses hardening through the Commission adopts an objective the record, the Commission concludes structural enhancement where such standard for determining when a that the definition of ‘‘collocation’’ for hardening is necessary for a covered proposed modification will purposes of section 6409(a) should be collocation, replacement, or removal of ‘‘substantially change the physical consistent with its definition in the transmission equipment, but does not dimensions’’ of an existing tower or Collocation Agreement. The include replacement of the underlying base station. The Commission provides Commission defines ‘‘collocation’’ structure. The Commission notes that that a modification substantially under section 6409(a) as ‘‘the mounting the term ‘‘eligible facilities request’’ changes the physical dimensions of a or installation of transmission encompasses any ‘‘modification of an tower or base station if it meets any of equipment on an eligible support existing wireless tower or base station the following criteria: (1) for towers

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outside of public rights-of-way, it by the Intergovernmental Advisory collocation statutes adopted since the increases the height of the tower by Committee (IAC) and municipalities. passage of the Spectrum Act have more than 10%, or by the height of one Congress took care to refer, in excluding adopted objective criteria similar to the additional antenna array with certain modifications from mandatory Collocation Agreement test for separation from the nearest existing approval requirements, to those that identifying collocations subject to antenna not to exceed twenty feet, would substantially change the tower or mandatory approval. The Commission whichever is greater; for those towers in base station’s ‘‘physical dimensions.’’ notes as well that there is nothing in the the rights-of-way and for all base The Commission also finds that record indicating that any of these stations, it increases the height of the Congress intended approval of covered objective State-law tests have resulted in tower or base station by more than 10% requests to occur in a timely fashion. objectionable collocations that might or 10 feet, whichever is greater; (2) for While the Commission acknowledges have been rejected under a more towers outside of public rights-of-way, it that the IAC approach would provide subjective approach. The Commission is protrudes from the edge of the tower municipalities with maximum persuaded that it is reasonable to look more than twenty feet, or more than the flexibility to consider potential effects, to the Collocation Agreement test as a width of the tower structure at the level the Commission is concerned that it starting point in interpreting the very of the appurtenance, whichever is would invite lengthy review processes similar ‘‘substantial change’’ standard greater; for those towers in the rights-of- that conflict with Congress’s intent. under section 6409(a). The Commission way and for all base stations, it Indeed, some municipal commenters further decides to modify and protrudes from the edge of the structure anticipate their review of covered supplement the factors to establish an more than six feet; (3) it involves requests under a subjective case-by-case appropriate balance between promoting installation of more than the standard approach could take even longer than rapid wireless facility deployment and number of new equipment cabinets for their review of collocations absent preserving States’ and localities’ ability the technology involved, but not to section 6409(a). The Commission also to manage and protect local land-use exceed four cabinets; (4) it entails any anticipates that disputes arising from a interests. excavation or deployment outside the subjective approach would tend to 90. First, the Commission declines to current site of the tower or base station; require longer and more costly litigation adopt the Collocation Agreement’s (5) it would defeat the existing to resolve given the more fact-intensive exceptions that allow modifications to concealment elements of the tower or nature of the IAC’s open-ended and exceed the usual height and width base station; or (6) it does not comply context-specific approach. The limits when necessary to avoid with conditions associated with the Commission finds that an objective interference or shelter the antennas from prior approval of construction or definition, by contrast, will provide an inclement weather. The Commission modification of the tower or base station appropriate balance between municipal agrees with CA Local Governments that unless the non-compliance is due to an flexibility and the rapid deployment of these issues pose technically complex increase in height, increase in width, covered facilities. The Commission and fact-intensive questions that many addition of cabinets, or new excavation finds further support for this approach local governments cannot resolve that does not exceed the corresponding in State statutes that have implemented without the aid of technical experts; ‘‘substantial change’’ thresholds section 6409(a), all of which establish modifications that would not fit within the Collocation Agreement’s height and identified above. The Commission objective standards. width exceptions are thus not suitable further provides that the changes in 89. The Commission further finds that for expedited review under section height resulting from a modification the objective test for ‘‘substantial 6409(a). should be measured from the original increase in size’’ under the Collocation 91. Second, the Commission support structure in cases where the Agreement should inform its concludes that the limit on height and deployments are or will be separated consideration of the factors to consider width increases should depend on the horizontally, such as on buildings’ when assessing a ‘‘substantial change in type and location of the underlying rooftops; in other circumstances, physical dimensions.’’ This reflects its structure. Under the Collocation changes in height should be measured general determination that definitions in Agreement’s ‘‘substantial increase in from the dimensions of the tower or the Collocation Agreement and NPA size’’ test, which applies only to towers, base station inclusive of originally should inform its interpretation of a collocation constitutes a substantial approved appurtenances and any similar terms in section 6409(a). increase in size if it would increase a modifications that were approved prior Further, as noted in the Infrastructure tower’s height by 10% or by the height to the passage of the Spectrum Act. NPRM, the Commission has previously of one additional antenna array with Beyond these standards for what relied on the Collocation Agreement’s separation from the nearest existing constitutes a substantial change in the test in comparable circumstances, antenna not to exceed twenty feet, physical dimensions of a tower or base concluding in the 2009 Declaratory whichever is greater. In addition, the station, the Commission further Ruling that collocation applications are Collocation Agreement authorizes provides that for applications covered subject to a shorter shot clock under collocations that would protrude by by section 6409(a), States and localities section 332(c)(7) to the extent that they twenty feet, or by the width of the tower may continue to enforce and condition do not constitute a ‘‘substantial increase structure at the level of the approval on compliance with generally in size of the underlying structure.’’ The appurtenance, whichever is greater. The applicable building, structural, Commission has also applied a similar Commission finds that the Collocation electrical, and safety codes and with objective test to determine whether a Agreement’s height and width criteria other laws codifying objective standards modification of an existing registered are generally suitable for towers, as was reasonably related to health and safety. tower requires public notice for contemplated by the Agreement. 88. The Commission initially purposes of environmental review. The 92. These tests were not designed concludes that it should adopt a test Commission notes that some with non-tower structures in mind, and that is defined by specific, objective municipalities support this approach, the Commission finds that they may factors rather than the contextual and and the Commission further observes often fail to identify substantial changes entirely subjective standard advocated that the overwhelming majority of State to non-tower structures such as

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buildings or poles, particularly insofar While Verizon argues in an ex parte that of the Spectrum Act, whichever is as they would permit height and width this approach is justified because of the greater. increases of 20 feet under all ‘‘significant similarities’’ between 96. The Commission declines to circumstances. Instead, considering the towers and utility structures, its own provide that changes in height should proposals and arguments in the record comments note that in contrast to always be measured from the original and the purposes of the provision, the ‘‘macrocell towers,’’ utility structures tower or base station dimensions, as Commission concludes that a are ‘‘smaller sites[.]’’ Because utility suggested by some municipalities. As modification to a non-tower structure structures are typically much smaller with the original tower or base station, that would increase the structure’s than traditional towers, and because discretionary approval of subsequent height by more than 10% or 10 feet, utility structures are often located in modifications reflects a regulatory whichever is greater, constitutes a easements adjacent to vehicular and determination of the extent to which substantial change under section pedestrian rights-of-way where wireless facilities are appropriate, and 6409(a). Permitting increases of up to extensions are more likely to raise under what conditions. At the same time, the Commission declines to adopt 10% has significant support in the aesthetic, safety, and other issues, the industry commenters’ proposal always record. Further, the Commission finds Commission does not find it appropriate to measure changes from the last that the adoption of a fixed minimum to apply to such structures the same best serves the intention of Congress to approved change or the effective date of substantial change criteria applicable to advance broadband service by the rules. Measuring from the last towers. The Commission further finds expediting the deployment of minor approved change in all cases would that towers in the public rights-of-way modifications of towers and base provide no cumulative limit at all. In stations. Without such a minimum, the should be subject to the more restrictive particular, since the Spectrum Act Commission finds that the test will not height and width criteria applicable to became law, approval of covered properly identify insubstantial increases non-tower structures rather than the requests has been mandatory and on small buildings and other short criteria applicable to other towers. The approved changes after that time may structures, and may undermine the Commission notes that, to deploy DAS not establish an appropriate baseline facilitation of collocation, as vertically and small-cell wireless facilities, because they may not reflect a siting collocated antennas often need 10 feet carriers and infrastructure providers authority’s judgment that the modified of separation and rooftop collocations must often deploy new poles in the structure is consistent with local land may need such height as well. Further, rights-of-way. Because these structures use values. Because it is impractical to the fact that the 10-foot minimum is are constructed for the sole or primary require parties, in measuring cumulative substantially less than the 20-foot purpose of supporting Commission- impact, to determine whether each pre- minimum limit under the Collocation licensed or authorized antennas, they existing modification was or was not Agreement and many State statutes or fall under the definition of ‘‘tower.’’ required by the Spectrum Act, the the 15-foot limit proposed by some They are often identical in size and Commission provides that modifications commenters provides additional appearance to utility poles in the area, of an existing tower or base station that assurance that the Commission’s which do not constitute towers. As a occur after the passage of the Spectrum interpretation of what is considered consequence, applying the tower height Act will not change the baseline for substantial under section 6409(a) is and width standards to these poles purposes of measuring substantial reasonable. constructed for DAS and small-cell change. Consistent with the 93. The Commission also provides, as support would mean that two adjacent determination that a tower or base suggested by Verizon and PCIA, that a and nearly identical poles could be station is not covered by section 6409(a) proposed modification of a non-tower subject to very different standards. To unless it received such approval, this structure constitutes a ‘‘substantial ensure consistent treatment of structures approach will in all cases limit change’’ under section 6409(a) if it in the public rights-of-way, and because modifications that are subject to would protrude from the edge of the of the heightened potential for impact mandatory approval to the same modest structure more than six feet. The from extensions in such locations, the increments over what the relevant Commission finds that allowing for Commission provides that structures governing authority has previously width increases up to six feet will qualifying as towers that are deployed deemed compatible with local land use promote the deployment of small in public rights-of-way will be subject to values. The Commission further finds facility deployments by accommodating the same height and width criteria as that, for structures where collocations installation of the mounting brackets/ non-tower structures. are separated horizontally rather than arms often used to deploy such facilities vertically (such as building rooftops), on non-tower structures, and that it is 95. The Commission agrees with substantial change is more appropriately consistent with small facility commenters that its substantial change measured from the height of the original deployments that municipalities have criteria for changes in height should be structure, rather than the height of a approved on such structures. The applied as limits on cumulative previously approved antenna. Thus, for Commission further notes that it is changes; otherwise, a series of example, the deployment of a 10-foot significantly less than the limits in permissible small changes could result antenna on a rooftop would not mean width established by most State in an overall change that significantly that a nearby deployment of a 20-foot collocation statutes adopted since the exceeds the adopted standards. antenna would be considered Spectrum Act. The Commission finds Specifically, the Commission finds that insubstantial. that six feet is the appropriate objective whether a modification constitutes a 97. Again drawing on the Collocation standard for substantial changes in substantial change must be determined Agreement’s test, the Commission width for non-tower structures, rather by measuring the change in height from further provides that a modification is a than the alternative proposals in the the dimensions of the ‘‘tower or base substantial change if it entails any record. station’’ as originally approved or as of excavation or deployment outside the 94. The Commission declines to apply the most recent modification that current site of the tower or base station. the same substantial change criteria to received local zoning or similar As in the Collocation Agreement, the utility structures as apply to towers. regulatory approval prior to the passage Commission defines the ‘‘site’’ for

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towers outside of the public rights-of- Commission agrees with commenters States and municipalities approve way as the current boundaries of the that in the context of a modification covered requests ‘‘[n]otwithstanding leased or owned property surrounding request related to concealed or . . . any other provision of law,’’ the the tower and any access or utility ‘‘stealth’’-designed facilities—i.e., Commission finds the municipal easements currently related to the site. facilities designed to look like some commenters’ proposal to be For other towers and all base stations, feature other than a wireless tower or unsupportably restrictive. the Commission further restricts the site base station—any change that defeats 101. The record also reflects general to that area in proximity to the structure the concealment elements of such consensus that wireless facilities and to other transmission equipment facilities would be considered a modification under section 6409(a) already deployed on the ground. ‘‘substantial change’’ under section should remain subject to building codes 98. The Commission also rejects the 6409(a). Commenters differ on whether and other non-discretionary structural PCIA and Sprint proposal to expand the any other conditions previously placed and safety codes. As municipal Collocation Agreement’s fourth prong, on a wireless tower or base station commenters indicate, many local as modified by the 2004 NPA, to allow should be considered in determining jurisdictions have promulgated code applicants to excavate outside the substantial change under section provisions that encourage and promote leased or licensed premises. Under the 6409(a). After consideration, the collocations and replacements through a NPA, certain undertakings are excluded Commission agrees with municipal streamlined approval process, while from the section 106 review, including commenters that a change is substantial ensuring that any new facilities comply ‘‘construction of a replacement for an if it violates any condition of approval with building and safety codes and existing communications tower and any of construction or modification imposed applicable Federal and State associated excavation that . . . does not on the applicable wireless tower or base regulations. Consistent with that expand the boundaries of the leased or station, unless the non-compliance is approach on the local level, the owned property surrounding the tower due to an increase in height, increase in Commission finds that Congress did not by more than 30 feet in any direction or width, addition of cabinets, or new intend to exempt covered modifications involve excavation outside these excavation that does not exceed the from compliance with generally expanded boundaries or outside any corresponding ‘‘substantial change’’ applicable laws related to public health existing access or utility easement thresholds. In other words, and safety. The Commission concludes related to the site.’’ The NPA exclusion modifications qualify for section 6409(a) that States and localities may require a from section 106 review applies to only if they comply, for example, with covered request to comply with replacement of ‘‘an existing conditions regarding fencing, access to generally applicable building, communications tower.’’ In contrast, the site, drainage, height or width structural, electrical, and safety codes or ‘‘replacement,’’ as used in section increases that exceed the thresholds the with other laws codifying objective 6409(a)(2)(C), relates only to the Commission adopted and other standards reasonably related to health replacement of ‘‘transmission conditions of approval placed on the and safety, and that they may condition equipment,’’ not the replacement of the underlying structure. This approach, the approval on such compliance. In supporting structures. Thus, the Commission finds, properly preserves particular, the Commission clarifies that activities covered under section 6409(a) municipal authority to determine which section 6409(a) does not preclude States are more nearly analogous to those structures are appropriate for wireless and localities from continuing to require compliance with generally applicable covered under the Collocation use and under what conditions, and Agreement than under the replacement health and safety requirements on the reflects one of the three key priorities towers exclusion in the NPA. The placement and operation of backup identified by the IAC in assessing Commission agrees with localities power sources, including noise control substantial change. comments that any eligible facilities ordinances if any. The Commission requests that involve excavation outside 100. The Commission agrees with further clarifies that eligible facility the premises should be considered a PCIA that legal, non-conforming requests covered by section 6409(a) substantial change, as under the fourth structures should be available for must still comply with any relevant prong of the Collocation Agreement’s modification under section 6409(a), as Federal requirement, including any test. long as the modification itself does not applicable Commission, FAA, NEPA, or 99. Based on its review of the record ‘‘substantially change’’ the physical section 106 requirements. The and various state statutes, the dimensions of the supporting structure Commission finds that this Commission further finds that a as defined here. The Commission rejects interpretation is supported in the modification constitutes a substantial municipal arguments that any record, addresses a concern raised by change in physical dimensions under modification of an existing wireless several municipal commenters and the section 6409(a) if the change (1) would tower or base station that has ‘‘legal, IAC, and is consistent with the express defeat the existing concealment non-conforming’’ status should be direction in section 6409(a) that the elements of the tower or base station, or considered a ‘‘substantial change’’ to its provision is not intended to relieve the (2) does not comply with pre-existing ‘‘physical dimensions.’’ As PCIA argues, Commission from the requirements of conditions associated with the prior the approach urged by municipalities NEPA and NHPA. approval of construction or modification could thwart the purpose of section 102. In sum, the Commission finds of the tower or base station. The first of 6409(a) altogether, as simple changes to that the definitions, criteria, and related these criteria is widely supported by local zoning codes could immediately clarifications it adopts for purposes of both wireless industry and municipal turn existing structures into legal, non- section 6409(a) will provide clarity and commenters, who generally agree that a conforming uses unavailable for certainty, reducing delays and litigation, modification that undermines the collocation under the statute. and thereby facilitate the rapid concealment elements of a stealth Considering Congress’s intent to deployment of wireless infrastructure wireless facility, such as painting to promote wireless facilities deployment and promote advanced wireless match the supporting fac¸ade or artificial by encouraging collocation on existing broadband services. At the same time, tree branches, should be considered structures, and considering the the Commission concludes that its substantial under section 6409(a). The requirement in section 6409(a) that approach also addresses concerns

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voiced by municipal commenters and impose lengthy and onerous processes documentation that is reasonably reflects the priorities identified by the not justified by the limited scope of related to determining whether the IAC. The Commission concludes that review contemplated by the provision. request meets the requirements of the this approach reflects a reasonable Such unreasonable delays not only provision. The Commission finds that interpretation of the language and would be inconsistent with the mandate this restriction is appropriate in light of purposes of section 6409(a) and will to approve but also would undermine the limited scope of review applicable serve the public interest. the important benefits that the provision to such requests and that it will is intended to provide to the economy, 2. Application Review Process, facilitate timely approval of covered competitive wireless broadband Including Timeframe for Review requests. At the same time, under this deployment, and public safety. The standard, State or local governments 103. As an initial matter, the Commission requires that States and have considerable flexibility in Commission finds that State or local localities grant covered requests within determining precisely what information governments may require parties a specific time limit and pursuant to or documentation to require. The asserting that proposed facilities other procedures outlined below. Commission agrees with PCIA that modifications are covered under section 105. The Commission finds States and localities may not require 6409(a) to file applications, and that substantial support in the record for documentation proving the need for the these governments may review the adopting such requirements. It is clear proposed modification or presenting the applications to determine whether they from the record that there is significant business case for it. The Commission constitute covered requests. As the dispute as to whether any time limit anticipates that over time, experience Bureau observed in the Section 6409(a) applies at all under section 6409(a) and, and the development of best practices PN, the statutory provision requiring a if so, what that limit is. The will lead to broad standardization in the State or local government to approve an Commission also notes that there is kinds of information required. As ‘‘eligible facilities request’’ implies that already some evidence in the record, discussed above, even as to applications the relevant government entity may albeit anecdotal, of significant delays in covered by section 6409(a), State and require an applicant to file a request for the processing of covered requests local governments may continue to approval. Further, nothing in the under this new provision, which may be enforce and condition approval on provision indicates that States or local partly a consequence of the current compliance with non-discretionary governments must approve requests uncertainty regarding the applicability codes reasonably related to health and merely because applicants claim they of any time limit. Because the statutory safety, including building and structural are covered. Rather, under section language does not provide guidance on codes. The Commission finds that 6409(a), only requests that do in fact these requirements, the Commission is municipalities should have flexibility to meet the provision’s requirements are concerned that, without clarification, decide when to require applicants to entitled to mandatory approval. future disputes over the process could provide documentation of such Therefore, States and local governments significantly delay the benefits compliance, as a single documentation must have an opportunity to review associated with the statute’s submission may be more efficient than applications to determine whether they implementation. Moreover, the a series of submissions, and are covered by section 6409(a), and if Commission finds it important that all municipalities may also choose to not, whether they should in any case be stakeholders have a clear understanding integrate such compliance review into granted. of when an applicant may seek relief the zoning process. Accordingly, the 104. The Commission further from a State or municipal failure to act Commission clarifies that this concludes that section 6409(a) warrants under section 6409(a). The Commission documentation restriction does not the imposition of certain requirements finds further support for establishing prohibit States and local governments with regard to application processing, these process requirements in analogous from requiring documentation needed to including a specific timeframe for State State statutes, nearly all of which demonstrate compliance with any such or local government review and a include a timeframe for review. limitation on the documentation States 106. Contrary to the suggestion of applicable codes. and localities may require. While municipalities, the Commission 108. In addition to defining section 6409(a), unlike section 332(c)(7), disagrees that the Tenth Amendment acceptable documentation requirements, does not expressly provide for a time prevents the Commission from the Commission establishes a specific limit or other procedural restrictions, exercising its authority under the and absolute timeframe for State and the Commission concludes that certain Spectrum Act to implement and enforce local processing of eligible facilities limitations are implicit in the statutory the limitations imposed thereunder on requests under section 6409(a). The requirement that a State or local State and local land use authority. Commission finds that a 60-day period government ‘‘may not deny, and shall These limitations do not require State or for review, including review to approve’’ covered requests for wireless local authorities to review wireless determine whether an application is facility siting. In particular, the facilities siting applications, but rather complete, is appropriate. In addressing Commission concludes that the preempt them from choosing to exercise this issue, it is appropriate to consider provision requires not merely approval such authority under their laws other not only the record support for a time of covered applications, but approval than in accordance with Federal law— limit on review but also State statutes within a reasonable period of time i.e., to deny any covered requests. The that facilitate collocation applications. commensurate with the limited nature Commission therefore adopts the Many of these statutes impose review of the review, whether or not a following procedural requirements for time limits, thus providing valuable particular application is for ‘‘personal processing applications under section insight into States’ views on the wireless service’’ facilities covered by 6409(a). appropriate amount of time. Missouri, section 332(c)(7). With no such 107. First, the Commission provides New Hampshire, and Wisconsin, for limitation, a State or local government that in connection with requests example, have determined that 45 days could evade its statutory obligation to asserted to be covered by section is the maximum amount of time approve covered applications by simply 6409(a), State and local governments available to a municipality to review failing to act on them, or it could may only require applicants to provide applications, while Georgia, North

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Carolina, and Pennsylvania have determining whether the request meets may seek additional information subject adopted a 90-day review period, the requirements of section 6409(a). to the same limitations applicable to including review both for completeness 111. The timeframe for review will other section 332(c)(7) reviews. The and for approval. Michigan’s statute begin running again when the applicant Commission recognizes that, in such provides that after the application is makes a supplemental submission, but cases, there might be greater delay in the filed, the locality has 14 days to deem may be tolled again if the State or local process than if the State or municipality the application complete and an government provides written notice to had been permitted to request the additional 60 days to review. The the applicant within 10 days that the broader documentation in the first Commission finds it appropriate to application remains incomplete and place. The Commission finds that adopt a 60-day time period as the time specifically delineates which of the applicants are in a position to judge limit for review of an application under deficiencies specified in the original whether to seek approval under section section 6409(a). notice of incompleteness have not been 6409(a), and the Commission expects 109. The Commission finds that a addressed. The timeframe for review they will have strong incentives to do so period shorter than the 90-day period will be tolled in this circumstance until in a reasonable manner to avoid applicable to review of collocations the applicant supplies the relevant unnecessary delays. Finally, as the under section 332(c)(7) of the authority with the information Commission proposed in the Communications Act is warranted to delineated. Consistent with Infrastructure NPRM, the Commission reflect the more restricted scope of determinations of incompleteness under finds that where both section 6409(a) review applicable to applications under section 332(c)(7) as described below, and section 332(c)(7) apply, section section 6409(a). The Commission any second or subsequent determination 6409(a) governs, consistent with the further finds that a 60-day period of that an application is incomplete may express language of section 6409(a) review, rather than the 45-day period be based only on the applicant’s failure providing for approval proposed by many industry to provide the documentation or ‘‘[n]otwithstanding’’ section 332(c)(7) commenters, is appropriate to provide information the State or municipality and with canons of statutory municipalities with sufficient time to required in its initial request for construction that a more recent statute review applications for compliance with additional information. Further, if the takes precedence over an earlier one and section 6409(a), because the timeframe 10-day period passes without any that ‘‘normally the specific governs the sets an absolute limit that—in the event further notices of incompleteness from general.’’ the State or locality, the period for 114. Beyond the guidance provided in of a failure to act—results in a deemed review of the application may not the R&O, the Commission declines to grant. Thus, whereas a municipality thereafter be tolled for incompleteness. adopt the other proposals put forth by may rebut a claim of failure to act under 112. The Commission further finds commenters regarding procedures for section 332(c)(7) if it can demonstrate that the timeframe for review under the review of applications under section that a longer review period was section 6409(a) continues to run 6409(a) or the collection of fees. The reasonable, that is not the case under regardless of any local moratorium. This Commission concludes that its section 6409(a). Rather, if an application is once again consistent with its clarification and implementation of this covered by section 6409(a) has not been approach under section 332(c)(7), and is statutory provision strikes the approved by a State or local government further warranted in light of section appropriate balance of ensuring the within 60 days from the date of filing, 6409(a)’s direction that covered requests timely processing of these applications accounting for any tolling, as described shall be approved ‘‘[n]otwithstanding and preserving flexibility for State and below, the reviewing authority will have . . . any other provision of law.’’ local governments to exercise their violated section 6409(a)’s mandate to 113. Some additional clarification of rights and responsibilities. Given the approve and not deny the request, and time periods and deadlines will assist in limited record of problems the request will be deemed granted. cases where both section 6409(a) and implementing the provision, further 110. The Commission further section 332(c)(7) apply. In particular, action to specify procedures would be provides that the foregoing section the Commission notes that States and premature. 6409(a) timeframe may be tolled by municipalities reviewing an application mutual agreement or in cases where the under section 6409(a) will be limited to 3. Remedies reviewing State or municipality informs a restricted application record tailored 115. After a careful assessment of the the applicant in a timely manner that to the requirements of that provision. As statutory provision and a review of the the application is incomplete. As with a result, the application may be record, the Commission establishes a tolling for completeness under section complete for purposes of section 6409(a) deemed granted remedy for cases in 332(c)(7) (as discussed in the R&O), an review but may not include all of the which the applicable State or municipal initial determination of incompleteness information the State or municipality reviewing authority fails to issue a tolls the running of the period only if requires to assess applications not decision within 60 days (subject to any the State or local government provides subject to section 6409(a). In such cases, tolling, as described above) on an notice to the applicant in writing within if the reviewing State or municipality application submitted pursuant to 30 days of the application’s submission. finds that section 6409(a) does not apply section 6409(a). The Commission The Commission also requires that any (because, for example, it proposes a further concludes that a deemed grant determination of incompleteness must substantial change), the Commission does not become effective until the clearly and specifically delineate the provides that the presumptively applicant notifies the reviewing missing information in writing, similar reasonable timeframe under section jurisdiction in writing, after the time to determinations of incompleteness 332(c)(7) will start to run from the period for review by the State or under section 332(c)(7). Further, issuance of the State’s or municipality’s municipal reviewing authority as consistent with the documentation decision that section 6409(a) does not prescribed in the Commission’s rules restriction established above, the State apply. To the extent the State or has expired, that the application has or municipality may only specify as municipality needs additional been deemed granted. missing information and supporting information at that point to assess the 116. The Commission’s reading of documents that are reasonably related to application under section 332(c)(7), it section 6409(a) supports this approach.

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The provision states without Commission with delays in municipal the exception rather than the rule. To equivocation that the reviewing action on wireless facility siting the extent there have been any problems authority ‘‘may not deny, and shall applications that led to the 2009 or delays due to ambiguity in the approve’’ any qualifying application. Declaratory Ruling, the Commission provision, the Commission anticipates This directive leaves no room for a concludes it is necessary to balance that the framework it has established, lengthy and discretionary approach to these federalism concerns against the including the specification of reviewing an application that meets the need for ensuring prompt action on substantive and procedural rights and statutory criteria; once the application section 6409(a) applications. The applicable remedies, will address many meets these criteria, the law forbids the Commission adopts this approach in of these problems. The Commission State or local government from denying tandem with several measures that anticipates as well that the prospect of it. Moreover, while State and local safeguard the primacy of State and local a deemed grant will create significant governments retain full authority to government participation in local land incentives for States and municipalities approve or deny an application use policy, to the extent consistent with to act in a timely fashion. depending on whether it meets the the requirements of section 6409(a). 123. With respect to the appropriate provision’s requirements, the statute First, the Commission has adopted a 60- forum for redress or for resolving does not permit them to delay this day time period for States and localities disputes, including disputes over the obligatory and non-discretionary step to review applications submitted under application of the deemed grant rule, indefinitely. In the R&O, the section 6409(a). While many industry the Commission finds that the most Commission defines objectively the commenters proposed a 45-day review appropriate course for a party aggrieved statutory criteria for determining period based on the non-discretionary by operation of section 6409(a) is to seek whether an application is entitled to a analysis that the provision requires, the relief from a court of competent grant under this provision. Given the Commission has provided more time in jurisdiction. Although the Commission objective nature of this assessment, part to ensure that reviewing authorities finds that it has authority to resolve then, the Commission concludes that have sufficient time to assess the such disputes under its authority to withholding a decision on an applications. implement and enforce that provision, application indefinitely, even if an 118. Second, the Commission is the Commission also finds that applicant can seek relief in court or in establishing a clear process for tolling requiring that these disputes be resolved another tribunal, would be tantamount the 60-day period when an applicant in court, and not by the Commission, to denying it, in contravention of the fails to submit a complete application, will better accommodate the role of the statute’s pronouncement that reviewing thus ensuring that the absence of States and local authorities and serve authorities ‘‘may not deny’’ qualifying necessary information does not prevent the public interest for the reasons the applications. The Commission finds that a State or local authority from municipal commenters identify and as the text of section 6409(a) supports completing its review before the time discussed in the R&O. 124. A number of factors persuade the adoption of a deemed granted remedy, period expires. 119. Third, even in the event of a Commission to require parties to which will directly serve the broader deemed grant, the section 106 historic adjudicate claims under section 6409(a) goal of promoting the rapid deployment preservation review process—including in court rather than before the of wireless infrastructure. The coordination with State and Tribal Commission. First, Commission Commission notes as well that its historic preservation officers—will adjudication would impose significant approach is consistent with other remain in place with respect to any burdens on localities, many of which Federal agencies’ processes to address proposed deployments in historic are small entities with no representation inaction by State and local authorities. districts or on historic buildings (or in Washington, DC and no experience 117. Many municipalities oppose the districts and buildings eligible for such before the Commission. The possible adoption of a deemed granted remedy status). need for testimony to resolve disputed primarily on the ground that it arguably 120. Fourth, a State or local authority factual issues, which may occur in these represents an intrusion into local may challenge an applicant’s written cases, would magnify the burden. The decision-making authority. The assertion of a deemed grant in any court Commission is also concerned that it Commission fully acknowledges and of competent jurisdiction when it may simply lack the resources to values the important role that local believes the underlying application did adjudicate these matters in a timely reviewing authorities play in the siting not meet the criteria in section 6409(a) fashion if the Commission enables process, and, as the Commission stated for mandatory approval, would not parties to seek its review of local zoning in the Infrastructure NPRM, ‘‘[the comply with applicable building codes disputes arising in as many as 38,000 Commission’s] goal is not to ‘operate as or other non-discretionary structural jurisdictions, thus thwarting Congress’s a national zoning board.’ ’’ At the same and safety codes, or for other reasons is goal of speeding up the process. The time, its authority and responsibility to not appropriately ‘‘deemed granted.’’ Commission also agrees with implement and enforce section 6409(a) 121. Finally, and perhaps most municipalities that it does not have any as if it were a provision of the importantly, the deemed granted particular expertise in resolving local Communications Act obligate the approach does not deprive States and zoning disputes, whereas courts have Commission to ensure effective localities of the opportunity to been adjudicating claims of failure to act enforcement of the congressional determine whether an application is on wireless facility siting applications mandate reflected therein. To do so, covered; rather, it provides a remedy for since the adoption of section 332(c)(7). given its ‘‘broad grant of rulemaking a failure to act within the fixed but 125. The Commission requires parties authority,’’ the importance of ensuring substantial time period within which to bring claims related to section 6409(a) rapid deployment of commercial and they must determine, on a non- in a court of competent jurisdiction. public safety wireless broadband discretionary and objective basis, Such claims would appear likely to fall services as reflected in the adoption of whether an application fits within the into one of three categories. First, if the the Spectrum Act, and in light of the parameters of section 6409(a). State or local authority has denied the record of disputes in this proceeding, as 122. The Commission emphasizes as application, an applicant might seek to well as the prior experience of the well that it expects deemed grants to be challenge that denial. Second, if an

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applicant invokes its deemed grant right parties to place antennas and other applicable timeframe presumptively after the requisite period of State or wireless service facilities on local- constitutes a failure to act under section local authority inaction, that reviewing government property, and the 332(c)(7)(B)(v), enabling an applicant to authority might seek to challenge the Commission finds no basis for applying pursue judicial relief within the next 30 deemed grant. Third, an applicant section 6409(a) in those circumstances. days. whose application has been deemed The Commission finds that this 130. In the Infrastructure NPRM, granted might seek some form of conclusion is consistent with judicial while stating that it would not generally judicial imprimatur for the grant by decisions holding that sections 253 and revisit the 2009 Declaratory Ruling, the filing a request for declaratory judgment 332(c)(7) of the Communications Act do Commission sought comment on six or other relief that a court may find not preempt ‘‘non regulatory decisions discrete issues arising under section appropriate. In light of the policy of a state or locality acting in its 332(c)(7) and the 2009 Declaratory underlying section 6409(a) to ensure proprietary capacity.’’ Ruling: (1) Whether and how to clarify that covered requests are granted 127. The Commission declines at this when a siting application is considered promptly, and in the self-interest of the time to further elaborate as to how this complete for the purpose of triggering affected parties, the Commission would principle should apply to any particular the 2009 Declaratory Ruling’s shot expect that these parties would seek circumstance in connection with section clock; (2) whether to clarify that the judicial review of any such claims 6409(a). The Commission agrees with presumptively reasonable period for relating to section 6409(a) Alexandria et al. that the record does State or local government action on an expeditiously. The enforcement of such not demonstrate a present need to application runs regardless of any local claims is a matter appropriately left to define what actions are and are not moratorium; (3) whether the 2009 such courts of competent jurisdiction. proprietary, and the Commission Declaratory Ruling applies to DAS and Given the foregoing Federal interest concludes in any case that such a task small-cell facilities; (4) whether to reflected in section 6409(a), it would is best undertaken, to the extent clarify the types of actions that appear that the basis for equitable necessary, in the context of a specific constitute ‘‘collocations’’ for purposes of judicial remedies would diminish municipal action and associated record. triggering the shorter shot clock; (5) significantly absent prompt action by whether local ordinances establishing 5. Effective Date the aggrieved party. In its judgment, preferences for deployment on based on the record established in this 128. Based on its review of the record, municipal property violate section proceeding, the Commission finds no the Commission is persuaded that a 332(c)(7)(B)(i)(I); and (6) whether to reason why (absent a tolling agreement transition period is necessary and adopt an additional remedy for failures by parties seeking to resolve their appropriate. The Commission agrees to act in violation of section 332(c)(7). differences) such claims cannot and with certain municipal commenters that should not be brought within 30 days of affected State and local governments B. Discussion the date of the relevant event (i.e., the may need time to make modifications to 1. Completeness of Applications date of the denial of the application or their laws and procedures to conform to 131. The Commission finds that it the date of the notification by the and comply with the rules the applicant to the State or local authority should clarify under what conditions Commission adopts in the R&O the presumptively reasonable of a deemed grant in accordance with implementing and enforcing section the Commission’s rules). timeframes may be tolled on grounds 6409(a), and that a transition period is that an application is incomplete. As an 4. Non-application to States or warranted to give them time to do so. initial matter, the Commission notes Municipalities in Their Proprietary The Commission concludes as proposed that under the 2009 Declaratory Ruling, Capacities by the IAC and other parties that the the presumptively reasonable timeframe rules adopted to implement section 126. As proposed in the Infrastructure begins to run when an application is 6409(a) will take effect 90 days after first submitted, not when it is deemed NPRM and supported by the record, the Federal Register publication. Commission concludes that section complete. Accordingly, to the extent 6409(a) applies only to State and local IV. Section 332(c)(7) and the 2009 municipalities have interpreted the governments acting in their role as land Declaratory Ruling clock to begin running only after a use regulators and does not apply to determination of completeness, that A. Background such entities acting in their proprietary interpretation is incorrect. capacities. As discussed in the record, 129. In 2009, the Commission adopted 132. Further, consistent with courts have consistently recognized that a Declaratory Ruling in response to a proposals submitted by Crown Castle in ‘‘determining whether government petition requesting clarification on two and PCIA, the Commission clarifies that, contracts are subject to preemption, the points: what constitutes a ‘‘reasonable following a submission in response to a case law distinguishes between actions period of time’’ after which an aggrieved determination of incompleteness, any a State entity takes in a proprietary applicant may file suit asserting a subsequent determination that an capacity—actions similar to those a failure to act under section 332(c)(7), application remains incomplete must be private entity might take—and its and whether a zoning authority may based solely on the applicant’s failure to attempts to regulate.’’ As the Supreme restrict competitive entry by multiple supply information that was requested Court has explained, ‘‘[i]n the absence providers in a given area under section within the first 30 days. The shot clock of any express or implied implication by 332(c)(7)(B)(i)(II). In the 2009 will begin running again after the Congress that a State may not manage its Declaratory Ruling, the Commission applicant makes a supplemental own property when it pursues its purely interpreted a ‘‘reasonable period of submission. The State or local proprietary interests, and when time’’ under section 332(c)(7)(B)(ii) to be government will have 10 days to notify analogous private conduct would be 90 days for processing collocation the applicant that the supplemental permitted, this Court will not infer such applications, and 150 days for submission did not provide the a restriction.’’ Like private property processing applications other than information identified in the original owners, local governments enter into collocations. The Commission further notice delineating missing information. lease and license agreements to allow determined that failure to meet the In other words, a subsequent

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determination of incompleteness can plain reading of the 2009 Declaratory 3. Application to DAS and Small Cells result in further tolling of the shot clock Ruling, which specifies the conditions only if the local authority provides it to for tolling and makes no provision for 139. The Commission clarifies that to the applicant in writing within 10 days moratoria. Moreover, its conclusion that the extent DAS or small-cell facilities, of the supplemental submission, the clock runs regardless of any including third-party facilities such as specifically identifying the information moratorium means that applicants can neutral host DAS deployments, are or the applicant failed to supply in challenge moratoria in court when the will be used for the provision of response to the initial request. Once the shot clock expires without State or local personal wireless services, their siting 10-day period passes, the period for government action, which is consistent applications are subject to the same review of the application may not with the case-by-case approach that presumptively reasonable timeframes thereafter be tolled for incompleteness. courts have generally applied to that apply to applications related to other personal wireless service facilities. 133. The Commission further moratoria under section 332(c)(7). This The Commission notes that courts have provides that, in order to toll the approach, which establishes clearly that addressed the issue and, consistent with timeframe for review on grounds of an applicant can seek redress in court its conclusion, have found that the incompleteness, a municipality’s even when a jurisdiction has imposed a timeframes apply to DAS and small-cell request for additional information must moratorium, will prevent indefinite and deployments. specify the code provision, ordinance, unreasonable delay of an applicant’s application instruction, or otherwise ability to bring suit. 140. Some commenters argue that the publically-stated procedures that shot clocks should not apply because require the information to be submitted. 137. Some commenters contend that some providers describe DAS and small- This requirement will avoid delays due this approach would, in effect, cell deployments as wireline, not to uncertainty or disputes over what improperly require municipal staff to wireless, facilities. Determining whether documents or information are required simultaneously review and update their facilities are ‘‘personal wireless service for a complete application. Further, regulations to adapt to new technologies facilities’’ subject to section 332(c)(7) while some municipal commenters while also reviewing applications. The does not rest on a provider’s argue that ‘‘[n]ot all jurisdictions codify Commission recognizes that new characterization in another context; detailed application submittal technologies may in some cases warrant rather, the analysis turns simply on requirements because doing so would changes in procedures and codes, but whether they are facilities used to require a code amendment for even the finds no reason to conclude that the provide personal wireless services. slightest change,’’ the Commission’s need for any such change should freeze Based on its review of the record, the approach does not restrict them to all applications. The Commission is Commission finds no evidence reliance on codified documentation confident that industry and local sufficient to compel the conclusion that requirements. governments can work together to the characteristics of DAS and small-cell 134. Beyond these procedural resolve applications that may require deployments somehow exclude them requirements, the Commission declines more staff resources due to complexity, from section 332(c)(7) and the 2009 to enumerate what constitutes a pending changes to the relevant siting Declaratory Ruling. For similar reasons, ‘‘complete’’ application. The regulations, or other special the Commission rejects Coconut Creek’s Commission finds that State and local circumstances. Moreover, in those argument that the shot clocks should governments are best suited to decide instances in which a moratorium may apply only to neutral host deployments. what information they need to process reasonably prevent a State or 141. Some commenters suggest an application. Differences between municipality from processing an revising the Commission’s proposal on jurisdictions make it impractical for the application within the applicable the grounds that the unique qualities of Commission to specify what timeframe, the State or municipality DAS and small-cell systems require information should be included in an will, if the applicant seeks review, have longer timeframes for municipal review. application. an opportunity to justify the delay in The Commission declines to adjust the 135. The Commission finds that these court. The Commission clarifies that the clarifications will provide greater timelines as these commenters suggest. shot clock continues to run regardless of The Commission notes that the certainty regarding the period during any moratorium. which the clock is tolled for timeframes are presumptive, and the incompleteness. This in turn provides 138. The Commission declines at this Commission expects applicants and clarity regarding the time at which the time to determine that a moratorium State or local governments to agree to clock expires, at which point an that lasts longer than six months extensions in appropriate cases. applicant may bring suit based on a constitutes a per se violation of the Moreover, courts will be positioned to ‘‘failure to act.’’ Further, the obligation to take action in a reasonable assess the facts of individual cases— Commission expects that these period of time. Although some have including whether the applicable time clarifications will result in shared argued that a six-month limit would period ‘‘t[ook] into account the nature expectations among parties, thus ‘‘discourage localities from and scope of [the] request’’—in limiting potential miscommunication circumventing the intent of the instances where the shot clock expires and reducing the potential or need for Commission’s shot clock rules,’’ others and the applicant seeks review. The serial requests for more information. disagree, and the record provides Commission also notes that DAS and These clarifications will facilitate faster insufficient evidence to support a per se small-cell deployments that involve application processing, reduce determination at this juncture. Given its installation of new poles will trigger the unreasonable delay, and accelerate clarification that the presumptively 150-day time period for new wireless infrastructure deployment. reasonable timeframes apply regardless construction that many municipal of moratoria, any moratorium that commenters view as reasonable for DAS 2. Moratoria results in a delay of more than 90 days and small-cell applications. The 136. The Commission clarifies that for a collocation application or 150 days Commission finds it unnecessary to the shot clock runs regardless of any for any other application will be modify the presumptive timeframes as moratorium. This is consistent with a presumptively unreasonable. they apply to DAS applications.

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4. Definition of Collocation within the reasonable timeframes set 148. First, the Commission adopts 142. After reviewing the record, the forth in the Commission’s rules, and measures to refine its environmental Commission declines to make any absent some compelling need for and historic preservation review changes or clarifications to the existing additional time to review the processes under NEPA and NHPA to standard established in the 2009 application, the Commission believes account for new wireless technologies, Declaratory Ruling for applying the 90- that it would also be appropriate for the including physically small facilities like day shot clock for collocations. In courts to treat such circumstances as those used in DAS networks and small- particular, the Commission declines to significant factors weighing in favor of cell systems that are a fraction of the apply the ‘‘substantial change’’ test that such relief. size of macrocell installations. Among these, the Commission expands an the Commission establishes in the R&O V. Procedural Matters for purposes of section 6409(a). The existing categorical exclusion from Commission observes that sections A. Final Regulatory Flexibility Analysis NEPA review so that it applies not only 6409(a) and 332(c)(7) serve different 146. As required by section 603 of the to collocations on buildings and towers, purposes, and the Commission finds Regulatory Flexibility Act (RFA), the but also to collocations on other that the tests for ‘‘substantial change’’ Commission has prepared a Final structures like utility poles. The and ‘‘substantial increase in size’’ are Regulatory Flexibility Analysis (FRFA) Commission also adopts a new appropriately distinct. More of the expected impact on small entities categorical exclusion from NEPA review specifically, the test for a ‘‘substantial of the requirements adopted in the R&O. for some kinds of deployments in increase in size’’ under section 332(c)(7) To the extent that any statement utilities or communications rights-of- affects only the length of time for State contained in the FRFA is perceived as way. With respect to NHPA, the or local review, while the test the creating ambiguity with respect to the Commission creates new exclusions Commission adopts under section Commission’s rules, or statements made from section 106 review to address 6409(a) identifies when a State or in the R&O, the rules and R&O certain collocations that are currently municipality must grant an application. statements shall be controlling. subject to review only because of the age This is a meaningful distinction that of the supporting structure. The 1. Need for, and Objectives of, the Commission takes these steps to assure merits a more demanding standard Report and Order under section 6409(a). that, as the Commission continues to 143. Considering that these provisions 147. In the R&O, the Commission meet its responsibilities under NEPA cover different (though overlapping) takes important steps to promote the and NHPA, the Commission also fulfills pools of applications, it is appropriate to deployment of wireless infrastructure, its obligation under the apply them differently. Further, the recognizing that it is the physical Communications Act to ensure that Commission finds no compelling foundation that supports all wireless rapid, efficient, and affordable radio evidence in the record that using the communications. The R&O adopts and communications services are available same test for both provisions would clarifies rules in four specific areas in an to all Americans. provide significant administrative effort to reduce regulatory obstacles and 149. Second, regarding temporary efficiencies or limit confusion, as some bring efficiency to wireless facility towers, the Commission adopts a have argued. The Commission preserves siting and construction. The narrow exemption from the distinct standards under the two Commission does this by eliminating Commission’s requirement that owners provisions. unnecessary reviews, thus reducing the of proposed towers requiring ASR burden on State and local jurisdictions provide 30 days of national and local 5. Preferences for Deployments on and also on industry, including small notice to give members of the public an Municipal Property businesses. In particular, the opportunity to comment on the 144. The Commission finds Commission updates and tailors the proposed tower’s potential insufficient evidence in the record to manner in which the Commission environmental effects. The exemption make a determination that municipal evaluates the impact of proposed from notification requirements applies property preferences are per se deployments on the environment and only to proposed temporary towers unreasonably discriminatory or historic properties. The Commission meeting defined criteria, including otherwise unlawful under section also adopts rules to clarify and limits on the size and duration of the 332(c)(7). To the contrary, most industry implement statutory requirements installation, that greatly reduce the and municipal commenters support the related to State and local government likelihood of any significant conclusion that many such preferences review of infrastructure siting environmental effects. Allowing are valid. Consistent with the majority applications, and the Commission licensees to deploy temporary towers of comments on this issue, the adopts an exemption from its meeting these criteria without first Commission declines at this time to find environmental public notification having to complete the Commission’s municipal property preferences per se process for towers that are in place for environmental notification process will unlawful under section 332(c)(7). only short periods of time. Taken enable them to more effectively respond together, these steps will further to emergencies, natural disasters, and 6. Remedies facilitate the delivery of more wireless other planned and unplanned short- 145. After reviewing the record, the capacity in more locations to consumers term spikes in demand without Commission declines to adopt an throughout the United States. Its actions undermining the purposes of the additional remedy for State or local will expedite the deployment of notification process. This exemption government failures to act within the equipment that does not harm the will ‘‘remove an administrative obstacle presumptively reasonable time limits. environment or historic properties, as to the availability of broadband and The Commission also notes that a party well as recognize the limits on Federal, other wireless services during major pursuing a ‘‘failure to act’’ claim may State, Tribal, and municipal resources events and unanticipated periods of ask the reviewing court for an available to review those cases that may localized high demand’’ where injunction granting the application. adversely affect the environment or expanded or substitute service is needed Moreover, in the case of a failure to act historic properties. quickly.

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150. Third, the Commission adopts 2. Summary of Significant Issues Raised that could be directly affected by the rules to implement and enforce section by Public Comments in Response to the rules the Commission adopts. As of 6409(a) of the Spectrum Act. Section IRFA 2010, there were 27.9 million small 6409(a) provides, in part, that ‘‘a State 153. No commenters directly businesses in the United States, or local government may not deny, and responded to the IRFA. Some according to the SBA. A ‘‘small organization’’ is generally ‘‘any not-for- shall approve, any eligible facilities commenters raised issues of particular request for a modification of an existing profit enterprise which is independently relevance to small entities, and the wireless tower or base station that does owned and operated and is not Commission addresses those issues in not substantially change the physical dominant in its field.’’ Nationwide, as of the FRFA. dimensions of such tower or base 2007, there were approximately station.’’ By requiring timely approval of 3. Response to Comments by the Chief 1,621,315 small organizations. Finally, eligible requests, Congress intended to Counsel for Advocacy of the Small the term ‘‘small governmental advance wireless broadband service for Business Administration jurisdiction’’ is defined generally as both public safety and commercial 154. Pursuant to the Small Business ‘‘governments of cities, counties, towns, users. Section 6409(a) includes a Jobs Act of 2010, the Commission is townships, villages, school districts, or special districts, with a population of number of undefined terms that bear required to respond to any comments directly on how the provision applies to less than fifty thousand.’’ Census filed by the Chief Counsel for Advocacy infrastructure deployments, and the Bureau data for 2007 indicate that there of the Small Business Administration record confirms that there are were 89,527 governmental jurisdictions (SBA), and to provide a detailed substantial disputes on a wide range of in the United States. The Commission statement of any change made to the interpretive issues under the provision. estimates that, of this total, as many as proposed rules as a result of those The Commission adopts rules that 88,761 entities may qualify as ‘‘small comments. The Chief Counsel did not clarify many of these terms and enforce governmental jurisdictions.’’ Thus, the file any comments in response to the their requirements, thus advancing Commission estimates that most proposed rules in this proceeding. Congress’s goal of facilitating rapid governmental jurisdictions are small. deployment. These rules will serve the 4. Description and Estimate of the 158. Wireless Telecommunications public interest by providing guidance to Number of Small Entities To Which Carriers (except satellite). The Census all stakeholders on their rights and Rules Will Apply Bureau defines this category as follows: responsibilities under the provision, ‘‘This industry comprises 155. The RFA directs the Commission reducing delays in the review process establishments engaged in operating and to provide a description of and, where for wireless infrastructure maintaining switching and transmission feasible, an estimate of the number of modifications, and facilitating the rapid facilities to provide communications via small entities that will be affected by the deployment of wireless infrastructure the airwaves. Establishments in this rules, if adopted. The RFA generally and promoting advanced wireless industry have spectrum licenses and defines the term ‘‘small entity’’ as broadband services. provide services using that spectrum, 151. Finally, the Commission clarifies having the same meaning as the terms such as cellular phone services, paging issues related to section 332(c)(7) of the ‘‘small business,’’ ‘‘small organization,’’ services, wireless Internet access, and Communications Act and the and ‘‘small government jurisdiction.’’ In wireless video services.’’ The Commission’s 2009 Declaratory Ruling. addition, the term ‘‘small business’’ has appropriate size standard under SBA Among other things, the Commission the same meaning as the term ‘‘small rules is for the category Wireless explains when a siting application is business concern’’ under the Small Telecommunications Carriers (except complete so as to trigger the Business Act. A small business concern Satellite). In this category, a business is presumptively reasonable timeframes is one which: (1) Is independently small if it has 1,500 or fewer employees. for local and State review of siting owned and operated; (2) is not For this category, census data for 2007 applications under the 2009 Declaratory dominant in its field of operation; and show that there were 1,383 firms that Ruling, and how the shot clock (3) satisfies any additional criteria operated for the entire year. Of this timeframes apply to local moratoria and established by the SBA. total, 1,368 firms had employment of DAS or small-cell facilities. These 156. The R&O adopts rule changes 999 or fewer employees and 15 had clarifications will eliminate many regarding local and Federal regulation of employment of 1000 employees or disputes under section 332(c)(7), the siting and deployment of more. According to Commission data, provide certainty about timing related to communications towers and other 413 carriers reported that they were siting applications (including the time wireless facilities. Due to the number engaged in the provision of wireless at which applicants may seek judicial and diversity of owners of such telephony, including cellular service, relief), and preserve State and infrastructure and other responsible PCS, and Specialized Mobile Radio municipal governments’ critical role in parties, including small entities that are (SMR) telephony services. Of these, an the siting application process. Commission licensees as well as non- estimated 261 have 1,500 or fewer 152. Taken together, the actions the licensees, the Commission classifies and employees and 152 have more than Commission takes in the R&O will quantify them in the remainder of this 1,500 employees. Consequently, the enable more rapid deployment of vital section. Commission estimates that wireless facilities, delivering broadband 157. Small Businesses, Small approximately half or more of these and wireless innovations to consumers Organizations, and Small Governmental firms can be considered small. Thus, across the country. At the same time, Jurisdictions. The Commission’s action using available data, the Commission they will safeguard the environment, may, over time, affect a variety of small estimates that the majority of wireless preserve historic properties, protect the entities. To assist in assessing the R&O’s firms can be considered small. interest of Tribal Nations in their effect on these entities, the Commission 159. Personal Radio Services. ancestral lands and cultural legacies, describes three comprehensive Personal radio services provide short- and address municipalities’ concerns categories—small businesses, small range, low-power radio for personal over impacts to aesthetics and other organizations, and small governmental communications, radio signaling, and local values. jurisdictions—that encompass entities business communications not provided

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for in other services. Personal radio licensees due to the vast array of PLMR resolve mutually exclusive applications. services include services operating in users. The Commission believes that the The Commission’s licensing database spectrum licensed under part 95 of the most appropriate classification for indicates that, as of April 16, 2010, there Commission’s rules. These services PLMR is Wireless Communications were a total of 11,653 site-based MAS include Citizen Band Radio Service, Carriers (except satellite). The size station authorizations. Of these, 58 General Mobile Radio Service, Radio standard for that category is that a authorizations were associated with Control Radio Service, Family Radio business is small if it has 1,500 or fewer common carrier service. In addition, the Service, Wireless Medical Telemetry employees. For this category, census Commission’s licensing database Service, Medical Implant data for 2007 show that there were indicates that, as of April 16, 2010, there Communications Service, Low Power 11,163 establishments that operated for were a total of 3,330 Economic Area Radio Service, and Multi-Use Radio the entire year. Of this total, 10,791 market area MAS authorizations. The Service. There are a variety of methods establishments had employment of 999 Commission’s licensing database used to license the spectrum in these or fewer employees and 372 had indicates that, as of April 16, 2010, of rule parts, from licensing by rule, to employment of 1000 employees or the 11,653 total MAS station conditioning operation on successful more. Thus under this category and the authorizations, 10,773 authorizations completion of a required test, to site- associated small business size standard, were for private radio service. In based licensing, to geographic area the Commission estimates that the addition, an auction for 5,104 MAS licensing. Under the RFA, the majority of PLMR licensees are small licenses in 176 EAs was conducted in Commission is required to make a entities that may be affected by its 2001. Seven winning bidders claimed determination of which small entities action. status as small or very small businesses are directly affected by the rules the 162. Similarly, according to and won 611 licenses. In 2005, the Commission adopts. Since all such Commission data, 413 carriers reported Commission completed an auction entities are wireless, the Commission that they were engaged in the provision (Auction 59) of 4,226 MAS licenses in applies the definition of Wireless of wireless telephony, including cellular the Fixed Microwave Services from the Telecommunications Carriers (except service, PCS, and SMR telephony 928/959 and 932/941 MHz bands. Satellite), pursuant to which a small services. Of these, an estimated 261 Twenty-six winning bidders won a total entity is defined as employing 1,500 or have 1,500 or fewer employees and 152 of 2,323 licenses. Of the 26 winning fewer persons. Many of the licensees in have more than 1,500 employees. bidders in this auction, five claimed these services are individuals, and thus Consequently, the Commission small business status and won 1,891 are not small entities. In addition, due estimates that approximately half or licenses. to the mostly unlicensed and shared more of these firms can be considered 165. With respect to the second nature of the spectrum utilized in many small. Thus, using available data, the category, which consists of entities that of these services, the Commission lacks Commission estimates that the majority use, or seek to use, MAS spectrum to direct information upon which to base of wireless firms can be considered accommodate their own internal an estimation of the number of small small. communications needs, MAS serves an entities under an SBA definition that 163. The Commission’s 1994 Annual essential role in a range of industrial, might be directly affected by the R&O. Report on PLMRs indicates that at the safety, business, and land transportation 160. Public Safety Radio Services. end of fiscal year 1994 there were activities. MAS radios are used by Public safety radio services include 1,087,267 licensees operating companies of all sizes, operating in police, fire, local government, forestry 12,481,989 transmitters in the PLMR virtually all U.S. business categories, conservation, highway maintenance, bands below 512 MHz. Because any and by all types of public safety entities. and emergency medical services. There entity engaged in a commercial activity For the majority of private internal are a total of approximately 127,540 is eligible to hold a PLMR license, the users, the definition developed by the licensees within these services. rules the Commission adopts could SBA would be more appropriate than Governmental entities as well as private potentially impact every small business the Commission’s definition. The businesses comprise the licensees for in the United States. applicable definition of small entity in these services. All governmental entities 164. Multiple Address Systems. this instance appears to be the ‘‘Wireless in jurisdictions with populations of less Entities using Multiple Address Systems Telecommunications Carriers (except than 50,000 fall within the definition of (MAS) spectrum, in general, fall into satellite)’’ definition under the SBA a small entity. two categories: (1) Those using the rules. Under that SBA category, a 161. Private Land Mobile Radio. spectrum for profit-based uses, and (2) business is small if it has 1,500 or fewer Private Land Mobile Radio (PLMR) those using the spectrum for private employees. For this category, census systems serve an essential role in a internal uses. With respect to the first data for 2007 show that there were range of industrial, business, land category, the Commission defines 11,163 establishments that operated for transportation, and public safety ‘‘small entity’’ for MAS licensees as an the entire year. Of this total, 10,791 activities. These radios are used by entity that has average annual gross establishments had employment of 99 or companies of all sizes operating in all revenues of less than $15 million over fewer employees and 372 had U.S. business categories that operate the three previous calendar years. ‘‘Very employment of 100 employees or more. and maintain switching and small business’’ is defined as an entity Thus under this category and the transmission facilities to provide that, together with its affiliates, has associated small business size standard, communications via the airwaves. average annual gross revenues of not the Commission estimates that the Establishments in this industry have more than $3 million over the preceding majority of wireless telecommunications spectrum licenses and provide services three calendar years. The SBA has carriers (except satellite) are small using that spectrum, such as cellular approved these definitions. The entities that may be affected by its phone services, paging services, majority of MAS operators are licensed action. wireless Internet access, and wireless in bands where the Commission has 166. Broadband Radio Service and video services. The SBA has not implemented a geographic area Educational Broadband Service. developed a definition of small entity licensing approach that requires the use Broadband Radio Service systems— specifically applicable to PLMR of competitive bidding procedures to previously referred to as Multipoint

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Distribution Service (MDS) and licenses. The Commission notes that, as together with controlling interests and Multichannel Multipoint Distribution a general matter, the number of winning affiliates, has average annual gross Service systems, and ‘‘wireless cable’’— bidders that qualify as small businesses revenues for the preceding three years transmit video programming to at the close of an auction does not not to exceed $3 million. These subscribers and provide two-way high necessarily represent the number of definitions have been approved by the speed data operations using the small businesses currently in service. SBA. An auction for LMS licenses microwave frequencies of the 167. In addition, the SBA’s placement commenced on February 23, 1999 and Broadband Radio Service (BRS) and of Cable Television Distribution closed on March 5, 1999. Of the 528 Educational Broadband Service (EBS) Services in the category of Wired licenses auctioned, 289 licenses were (previously referred to as the Telecommunications Carriers is sold to four small businesses. Instructional Television Fixed Service). applicable to cable-based educational 169. Television Broadcasting. This In connection with the 1996 BRS broadcasting services. Since 2007, Economic Census category ‘‘comprises auction, the Commission established a Wired Telecommunications Carriers establishments primarily engaged in small business size standard as an entity have been defined as follows: ‘‘This broadcasting images together with that had annual average annual gross industry comprises establishments sound. These establishments operate revenues of no more than $40 million primarily engaged in operating and/or television broadcasting studios and over the previous three calendar years. providing access to transmission facilities for the programming and The BRS auctions resulted in 67 facilities and infrastructure that they transmission of programs to the public.’’ successful bidders obtaining licensing own and/or lease for the transmission of The SBA has created the following voice, data, text, sound, and video using small business size standard for such opportunities for 493 Basic Trading wired telecommunications networks. businesses: Those having $38.5 million Areas (BTAs). Of the 67 auction Transmission facilities may be based on or less in annual receipts. The 2007 U.S. winners, 61 met the definition of a small a single technology or a combination of Census indicates that 2,076 television business. BRS also includes licensees of technologies.’’ Establishments in this stations operated in that year. Of that stations authorized prior to the auction. industry use the wired number, 1,515 had annual receipts of The Commission previously estimated telecommunications network facilities $10,000,000 dollars or less, and 561 had that of the 61 small business BRS that they operate to provide a variety of annual receipts of more than auction winners, based on its review of services, such as wired telephony $10,000,000. Since the Census has no licensing records, 48 remain small services, including VoIP services; wired additional classifications on the basis of business licensees. In addition to the 48 (cable) audio and video programming which to identify the number of stations small businesses that hold BTA distribution; and wired broadband whose receipts exceeded $38.5 million authorizations, there are approximately Internet services. Establishments in that year, the Commission concludes 86 incumbent BRS licensees that are providing satellite television that the majority of television stations considered small entities; 18 incumbent distribution services using facilities and were small under the applicable SBA BRS licensees do not meet the small infrastructure that they operate are size standard. business size standard. After adding the included in this industry. The SBA has 170. Apart from the U.S. Census, the number of small business auction determined that a business in this Commission has estimated the number licensees to the number of incumbent category is a small business if it has of licensed commercial television licensees not already counted, there are 1,500 or fewer employees. Census data stations to be 1,387. In addition, currently approximately 133 BRS for 2007 shows that there were 3,188 according to Commission staff review of licensees that are defined as small firms in this category that operated for the BIA Advisory Services, LLC’s Media businesses under either the SBA’s rules the duration of that year. Of those, 3,144 Access Pro Television Database on or the Commission’s rules. In 2009, the had fewer than 1000 employees, and 44 March 28, 2012, about 950 of an Commission conducted Auction 86, firms had more than 1000 employees. estimated 1,300 commercial television which involved the sale of 78 licenses Thus under this category and the stations (or approximately 73 percent) in the BRS areas. The Commission associated small business size standard, had revenues of $14 million or less. The established three small business size the majority of such firms can be Commission estimates that the majority standards that were used in Auction 86: considered small. In addition to Census of commercial television broadcasters (i) An entity with attributed average data, the Commission’s Universal are small entities. annual gross revenues that exceeded Licensing System indicates that as of 171. The Commission notes, that in $15 million and did not exceed $40 July 2013, there are 2,236 active EBS assessing whether a business concern million for the preceding three years licenses. The Commission estimates that qualifies as small under the above was considered a small business; (ii) an of these 2,236 licenses, the majority are definition, business (control) affiliations entity with attributed average annual held by non-profit educational must be included. Its estimate likely gross revenues that exceeded $3 million institutions and school districts, which overstates the number of small entities and did not exceed $15 million for the are by statute defined as small that might be affected by its action preceding three years was considered a businesses. because the revenue figure on which it very small business; and (iii) an entity 168. Location and Monitoring Service is based does not include or aggregate with attributed average annual gross (LMS). LMS systems use non-voice revenues from affiliated companies. In revenues that did not exceed $3 million radio techniques to determine the addition, an element of the definition of for the preceding three years was location and status of mobile radio ‘‘small business’’ is that the entity not considered an entrepreneur. Auction 86 units. For purposes of auctioning LMS be dominant in its field of operation. concluded in 2009 with the sale of 61 licenses, the Commission has defined a The Commission is unable at this time licenses. Of the 10 winning bidders, two ‘‘small business’’ as an entity that, to define or quantify the criteria that bidders that claimed small business together with controlling interests and would establish whether a specific status won four licenses; one bidder that affiliates, has average annual gross television station is dominant in its field claimed very small business status won revenues for the preceding three years of operation. The estimate of small three licenses; and two bidders that not to exceed $15 million. A ‘‘very small businesses to which rules may apply claimed entrepreneur status won six business’’ is defined as an entity that, does not exclude any television station

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from the definition of a small business and booster stations and low power FM $10 million, and 74 establishments had on this basis and is possibly over- (LPFM) stations, as well as potential receipts of $10 million or more. inclusive to that extent. licensees in these radio services. The Consequently, the Commission 172. In addition, the Commission has same SBA definition that applies to estimates that the majority of Satellite estimated the number of licensed radio broadcast licensees would apply Telecommunications firms are small noncommercial educational (NCE) to these stations. The SBA defines a entities that might be affected by its television stations to be 395. These radio broadcast station as a small action. stations are non-profit, and considered business if such station has no more 180. The second category, ‘‘All Other to be small entities. than $38.5 million in annual receipts. Telecommunications,’’ comprises 173. There are also 2,414 LPTV Currently, there are approximately 6,155 ‘‘establishments primarily engaged in stations, including Class A stations, and licensed FM translator and booster providing specialized 4,046 TV translator stations. Given the stations and 864 licensed LPFM telecommunications services, such as nature of these services, the stations. Given the nature of these satellite tracking, communications Commission will presume that all of services, the Commission will presume telemetry, and radar station operation. these entities qualify as small entities that all of these licensees qualify as This industry also includes under the above SBA small business small entities under the SBA definition. establishments primarily engaged in size standard. 177. Multichannel Video Distribution providing satellite terminal stations and 174. Radio Broadcasting. The SBA and Data Service (MVDDS). MVDDS is associated facilities connected with one defines a radio broadcast station as a a terrestrial fixed microwave service or more terrestrial systems and capable small business if it has no more than operating in the 12.2–12.7 GHz band. of transmitting telecommunications to, $35.5 million in annual receipts. The Commission adopted criteria for and receiving telecommunications from, Business concerns included in this defining three groups of small satellite systems. Establishments category are those ‘‘primarily engaged in businesses for purposes of determining providing Internet services or voice over broadcasting aural programs by radio to their eligibility for special provisions Internet protocol (VoIP) services via the public.’’ According to review of the such as bidding credits. It defined a very client-supplied telecommunications BIA Publications, Inc. Master Access small business as an entity with average Radio Analyzer Database as of connections are also included in this annual gross revenues not exceeding $3 industry.’’ For this category, Census November 26, 2013, about 11,331 (or million for the preceding three years; a about 99.9 percent) of 11,341 data for 2007 shows that there were a small business as an entity with average total of 2,639 establishments that commercial radio stations have annual gross revenues not exceeding operated for the entire year. Of those, revenues of $38.5 million or less and $15 million for the preceding three 2,333 operated with annual receipts of thus qualify as small entities under the years; and an entrepreneur as an entity less than $10 million and 306 with SBA definition. The Commission notes with average annual gross revenues not annual receipts of $10 million or more. that in assessing whether a business exceeding $40 million for the preceding Consequently, the Commission concern qualifies as small under the three years. These definitions were estimates that a majority of All Other above definition, revenues from approved by the SBA. On January 27, Telecommunications establishments are business (control) affiliations must be 2004, the Commission completed an small entities that might be affected by included. This estimate likely overstates auction of 214 MVDDS licenses its action. the number of small entities that might (Auction No. 53). In this auction, ten be affected, because the revenue figure winning bidders won a total of 192 181. Non-Licensee Tower Owners. on which it is based does not include or MVDDS licenses. Eight of the ten Although at one time most aggregate revenues from affiliated winning bidders claimed small business communications towers were owned by companies. status and won 144 of the licenses. The the licensee using the tower to provide 175. In addition, an element of the Commission also held an auction of communications service, many towers definition of ‘‘small business’’ is that the MVDDS licenses on December 7, 2005 are now owned by third-party entity not be dominant in its field of (Auction 63). Of the three winning businesses that do not provide operation. The Commission is unable at bidders who won 22 licenses, two communications services themselves this time to define or quantify the winning bidders, winning 21 of the but lease space on their towers to other criteria that would establish whether a licenses, claimed small business status. companies that provide specific radio station is dominant in its 178. Satellite Telecommunications. communications services. The field of operation. The estimate of small Two economic census categories Commission’s rules require that any businesses to which rules may apply address the satellite industry. Both entity, including a non-licensee, does not exclude any radio station from establish a small business size standard proposing to construct a tower over 200 the definition of a small business on this of $32.54 million or less in annual feet in height or within the glide slope basis and may be over-inclusive to that receipts. of an airport must register the tower extent. Also, as noted, an additional 179. The first category, ‘‘Satellite with the Commission on FCC Form 854. element of the definition of ‘‘small Telecommunications,’’ ‘‘comprises Thus, non-licensee tower owners may business’’ is that the entity must be establishments primarily engaged in be subject to the environmental independently owned and operated. providing telecommunications services notification requirements associated The Commission notes that it can be to other establishments in the with ASR registration, and may benefit difficult to assess this criterion in the telecommunications and broadcasting from the exemption for certain context of media entities and the industries by forwarding and receiving temporary antenna structures that the estimates of small businesses to which communications signals via a system of Commission adopts in the R&O. In they apply may be over-inclusive to this satellites or reselling satellite addition, non-licensee tower owners extent. telecommunications.’’ Census Bureau may be affected by its interpretations of 176. FM translator stations and low data for 2007 show that 607 Satellite section 6409(a) of the Spectrum Act or power FM stations. The rules and Telecommunications establishments by its revisions to its interpretation of clarifications the Commission adopts operated for that entire year. Of this section 332(c)(7) of the Communications could affect licensees of FM translator total, 533 had annual receipts of under Act.

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182. As of September 5, 2014, the require marking or lighting pursuant to from coverage of the rule, or any part ASR database includes approximately FAA regulations, (iv) will be less than thereof, for such small entities.’’ The 116,643 registration records reflecting a 200 feet in height, and (v) will involve FRFA incorporates by reference all ’’Constructed’’ status and 13,972 minimal or no excavation. discussion in the R&O that considers the registration records reflecting a 184. The Commission’s rules require impact on small entities of the rules ‘‘Granted, Not Constructed’’ status. that any entity, including a non- adopted by the Commission. In These figures include both towers licensee, proposing to construct a tower addition, the Commission’s registered to licensees and towers over 200 feet in height or within the consideration of those issues as to registered to non-licensee tower owners. glide slope of an airport must register which the impact on small entities was The Commission does not keep the tower with the Commission on FCC specifically discussed in the record is information from which it can easily Form 854. An applicant seeking to claim summarized below. determine how many of these towers are the temporary towers exemption from 187. The actions taken in the R&O registered to non-licensees or how many the environmental notification process encourage and promote the deployment non-licensees have registered towers. must indicate on its FCC Form 854 that of advanced wireless broadband and Regarding towers that do not require it is claiming the exemption for a new, other services by tailoring the regulatory ASR registration, the Commission does proposed temporary tower and review of new wireless network not collect information as to the number demonstrate that the proposed tower infrastructure consistent with the law of such towers in use and cannot satisfies the applicable criteria. While and the public interest. The estimate the number of tower owners small entities must comply with these Commission anticipates that the steps that would be subject to the rules the requirements in order to take advantage taken in the R&O will not impose any Commission adopts. Moreover, the SBA of the exemption, on balance, the relief significant economic impacts on small has not developed a size standard for from compliance with local and entities, and will in fact help reduce small businesses in the category ‘‘Tower national environmental notification burdens on small entities by reducing Owners.’’ The Commission is unable to requirements provided by the the cost and delay associated with the determine the number of non-licensee exemption greatly reduces burdens and deployment of such infrastructure. tower owners that are small entities. economic impacts on small entities. 188. In the R&O, the Commission The Commission believes that when all 185. The applicant may seek an takes action in four major areas relating entities owning 10 or fewer towers and extension of the exemption from the to the regulation of wireless facility leasing space for collocation are Commission’s local and national siting and construction. In each area, the included, non-licensee tower owners environmental notification requirement rules the Commission adopts and number in the thousands, and that of up to sixty days through another clarifications the Commission makes nearly all of these qualify as small filing of Form 854, if the applicant can will not increase burdens or costs on businesses under the SBA’s definition demonstrate that the extension of the small entities. To the contrary, its for ‘‘All Other Telecommunications.’’ In exemption period is warranted due to actions will reduce costs and burdens addition, there may be other non- changed circumstances or information associated with deploying wireless licensee owners of other wireless that emerged after the exempted tower infrastructure. infrastructure, including DAS and small was deployed. The exemption adopted 189. First, the Commission adopts cells that might be affected by the in the R&O is intended specifically for measures with regard to its NEPA regulatory measures the Commission proposed towers that are intended and process for review of environmental adopts. The Commission does not have expected to be deployed for no more effects regarding wireless broadband any basis for estimating the number of than 60 days, and the option to apply deployment that should reduce existing such non-licensee owners that are small for an extension is intended only for regulatory costs for small entities that entities. cases of unforeseen or changed construct or deploy wireless circumstances or information. Small infrastructure, and will not impose any 5. Description of Projected Reporting, entities, like all applicants, are expected additional costs on such entities. Recordkeeping, and Other Compliance to seek extensions of the exemption Specifically, the Commission clarifies Requirements for Small Entities period only rarely and any burdens or that the existing NEPA categorical 183. The R&O adopts a narrow economic impacts incurred by applying exclusion for antenna collocations on exemption from the Commission’s for such extensions should be minimal. buildings and towers includes requirement that owners of proposed equipment associated with the antennas 6. Steps Taken To Minimize the towers requiring ASR registration (such as wiring, cabling, cabinets, or provide 30 days of national and local Significant Economic Impact on Small backup-power), and that it also covers notice to give members of the public an Entities, and Significant Alternatives collocations in a building’s interior. The opportunity to comment on the Considered Commission also expands the NEPA proposed tower’s potential 186. The RFA requires an agency to collocation categorical exclusion to environmental effects. The exemption describe any significant alternatives that cover collocations on structures other from the notice requirements applies it has considered in developing its than buildings and towers, and adopts only to applicants seeking to register approach, which may include the a new NEPA categorical exclusion for temporary antenna structures meeting following four alternatives (among deployments, including deployments of certain criteria that greatly reduce the others): ‘‘(1) the establishment of new poles, in utility or communications likelihood of any significant differing compliance or reporting rights-of-way that are in active use for environmental effects. Specifically, requirements or timetables that take into such purposes, where the deployment proposed towers exempted from the account the resources available to small does not constitute a substantial Commission’s local and national entities; (2) the clarification, increase in size over the existing utility environmental notification requirement consolidation, or simplification of or communications uses. The are those that (i) will be in use for 60 compliance and reporting requirements Commission also adopts measures days or less, (ii) require notice of under the rule for such small entities; concerning its section 106 process for construction to the Federal Aviation (3) the use of performance rather than review of impact on historic properties. Administration (FAA), (iii) do not design standards; and (4) an exemption First, the Commission adopts certain

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exclusions from section 106 review, and that, within 60 days from the date of run regardless of any applicable the Commission clarifies that the filing (accounting for tolling), a State or moratoria, and that municipal property existing exclusions for certain local government shall approve an preferences are not per se unreasonably collocations on buildings under the application covered by section 6409(a). discriminatory or otherwise unlawful Commission’s programmatic agreements Where a State or local government fails under section 332(c)(7). Finally, the extend to collocations inside buildings. to act on an application covered under Commission concludes that the explicit These new exclusions and clarifications section 6409(a) within the requisite time remedies under section 332(c)(7) will reduce environmental compliance period, the application is deemed preclude adoption of a deemed granted costs of small entities by providing that granted. Parties may bring claims under remedy for failures to act. These eligible proposed deployments of small section 6409(a) to a court of competent clarifications reduce confusion and wireless facilities do not require the jurisdiction. The Commission declines delay within the siting process which in preparation of an Environmental to entertain such disputes in a turn reduces the burden on industry and Assessment. Commission adjudication, which would State and local jurisdictions alike, 190. Second, the Commission adopts impose significant burdens on localities, which may include small entities. an exemption from the Commission’s many of which are small entities with requirement that ASR applicants must no representation in Washington, DC or 7. Federal Rules That Might Duplicate, provide local and national experience before the Commission. Overlap, or Conflict With the Rules environmental notification prior to Limiting relief to court adjudication 195. None. submitting a completed ASR application lessens the burden on applicants in for certain temporary antenna structures general, and small entities specifically. 8. Report to Congress meeting criteria that makes them 193. Lastly, the Commission adopts 196. The Commission will send a unlikely to have significant clarifications of its 2009 Declaratory copy of the R&O, including the FRFA, environmental effects. Specifically, the Ruling, which established the time in a report to be sent to Congress and Commission exempts antenna structures periods after which a State or local the Government Accountability Office that (1) will be in place for 60 days or government has presumptively failed to pursuant to the Congressional Review less; (2) require notice of construction to act on a facilities siting application Act. the FAA; (3) do not require marking or ‘‘within a reasonable period of time’’ lighting under FAA regulations; (4) will under section 332(c)(7) of the Act. 9. Report to Small Business be less than 200 feet above ground level; Specifically, the Commission clarifies Administration and (5) will involve minimal or no that the timeframe begins to run when 197. The Commission’s Consumer and ground excavation. This exemption will an application is first submitted, not Governmental Affairs Bureau, Reference reduce the burden on wireless when it is deemed complete by the Information Center, will send a copy of broadband providers and other wireless reviewing government. Further, a the R&O, including the FRFA, to the service providers, including small determination of incompleteness tolls Chief Counsel for Advocacy of the SBA. entities. the shot clock only if the State or local 191. Third, the Commission adopts government provides notice to the B. Paperwork Reduction Act several rules to clarify and implement applicant in writing within 30 days of the requirements of section 6409(a) of the application’s submission, 198. The R&O contains revised the Spectrum Act. In interpreting the specifically delineating all missing information collection requirements statutory terms of this provision, such as information. Following a submission in subject to the Paperwork Reduction Act ‘‘wireless tower or base station,’’ response to a determination of of 1995 (PRA), Public Law 104–13. It ‘‘transmission equipment,’’ and incompleteness, any subsequent will be submitted to the Office of ‘‘substantially change the physical determination that an application Management and Budget (OMB) for dimensions,’’ the Commission generally remains incomplete must be based review under section 3507(d) of the does not distinguish between large and solely on the applicant’s failure to PRA. OMB, the general public, and small entities, as the statute provides no supply missing information that was other Federal agencies will be invited to indication that such distinctions were identified within the first 30 days. comment on the modified information intended, and such distinctions have These clarifications will provide greater collection requirements contained in been proposed. Further, these certainty in the application process and this proceeding in a separate Federal clarifications will help limit potential reduce the potential or need for serial Register Notice. In addition, the ambiguities within the rule and thus requests for more information. These Commission notes that pursuant to the reduce the burden associated with clarifications will facilitate faster Small Business Paperwork Relief Act of complying with this statutory provision, application processing, reduce 2002, Public Law 107–198, see 44 U.S.C. including the burden on small entities. unreasonable delay, and reduce the 3506(c)(4), the Commission previously Generally, the Commission clarifies that burden on regulated entities, including sought specific comment on how the section 6409(a) applies only to State and small businesses. Commission might further reduce the local governments acting in their 194. The Commission also clarifies information collection burden for small regulatory role and does not apply to that to the extent DAS or small-cell business concerns with fewer than 25 such entities acting in their proprietary facilities, including third-party facilities employees. In addition, the Commission capacities. such as neutral host DAS deployments, has described impacts that might affect 192. With regard to the process for are or will be used for the provision of small businesses, which includes most reviewing an application under section personal wireless services, their siting businesses with fewer than 25 6409(a), the Commission provides that a applications are subject to the same employees, in the FRFA. State or local government may only presumptively reasonable timeframes C. Congressional Review Act require applicants to provide that apply to applications related to documentation that is reasonably other personal wireless service facilities 199. The Commission will send a related to determining whether the under section 332(c)(7). The copy of the R&O in a report to be sent eligible facility request meets the Commission clarifies further that the to Congress and the Government requirements of section 6409(a) and presumptively reasonable timeframes Accountability Office pursuant to the

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Congressional Review Act (CRA), see 5 Federal Communications Commission. facility is to be deployed, whichever is U.S.C. 801(a)(1)(A). Marlene H. Dortch, more restrictive. (2) Such wireless facilities are subject VI. Ordering Clauses Secretary. to § 1.1307(b) and require EAs if their 200. It is ordered, pursuant to sections Final Rules construction would result in human 1, 2, 4(i), 7, 201, 301, 303, 309, and 332 For the reasons discussed in the exposure to radiofrequency radiation in of the Communications Act of 1934, as preamble, the Federal Communications excess of the applicable health and amended, sections 6003, 6213, and Commission amends 47 CFR part 1 and safety guidelines cited in § 1.1307(b). 6409(a) of the Middle Class Tax Relief part 17 as follows: Note 1: The provisions of § 1.1307(a) and Job Creation Act of 2012, Public requiring the preparation of EAs do not Law 112–96, 126 Stat. 156, 47 U.S.C. PART 1—PRACTICE AND encompass the mounting of antenna(s) and 151, 152, 154(i), 157, 201, 301, 303, 309, PROCEDURE associated equipment (such as wiring, 332, 1403, 1433, and 1455(a), section cabling, cabinets, or backup-power), on or in ■ 102(C) of the National Environmental 1. The authority citation for part 1 is an existing building, or on an antenna tower Policy Act of 1969, as amended, 42 amended to read as follows: or other man-made structure, unless U.S.C. 4332(C), and section 106 of the Authority: 15 U.S.C. 79, et seq.; 47 U.S.C. § 1.1307(a)(4) is applicable. * * * National Historic Preservation Act of 151, 154(i), 154(j), 155, 157, 160, 201, 225, 227, 303, 309, 332, 1403, 1404, 1451, 1452, * * * * * 1966, as amended, 16 U.S.C. 470f, that ■ the R&O IS hereby adopted. If any and 1455. 3. Section 1.1307 is amended by section, subsection, paragraph, ■ 2. Section 1.1306 is amended by redesignating paragraph (a)(4) as sentence, clause or phrase of the R&O or adding paragraph (c) and revising the (a)(4)(i), and by adding new paragraph the rules adopted therein is declared first sentence of Note 1 read as follows: (a)(4)(ii) and a Note to paragraph invalid for any reason, the remaining (a)(4)(ii) to read as follows: § 1.1306 Actions which are categorically portions of the R&O and the rules excluded from environmental processing. § 1.1307 Actions that may have a adopted therein shall be severable from significant environmental effect, for which the invalid part and shall remain in full * * * * * Environmental Assessments (EAs) must be force and effect. (c)(1) Unless § 1.1307(a)(4) is prepared. applicable, the provisions of § 1.1307(a) 201. It is further ordered that parts 1 (a) * * * requiring the preparation of EAs do not and 17 of the Commission’s Rules ARE (4) * * * encompass the construction of wireless amended as set forth in Appendix B of (ii) The requirements in paragraph facilities, including deployments on the R&O (see the Final Rules contained (a)(4)(i) of this section do not apply to: new or replacement poles, if: in this summary), and that these (A) The mounting of antennas changes shall be effective 30 days after (i) The facilities will be located in a right-of-way that is designated by a (including associated equipment such as publication in the Federal Register, wiring, cabling, cabinets, or backup- except for section 1.40001, which shall Federal, State, local, or Tribal government for communications towers, power) on existing utility structures be effective 90 days after publication in (including utility poles and electric the Federal Register; provided that above-ground utility transmission or distribution lines, or any associated transmission towers in active use by a those rules and requirements that ‘‘utility’’ as defined in Section 224 of require approval by the Office of structures and equipment; (ii) The right-of-way is in active use the Communications Act, 47 U.S.C. 224, Management and Budget (OMB) under for such designated purposes; and but not including light poles, lamp the Paperwork Reduction Act shall (iii) The facilities would not posts, and other structures whose become effective after the Commission (A) Increase the height of the tower or primary purpose is to provide public publishes a notice in the Federal non-tower structure by more than 10% lighting) where the deployment meets Register announcing such approval and or twenty feet, whichever is greater, the following conditions: the relevant effective date. over existing support structures that are (1) All antennas that are part of the 202. It is further ordered that the located in the right-of-way within the deployment fit within enclosures (or if Commission’s Consumer and vicinity of the proposed construction; the antennas are exposed, within Governmental Affairs Bureau, Reference (B) Involve the installation of more imaginary enclosures) that are Information Center, shall send a copy of than four new equipment cabinets or individually no more than three cubic this Report and Order, including the more than one new equipment shelter; feet in volume, and all antennas on the Final Regulatory Flexibility Analysis, to (C) Add an appurtenance to the body structure, including any pre-existing the Chief Counsel for Advocacy of the of the structure that would protrude antennas on the structure, fit within Small Business Administration. from the edge of the structure more than enclosures (or if the antennas are List of Subjects twenty feet, or more than the width of exposed, within imaginary enclosures) the structure at the level of the that total no more than six cubic feet in 47 CFR Part 1 appurtenance, whichever is greater volume; Administrative practice and (except that the deployment may exceed (2) All other wireless equipment procedure, Communications common this size limit if necessary to shelter the associated with the structure, including carriers, Environmental impact antenna from inclement weather or to pre-existing enclosures and including statements, Federal buildings and connect the antenna to the tower via equipment on the ground associated facilities, Radio, Reporting and cable); or with antennas on the structure, are recordkeeping requirements, Satellites, (D) Involve excavation outside the cumulatively no more than seventeen Telecommunications. current site, defined as the area that is cubic feet in volume, exclusive of within the boundaries of the leased or (i) Vertical cable runs for the 47 CFR Part 17 owned property surrounding the connection of power and other services; Aviation safety, Communications deployment or that is in proximity to (ii) Ancillary equipment installed by equipment, Reporting and the structure and within the boundaries other entities that is outside of the recordkeeping requirements. of the utility easement on which the applicant’s ownership or control, and

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(iii) Comparable equipment from pre- that directly mitigate or prevent effects, (iii) The term includes any structure existing wireless deployments on the such as camouflage or concealment other than a tower that, at the time the structure; requirements; relevant application is filed with the (3) The deployment will involve no (4) The deployment of the new State or local government under this new ground disturbance; and antenna involves no new ground section, supports or houses equipment (4) The deployment would otherwise disturbance; and described in paragraphs (b)(1)(i) through require the preparation of an EA under (5) The deployment would otherwise (ii) of this section that has been paragraph (a)(4)(i) of this section solely require the preparation of an EA under reviewed and approved under the because of the age of the structure; or paragraph (a)(4) of this section solely applicable zoning or siting process, or (B) The mounting of antennas because of the age of the structure. under another State or local regulatory (including associated equipment such as Note to paragraph (a)(4)(ii): A non-visible review process, even if the structure was wiring, cabling, cabinets, or backup- new antenna is in the ‘‘same vicinity’’ as a not built for the sole or primary purpose power) on buildings or other non-tower pre-existing antenna if it will be collocated of providing such support. structures where the deployment meets on the same rooftop, fac¸ade or other surface. (iv) The term does not include any the following conditions: A visible new antenna is in the ‘‘same structure that, at the time the relevant (1) There is an existing antenna on the vicinity’’ as a pre-existing antenna if it is on application is filed with the State or building or structure; the same rooftop, fac¸ade, or other surface and local government under this section, (2) One of the following criteria is the centerpoint of the new antenna is within ten feet of the centerpoint of the pre-existing does not support or house equipment met: described in paragraphs (b)(1)(i)–(ii) of (i) Non-Visible Antennas. The new antenna. A deployment causes no new ground disturbance when the depth and this section. antenna is not visible from any adjacent width of previous disturbance exceeds the (2) Collocation. The mounting or streets or surrounding public spaces and proposed construction depth and width by at installation of transmission equipment is added in the same vicinity as a pre- least two feet. on an eligible support structure for the existing antenna; purpose of transmitting and/or receiving * * * * * (ii) Visible Replacement Antennas. radio frequency signals for ■ The new antenna is visible from 4. Add Subpart CC to part 1 to read communications purposes. adjacent streets or surrounding public as follows: (3) Eligible facilities request. Any spaces, provided that request for modification of an existing (A) It is a replacement for a pre- Subpart CC—State and Local Review of Applications for Wireless Service tower or base station that does not existing antenna, substantially change the physical (B) The new antenna will be located Facility Modification dimensions of such tower or base in the same vicinity as the pre-existing § 1.40001 Wireless Facility Modifications. station, involving: antenna, (i) Collocation of new transmission (C) The new antenna will be visible (a) Purpose. These rules implement equipment; only from adjacent streets and section 6409 of the Spectrum Act (ii) Removal of transmission surrounding public spaces that also (codified at 47 U.S.C. 1455), which equipment; or afford views of the pre-existing antenna, requires a State or local government to (D) The new antenna is not more than approve any eligible facilities request (iii) Replacement of transmission 3 feet larger in height or width for a modification of an existing tower equipment. (including all protuberances) than the or base station that does not (4) Eligible support structure. Any pre-existing antenna, and substantially change the physical tower or base station as defined in this (E) No new equipment cabinets are dimensions of such tower or base section, provided that it is existing at visible from the adjacent streets or station. the time the relevant application is filed surrounding public spaces; or (b) Definitions. Terms used in this with the State or local government (iii) Other Visible Antennas. The new section have the following meanings. under this section. antenna is visible from adjacent streets (1) Base station. A structure or (5) Existing. A constructed tower or or surrounding public spaces, provided equipment at a fixed location that base station is existing for purposes of that enables Commission-licensed or this section if it has been reviewed and (A) It is located in the same vicinity authorized wireless communications approved under the applicable zoning as a pre-existing antenna, between user equipment and a or siting process, or under another State (B) The new antenna will be visible communications network. The term or local regulatory review process, only from adjacent streets and does not encompass a tower as defined provided that a tower that has not been surrounding public spaces that also in this subpart or any equipment reviewed and approved because it was afford views of the pre-existing antenna, associated with a tower. not in a zoned area when it was built, (C) The pre-existing antenna was not (i) The term includes, but is not but was lawfully constructed, is existing deployed pursuant to the exclusion in limited to, equipment associated with for purposes of this definition. this subsection wireless communications services such (6) Site. For towers other than towers (§ 1.1307(a)(4)(ii)(B)(2)(iii)), as private, broadcast, and public safety in the public rights-of-way, the current (D) The new antenna is not more than services, as well as unlicensed wireless boundaries of the leased or owned three feet larger in height or width services and fixed wireless services property surrounding the tower and any (including all protuberances) than the such as microwave backhaul. access or utility easements currently pre-existing antenna, and (ii) The term includes, but is not related to the site, and, for other eligible (E) No new equipment cabinets are limited to, radio transceivers, antennas, support structures, further restricted to visible from the adjacent streets or coaxial or fiber-optic cable, regular and that area in proximity to the structure surrounding public spaces; backup power supplies, and comparable and to other transmission equipment (3) The new antenna complies with equipment, regardless of technological already deployed on the ground. all zoning conditions and historic configuration (including Distributed (7) Substantial change. A preservation conditions applicable to Antenna Systems and small-cell modification substantially changes the existing antennas in the same vicinity networks). physical dimensions of an eligible

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support structure if it meets any of the (8) Transmission equipment. moratorium on the review of following criteria: Equipment that facilitates transmission applications. (i) For towers other than towers in the for any Commission-licensed or (i) To toll the timeframe for public rights-of-way, it increases the authorized wireless communication incompleteness, the reviewing State or height of the tower by more than 10% service, including, but not limited to, local government must provide written or by the height of one additional radio transceivers, antennas, coaxial or notice to the applicant within 30 days antenna array with separation from the fiber-optic cable, and regular and of receipt of the application, clearly and nearest existing antenna not to exceed backup power supply. The term specifically delineating all missing twenty feet, whichever is greater; for includes equipment associated with documents or information. Such other eligible support structures, it wireless communications services delineated information is limited to increases the height of the structure by including, but not limited to, private, documents or information meeting the more than 10% or more than ten feet, broadcast, and public safety services, as standard under paragraph (c)(1) of this whichever is greater; well as unlicensed wireless services and section. (A) Changes in height should be fixed wireless services such as (ii) The timeframe for review begins measured from the original support microwave backhaul. running again when the applicant structure in cases where deployments (9) Tower. Any structure built for the makes a supplemental submission in are or will be separated horizontally, sole or primary purpose of supporting response to the State or local such as on buildings’ rooftops; in other any Commission-licensed or authorized government’s notice of incompleteness. circumstances, changes in height should antennas and their associated facilities, (iii) Following a supplemental be measured from the dimensions of the including structures that are constructed submission, the State or local tower or base station, inclusive of for wireless communications services government will have 10 days to notify originally approved appurtenances and including, but not limited to, private, the applicant that the supplemental any modifications that were approved broadcast, and public safety services, as submission did not provide the prior to the passage of the Spectrum well as unlicensed wireless services and information identified in the original Act. fixed wireless services such as notice delineating missing information. (ii) For towers other than towers in microwave backhaul, and the associated The timeframe is tolled in the case of the public rights-of-way, it involves site. second or subsequent notices pursuant adding an appurtenance to the body of to the procedures identified in this the tower that would protrude from the (c) Review of applications. A State or local government may not deny and paragraph (c)(3). Second or subsequent edge of the tower more than twenty feet, notices of incompleteness may not or more than the width of the tower shall approve any eligible facilities request for modification of an eligible specify missing documents or structure at the level of the information that were not delineated in appurtenance, whichever is greater; for support structure that does not substantially change the physical the original notice of incompleteness. other eligible support structures, it (4) Failure to act. In the event the involves adding an appurtenance to the dimensions of such structure. (1) Documentation requirement for reviewing State or local government body of the structure that would fails to approve or deny a request protrude from the edge of the structure review. When an applicant asserts in writing that a request for modification is seeking approval under this section by more than six feet; within the timeframe for review (iii) For any eligible support structure, covered by this section, a State or local government may require the applicant (accounting for any tolling), the request it involves installation of more than the shall be deemed granted. The deemed standard number of new equipment to provide documentation or information only to the extent grant does not become effective until the cabinets for the technology involved, applicant notifies the applicable but not to exceed four cabinets; or, for reasonably related to determining whether the request meets the reviewing authority in writing after the towers in the public rights-of-way and review period has expired (accounting base stations, it involves installation of requirements of this section. A State or local government may not require an for any tolling) that the application has any new equipment cabinets on the been deemed granted. ground if there are no pre-existing applicant to submit any other documentation, including but not (5) Remedies. Applicants and ground cabinets associated with the reviewing authorities may bring claims structure, or else involves installation of limited to documentation intended to illustrate the need for such wireless related to Section 6409(a) to any court ground cabinets that are more than 10% of competent jurisdiction. larger in height or overall volume than facilities or to justify the business any other ground cabinets associated decision to modify such wireless PART 17—CONSTRUCTION, with the structure; facilities. MARKING, AND LIGHTING OF (iv) It entails any excavation or (2) Timeframe for review. Within 60 ANTENNA STRUCTURES deployment outside the current site; days of the date on which an applicant (v) It would defeat the concealment submits a request seeking approval ■ 5. The authority citation for part 17 elements of the eligible support under this section, the State or local continues to read as follows: government shall approve the structure; or Authority: Sections 4, 303, 48 Stat. 1066, (vi) It does not comply with application unless it determines that the 1082, as amended; 47 U.S.C. 154, 303. conditions associated with the siting application is not covered by this Interpret or apply sections 301, 309, 48 Stat. approval of the construction or section. 1081, 1085 as amended; 47 U.S.C. 301, 309. modification of the eligible support (3) Tolling of the timeframe for ■ 6. Amend § 17.4 by revising structure or base station equipment, review. The 60-day period begins to run paragraphs (c)(1)(v) and (c)(1)(vi), and provided however that this limitation when the application is filed, and may adding paragraph (c)(1)(vii) to read as does not apply to any modification that be tolled only by mutual agreement or follows: is non-compliant only in a manner that in cases where the reviewing State or would not exceed the thresholds local government determines that the § 17.4 Antenna structure registration. identified in § 1.40001(b)(7)(i) through application is incomplete. The * * * * * (iv). timeframe for review is not tolled by a (c) * * *

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(1) * * * structure where another Federal agency (E) Will either involve no excavation (v) For any other change that does not has assumed such responsibilities or involve excavation only where the alter the physical structure, lighting, or pursuant to a written agreement with depth of previous disturbance exceeds geographic location of an existing the Commission (see § 1.1311(e) of this the proposed construction depth structure; chapter); or (excluding footings and other anchoring (vii) For the construction or mechanisms) by at least two feet. An (vi) For construction, modification, or deployment of an antenna structure that replacement of an antenna structure on applicant that relies on this exception will: must wait 30 days after removal of the Federal land where another Federal (A) Be in place for no more than 60 agency has assumed responsibility for antenna structure before relying on this days, exception to deploy another antenna evaluating the potentially significant (B) Requires notice of construction to structure covering substantially the environmental effect of the proposed the FAA, antenna structure on the quality of the (C) Does not require marking or same service area. human environment and for invoking lighting under FAA regulations, * * * * * any required environmental impact (D) Will be less than 200 feet in height [FR Doc. 2014–28897 Filed 1–7–15; 8:45 am] statement process, or for any other above ground level, and BILLING CODE 6712–01–P

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Part V

Department of Transportation

Federal Aviation Administration 14 CFR Part 93 Slot Management and Transparency for LaGuardia Airport, John F. Kennedy International Airport, and Newark Liberty International Airport; Proposed Rule

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DEPARTMENT OF TRANSPORTATION • Hand Delivery or Courier: Take privacy, the handling of proprietary or comments to Docket Operations in confidential business information. In Federal Aviation Administration Room W12–140 of the West Building addition, there is information on Ground Floor at 1200 New Jersey obtaining copies of related rulemaking 14 CFR Part 93 Avenue SE., Washington, DC, between 9 documents. [Docket No.: FAA–2014–1073; Notice No. a.m. and 5 p.m., Monday through Authority for This Rulemaking 14–11] Friday, except Federal holidays. • Fax: Fax comments to Docket This rulemaking is promulgated RIN 2120–AJ89 Operations at 202–493–2251. under the authority described in Title Privacy: In accordance with 5 U.S.C. 49 of the United States Code, Subtitle Slot Management and Transparency 553(c), DOT solicits comments from the VII, Part A, Subpart I, Sections 40101, for LaGuardia Airport, John F. public to better inform its rulemaking 40103, 40105, and 41712 Kennedy International Airport, and process. DOT posts these comments, The Secretary of Transportation Newark Liberty International Airport without edit, including any personal (Secretary) is the head of the DOT and AGENCY information the commenter provides, to has broad oversight of significant FAA : Federal Aviation 1 Administration (FAA), Department of www.regulations.gov, as described in decisions. In addition, under 49 U.S.C. Transportation (DOT). the system of records notice (DOT/ALL– 41712, the Secretary has the authority to 14 FDMS), which can be reviewed at investigate and prohibit unfair and ACTION: Notice of proposed rulemaking deceptive practices and unfair methods (NPRM). www.dot.gov/privacy. Docket: Background documents or of competition in air transportation or SUMMARY: The FAA proposes to replace comments received may be read at the sale of air transportation. The the Orders limiting scheduled http://www.regulations.gov at any time. Secretary is required to consider several operations at John F. Kennedy Follow the online instructions for objectives as being in the public International Airport (JFK), limiting accessing the docket or Docket interest, including, without limitation, scheduled operations at Newark Liberty Operations in Room W12–140 of the the following: Keeping available a International Airport (EWR), and West Building Ground Floor at 1200 variety of adequate, economic, efficient, limiting scheduled and unscheduled New Jersey Avenue SE., Washington, and low-priced air services; placing operations at LaGuardia Airport (LGA). DC, between 9 a.m. and 5 p.m., Monday maximum reliance on competitive The Orders are scheduled to expire through Friday, except Federal holidays. market forces and on actual and potential competition; avoiding airline when this proposed rule becomes FOR FURTHER INFORMATION CONTACT: For industry conditions that would tend to effective but not later than October 29, technical questions concerning this allow at least one air carrier 2016. This proposal is intended to action, contact Molly Smith, Office of unreasonably to increase prices, reduce provide a longer-term and Aviation Policy and Plans, Federal services, or exclude competition in air comprehensive approach to slot Aviation Administration, 800 transportation; encouraging, developing, management at JFK, EWR, and LGA. Independence Avenue SW., and maintaining an air transportation The FAA proposes to maintain the Washington, DC 20591; telephone (202) system relying on actual and potential limits on scheduled and unscheduled 267–3274; email [email protected]; competition; encouraging entry into air operations in place under the Orders, Susan Pfingstler, System Operations transportation markets by new and limit unscheduled operations at JFK and Services, Air Traffic Organization, existing air carriers and the continued EWR, and require use of an allocated Federal Aviation Administration, 600 strengthening of small air carriers to slot 80% of the time for the same flight Independence Avenue SW., ensure a more effective and competitive or series of flights to retain historic Washington, DC 20591; telephone (202) airline industry; and ensuring that precedence. The FAA also proposes five 267–6462; email susan.pfingstler@ consumers in all regions of the United alternatives for a secondary market that faa.gov; or Peter Irvine, U.S. Department States, including those in small would allow carriers to buy, sell, lease, of Transportation, Office of Aviation communities and rural and remote and trade slots. The DOT proposes to Analysis, 1200 New Jersey Avenue SE., areas, have access to affordable, review certain slot transfer transactions Washington, DC 20590; telephone (202) regularly-scheduled air service. for significant anti-competitive effects 366–3156; email: [email protected]. The FAA has broad authority under and harms to the public interest. For legal questions concerning this 49 U.S.C. 40103 to regulate the use of Finally, the FAA proposes minor action, contact Robert Hawks, Office of the navigable airspace of the United miscellaneous amendments to remove the Chief Counsel, Regulations Division, States. This section authorizes the FAA inapplicable references in the High Federal Aviation Administration, 800 to develop plans and policy for the use Density Rule. Independence Avenue SW., of navigable airspace and to assign the DATES: Send comments on or before Washington, DC 20591; telephone (202) use the FAA deems necessary for safe April 8, 2015. 267–7143; email [email protected]; or and efficient utilization. It further ADDRESSES: Send comments identified Cindy Baraban, U.S. Department of directs the FAA to prescribe air traffic by docket number FAA–2014–1073 Transportation, Office of the General rules and regulations governing the using any of the following methods: Counsel, 1200 New Jersey Avenue SE., efficient utilization of navigable • Federal eRulemaking Portal: Go to Washington, DC 20590; telephone (202) airspace. The FAA should ensure http://www.regulations.gov and follow 366–9159; email cindy.baraban@ efficient use of navigable airspace in a the online instructions for sending your dot.gov. manner that does not effectively shut comments electronically. SUPPLEMENTARY INFORMATION: See the out potential operators at the airport and • Mail: Send comments to Docket ‘‘Additional Information’’ section for in a manner that takes account of Operations, M–30; U.S. Department of information on how to comment on this competitive market forces. The FAA Transportation (DOT), 1200 New Jersey proposal and how the FAA will handle should take steps to ensure the Avenue SE., Room W12–140, West comments received. The ‘‘Additional operational limits imposed and the rules Building Ground Floor, Washington, DC Information’’ section also contains 20590–0001. related information about the docket, 1 See 49 U.S.C. 102 and 106.

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governing their allocation and transfer E. Exploration of Long-Term Congestion effective but not later than October 29, do not inefficiently constrain Management 2016. If adopted, this proposed rule competitive market forces. Competition F. Congestion Management Rules of 2008 would apply to all scheduled and G. Current Slot Management at LGA, JFK, at an airport benefits the flying public and EWR unscheduled operations every day at by providing price competition and III. Discussion of the Proposal JFK and EWR between the hours of 0600 expanded service. The ability of carriers A. Hourly and Daily Slot Limits and 2259, local time. This proposed rule to initiate or expand service at the B. Allocation of Slots would apply to all scheduled and airport is hindered, in large part, by the C. Usage Requirement unscheduled operations at LGA Monday imposition of operations limits. D. Transfer of Slots through Friday between the hours of Accordingly, the FAA believes it must E. Oversight of Competitive and Public 0600 and 2159, local time, and Sunday strike a balance between (1) promoting Interest Issues F. Retiming, Suspension, and Withdrawal between the hours of 1200 and 2159, competition and permitting access to of Slots for Operational Reasons local time. This proposed rule would new entrants and (2) recognizing G. Unscheduled Operations apply, in large part, the International historical investments in the airport and H. Miscellaneous Amendments Air Transport Association (IATA) the need to provide continuity. IV. Regulatory Notices and Analyses Worldwide Slot Guidelines (WSG) to A. Regulatory Evaluation administering slots at each airport. These authorities empower the DOT B. Regulatory Flexibility Determination to ensure the efficient utilization of C. International Trade Impact Assessment The following tables provide a airspace by limiting the number of D. Unfunded Mandates Assessment comparison between requirements scheduled and unscheduled aircraft E. Paperwork Reduction Act under the current Orders and under this operations at JFK, EWR, and LGA, while F. International Compatibility and proposal. The first table summarizes balancing between promoting Cooperation existing requirements for each airport G. Environmental Analysis competition and recognizing historical under the Orders. The second table investments in the airport and the need V. Executive Order Determinations A. Executive Orders 12866 and 13563 summarizes this proposal’s to provide continuity. They also B. Executive Order 13132, Federalism establishment of an initial slot base authorize the DOT to review proposed C. Executive Order 13211, Regulations based on carrier holdings under the transfers of slots and to limit or prohibit That Significantly Affect Energy Supply, Orders, the slot-controlled periods, transfers where they present a potential Distribution, or Use hourly and daily limits for scheduled for significant anticompetitive effects or VI. Additional Information operations, hourly limits for adverse effects on the public interest. A. Comments Invited B. Availability of Rulemaking Documents unscheduled operations, and the general Table of Contents VII. The Proposed Amendment processes that would be used to allocate slots or reservations for scheduled and I. Overview of Proposed Rule I. Executive Summary unscheduled flights. It also identifies II. Background This proposed rule would replace the differences between the five potential A. High Density Rule and AIR–21 B. LaGuardia Airport After AIR–21 Orders limiting scheduled operations at alternatives for a secondary market to C. John F. Kennedy International Airport JFK and EWR and the Order limiting buy, sell, lease, or otherwise transfer After AIR–21 scheduled and unscheduled operations slots between carriers and introduces a D. Congestion at Newark Liberty at LGA. Those Orders remain effective review of slot transfer transactions for International Airport until this proposed rule becomes significant anti-competitive effect.

CURRENT ORDERS FOR JFK, EWR, AND LGA

Feature JFK EWR LGA

Slot Base...... Seasonal slot holdings, as ap- Seasonal slot holdings, as ap- Slot holdings, as approved by the proved by the FAA. proved by the FAA. FAA. Slot (called Operating Authorization Operational authority to conduct Operational authority to conduct Operational authority to conduct under the Orders). an arrival or departure oper- an arrival or departure oper- an arrival or departure oper- ation on a particular day of the ation on a particular day of the ation during a specific 30- week during a specific 30- week during a specific 30- minute period. minute period. minute period. Slot-controlled hours ...... Daily: 0600 to 2259, Eastern time Daily: 0600 to 2259, Eastern time M–F: 0600 to 2159, Eastern time Su: 1200 to 2159, Eastern time. Hourly slot limits ...... 81 per hour or in any 60-minute 81 per hour or in any 60-minute 71 per hour or in any 60-minute period. period. period.

Daily slot limits ...... Not formally set but based on accepted schedules and modeled delay when Orders adopted.

Hourly unscheduled operations lim- None ...... None ...... 3. its. Unscheduled operations reservation None ...... None ...... Reservations available through system. the Enhanced Computer Voice Reservation System (e-CVRS) 72 hours in advance; reserva- tions for certain public charter operations available through the Slot Administration Office 6 months in advance. Allocation of slots ...... Adapted from IATA WSG ...... Adapted from IATA WSG ...... Lottery. Scheduling season ...... IATA WSG ...... IATA WSG ...... Slot usage reporting on bimonthly basis.

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CURRENT ORDERS FOR JFK, EWR, AND LGA—Continued

Feature JFK EWR LGA

Use-or-lose ...... Must use allocated slot 80% of the time throughout the previous corresponding season; waiver for highly unusual and unpredictable condition lasting 5 or more consecutive days; waiver for Thanksgiving, the Fri- day after Thanksgiving, and the period from December 24 through the first Sunday of January. Secondary market ...... Privately-negotiated lease and trade that extend no longer than terms of Order; request for FAA approval. Logistical slot swaps ...... Permitted. Competitive review ...... None.

PROPOSED REGULATION FOR JFK, EWR, AND LGA

Feature JFK EWR LGA

Slot Base ...... Seasonal slot holdings, as approved by the FAA. Slot ...... Operational authority to conduct an arrival or departure operation on a particular day of the week during a specific 30-minute period.

Slot-controlled hours ...... Daily: 0600 to 2259, Eastern time Daily: 0600 to 2259, Eastern time M–F: 0600 to 2159, Eastern time Su: 1200 to 2159, Eastern time. Hourly slot limits ...... 81 per hour or in any 60-minute 81 per hour or in any 60-minute 71 per hour or in any 60-minute period and 44 in any 30-minute period and 44 in any 30-minute period and 38 in any 30-minute period. period. period. Daily slot limits ...... 1205 for hours 0600 to 2159 ...... 1205 for hours 0600 to 2159 ...... 1136. Hourly unscheduled operations lim- 2 ...... 1 ...... 3. its.

Unscheduled operations reservation Reservations available through the e-CVRS 72 hours in advance; reservations for certain public charter system. operations available through Slot Administration Office 6 months in advance. Allocation of slots ...... Adapted from IATA WSG. Scheduling season ...... IATA WSG. Use-or-lose ...... Must use allocated slot 80% of the time for the same flight or series of flights throughout the previous cor- responding season; waiver for strike; waiver for highly unusual and unpredictable condition lasting 5 or more consecutive days; waiver for slot allocation or acquisition by new entrant carrier. Secondary market (Alternative 1) ... Privately-negotiated buy, sell, lease, and trade without prior public notice; request for FAA approval must include terms of transaction; terms of final transaction posted on the FAA Web site. Secondary market (Alternative 2) ... FAA publishes a bulletin board notice of buy, sell, lease, and trade; bidding and negotiation between seller and bidders after public notice; request for FAA approval must include terms of transaction; terms of final transaction posted on the FAA Web site. Secondary market (Alternative 3) ... FAA publishes a bulletin board notice of buy, sell, lease, and trade; negotiations prior to public notice per- mitted; bidding and negotiation between seller and bidders; request for FAA approval must include terms of transaction; terms of final transaction posted on the FAA Web site. Secondary market (Alternative 4) ... FAA publishes a bulletin board notice of buy, sell, lease, and trade; bids posted on bulletin board; request for FAA approval must include terms of transaction; terms of final transaction posted on the FAA Web site. Secondary market (Alternative 5) ... FAA publishes a bulletin board notice of buy, sell, and lease without identifying poster; cash-only bids posted on bulletin board without identifying bidders; seller must accept highest bid; request for FAA ap- proval must include terms of transaction; terms of final transaction posted on the FAA Web site. Logistical slot swaps ...... Permitted. Competitive/Public Interest review .. Performed by DOT based on submitted transaction terms; DOT has 14 days to decide whether to review transaction; DOT approval or non-objection required for FAA approval of transfer.

The FAA developed this analysis the first year, this relationship will Present Value at 7%) for costs. These using 2009 data to model the behaviors continue until passenger demand forces costs and benefits result from the of carriers based on meeting the operations up to 100% of the available changed behavior concerning use-or- minimum requirement of the proposed slots. In the first year, carrier utilization lose, secondary market, and reporting rule. Under this assumption, carriers of slots will be at least 80%. Thereafter, requirements under this proposal as would incrementally increase actual increases in operations and slot compared to current behavior under the operations in year one to meet the new utilization are a result of an increase in existing Orders for each airport. usage requirement, and this new forecasted demand. Assuming the Moreover, the FAA believes that this operating level would grow by the highest cost secondary market rule would improve utilization of FAA’s Terminal Area Forecast (TAF) alternative (either alternative four or existing slots, possibly increase a until it reached the daily limits. The five) is adopted, the total benefits and carrier’s penalty for retaining slots of analysis period is the first year because costs are estimated at $74,696,596 limited value and thus result in the compliance cost is the highest in that ($65,242,900 Present Value at 7%) for return of some slots, and would result year, and if benefits exceed the cost in benefits and $53,056,768 ($46,341,836 in net benefits.

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TOTAL COST AND BENEFITS OF ALTERNATIVES FOUR OR FIVE OF THE PROPOSED RULE

Present value Present value First year Benefits (7%) Costs (7%) Net benefits

Regulatory Case...... $74,696,596 $65,242,900 $53,056,768 $46,341,836 $18,901,064

II. Background The U.S. Court of Appeals upheld the Sell Rule, the FAA provided for the DOT’s action on review following an withdrawal of up to five percent of slots A. The High Density Rule and AIR–21 airline challenge.6 at slot-controlled airports through a To manage airspace congestion, in In 1981, the FAA responded to a reverse lottery to provide a pool of slots 1968, the FAA adopted the High Density nationwide shortage of air traffic for new entrants and limited Rule (HDR), which limited take-offs and controllers by reducing the level of air incumbents.13 The Buy/Sell Rule landings at JFK, EWR, LGA, Washington traffic operations and imposing slot included use-or-lose provisions and National Airport (DCA), and Chicago controls on the nation’s 22 busiest explicitly stated slots were an operating O’Hare International Airport (ORD).2 In airports.7 Through that experience, the privilege and not the carriers’ property. 1970, the FAA suspended the HDR’s FAA implemented new allocation and For the next 15 years the agency application at EWR because airport slot management methods. In 1982, the relied primarily on the secondary capacity could meet demand.3 To FAA utilized a lottery allocation and market authorized by the Buy/Sell Rule operate during the slot-controlled hours, imposed a minimum usage requirement to address access issues at HDR airports, a flight needed a reservation, commonly for the first time.8 Also in 1982, the FAA particularly for domestic operations. known as a ‘‘slot.’’ The HDR divided the implemented an experimental ‘‘Buy/ However, carriers without a substantial allowable slots by categories of users Sell’’ program, permitting transfers of presence at HDR airports increasingly (i.e., air carriers other than air taxis, slots in any number and for any criticized the Buy/Sell Rule because scheduled air taxis, and others).4 These consideration, to provide for their access to slot-controlled airports reservations applied to both scheduled ‘‘adjustments in slot assignments that was severely limited. Those carriers and unscheduled (i.e., ‘‘Other’’) may be occasioned by seasonal variation complained to the FAA that operations. While LGA, DCA, and ORD in demand, competitive pressures, or grandfathering 95 percent of slots at were constrained throughout much of economic decisions of the carriers’’ and slot-controlled airports to incumbent the day, JFK was constrained for only 5 to increase flexibility of the slot carriers left insufficient capacity hours from 1500 through 1959, Eastern allocation system.9 For the 6 weeks the available for reallocation. Carriers Time. ‘‘Buy/Sell’’ program was in place, further criticized the Buy/Sell Rule for Under the HDR, air carrier slots were approximately 190 slots were failing to foster a robust secondary allocated through airline scheduling transferred by sale among carriers.10 market and complained about a lack of committees, operating under then- Thereafter, the FAA no longer permitted transparency that permitted private authorized antitrust immunity, and the slot sales (though trades continued to be transactions arranged to reduce airlines would agree to the allocation. permitted) because the necessity for competition. Some carriers also The FAA’s role was limited to slots was diminishing as the ATC complained they were unaware of slots determining how many operations air system was being restored.11 potentially available for sale or lease traffic control (ATC) could reasonably The FAA established more permanent even when they were seeking to initiate handle during congested periods and allocation procedures for slots under the or expand service. Finally, a small enforcing operator compliance with the HDR in 1985 when it adopted the Buy/ number of carriers contended they were rules. After the Airline Deregulation Act Sell Rule, which allowed carriers to effectively denied access to the airports in 1978, new entrant airlines sought buy, sell, lease, and trade most slots.12 because their competitors refused to sell access to, and legacy carriers sought In a companion rulemaking to the Buy/ slots or provide meaningful lease terms. expansion at, slot-controlled airports. In 1994, Congress began to relax the 6 This increased competition made it Northwest Airlines, Inc. v. Goldschmidt, 645 HDR by authorizing the Secretary, upon more difficult for airlines to reach F.2d 1309 (8th Cir. 1981). 7 See SFAR 44, 46 FR 39606 (Aug. 4, 1981); SFAR making a public interest finding, to agreement on slot allocation, and the 44–1, 46 FR 44424 (Sept. 4, 1981); SFAR 44–2, 46 grant exemptions from the HDR to scheduling committees began to FR 48906 (Oct. 5, 1981). Those were then William enable new entrant carriers 14 to provide deadlock. The Civil Aeronautics Board B. Hartsfield Atlanta International Airport, Boston’s air transportation at certain slot- or DOT periodically stepped in to Logan International Airport, ORD, Cleveland Hopkins International Airport, then Dallas/Fort controlled airports, including JFK and resolve the deadlocks. In resolving a Worth Regional Airport, Denver’s Stapleton LGA.15 At JFK, the DOT granted 75 slot 1980 deadlock at DCA, the DOT International Airport, Detroit Metropolitan Wayne exemptions to new entrant carrier divested a small percentage of slots from County Airport, Fort Lauderdale-Hollywood JetBlue Airways (JetBlue) under this incumbent airlines and reallocated them International Airport, then Houston Intercontinental Airport, Kansas City International authority in 1999, which were phased in to a requesting new entrant. The DOT Airport, JFK, LGA, Las Vegas’ McCarran over a 5-year period.16 The order stated noted that additional reduced fare International Airport, Los Angeles International service was likely to increase Airport, Miami International Airport, Minneapolis/ 13 SFAR 88, 51 FR 8630 (Mar. 12, 1986). competition and thus be consistent with St. Paul International Airport, EWR, Philadelphia 14 The term ‘‘new entrant carrier’’ was defined as International Airport, Pittsburgh International ‘‘an air carrier that does not hold a slot at the airport the general pro-competitive policy of Airport, San Francisco International Airport, the Airline Deregulation Act of 1978.5 concerned and has never sold or given up a slot at Lambert-St. Louis International Airport, and DCA. that airport after December 16, 1985, and a limited SFAR 44–3, 47 FR 7816 (Feb. 22, 1982). incumbent carrier.’’ 49 U.S.C. 41714(h)(3). 8 2 33 FR 17896 (Dec. 3, 1968) (codified at 14 CFR SFAR 44–3, 47 FR 7816 (Feb. 22, 1982). 15 Pub. L. 103–305 § 206(a)(1) (Jan. 25, 1994) part 93 subpart K). 9 47 FR 19989 (May 10, 1982). (codified at 49 U.S.C. 41714). 3 35 FR 16591 (Oct. 24, 1970). 10 47 FR 29814 (Jul. 8, 1982). 16 Application of New Air Corporation for 4 33 FR 17896 (Dec. 3, 1968). 11 Id. at 29815. Exemption from 14 CFR part 93, subparts K and S 5 SFAR 43, 45 FR 72637 (Nov. 3, 1980). 12 50 FR 52195 (Dec. 20, 1985). Continued

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that JetBlue would operate the majority 2000, carriers had added over 300 new expire on January 1, 2007. Based on its of its flights outside the 5 HDR slot- scheduled flights at LGA and had plans experience in 2000, the FAA controlled hours. The Secretary also to operate even more, resulting from determined that simply lifting the HDR granted 30 slot exemptions at LGA to more than 600 exemption requests. at LGA would result in a significant new entrant carriers. While the number of allowable increase in delays and adversely impact On April 5, 2000, Congress enacted scheduled operations under the HDR the airspace around New York City and the Wendell H. Ford Aviation and remained constant at 62 per hour, the the NAS as a whole. Investment Reform Act of the 21st actual number of scheduled operations In August 2006, the FAA published a Century (AIR–21).17 AIR–21 phased out rose to over 100 in several hours with notice of proposed rulemaking (LGA and terminated the HDR at JFK, LGA, the additional AIR–21 slot exemptions. NPRM) proposing a continuation of the and ORD.18 In phasing out the HDR, With no new airport infrastructure, existing cap of 75 scheduled and six AIR–21 directed the Secretary to grant overall airport capacity remained the unscheduled hourly operations as well two types of exemptions from the HDR’s same while the number of aircraft as a new method of allocating flight restrictions at LGA and JFK. The operations and delays soared. capacity.27 In addition to retaining the first type of exemption was designed to Additional operations following AIR–21 existing cap, the FAA proposed to promote more competition at slot- resulted in significantly higher delays at impose an average minimum aircraft controlled airports and required the LGA than existed before 2000. The size requirement for much of the fleet Secretary to grant exemptions to a new average minutes of delay for all arriving serving the airport. By incentivizing entrant or limited incumbent, defined as flights at LGA increased 144% from carriers to use larger aircraft, the a carrier holding fewer than 20 slots or 15.52 minutes in March 2000 (the proposal was designed to maximize slot exemptions.19 The second type of month before AIR–21 was enacted) to passenger throughput consistent with exemption was aimed at improving 37.86 minutes in September 2000.23 The the airport’s physical constraints. The service to small communities and increase in delay as a result of AIR–21 FAA also proposed to implement a limit required the Secretary to grant was not limited to delays at LGA. on the duration of slots that would exemptions to a carrier operating an Flights that arrived and departed late at assure 10 percent of the capacity at the aircraft with less than 71 seats to small- LGA affected flights at other airports airport would be available annually for hub or non-hub airports for an and in the national airspace system reallocation by the FAA. unrestricted number of flights.20 AIR–21 (NAS). By September 2000, flight delays The FAA recognized that it would be also preserved the FAA’s authority to at LGA accounted for 25 percent of the unable to complete its rulemaking by impose flight restrictions by stating that nation’s delays, compared to 10 percent January 1, 2007, when the HDR was ‘‘[n]othing in this section . . . shall be for the previous year.24 scheduled to expire. After providing for construed . . . as affecting the Federal Using its authority under 49 U.S.C. notice and comment, the agency Aviation Administration’s authority for 40103, and pending the development of published an FAA Order Operating safety and the movement of air a long-term solution, the FAA published Limitations at New York LaGuardia traffic.’’ 21 a Notice of Intent in the Federal Airport (LGA Order).28 The LGA Order Register on November 15, 2000, B. LaGuardia Airport After AIR–21 retained the existing limit of 75 announcing its intent to temporarily scheduled operations and a reservation LGA, which provides almost limit AIR–21 slot exemptions at LGA system for unscheduled operations that 22 exclusively domestic service, and to allocate them via a lottery.25 The permitted six unscheduled operations consistently has been one of the most lottery, which was conducted on per hour. The LGA Order did not congested airports in the nation. Its December 4, 2000, was premised on the distinguish between operations proximity to midtown Manhattan makes imposition of an airfield and airspace conducted pursuant to HDR slots and it a desirable airport for many travelers, capacity management limit of 75 AIR–21 slot exemptions; rather, flights and airlines attempt to meet that scheduled operations per hour (plus six conducted pursuant to exemptions were demand by operating many flights to unscheduled operations primarily used included in the hourly cap without LGA. Physical constraints of the airfield by the general aviation community) restriction. The slots and exemptions limit the ability to expand capacity. beginning January 31, 2001.26 This limit were grandfathered to the then-current The slot exemptions mandated by still allowed a significant increase in holder as ‘‘Operating Authorizations.’’ Congress under AIR–21 facilitated operations at the airport above the The LGA Order also explicitly linked its access for new entrants and small HDR’s regulatory limits, thus serving duration to the publication of a final community service at LGA, but the Congressional objectives while rule and noted that no rights to trade-off for this service was increased stretching capacity to its practical Operating Authorizations allocated airport congestion and delays. By fall limits. The number of AIR–21 slot under the Order would survive beyond exemptions at LGA was restricted to a the Order. No one challenged the terms of 49 U.S.C. 41714(c), Order 99–9–11 (Sep. 16, total of 159 a day between the hours of of the LGA Order or the FAA’s authority 1999). 0700 and 2159. As a result of the hourly 17 Pub. L. 106–181. to re-impose caps at the airport 18 Congress directed the HDR phase-out for JFK restrictions, the average number of following the expiration of the HDR. and LGA by January 1, 2007. 49 U.S.C. 41715(a)(2). aircraft delays at LGA fell from 330 per In August 2008, the FAA reduced the Congress directed the HDR phase-out for ORD by day in October 2000 to 98 per day in number of reservations available for July 1, 2002. 49 U.S.C. 41715(a)(1). AIR–21 did not April 2001. phase out the HDR at DCA, and it remains the only unscheduled operations at LGA from six HDR airport. Under AIR–21, slots allocated under 19 the HDR at LGA were scheduled to AIR–21 also granted authority for this type of 27 71 FR 51360 (Aug. 29, 2006). exemption at DCA and ORD. 28 71 FR 77854 (Dec. 27, 2006). The LGA Order 23 20 AIR–21 also granted authority for this type of FAA Aviation System Performance Metrics was amended on November 8, 2007 (72 FR 63224), exemption at ORD. (ASPM). on August 19, 2008 (73 FR 48428), on January 15, 21 49 U.S.C. 41715(b). 24 Calculated from the FAA’s Air Traffic 2009 (74 FR 2646), on October 7, 2009 (74 FR 22 The Port Authority of New York and New Operations Network Database (OPSNET). 51653), on April 4, 2011 (76 FR 18616), on May 14, Jersey limits the distance to which commercial 25 65 FR 69126 (Nov. 15, 2000). 2013 (78 FR 28278), and on March 27, 2014 (79 FR flights may operate on a nonstop basis. 26 65 FR 75765 (Dec. 4, 2000). 17222).

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to three.29 In January 2009, the FAA percent to 59.89 percent during that and planned flights. Subsequent in- reduced the limits on scheduled period. For fiscal year 2007, the average person and telephonic meetings took operations to 71 per hour.30 Although daily arrival delays exceeding 1 hour place as well. American Airlines, Delta the FAA did not withdraw Operating increased by 87 percent over fiscal year Air Lines, and JetBlue, which together Authorizations to reach 71 operations, it 2006 levels. Additionally, taxi-out accounted for three-quarters of the total stated it would retire any returned delays, which measure the time that JFK operations, withdrew the schedule Operating Authorizations to reach that aircraft wait prior to departing the increases each had proposed for limit. These two actions were intended runway, increased by 15 percent. Taxi- summer 2008 during the airport’s 1500 to further reduce congestion and delays out delays in the evening departure to 1959 peak hours. They also adjusted at LGA. periods frequently exceeded 1 hour in the timing of operations throughout the duration. day to smooth out peaks. Other airlines C. John F. Kennedy International In September 2007, the FAA re- Airport After AIR–21 agreed to retime peak operations. designated JFK as a Level 2 Schedules Consequently, the FAA was able to offer Until recently, most operations at JFK Facilitated Airport 31 for the summer additional operations during non-peak took place during relatively pronounced 2008 scheduling season in accordance hours, which increased the daily total of arrival and departure banks with the WSG.32 Under the WSG, operations while decreasing delays over corresponding to the operating windows carriers must inform the schedules the previous summer season. As a result of transatlantic flights. The FAA facilitator of projected operations at a of the agreements reached at that accommodated those banks and Level 2 airport for the next scheduling meeting and other discussions held with achieved maximum efficiency by using season. When submitting the required carriers regarding their planned summer either two arrival runways and one information, the airlines expressed their 2008 schedules, the FAA issued a departure runway, or two departure intent to add new flights at JFK during temporary Order limiting scheduled runways and one arrival runway. Air peak and off-peak hours for summer operations at JFK to 81 per hour from traffic controllers have employed that 2008. 0600 to 2259 (JFK Order).36 That configuration to facilitate the historical Also in September 2007, the Secretary temporary Order allocated slots to transatlantic traffic flows. and the Administrator determined that carriers operating at the airport based on Beginning in the spring of 2006, U.S. a delay reduction meeting was the number and timing of operations air carriers serving JFK significantly necessary to discuss flight reductions negotiated during the schedule increased their domestic scheduled with U.S. air carriers to reduce over- reduction meetings. Because the operations throughout the day, changing scheduling and flight delays at JFK schedule reductions were voluntary, the historical arrival and departure 33 during peak operating hours. On slot allocations in some hours exceeded patterns. For example, the traditional October 22, 2007, the FAA opened a 81. The Order permits the FAA to retire transatlantic arrival and departure docket for information on the slots that exceed the hourly limit if periods now have significant levels of establishment of flight reduction targets those slots are returned to the FAA until departing and arriving flights, at JFK during peak hours.34 To address the slot limit is reached. On February respectively. While demand is increases in demand by U.S. and foreign 14, 2008, the FAA amended the JFK somewhat more balanced, some loss of air carriers and to provide a process for Order to modify the use-or-lose efficiency associated with a two-arrival schedule actions, the FAA designated provisions so that they would or two-departure runway configuration JFK a Level 3 Coordinated Airport.35 correspond to the WSG.37 The JFK has resulted. To address the projected increased While operations at LGA remained demand for summer 2008 and the Order temporarily responds to the capped throughout 2007, caps on previous over-scheduling in summer carriers’ desire to schedule operations afternoon operations at JFK were lifted 2007 when the airport lacked above the airport’s capacity during peak on January 1, 2007, when the HDR scheduling limits, the FAA convened a operating hours, relieves the substantial expired at that airport. Operations at scheduling reduction meeting on inconvenience to the traveling public JFK already had begun to increase October 23–24, 2007. The FAA’s goal caused by excessive congestion-related during the morning hours, but the was to obtain voluntary schedule flight delays at the airport (which increase in operations in the afternoon reductions from historically operated rippled through the NAS), reduces the hours soon led to long delays, especially average length of delays, improves carriers’ ability to plan operations and for departing flights during the evening 31 An airport is designated an IATA Level 2 transatlantic departure bank. Schedules Facilitated Airport when demand is network connections, and provides for During fiscal year 2007, the average approaching capacity, and a more formal level of more efficient use of airspace. cooperation is required to avoid the circumstances In July 2008, the FAA proposed to daily operations at JFK increased 21 of over-capacity. At a Level 2-designated airport, a percent over fiscal year 2006. At the schedules facilitator seeks the cooperation and limit unscheduled operations at JFK to same time, on-time performance and voluntary agreement of carriers serving the airport two hourly reservations from 0600 other delay metrics declined year over to avoid congestion. through 1359, to one hourly reservation 32 year. The on-time performance at JFK, 72 FR 54317 (Sept. 24, 2007). from 1400 through 2159, and to two 33 Under 49 U.S.C. 41722, the Secretary may from 2200 through 2259 at JFK.38 The which is defined as the arrival at the request a delay reduction meeting if ‘‘(1) the gate within 15 minutes of the scheduled Administrator determines that it is necessary to FAA never adopted that proposed time, declined from 68.5 percent in convene such a meeting; and (2) the Secretary Order, but the unscheduled limits were fiscal year 2006 to 62.19 percent in determines that the meeting is necessary to meet a incorporated in the 2008 Congestion serious transportation need or achieve an important fiscal year 2007. On-time arrivals during Management Rule for JFK and EWR, public benefit.’’ which is discussed later. the peak travel months of June, July, and 34 72 FR 59579 (Oct. 22, 2007). August declined from 63.37 percent in 35 72 FR 60710 (Oct. 25, 2007). When demand for 2006 to 58.89 percent in 2007, while on- an airport exceeds capacity, voluntary cooperation 36 73 FR 3519 (Jan. 18, 2008), as amended by 73 FR 8737 (Feb. 14, 2008), 74 FR 51650 (Oct. 7, 2009), time departures declined from 67.49 is unlikely to resolve the problem, and short-term capacity enhancements are not available, an airport 76 FR 18620 (Apr. 4, 2011), 78 FR 28276 (May 14, may be designated as an IATA Level 3 to inform 2013), and 79 FR 16854 (Mar. 26, 2014). 29 73 FR 48428 (Aug. 19, 2008). airlines that scheduling increases may be 37 73 FR 8737. 30 74 FR 2646 (Jan. 15, 2009). disallowed. 38 73 FR 41156 (Jul. 17, 2008).

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D. Congestion at Newark Liberty planned. The FAA asked carriers to E. Exploration of Long-Term Congestion International Airport consider scheduling flights at times Management EWR has grown to be one of the most when there was available capacity. Following the enactment of AIR–21, delay-prone airports in the country. In However, the FAA realized some the FAA and the DOT began 2007, demand during peak hours carriers intended to proceed with their investigating a long-term congestion approached or exceeded the average plans to begin operating their proposed management plan for the New York City runway capacity, resulting in significant schedules during the busiest hours, area airports. In June 2001, the FAA volume-related delays. These delays regardless of the potential impact on published a variety of congestion were aggravated by weather or other delay. The FAA also believed limiting management alternatives for public adverse operating conditions. operations at JFK would create a comment, including the use of auctions, Comparing fiscal year 2007 to fiscal spillover effect at EWR, thus congestion pricing, and administrative year 2000, the percent of on-time gate exacerbating historical and projected alternatives.45 Additionally, the FAA arrivals decreased from 70.66 percent to delays. To prevent carriers from adding and the DOT, in conjunction with the 61.71 percent, and arrival delays greater flights to already oversubscribed hours National Center of Excellence for than one hour increased, on average, at EWR and from shifting flights from Aviation Operations Research from 54 to 93 per day. EWR’s on-time JFK to EWR, the FAA designated EWR (NEXTOR), conducted research arrival performance of 61.8 percent was initiatives of these alternatives. as a Level 3 Coordinated Airport The level of interest in a long-term the second worst among the 35 busiest effective for summer 2008.41 After the airports. Based on ‘‘the airport’s plan increased as the sunset of the HDR designation, a series of discussions with neared and following the experience of performance metrics and imbalance the FAA led some carriers to move a few between ATC capacity and demand that increased operations at the airports. of their historical flights from the most Nationally, the summer of 2007 was the is expected to continue in the near oversubscribed hours. The movement of term,’’ the FAA designated EWR a Level second worst on record for flight delays. these flights permitted addition of a few 2 IATA Schedules Facilitated Airport Delays impacted all three New York new entrant operations without a net for the summer 2008 scheduling City area airports and cascaded season.39 The FAA explained that increase in delays. throughout the NAS. On September 27, ‘‘increased levels of air traffic In May 2008, the FAA placed 2007, the Secretary announced the operations, congestion and delay at temporary limits on peak hour formation of the New York Aviation [both JFK and EWR] and a tangible operations at EWR to mitigate persistent Rulemaking Committee (NYARC) to decrease in operational performance’’ congestion and delays at the airport help the DOT and FAA explore available options for congestion warranted this designation.40 The FAA (EWR Order).42 The EWR Order limited management and how changes to found the peak morning and afternoon scheduled operations during current policy for JFK, EWR, and LGA hours were particularly congested, but constrained hours to an average of 81 would affect the airline access and that capacity otherwise was available for 43 per hour. That temporary Order utilization of the airports. retiming of flights or new operations. allocated slots to carriers operating at The NYARC was designed to provide The information provided by carriers the airport based on the number and opportunity for extensive input by all for the summer 2008 scheduling season timing of operations negotiated during stakeholders, having members from reflected a projected increase in flight the schedule discussions. Because the every major U.S. air carrier, several schedules, especially during the peak schedule reductions and retimings were foreign carriers, associations hours. U.S. and foreign carriers had voluntary, slot allocations in some representing different aviation interests, planned about 100 new operations per hours exceeded 81. The Order permits and the Port Authority of New York and day at EWR, many during the afternoon the FAA to retire slots that exceed the New Jersey (Port Authority). The and early evening hours. For several hourly limit if those slots are returned NYARC submitted a report of its consecutive hours, the number of hourly findings and recommendations to the arrivals and departures would have to the FAA until the slot limit is reached. The provisions regarding the Secretary, dated December 13, 2007.46 reached between the upper 80s and The increased congestion and mid-90s. These operations would have use of the WSG for use-or-lose mirrored those in place for JFK. In July 2008, the associated delays at JFK, EWR, and LGA significantly exceeded the airport’s impact each other and the NAS. The FAA proposed to limit unscheduled average of 83 total operations per hour airspace redesign for the New York/New operations at EWR to two hourly over the 12-month period ending Jersey/Philadelphia metropolitan area, August 2007. These additional flights reservations from 0600 through 1159, to approved in 2007, documents the costs would have caused a spike in one hourly reservation from 1200 and far-reaching impacts of delays that congestion and delays at EWR and also through 2159, and two from 2200 originate from this area.47 Implementing would have adversely affected other through 2259.44 The FAA never adopted airports in the New York-New Jersey that proposed Order, but the 45 66 FR 31731 (Jun. 12, 2001). region and the NAS. unscheduled limits were incorporated 46 A copy of the ARC Report may be found at In the autumn of 2007, the FAA found in the 2008 Congestion Management http://www.faa.gov/regulations_policies/ rulemaking/committees/documents/media/ it necessary to informally discuss Rule for JFK and EWR, which is NY.ARC.Final.Report.20071213.pdf. The report summer 2008 schedules with carriers discussed later. contained recommendations for operational operating at EWR because it was improvements for the airports and associated airspace; discussed the use of market-based systems concerned proposed operations would 41 72 FR 73418 (Dec. 27, 2007). to allocate airport capacity at the airports; explored 42 cause excessive congestion-related 73 FR 29550 (May 21, 2008), as amended by 74 a gate utilization system at LGA proposed by the delays. Modeling indicated a potential FR 51648 (Oct. 7, 2009), 76 FR 18618 (Apr. 4, 2011), Port Authority; explored a US Airways proposal to delay increase of almost 50 percent if and 78 FR 28280 (May 14, 2013), and 79 FR 16857 relax the LGA perimeter rule; examined priority air (Mar. 26, 2014). traffic preferences; and considered the adoption of the scheduled flights were operated as 43 The appendix to the Order included a few IATA WSG at the airports. operations for summer 2008 above the 81 per hour 47 See http://www.faa.gov/air_traffic/nas_ 39 72 FR 54317 (Sept. 24, 2007). limit. redesign/regional_guidance/eastern_reg/nynjphl_ 40 Id. 44 73 FR 41156 (Jul. 17, 2008). redesign/documentation/.

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airspace redesign will provide increased auctions. Finally, the FAA proposed to Administrative Procedure Act, and the efficiency and congestion relief by, sunset the rule in 10 years. U.S. Court of Appeals for the District of among other things, opening additional In conjunction with the LGA SNPRM, Columbia Circuit stayed their arrival and departure routes in the New the FAA published an NPRM for JFK effectiveness pending litigation.52 The York City area, and the FAA has begun and EWR that sought to provide a FAA rescinded both final rules on that process. longer-term solution and address a October 9, 2009.53 Further, the FAA continues to work number of congestion-related issues (JFK/EWR NPRM).49 Similar to the LGA G. Current Slot Management at LGA, with stakeholders to implement short- JFK, and EWR term initiatives to improve the SNPRM, the FAA proposed to continue efficiency of airport operations and air the hourly limits on flight operations at Currently, the JFK and EWR Orders traffic control, particularly during JFK and EWR, and to allocate the remain in effect, limiting scheduled severe weather. Additionally, the FAA majority of slots at each airport to the operations to 81 per hour at each has increased the use of a second historical operators. Similar to the airport, until this proposed rule departure runway at JFK when proposal in the LGA SNPRM, the agency becomes effective.54 The LGA Order conditions permit. However, none of proposed to develop a robust market remains in effect, limiting scheduled these initiatives offer an immediate or and induce competition by annually operations to 71 per hour and complete solution. auctioning a limited number of slots unscheduled operations to three per during the first 5 years of the rule. Given hour, until this proposed rule becomes F. Congestion Management Rules of the significant international presence at effective.55 The following tables show a 2008 both airports, the JFK/EWR NPRM comparison of allocated slots and With the three temporary Orders proposed to use WSG procedures average actual operations for each limiting operations in place, the FAA instead of auctions to allocate new or airport for August 2012.56 determined to pursue a long-term returned capacity. Additionally, the solution for limiting operations and JFK/EWR NPRM contained provisions 52 74 FR 52132 (Oct. 9, 2009) (JFK and EWR); 74 for adoption of the WSG for use-or-lose, FR 52134 (Oct. 9, 2009) (LGA). allocating slots for all three airports. 53 74 FR 52132 (Oct. 9, 2009) (JFK and EWR); 74 After evaluating comments to the LGA historic precedence, unscheduled FR 52134 (Oct. 9, 2009) (LGA). The FAA rescinded NPRM and input from the NYARC, the operations, and slot withdrawal for the rules because of the uncertainty caused by an FAA decided not to adopt its earlier operational needs. The FAA proposed to Omnibus Appropriations Act provision prohibiting proposal to require upgauging aircraft sunset the rule in 10 years. the agency from conducting slot auctions and the The FAA issued a final rule for JFK possible impact of the significantly changed size and to reallocate 10 percent of the economic circumstances on the slot auction existing capacity each year. Instead, the and EWR, which was consistent with program. Id.; see also Division I, section 115 of the FAA published a supplemental notice of the JFK/EWR NPRM, in October 2008 Omnibus Appropriations Act of 2009, Pub. L. 111– proposed rulemaking (LGA SNPRM) in with a published effective date of 8, 123 Stat. 115 (Feb. 17, 2009). 50 54 79 FR 16854 (Mar. 26, 2014) (JFK); 79 FR 16857 April 2008.48 The LGA SNPRM December 9, 2008. The FAA issued a final rule for LGA, which was consistent (Mar. 26, 2014) (EWR). proposed to allocate the majority of slots 55 79 FR 17222 (Mar. 27, 2014). to historical operators. The agency also with the LGA SNPRM, in October 2008 56 Allocated slots represent slot allocations for proposed to develop a robust market with an effective date of December 9, Thursdays during August 2012 as reflected in slot and encourage competition by 2008.51 Multiple parties challenged records maintained by the FAA’s Slot these final rules under the Administration Office. For actual operations, an withdrawing some slots and auctioning average was calculated from Aviation System them during the first 5 years of the rule. Performance Metrics (ASPM) data for each The LGA SNPRM would have allocated 49 73 FR 29626 (May 21, 2008). Thursday during August 2012. The ASPM data used 50 any new or returned capacity via 73 FR 60544 (Oct. 10, 2008), amended by 73 for this comparison reflects runway arrival or FR 66516 (Nov. 10, 2008). departure time and may vary from a flight’s 51 73 FR at 60574 (Oct. 10, 2008), amended by 73 scheduled arrival or departure (slot) time due to 48 73 FR 20846 (Apr. 17, 2008). FR 66517 (Nov. 10, 2008). taxi time or other operational reasons.

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BILLING CODE 4910–13–C 75 to 71 could generate a 41% decrease margin for unscheduled operations.62 JFK and EWR currently have similar in mean delays. As discussed earlier, As a result, modeled peak departure demand profiles, with an early morning the FAA established a limit of 75 in delays decreased to about 50 minutes, or peak followed by lower demand in the December 2000 to reduce delays by 30 minutes per flight when compared mid-morning. Demand then approaches associated with new flights operating to summer 2007. As part of the schedule the average runway capacity in the early under AIR–21 slot exemptions.58 discussions for JFK, the FAA accepted afternoon and typically continues until Subsequently the FAA reduced the some flights that exceeded the about 2200. LGA, on the other hand, has hourly scheduled limit from 75 to 71 to scheduling limits but reserved the consistently high demand at or above provide an opportunity for delay authority to retire returned slots the average runway capacity throughout reduction at LGA from voluntary returns exceeding the limits and work with the entire day. carriers to continue to further depeak To determine the scheduling limits or slots failing to meet the minimum 59 their schedules. and associated delay mitigation goals usage rules. The FAA did not withdraw operating authority to achieve When developing the scheduled under the Orders, the FAA modeled limits for EWR, modeling showed an 57 the lower limit, but reserved the congestion and delays for each airport. average adjusted capacity of 83 total To determine the average adjusted authority to retire returned slots exceeding the limit. operations per hour with high sustained capacity for an airport, the FAA delays throughout the day. considered the airport’s capacity to be When developing the scheduled Additionally, the FAA modeled the the higher value of either the aircraft limits for JFK, operational analysis proposed 2008 schedules and projected throughput at the airport in a given hour showed that the average adjusted an even higher level of congestion and or the number of arrivals and departures capacity was steadily increasing over delays from those proposed schedules 60 that ATC personnel identified as time. Additionally, a procedural with EWR already one of the most achievable in that hour. As a result, the change in early 2007 allowed departures delay-prone airports in the system. The FAA accepted the higher number when on Runway 31L beginning at Taxiway FAA established a goal of no increase in the airport’s performance exceeded KK, thereby providing increased runway delays at EWR while permitting expectations, as well as when the capacity and reduced departure delays. additional operations to the extent airport’s potential capacity exceeded Modeling for JFK used the higher practicable. The limit of 81 scheduled demand. This measurement reflects the adjusted airport capacity numbers since operations per hour reflected that goal airport’s demonstrated and potential early 2007, rather than over the two-year and permitted a margin for unscheduled performance over time under actual historical period initially reviewed to operations.63 Although the FAA meteorological and operational capture that increased capacity. The accepted some flights above the hourly conditions. The FAA reviewed weekday FAA conducted discussions with limits, it reserved the authority to retire operations over a two-year period to carriers to seek voluntary agreement to returned slots exceeding the limits and capture the variables in daily ATC retime flights at JFK from the busiest work with carriers to depeak their operations. Delay and congestion hours to less congested times when they schedules. modeling used by the FAA assumes that could be accommodated with a lower The FAA has continued to monitor all flights operate as scheduled. Average delay impact. The FAA also restricted the three New York City area airports unscheduled demand is randomized carriers from adding flights in the peak since the Orders were put in place to within the hour. These assumptions periods. The FAA’s goal was to reduce determine whether the limits continue ensure the modeling reflects full the peak evening departure delays from to be appropriate. Actual performance utilization of the airport under various the summer 2007 average of about 80 in summer 2008 through 2012 was limits and allows the modeled queuing minutes.61 The limit of 81 scheduled compared to the modeled projections to delay to be measured consistently as the operations per hour in the JFK Order ensure that the model results were scheduling limits are varied against reflected that goal and permitted a consistent with actual experience. demand. The model calculates arrival Adjusted airport capacity information delay and departure delay relative to 58 These hourly limits were adopted in the LGA for 2008 through 2012 was updated. schedule, mean delay, and delay greater Order. This information includes hourly arrival 59 than 0, 15, 60 and 120 minutes. The In early 2009, the FAA sought voluntary and departure rates based on runway model shows delay by time of day to schedule reductions from carriers to reduce LGA delays. American Airlines voluntarily returned 13 configuration, demand, operating ensure consideration of peak period Operating Authorizations in February 2009. conditions, and actual hourly runway delays. 60 The FAA reviewed JFK’s hourly operations operations. Peak summer unscheduled When developing the scheduled and over a 2-year period, from July 2005 through July demand for each hour between 0600 2007. Over the entire period, the average adjusted unscheduled limits (of 71 and 3, and 2259, Eastern time, was reviewed respectively) for LGA, modeling showed capacity was 77 hourly operations. During the first year, from July 2005 through June 2006, the airport for 2008 through 2011. a reduction in the scheduled limit from had an average adjusted capacity of 74 hourly Performance at JFK and EWR has operations. Over the final 6 months of the period improved in each year when compared 57 This modeling used an aircraft queuing model (February 2007 through July 2007), the average to summer 2007. In some cases, actual produced for the FAA by the MITRE Corporation’s adjusted capacity increased to 81 hourly operations. Center for Advanced Aviation System Development Changes in capacity can result from a number of operations were below allocated slot (CAASD). When determining airport capacity, delay factors, and it often is difficult to determine the levels, and this contributed to delay targets, and slot limits, the FAA relies on modeled specific cause of the capacity change. These factors reduction. However, as discussed later delay data because it establishes the peak of can include changes in runway configurations, in this proposal, underutilization of congestion and delays. Modeled delay and actual taxiway configurations, ground movement delay may differ because a variety of things occur procedures, airspace procedures, and the interplay on the day of operation that a model cannot of regional demand. The FAA strives to increase 62 The Order also adopted an Appendix that consider (such as not scheduled or cancelled efficiency of operations at all airports with a contained the actual schedules then existing at the operations). Actual delay statistics for airports are specific focus on safely and efficiently meeting the airport. In some hours, scheduled operations published by the Office of the Assistant Secretary daily operational demand. exceeded the limit of 81 scheduled operations. for Research and Technology Bureau of 61 Schedules initially submitted by carriers for 63 The Order also adopted an Appendix that Transportation Statistics and can be found at summer 2008 would have increased the evening contained the actual schedules then existing at the http://www.rita.dot.gov/bts/data_and_statistics/by_ departure delays to more than 120 minutes per airport. In some hours, scheduled operations mode/airline_and_airports/index.html. flight. exceeded the limit of 81 scheduled operations.

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slots at a carrier’s discretion also has secondary market mechanism. The LGA—Continued potential competitive and service transfer mechanisms in place under the consequences that must be considered Orders differ significantly from those Percent along with delay mitigation goals. The permitted under the HDR, currently in 2012 analyses indicated that daily place only at DCA, which allow slots to United Airlines ...... 8 unscheduled flights have decreased be bought, sold, leased, or otherwise Southwest Airlines ...... 5 slightly compared to 2008 while peak Air Canada ...... 4 transferred for any duration and to any JetBlue ...... 3 morning and afternoon demand are person. Spirit Airlines ...... 2 similar to 2007. The adjusted airport The following tables show the WestJet ...... 1 capacity analysis indicated modest approximate percentage of slots held at Republic Airline ...... 1 changes at EWR and JFK, but the FAA each airport by carriers holding more Virgin America ...... 12 is not proposing to change the current than one percent of total slots.64 Since scheduling limits. The FAA will 2008, numerous carriers have obtained III. Discussion of the Proposal continue to monitor whether changes in slots at EWR, JFK, and LGA through Because of the combination of high adjusted airport capacity are long-term either FAA allocations or slot demand and limited ability to increase trends that warrant adjustment of the transactions with incumbent airlines.65 capacity at JFK, EWR, and LGA, the scheduling limits at one or more At EWR, new carriers include: Austrian FAA must address a dilemma: How can airports. Airlines, Avianca Airlines, Cathay the agency manage delays while During summer 2010, one of the main Pacific Airways, Icelandair, Iceland promoting access to carriers wishing to runways at JFK was closed or partially Express Airlines, La Compagnie, operate at the airport, thus encouraging closed so a valid comparison to earlier Southwest Airlines, Virgin America, competition? This proposed rule periods is not practical. Carriers and Vision Airlines. At JFK, new voluntarily reduced scheduled attempts to address that dilemma. carriers include: Arik Air, Brussels Ongoing implementation of the New operations, and the FAA waived the Airlines, Fly Jamaica Airways, Hawaiian usage requirements to mitigate delay York/New Jersey/Philadelphia Airlines, Hellenic Imperial Airways, Metropolitan Area Airspace Redesign impacts from the construction and Interjet, LAN Peru, Nippon Cargo reduced airport capacity. The FAA used project and Next Generation Air Airlines, Nordic Global Airlines, Transportation System (NextGen) non-preferred runway configurations Norwegian Air Shuttle, Qatar Airways, and waived slot usage requirements to technologies are expected to increase Transaero Airlines, Virgin America, the efficiency and reliability of the facilitate temporary carrier schedule WestJet, and XL Airways France. At reductions to mitigate delays. In airspace structure and ATC system and LGA, new carriers include: Southwest reduce delays within the next 10 years. addition, the Port Authority has adopted Airlines, Virgin America, and WestJet. an automated departure queuing Although the FAA continues to develop and implement these improvements, program at JFK to manage when aircraft EWR are released from the gate. This program which it believes over time will reduce reduces taxi-out delays for aircraft Percent congestion and delays at the New York waiting to depart. Many of these City area airports, it does not anticipate procedural changes, including the United Airlines ...... 73 these airspace improvements will departure queuing program, have been American Airlines ...... 7 provide significant benefits at JFK, permanently implemented. Delta Air Lines ...... 5 EWR, and LGA in the immediate future. As stated earlier, delay modeling for JetBlue ...... 2 Letting the Orders expire without FedEx ...... 2 replacing them with a more permanent EWR and JFK analyzed the effects of Air Canada ...... 2 both scheduled and unscheduled Porter Airlines ...... 2 solution likely would result in a growth operations. Although not adopted, the Southwest Airlines ...... 1 in operations and consequently high FAA had proposed limits on levels of congestion and delays, as was unscheduled operations at the airports, experienced following AIR–21. while accommodating existing JFK Rather than take repeated and scheduled operations without creating piecemeal approaches to manage slots high levels of congestion and delays. Percent and efficient use of airspace at JFK, EWR, and LGA, the FAA believes a For 2007, unscheduled operations at the Delta Air Lines ...... 31 two airports averaged two per hour with JetBlue ...... 26 longer-term and comprehensive rule is several hours exceeding that average. American Airlines ...... 17 prudent. The FAA’s longstanding The FAA had proposed limits for each United Airlines ...... 4 preference for addressing capacity airport of one and two operations per British Airways ...... 2 limitations is to expand airport hour depending on the time of day. For Virgin America ...... 2 infrastructure, increase airport summer 2010, actual operations were throughput, and improve airspace and down at JFK and EWR to an hourly LGA airport surface efficiency. The FAA average of roughly one unscheduled currently is implementing ways to operation. Unscheduled operations Percent utilize the airspace in the New York averaged just less than two per hour at City area more efficiently and to both airports during the afternoon Delta Air Lines ...... 45 decrease delays, but there are physical hours. American Airlines ...... 29 limitations to expanding these airports The current Orders limit a carrier’s in the foreseeable future. This proposed ability to transfer a slot (either by trade, 64 This information is current as of August 2014 rule would complement planned lease, or sale) beyond the duration of the as reflected in slot records maintained by the FAA’s airspace and airport capacity Orders. The Orders were intended as a Slot Administration Office. improvements by encouraging more 65 This information is current as of August 2014 short-term measure to allow time for as reflected in slot records maintained by the FAA’s efficient use of existing capacity. development of a long-term, Slot Administration Office. Not all indicated This proposed rule would treat all comprehensive rule that included a carriers may be currently operating at the airports. three New York City area airports

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similarly. To achieve the goal of delay opportunity for confusion on how slot the last Sunday in March 2014 through management, it would limit scheduled management applies at an individual the first Saturday in September 2014. and unscheduled operations. To achieve airport. The allocation mechanism is Carriers would be afforded an the goals of promoting market access discussed later and any significant opportunity to return unneeded slots to and competition, it would permit deviations from the WSG are noted. the FAA. Any modifications to transfer of slots between carriers in a The FAA also proposes to retain the allocations in those hours due to secondary market that encourages 80 percent usage requirement, which is operational changes between the transparency. Proposed changes to the consistent with the WSG, at each of the publication of the NPRM and effective usage requirement also could improve airports. The usage requirement would date of any final rule would be handled competition and market access at the be applied to slots on an individual day- on an individual basis and could be airports by increasing the number of of-week basis over the entire season at temporarily allocated until a permanent scheduled operations that are actually each of the airports, similar to the (historic precedence) allocation is made operated. Under the current Orders, method currently used at JFK and EWR. for the subsequent corresponding some slots are allocated but not However, the FAA proposes a change in season. The FAA requests comments, scheduled and operated. The FAA the way the utilization rules were including specific benefits and believes it is necessary to address applied under the Orders and under the drawbacks, on whether it should adopt allocation and distribution of slots at HDR. The FAA proposes a specific flight a common definition of ‘‘slot-controlled JFK, EWR, and LGA in a coordinated or series of flights be identified for each hours’’ across the three airports. manner because traffic at each of these requested slot throughout the entire The FAA proposes to limit scheduled airports affect each other and the NAS season. Because each slot has a operations to no more than 81 per hour as a whole. The airports are located corresponding series of flights, a flight (or any 60-minute period) at JFK, 81 per close to each other and consistently associated with one slot in the same 30- hour at EWR, and 71 per hour at LGA. have been among the most delay-prone minute slot time period could not be The FAA also proposes to assign slots airports. This proposal presents five used to help another slot meet the specifically as an arrival or departure in different alternatives the FAA is minimum usage rules. 30-minute windows, a practice already in place under the Orders, to manage considering for how slot transfers would A. Hourly and Daily Slot Limits operate in a secondary market, and peaking of operations within the hour. these alternatives are discussed in detail Based on modeling of airport capacity These proposed schedule limits would later in the preamble. The FAA intends and demand at each of the airports, the be 44 in any 30-minute period at JFK, that any final rule would become FAA has determined that limits should 44 in any 30-minute period at EWR, and effective at the beginning of a apply throughout most of the day. As 38 in any 30-minute period at LGA. scheduling season to facilitate the discussed in the Background section, While the FAA does not propose to transition from the Orders to a final operational demand is steady and change the limits from those currently rule. approaches airport capacity throughout in effect, it may change them in the Currently, hourly scheduled the day. The FAA proposes to retain the future. Enhanced capacity or delay operations are limited under the Orders slot-controlled hours as they exist under reduction resulting from technological to 81 at JFK, 81 at EWR, and 71 at LGA, the Orders. Accordingly, the FAA advances or procedural changes (e.g., and hourly unscheduled operations at proposes the following slot-controlled NextGen or wake turbulence LGA are limited to three under the LGA hours: for JFK, daily from 0600 through recategorization) may result in future Order. This proposal, if adopted, would 2259; for EWR, daily from 0600 through increases in slot limits at the airports. replace those Orders. It would adopt the 2259; and for LGA, Monday through The FAA will continue to review each current limits on operations, limit Friday from 0600 through 2159 and airport’s capacity and operations before hourly unscheduled operations to two at Sunday from 1200 through 2159. All each scheduling season when JFK and one at EWR, and establish daily times are expressed in Eastern time, determining whether to change slot limits on scheduled operations at all which is the local time for all three limits. three airports. airports. The FAA would use the 24- The FAA acknowledges that allocated For seasonal allocations of available hour clock because carriers currently slots exceed these schedule limits in slots, the FAA proposes to substantially submit schedules using that several hours at each airport, but the follow the WSG at each airport. The international standard in local time or FAA does not propose to withdraw any WSG generally provides a consistent, Coordinated Universal Time (UTC). allocated slots. As applies under the transparent, and fair method of slot Although not proposed, the FAA is Orders, the FAA would reserve allocation. This proposed rule considering changing the slot-controlled authority to retire any returned slots specifically addresses the WSG hours to daily from 0600 to 2259 for until allocations in an hour no longer processes being applied. For WSG LGA to maintain consistency across all exceed the limits. The FAA would processes not specifically addressed in airports. The FAA believes a consistent continue to work with carriers and this proposal or for future changes to the approach across the three airports encourage retiming of operations to WSG, the FAA would consider whether would reduce confusion for carriers as depeak individual time periods, as they are consistent with this proposed to when slots are required for an necessary to mitigate congestion and rule or other U.S. statutes or regulations. operation and reduce the carriers’ delays. The current allocation mechanisms at burden when submitting slot requests. If The nature of operations at JFK, and JFK and EWR generally are consistent the FAA changed the slot-controlled to a lesser extent at EWR, is such that with the WSG. The FAA proposes to hours at LGA, it would have to allocate demand has historically been less in extend this allocation approach to LGA, slots in those new hours. The FAA mid-morning and very early afternoon. even though it is an overwhelmingly tentatively is considering allocating Therefore, many of those lower demand domestic airport, because these daily slots to each carrier for the hours have allocations below the hourly international guidelines are widely summer and winter scheduling seasons limits of 81. These low demand hours understood by carriers. One allocation that correspond to the maximum currently provide a recovery period that mechanism for all airports also number of flights that actually were reduces delays and prevents them from maintains consistency and reduces the operated by the carrier in that hour from continuing into the peak afternoon

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hours. The FAA has determined that recognizes that carriers have made LGA, the FAA proposes to do so to allowing allocations in these hours to investment, marketing, operating, and maintain consistency between the grow to the limit would result in higher business decisions based on the airports. A common approach to and sustained delays throughout the assignment of Operating Authorizations allocating slots reduces the entire day because total operations under the Orders and the expectation administrative burden of multiple would exceed the airport’s actual that those slots would continue to be procedures for both the FAA and capacity. To mitigate increasing delays available in future seasons subject to the carriers. A common approach also while preserving historic allocations, usage and other general Order reduces confusion with respect to the the FAA proposes a daily slot limit. provisions. On the proposed rule’s rules for each airport. The FAA This daily limit would apply to the slot- effective date, at JFK and EWR, the FAA understands that carriers with only controlled hours at LGA and from hours would assign, according to its records, domestic service would have some 0600 to 2159 at JFK and EWR. The FAA each carrier all slots for the summer adjustment to the new rules at LGA, but believes applying the daily limit to the scheduling season that had been most of these carriers already operate at 2200 hour at JFK and EWR is approved for the previous summer JFK or EWR (and would have familiarity unnecessary because operations in that scheduling season as amended through with the WSG at those airports). The hour contribute little to cumulative the slot allocation process. Similarly, FAA does not anticipate changing the daily delays. The daily limit would not the FAA would assign, according to its allocation and usage mechanisms at affect operations outside of those hours. records, each carrier all slots for the LGA would be overly burdensome. A daily limit would provide flexibility winter scheduling season that had been Like the WSG, the FAA proposes to to carriers scheduling flights because approved for the previous winter season afford priority treatment for slot the FAA could approve new flights or as amended through the slot allocation requests by new entrants. The FAA retime existing flights to less congested process. At LGA, for the hours of 0600 proposes to define a ‘‘new entrant’’ as a hours while preventing a build-up of the through 2159 or 1200 through 2159 on U.S. or foreign air carrier that holds or schedule across the day that would Sunday, the FAA would assign each operates fewer than 20 slots on any day result in significant increases in delays. carrier all slots held as of the effective of the week, in any combination during The FAA acknowledges the benefits date for both the summer and winter the slot-controlled hours, at the of a daily limit at LGA are not as scheduling seasons and for each day-of- respective airport. That number would significant as at JFK and EWR because week. include any slots that had been returned allocations in most hours at LGA Temporary, one season-only, and to FAA after the slot return deadline, or currently are at or above the hourly other contingent allocations would not that had been revoked by the FAA for limit. A daily LGA limit would limit automatically receive historic insufficient use, during the two additional allocations in hours that may precedence at the same times. For all corresponding scheduling seasons be below 71 scheduled operations, now other slots allocated under this immediately preceding the scheduling or in the future, providing modest transitional mechanism, carriers would season for which a slot allocation is delay-management benefits. have historic precedence, provided all being conducted. A carrier would not be Nevertheless, the FAA proposes a daily other proposed conditions are met, for eligible for slot allocation as a new limit at LGA for consistency purposes the subsequent corresponding entrant if it had returned slots to the and to ensure the operational impacts of scheduling season. The FAA tentatively FAA after the slot return deadline, or additional flights are considered. has determined this is the most efficient had slots revoked by the FAA for The FAA considered actual method of transitioning from the insufficient use, during the two allocations accepted in 2008 and what temporary Orders to a more permanent corresponding scheduling seasons was currently operating at each airport regime. These allocated slots, however, immediately preceding the scheduling to determine this daily limit. These would be subject to reversion to the season for which a slot allocation is 2008 allocations, and subsequent slot FAA under the proposal’s minimum being conducted. allocation decisions made with respect usage requirements and could be The proposed ‘‘new entrant’’ to the Orders, establish the upper bound withdrawn for operational reasons. definition differs from the definition of allocations at the airport to meet the When making decisions regarding the contemplated under the WSG, which established delay goals. The FAA allocation of available slots, the FAA sets a threshold of five slots, because the proposes a daily slot limit of 1,205 at would seek to allocate in a manner that lower threshold would provide little both JFK and EWR and 1,136 at LGA. ensures efficient use of a scarce resource opportunity for a new entrant to This proposed limit would not result in and maximizes the benefits to both establish its operations before losing any withdrawal of slots. Based on airport users and the traveling public. new entrant status and thereafter being current allocations at JFK, there would Except as indicated in the following able to expand in those markets only be roughly 20 slots in low demand discussion, the proposed allocation through slots obtained in the secondary hours available for allocation. At EWR priorities mirror current WSG priorities. market. With up to 20 slots, a carrier or LGA, there would be no slots The FAA believes the WSG approach is would have sufficient flexibility to available for allocation. Additionally, well-understood and is an establish a competitive presence at a like the hourly limit at LGA, actual internationally-recognized system of large metropolitan airport such as LGA, allocations currently exceed the LGA slot allocation at airports. These JFK, or EWR, giving the carrier not only daily limit. Because slot allocation and allocation procedures would apply to a basic foothold but also a critical mass usage are dynamic, this number of JFK, EWR, and LGA. A WSG-like of frequencies that would allow it to available slots is likely to change prior allocation process already applies under compete effectively. The FAA also to the FAA issuing a final rule. the JFK and EWR Orders because those proposes the definition be applicable at airports have a significant international each airport, thus establishing a uniform B. Allocation of Slots presence, and the WSG is commonly definition that is easily understood by The FAA proposes to grandfather all applied to international slot-controlled all stakeholders. existing slot allocations made under the airports and understood by carriers with For purposes of slot allocation, the Orders for both the summer and winter international service. Although a WSG FAA historically has treated U.S. air scheduling seasons. This grandfathering procedure previously has not applied to carriers conducting operations solely

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under another carrier’s marketing Although not required under this carriers requesting slots, especially if control with unified inventory control proposal, the FAA would accept the carrier is operating to or from as a single carrier. Also, U.S. carriers schedule submissions in IATA Standard another slot-controlled airport. Finally, having more than 50 percent common Schedules Information Manual (SSIM) the FAA would consider the overall ownership have been treated as a single format or another similar format. operational impacts of schedule carrier for slot allocation purposes; The FAA would accommodate these requests, including the distribution of however, individual foreign carriers, requests by allocating available slots flights and mix of arrivals and regardless of their ownership, have been according to the priorities set forth in departures. This holistic approach treated as separate carriers. Under proposed § 93.41. First, the FAA would allows the FAA to best manage airport international obligations, Canadian confirm any requests for historic slots, and airspace congestion. carriers are treated the same as U.S. including those that have adjustments Because the FAA expects that carriers for slot purposes at U.S. high- within the same 30-minute period or requests for slots would exceed the density airports. The FAA does not other minor changes that do not affect number of slots available in most propose to change this approach. operations, prior to the IATA Slot seasons, the FAA proposes to include Prior to the start of the scheduling Conference. The FAA then would split some tie-breaker factors to aid in season, and according to the schedule the remaining available slots into two allocation decision-making. Although published by IATA, the FAA would pools: One pool for new entrants as the FAA does not intend these factors to publish a notice in the Federal Register defined in proposed § 93.36 and another be determinative, it could consider announcing the deadline for submitting pool for all carrier requests. The FAA airport facilities constraints (such as schedule requests for the upcoming acknowledges this method of constraints on gates, terminals, aircraft season. Prior to announcing the establishing two pools prior to parking, customs and immigration, and submission deadline, the FAA would accommodating retimings differs from curfews) and impacts to competition conduct an informal airport capacity the WSG, but the FAA believes that it and markets served when weighing review for each airport, which is provides new entrants with a better which request to accommodate. consistent with its historical practice at opportunity to access desirable slot C. Usage Requirement JFK and EWR and with the WSG. The times. The FAA would allocate any FAA also would provide each carrier available slots according to these The FAA proposes to retain the with a listing of its historic slots. The priorities until there were no available current 80% usage requirement for method for calculating historic slots remaining in each pool. historic precedence, but the precedence is discussed in more detail Within each pool, the FAA first methodology for calculating usage later in this document. By the deadline would accommodate carrier requests to would change. The proposed stated in the Federal Register notice, retime slots for operational reasons. The calculation method would be used to each carrier would submit its proposed FAA recognizes that a carrier may determine historic precedence only for requests for each airport noting which request a retiming of a slot in a slots allocated for summer and winter requests are in addition to, or changes particular time period that the FAA scheduling seasons after this proposed from, the previous corresponding cannot accommodate, and the FAA may rule becomes effective. Determining season. If a carrier wishes to make a offer a slot in a different time period. historic precedence for the first summer change from an historic slot, it should The carrier may then trade the slot with and winter scheduling seasons after this submit a request to retain that slot and another carrier to conduct its desired proposed rule becomes effective would indicate that it also is requesting the operation or may operate in the use the calculation method under the change to avoid losing the historic slot allocated time period. A carrier in this rules in effect when the slots were if the FAA could not confirm the situation that makes a request for a allocated and operated. change. Based on the FAA experience retiming to its desired slot time for a The 80% usage requirement provides with carriers’ slot trading when subsequent corresponding season will a reasonable allowance for planned and developing domestic schedules, the receive priority treatment within the set unplanned cancellations. The usage FAA believes that many carriers would of requests for retimings. The FAA calculation would be applied on an not be ready to submit their schedules would use the carrier’s previous individual day-of-week basis. This for LGA according to the IATA requests and slot transfer records to method currently is used for JFK and schedule, which requires slot request make this determination of priority. EWR slots, and using this method for decisions several months before the start After addressing requests for LGA slots would ensure consistency of the scheduling season. The FAA retimings within each pool, the FAA among the airports and afford carriers requests comment on whether the FAA then would accommodate requests by greater flexibility for slot allocations. should set a later submission deadline carriers to extend an allocated seasonal A carrier must use the allocated slot for LGA and what any later deadline slot to year-round service. Consistent at least 80% of the time for the same should be. with the WSG, the FAA gives priority to flight or series of flights throughout the The FAA is not proposing a particular requests for year-round service because period for which it is allocated during format for the submission of schedule that service most efficiently uses the the scheduling season. The same series requests because it wants to avoid an scarce resource of available slots. of flights would be at least five flights unnecessary burden, especially for Finally, the FAA would accommodate at approximately the same time on the carriers that operate a large number of any remaining requests. The FAA would same day-of-week, generally with the slots at the airports, and wants to consider the extent and regularity of the same flight number, generally serving maximize carrier flexibility. However, intended slot use by giving priority to the same market, and distributed each slot request would be required to intended year-round service and greater regularly in the same season (for indicate the effective dates of the weight to requests for daily service. The example, a 1035 JFK–LAX flight on request, proposed days of operation, FAA would consider the effective every Monday of the summer season). proposed time of operation (indicated as period of operation by giving greater This definition of same series of flights either UTC or local time), whether the weight to intended use throughout the allows the FAA to see the intent to operation is an arrival or departure, entire season. The FAA also would operate a series of flights but is not flight number, and aircraft type. consider schedule constraints of the intended to preclude a carrier from

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changing the flight number, origin/ the airport and provide consumer the carrier would be prohibited from destination, or flight time (within the benefits, especially if the slots were scheduling during that period in the same 30-minute slot time period) during acquired by a new entrant. Although the subsequent corresponding season. the scheduling season. The requirement FAA believes it unlikely, especially in Accordingly, the FAA proposes to to identify markets served with a the peak demand hours, a carrier with eliminate general waivers for holiday particular slot is not intended to restrict excess slots could return those slots to periods. The FAA requests comment on a carrier’s service in a particular market; the FAA, and they could be retired in whether the elimination of these general it is simply a tool to assist the FAA in hours exceeding the slot limits waivers would create a hardship on tracking the use of a specific slot. The (providing delay-reduction benefits) or carriers that the FAA has not FAA recognizes tying a slot to a series could be allocated to other carriers considered. Comments should be of flights for usage calculation is a (providing consumer and economic supported by specific data departure from how it has historically benefits). demonstrating a hardship. applied usage rules. This change, The FAA requests comment on To aid in the usage calculation, the however, is consistent with the WSG in whether the proposed usage rate is FAA proposes to require carriers to that a carrier should hold only slots it appropriate. Additionally, in theory, it submit an interim and final usage report plans to operate. This change is is possible that usage requirements may to the FAA, as is required under the JFK intended to address actions by some encourage carriers to fly smaller-than- and EWR Orders. The interim report carriers that report a series of flights in optimal aircraft or to fly less-than-full would be due by September 1 for the different slots on various days during aircraft. The FAA requests comment on summer scheduling season and the reporting period to record usage on how the proposed usage requirement February 1 for the winter scheduling multiple slots with a single flight. might impact utilization of slots. Please season. The final report would be due Although those actions are not provide data supporting the comments. no later than 30 days after the end of the prohibited by the current Orders, they The FAA would have discretion to respective scheduling season. The artificially allow carriers to meet the waive the usage requirements when a interim and final reports should detail minimum usage rules without carrier ceases operation at an airport slot usage for each day of the respective scheduling a flight for each slot. due to a strike. The FAA also would scheduling season and report the The FAA has found that the practice retain discretion to waive the usage following information for each slot held: of spreading individual flights over a set requirements in the event of a highly The slot number, airport code, time, and of slots to achieve 80% usage unusual and unpredictable condition arrival or departure designation; the potentially underutilizes slots because beyond the carrier’s control and operating carrier; the date and the full allocation of slots is not being affecting operations for 5 or more scheduled time of the actual operation, scheduled and operated. Theoretically, consecutive days. These exceptions the flight number, origin and operating four flights 100% of the time allow carriers and the FAA flexibility to destination, and aircraft type identifier; could meet the 80% usage requirement adapt to unusual and unexpected and whether the flight was actually for five slots, which could result in non- cancellations in contrast to the usual conducted. These reporting utilization of 20% of the allocated slots localized weather and mechanical requirements are similar to those under (thereby limiting market access). While cancellations the 80-percent usage rule the HDR and Orders. In addition to the FAA acknowledges scheduling permits. These usage waivers are similar analyzing slot usage reports, the FAA realities make underutilization to this to those under the WSG, and they would monitor slot usage throughout extent impractical, the FAA has previously have been successfully the scheduling season. observed some underutilization applied at U.S. slot-controlled airports. D. Transfer of Slots behavior at JFK, EWR, and LGA. The In certain circumstances, the FAA also FAA believes this behavior could could waive the usage requirements for When the FAA adopted the Buy/Sell adversely affect the opportunities for a period up to 180 days for a new Rule, it recognized slots have value in new entrants to begin service at a entrant acquiring slots at an airport the secondary market. The FAA believes particular airport or could reduce the either through FAA allocation or the the development of a robust secondary choices available to consumers. secondary market. market ultimately is the best way to This proposal would better ensure Under the HDR and the Orders maximize competition. Over the years, that the scarce resource of slots is used limiting operations, slots held by a the FAA has received complaints that optimally. The FAA acknowledges that carrier were treated as used on carriers were unaware of possible requiring carriers to operate their full Thanksgiving Day, the Friday following opportunities to buy or lease slots, that allocation of slots could increase the Thanksgiving Day, and the period from incumbent carriers were colluding to number of operations. However, any December 24 through the first Sunday of constrain new entrant carriers’ market increase in delays over current levels January. Under those rules, a carrier was access to an airport, and that there was should remain within the accepted allocated slots for the entire season uncertainty about the value of slots. The delay levels that were modeled at the rather than according to the schedule DOT and FAA believe increased time the current Orders, and submitted by the carrier. Under this transparency in the secondary market corresponding hourly slot limits, were proposed rule, a carrier may give back would address these concerns as well as implemented. This model assumed full a slot to the FAA for short periods of allow interested parties to better slot usage. It is likely that any increase time (e.g., the week between Christmas understand the nature of slot in flights also would increase the and New Year’s Day) when the slot transactions. For these reasons, the FAA number of flight choices available to would not be scheduled. These periods proposes a secondary market and offers consumers. The FAA believes another of time are not included in the usage five alternatives for proposed § 93.45. result of the changed usage calculation calculation. The carrier also would not The FAA requests comments on each of could be that a carrier that operates receive historic precedence for the these alternatives and assumptions fewer flights than its slot holdings could periods of time when the slot is given associated with these alternatives. The dispose of the excess slots on the back to the FAA. However, because of most helpful comments would include secondary market. The exchange of the anticipated limited duration of these a weighing of the benefits and these slots could increase competition at returns, the FAA believes it is unlikely drawbacks of how each alternative

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addresses transparency of the market, negotiate only bids submitted during the this alternative may require posting of efficiency of the transfer process, and bidding period, but that carrier could proprietary or confidential business carrier flexibility in transferring slots to request an extension of the bidding information, a bidding carrier would meet operational or business goals. period. Once the bidding period closes, have the option of posting a summary Under the first alternative, the FAA the transferring carrier could select its bid with more detailed information would permit a carrier to buy, sell, or preferred offer and negotiate the final submitted directly to the transferring lease a slot to another carrier or to trade terms of the transaction. carrier. The FAA requests comment on a slot with another carrier for a slot at The proposed rule would allow the whether the option for submitting both any U.S. or foreign slot-controlled transferring carrier flexibility in a publicly-available summary bid and airport. This alternative is similar to determining the best offer. The FAA private detailed bid adequately ensures what was permitted under the Buy/Sell would not require the carrier to select protection of proprietary or confidential Rule and would permit privately- the highest-dollar offer because a carrier business information. What level of negotiated transactions between could place a higher value on non-cash detail for the publicly-available carriers. The FAA believes this assets and on the overall impact of the summary bid is adequate to inform alternative creates the least proposed transaction on its operations. other potential bidders of the administrative burden on carriers, but it The FAA requests comments on the transaction value? does not address previously-voiced timeframes being proposed. Is a 4- The fifth alternative is similar to the concerns about lack of knowledge of month advance notice to the FAA fourth alternative, but the identities of opportunities to acquire slots. enough time to complete the proposed the offering carrier and bidders would Transparency benefits would be realized process for completing a transfer not be revealed. Bids under this largely through the transaction approval transaction? Is this advance notice alternative would be cash only because process, which is discussed later. period too long to be practical in light non-monetary assets could reveal the Under the second alternative, a carrier of operational necessity? Does a 3-week identity of the parties. Under this seeking to sell, lease, or trade a slot with public notice provide sufficient time for alternative, the offering carrier would be another carrier would be required to a carrier to obtain necessary approvals required to accept the highest bid follow a formal process to negotiate the to bid on a slot? With a system where posted. This alternative would mitigate terms of the transaction. This alternative bids are submitted directly to the the possibility of any collusion between would require a public notice on an transferring carrier for review and carriers (e.g., by a carrier signaling the FAA-managed bulletin board system. further negotiation, would a 1-week precise value of its bid to the selling The carrier would have to submit a bidding period be sufficient? carrier). It would also ensure that the notice to the FAA that it intended to The third alternative is similar to the winning carrier is the carrier that places engage in a slot transaction, and the second alternative, except that carriers notice would include the carrier’s would be permitted to privately the greatest economic value on the slots, intended terms. These terms would negotiate tentative terms of a transaction leading to more efficient use of slots. include the slots available for transfer before publishing its intent to transfer The FAA requests comment on whether (slot time and slot number), the type of slots on the bulletin board. Carriers a blind bidding process would facilitate transfer intended (trade, sale, lease), the could approach any prospective a more robust secondary market. proposed duration of a lease if transferor or transferee to evaluate the Under the bulletin board alternatives, applicable, and the intended effective market or assess how to package the the FAA anticipates the transferring date. The FAA requests comments on slots for transfer. Those tentative terms carrier would structure its notice in a any additional information that the would be submitted to the FAA and way that permits a transaction involving transferring carrier should provide. posted on the bulletin board, and other multiple slots in any desirable The carrier would make its request to carriers would be permitted to submit combination. For example, the the FAA at least 4 months in advance counter-offers. The transferring carrier transferring carrier could require of its intended effective date. The FAA could then select its preferred offer and multiple slots be transferred as a set or would post a notice of the offer to privately negotiate the final transaction it would consider bids for smaller transfer and relevant details on the FAA terms. Like the second alternative, the groupings of slots. The FAA intends to Web site. The FAA would post that transferring carrier would be able to allow maximum flexibility for notice at least 3 weeks in advance of the consider only counter-offer bids transferring slots provided prospective opening date for bidding, and the notice submitted during the bidding period. bidders have adequate information on would state the opening and closing Under this alternative, a carrier would which to act. The FAA expects that if dates for bidding and the contact be able to submit a notice of intent to the material terms of the transaction information for submitting bids. The engage in a slot transaction, as under change during or after the bidding bidding period would last 2 weeks Alternative 2, without prior private period, the transferring carrier would unless the transferring carrier requested negotiation. repost the notice of intent to transfer for a longer period of time. Carriers (and The fourth alternative attempts to a new bidding period. The FAA requests other interested parties) would be able encourage the greatest transparency by comment on whether it should to register to receive automatic notices requiring bidders to post their bids on implement additional procedures for a when a new posting is published on the the bulletin board during the bidding subsequent bidding period that FAA bulletin board. The transferring period. A carrier would submit a notice included shorter notice and bidding carrier would not be permitted to to the FAA that it intended to engage in time frames. Does allowing the negotiate terms prior to the start of the a slot transaction, and the bidding time transferring carrier to craft a notice in a bidding period. The FAA intends all frames would be the same as under the way to allow transfer of multiple bids would be submitted directly to the second alternative. Bidding carriers combinations of slots ensure both that transferring carrier. The transferring would post their bids, and any the transferring carrier would have carrier could conduct negotiations counterbids, on the bulletin board. sufficient flexibility in transferring the during the bidding period to clarify and Therefore, negotiations in the form of slots, and that bidding carriers would refine the bid. The transferring carrier, iterative bids would be available to all have an adequate opportunity to acquire however, would be able to consider and registered interested parties. Because the slots?

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Under alternatives one through four, comment on whether it should develop period had elapsed. To be clear, the transactions could include both cash a process for confidential treatment of FAA would monitor compliance with and non-cash consideration, and the certain information after the transaction any required bid procedures. transactions via the bulletin board is approved. If so, under what limited The FAA requests comments on would not have to be blind. A carrier circumstances should this confidential whether variations to the five also would need to know the identity of treatment be granted to ensure a alternatives presented would better a bidder offering non-cash assets to transparent secondary market? The FAA achieve the stated goals of the accurately value those assets. The FAA also requests comment on whether the rulemaking, including creating a vibrant requests comment on whether non-cash transaction terms should not be made secondary market. For example, under bids promote competition by enlarging publicly available for a period of time each alternative, the FAA would post the pool of potential bidders, which after the transaction is approved. If so, the final terms of the transaction. Please could result in more bidders and more what is a reasonable period of time? comment on whether the availability of valuable bids. Under alternatives two, three, four, this information facilitates transactions Do the bulletin board processes and five, the FAA proposes some in the secondary market. adequately accommodate complex limited exceptions to using the bulletin While the FAA seeks comment on the transactions involving consideration board system. The FAA proposes these proposed secondary market alternatives other than cash? Do the bulletin board exceptions because it believes they noted above, the FAA also is open to processes adequately accommodate would facilitate transfers made for other mechanisms to more efficiently transactions that are initiated by the operational reasons, or as part of a allocate slots in the secondary market. transferee? The FAA also is willing to transaction that does not raise concerns For this reason, the FAA requests consider additional proposals for, and about a transparent secondary market. A comments regarding lessons learned comments on, alternative secondary carrier may trade a slot on a one-for-one from the use of secondary markets in market mechanisms. These additional basis with another carrier without other regulated industries (such as proposals should encourage the efficient submitting a bulletin board notice, but market for pollution permits, CAFE transfer and use of slots in a transparent no consideration or promise of credits, or wireless spectrum). This environment that permits meaningful consideration may be offered for these information may assist the FAA in opportunities for all carriers to trades. A carrier also may lease a slot to designing a more robust, flexible, and participate. another carrier for a period of time no efficient secondary market for slots. Under each of these alternatives, the longer than two scheduling seasons. The Additionally, the FAA requests transferee would not be able to use the FAA would review a series of short-term comments regarding lessons learned slot until the FAA approved the leases to determine whether a carrier is from historical secondary market transaction.66 Each party to the effectively engaging in a longer-term mechanisms implemented by the FAA negotiated transaction would submit a transaction. For example, a one-season (such as the HDR or 2006 Chicago request for approval to the FAA along transfer that is executed for multiple O’Hare final rule). with the final terms of the transaction seasons would be construed as a longer- The FAA acknowledges that many including the names of all parties, the term transfer. In this situation, the FAA carriers have engaged in short-term consideration offered by each party, the may disapprove the transaction. Carriers trades and leases at JFK, EWR, and LGA effective date of the transfer, and, if would have the option of posting a that extend until the termination date of appropriate, the length of the lease. This notice on the bulletin board and the Orders. Carriers may intend these information would be publicly available negotiating a new transaction. Trades transactions be permanent rather than to provide the market with information among carriers with unified marketing temporary, if permitted by FAA rules. In to better value slots as well as provide control are permitted without using the many cases a permanent transaction has information to the DOT for determining bulletin board, thus effectively allowing operational or competition-enhancing any anti-competitive effect of the those carriers to treat slots as one benefits, but the Orders prohibit a transaction, which is discussed later in inventory because these transactions do transaction lasting beyond their more detail. The FAA believes this not have the characteristics of a normal effective dates. To facilitate the knowledge would help establish a more arms-length transaction. Finally, slot transition of these transactions from the robust secondary market and reduce the transfers that take place as a result of a Orders to this proposed rule, the FAA likelihood of collusive or anti- carrier merger or acquisition would not proposes to waive any bulletin board competitive behavior. be subject to the bulletin board requirements, if adopted, for 90 days The FAA acknowledges submitting requirements. These transactions are after the effective date of the final rule detailed terms of a transaction could in subject to Federal agency review under to allow carriers to negotiate and rare circumstances involve legitimate antitrust and other authorities. While execute these transfers. These proprietary or confidential business the bulletin board process would be transactions still would be subject to the information. A carrier may request suitable for purposes of transparency FAA approval process and DOT review. confidential treatment of the request for and competitive opportunity for Under the Orders, carriers must approval while it is under review. The standalone slot transactions, the transfer slots among various carriers FAA’s general practice has been to not proposed process is not designed for operating on behalf of the marketing make this type of information public slot transfers that result from a carrier carrier. Some of these carriers are until after approval is granted, merger or acquisition. commonly owned while others are consistent with the Freedom of Under these alternatives, it may be contracted service providers. Because Information Act. In addition to necessary for the DOT to conduct a the carriers operate under their own confidential treatment while the request public interest or competitive review of DOT and FAA operating authorities and is under review, the FAA requests a transaction for anti-competitive effect, communicate with ATC using their which is discussed later in this discrete call signs, the FAA has a valid 66 Because the DOT would be able to review the document. The FAA would not approve interest in ensuring that carriers terms of the transaction under this proposal, the any transaction until it had received an operating at a slot-controlled airport FAA would strictly enforce the prohibition against using transferred slots prior to approval of the approval or non-objection from the have the proper slot authorizations. The transfer transaction. Secretary or the initial 14-day review FAA proposes a simplified process in

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§ 93.46 for managing the slot holdings of this section will provide a summary of transportation markets by new and carriers with unified inventory and how DOT has previously exercised existing air carriers and the continued marketing control. The FAA believes these authorities. Next, this section will strengthening of small air carriers to this process would reduce the set forth the DOT’s proposal for ensure a more effective and competitive administrative burden on both the FAA reviewing standalone slot transactions airline industry.69 and on carriers and their regional for competition and public interest Furthermore, the DOT also is directed partners. The marketing and operating impacts. Finally, this section will by statute, under 49 U.S.C. 40101(a), to carriers would provide advance explain the DOT’s proposed processes consider certain factors as being in the information to the FAA including the for engaging with the public regarding public interest, in the course of carrying planned airport(s), the flight number tentative determinations and protecting out the agency’s duties and ranges that would be used for marketing confidential information submitted in responsibilities. Many of these public and ATC purposes, statements by the the course of such reviews. Through this interest considerations are enumerated carriers as to which carrier would be proposal, the DOT would establish a in the statute, while others are left to the responsible for ensuring that a slot is more consistent, transparent, and Secretary’s discretion.70 Enumerated available, and reporting after the fact predictable procedure for all considerations include, among others, which carrier(s) operated the slots. Only stakeholders. maintaining and enhancing service to flights meeting the proposed criteria small communities and encouraging 1. Legal Authorities for Reviewing transportation through secondary or would be permitted an exception to the Standalone Slot Transactions advance transfer requirements. Carriers satellite airports.71 The DOT’s authority to review slot would retain the option to transfer slots 2. Historical Application of Authorities to carriers under their marketing transfers resulting from standalone slot control. The FAA requests comments on transactions derives from several Recently, the DOT/FAA has had occasion to apply the Section 40101(a) whether this simplified process would statutory provisions. The DOT has pro-competitive policy considerations reduce the administrative burden. authority under 49 U.S.C. 41712 to prohibit airline conduct comparable to in responding to joint requests of two E. Oversight of Competitive and Public antitrust violations. Section 41712 carriers with large slot holdings to Interest Issues authorizes the DOT to prohibit conduct waive, under 49 U.S.C. 40109,72 the 73 Over the course of the last several that it determines is an ‘‘unfair method prohibition on purchasing LGA slots. 68 years, the DOT has heard many airlines, of competition.’’ Although the DOT In that proceeding, Delta Air Lines and communities, and airports express has not, in the past, relied on Section US Airways sought to exchange slot concerns that incumbent slot holders 41712 to take enforcement action in the interests at LGA and DCA. The DOT have acted to limit competitors’ access context of airline slot transactions, the evaluated the competitive impact of the transaction because of its unique scope to slots. Arguments have been made that DOT nonetheless will consider and scale: the transaction would have incumbent carriers have chosen not to exercising this enforcement authority as dramatically enhanced the respective transact with low-cost carriers or new appropriate. In addition, the DOT is directed by market positions of Delta at LGA and US entrants, preferring instead to deal with statute, under 49 U.S.C. 40101(a), to Airways at DCA. The combination of an other incumbent carriers that hold a carry out the pro-competitive aspects of increased concentration of slot holdings large portfolio of slots in order to the Airline Deregulation Act, in the at both airports, an increase in the preserve a competitive position in the course of carrying out the agency’s number of monopoly or dominant market and forestall more rigorous duties and responsibilities. These pro- markets in which increased pricing competition. Similarly, there have been competitive objectives include power could be exercised, and the complaints that incumbent slot holders maintaining the availability of a variety potential for use of the transferred slot transfer slots for short periods to avoid of adequate, economic, efficient, and interests in an anti-competitive manner, losing slots under the application of the low-priced air services; placing led the DOT to seek remedy of the usage requirement. Consequently, some maximum reliance on competitive potential anti-competitive effects by have sought more rigorous oversight and market forces and on actual and requiring a divestiture of slot interest at transparency of slot transactions. potential competition; avoiding airline LGA and DCA.74 This section describes the DOT’s industry conditions that would tend to proposal to draw upon existing allow at least one air carrier 69 See 49 U.S.C. 40101(a)(9), (10), (12), (13), and authority to review certain slot unreasonably to increase prices, reduce (16). transactions at the New York City area services, or exclude competition in air 70 See 49 U.S.C. 40101(a), which directs the airports that may raise potential transportation; encouraging, developing, Secretary to consider identified matters, ‘‘among competitive or public interest issues. others,’’ as being in the public interest. and maintaining an air transportation 71 First, this section will explain the DOT’s 49 U.S.C. 40101(a)(8), (11), (16). system relying on actual and potential 72 Section 40109(b) authorizes the FAA to grant authorities that allow for review of competition; encouraging entry into air an exemption from Section 40103(b)(1), the FAA’s standalone transactions.67 In addition, authority over use of navigable airspace, ‘‘when the Administrator decides the exemption is in the prohibiting their purchase, sale, lease, or other 67 A standalone slot transaction is a slot transfer transfers, but permitting such transfers ‘‘through an public interest.’’ by one carrier to another carrier (whether by sale, air carrier merger or acquisition.’’ See 49 U.S.C. 73 See Notice of a Petition for Waiver of the Terms purchase, lease, or trade), akin to monetizing a slot. 41714(j). Slot divestitures undertaken in response to of the Order Limited Scheduled Operations at The Delta/US Airways slot swap described below a DOJ investigation of an airline merger or LaGuardia Airport, 75 FR 7306 (Feb. 18, 2010); would be an example of a standalone slot acquisition under the Hart Scott Rodino Antitrust Notice on Petition for Waiver of the Terms of the transaction, for purposes of this NPRM. A Improvements Act of 1976, 15 U.S.C. 18a, would Order Limiting Scheduled Operations at LaGuardia standalone slot transaction would occur not be considered standalone slot transactions, and Airport, 75 FR 26322 (May 11, 2010); Petition for independently of any slot transfers that would thus, would be exempt from the secondary Waiver of the Terms of the Order Limited result from a carrier merger or acquisition, defined marketplace alternatives proposed in this rule, Scheduled Operations at LaGuardia Airport, 76 FR as a transaction that combines the ownership/ unless otherwise directed by DOJ. 63702 (Oct. 13, 2011). operation/control of two (or possibly more) carriers 68 See 49 U.S.C. 41712, authorizing the DOT to 74 75 FR at 26324 (May 11, 2010); 76 FR 63702 into a single entity. The term ‘‘carrier merger or investigate and prohibit any unfair or deceptive (Oct. 13, 2011). In reaching these conclusions, the acquisition’’ is drawn from the statutory provision practice or an unfair method of competition of an DOT calculated each airline’s share of slots and governing transfers of HDR slot exemptions, air carrier, foreign air carrier, or ticket agent. Continued

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In the course of that process, the has the potential to substantially reduce For standalone slot transactions that Department of Justice (DOJ) and the competition or create unreasonable raise competitive issues, the DOT would DOT informally agreed that the DOT concentration. For purposes of the coordinate and consult with DOJ would have primary responsibility to DOT’s review based on public interest throughout the review process, to consider the carriers’ waiver request and factors, the review may examine the minimize the burden on the affected DOJ would consider the carriers’ Hart- adverse effects of the slot transfers on parties and to utilize Government Scott-Rodino Act (HSR) notification and service to small communities, the resources efficiently. With respect to report.75 Under that arrangement, the traveling public, or other statutory standalone slot transactions, the DOT DOT obtained waivers from the parties public interest objectives.77 The DOT, would conduct a separate review under to the transaction and thereby gained however, would not review, on either 49 U.S.C. 40101, and may consider access to the documents submitted to competitive or public interest factors, using its Section 41712 enforcement DOJ pursuant to the HSR process. Using certain routine types of actions authority, as appropriate. The DOT the documents and its expertise in the involving small numbers of slots or a requests comments and suggestions as airline industry, the DOT assisted DOJ lease of slots to new entrants or limited to how best to minimize the burden on in that agency’s analysis of the incumbents, as explained further below. parties that may be subject to these transaction. DOJ also participated in the The FAA would forward each request reviews. The process that the DOT DOT’s independent determination of the for a standalone slot transaction would use to conduct these reviews is joint waiver request by submitting approval and the final terms of the proposed in § 93.47 and further comments, as a party, to the DOT transaction, required under proposed explained below. docket. In its 2010 grant of waiver with § 93.45, to the Office of the Secretary. The DOT proposes to review conditions, the DOT explained that its The DOT would determine, within 14 competitive issues arising from analysis was complementary to that of days of receiving the request for standalone slot transactions having the DOJ. Rather than attempting to enforce approval, whether it needed to request potential for significant anti-competitive antitrust laws, the DOT explained that and evaluate additional information for effects, such as those that would it was invoking its authority to protect either competitive or public interest significantly change the market the traveling public by fostering concerns, or both. As part of the structure at one of the slot-controlled competition in the context of the Secretary’s determination of those slot airports, allow unreasonable industry requested waiver. Further, the DOT transactions for which additional review concentration, permit one or two clarified that DOJ’s authority under is necessary, the Secretary would airlines to excessively dominate a Section 7 of the Clayton Act to reject specifically identify the additional market, or create an environment that anticompetitive transactions ‘‘did not information required. If the DOT would facilitate monopoly powers or remove the DOT’s responsibility to carry requests additional information, the practices that would tend to cause a out its programs consistently with the FAA would not approve the transaction, carrier to unreasonably raise fares, public interest criteria’’ under the pro- and any slots involved could not be reduce services, or exclude competition. competitive considerations in Section Such transactions raise concerns 76 operated by the transferee until the DOT 40101. DOJ’s submissions and notifies the parties and the FAA of its because they may impede the pro- analyses of the effects of the requested approval or non-objection. If the competitive goals of the Airline waiver on the availability of slots, Secretary did not notify the parties and Deregulation Act. Among the issues that the DOT may competition between US Airways and the FAA within 14 days of the DOT’s consider in determining whether a Delta, low-cost carrier competition, receipt of the request for approval, the particular standalone slot transaction fares, and mitigations of the FAA could approve the transaction. merits further competitive review are anticompetitive effects were helpful to The DOT would review the additional those analyzed in connection with the the DOT’s decision-making process. information as expeditiously as Delta-US Airways slots swap, including 3. Review of Standalone Slot possible. The DOT’s review process whether: Transactions for Competitive and/or would be facilitated by the parties’ • The transaction would increase the Public Interest Factors timely information responses provided airline’s already dominant position in a With respect to standalone slot in a readable and workable format. For significant manner, or place the airline transactions between or among carriers, standalone slot transactions reviewed in a significantly dominant position; the DOT proposes to conduct reviews due to competition concerns, because • the transaction would significantly for purposes of evaluating the effects of the competitive factors would take enhance an airline’s ability to the transaction based on competitive, or antitrust law standards and policies into unreasonably increase its airfares in a other public interest, factors. For consideration, the DOT intends to manner unconstrained by competitors; purposes of the DOT’s review based on coordinate and cooperate with DOJ to or competitive factors, the DOT proposes avoid unnecessary duplication of effort • the transaction would enable slot to limit its review to circumstances and burden by agencies and the parties interests to be used in an anti- where the standalone slot transaction concerned. If, after reviewing the competitive manner, such as by additional information, the DOT targeting smaller competitors. departures, finding that Delta’s share of slot determines the slot transaction raises no The DOT requests comments on the use interests at LGA would increase substantially, while concerns, the Secretary would notify the of these and other criteria to address US Airways’ share of slot interests at DCA would parties and the FAA that the transaction competitive concerns. also increase substantially. The DOT noted that may proceed. If the transaction raises low-cost airlines have a limited presence at both The DOT believes that the airports, and the DOT determined that the concerns, the DOT would notify the transparency of the transfer mechanisms transaction would further inhibit new entry because parties of its concerns, propose proposed in some of the secondary the airlines would have a greater interest in remedies or other actions, and set market alternatives discussed earlier maintaining price premiums by forestalling new appropriate procedures and timelines entry. See 75 FR at 7309–7310 (Feb. 18, 2010); 75 would allow a better understanding of FR at 26329–26330 (May 11, 2010). for review. the dynamics behind slot transactions. 75 See 15 U.S.C. 18a. That additional transparency may 76 See 75 FR at 26327. 77 See 49 U.S.C. 40101(a). protect against the kind of behavior

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complained of by some. If the proposed they constituted a pattern and raised the Freedom of Information Act, 5 transparent system to implement slot competitive or public interest issues. U.S.C. 552, and process the request transfers reveals standalone slot The DOT does not intend to review under the DOT’s procedures at 49 CFR transactions that have the potential to transactions that would be excepted part 7. The DOT would use the substantially reduce competition or from the bulletin board process. procedures described in proposed create unreasonable industry Nevertheless, it may conduct such § 93.47(e) for receiving, handling, and concentration, the DOT has authority to reviews if it believes carriers have disclosing such confidential investigate further and disapprove or engaged in multiple transactions or have information. The procedures at 14 CFR approve with remedies that address the structured transactions to circumvent 302.12 (commonly known as Rule 12) potential harm. The DOT also may the competitive or public interest would not apply. The DOT requests monitor bulletin board postings, if that review process. comments on these proposed option is adopted in a final rule, to The DOT requests comments on procedures, including the handling of determine whether it suspects anti- whether the exceptions described above confidential documents or alternative competitive behavior. These procedures create a sufficient safe harbor so that procedures, to ensure that decisions are for reviewing slot transfer transactions transactions enhancing competition and made in a timely, effective, and do not limit the Secretary’s authority providing public benefits are transparent manner. under 49 U.S.C. 41712 to investigate encouraged, while still providing the F. Retiming, Suspension, and and prohibit unfair or deceptive DOT with an opportunity to review Withdrawal of Slots for Operational practices or unfair methods of transactions that could impede Reasons competition. competition, promote monopoly To prevent harm to the public interest markets, unreasonably raise fares, The FAA proposes to reserve the pertaining to factors other than reduce service, cause undue harm to authority to retime or temporarily competition, the DOT is proposing to small communities or service to suspend a slot if a reduction in review standalone slot transactions for secondary or satellite airports, or operations during a particular time purposes of analyzing effects that may otherwise adversely impact the public period is required. Events such as a be inconsistent with the public interest interest. Are there alternative ways to runway or taxiway closure, a change in objectives. The DOT’s public interest describe the sorts of slot transfers that separation standards, or fleet mix review could consider adverse effects on may be excluded from the review (that change that could impact throughput 78 the traveling public, service to small is, measured by the percentage gain in at the airport may reduce the airport’s communities, service through secondary market share by an acquiring carrier)? capacity on a short-term basis. As it has or satellite airports, or other areas Do the proposed timeframes for done in the past, the FAA would first covered by the public interest. The DOT additional review permit carriers to plan seek voluntary cooperation to retime or requests comments on the use of these slot transfers without discouraging those reduce operations at the airport through and other criteria to address public transactions? waivers of the usage requirements and temporary schedule reductions. If these interest concerns. 5. Process voluntary measures were insufficient, 4. Exceptions to Reviews of Standalone With respect to the proposals outlined the FAA would temporarily suspend Slot Transactions above regarding reviews of standalone slots until reaching the desired The DOT expects very few proposed transactions for competitive or public operational level. The FAA would standalone transactions would raise interest factors, if upon first conduct a lottery of slot holdings in the significant competitive or public examination, the DOT determines that particular time period to determine interest concerns. Accordingly, the DOT review is necessary, the DOT anticipates which slot to suspend, and credit would proposes to exempt from its review the using expedited procedures to conduct be given for any voluntarily suspended more routine types of transactions that review. The procedures may slot. The FAA also would not suspend involving small numbers of slots (such include an opportunity for public a slot held by a carrier that holds fewer as those consisting of fewer than eight comment as in the Delta/US Airways than 20 slots on any day of the week at slots in total), involving limited terms slot swap proceeding, or, for example, the airport. The FAA would provide (such as those extending over two or as in a potential proceeding involving a notice 45 days in advance of its fewer scheduling seasons), involving tentative DOT decision that seeks public intention to temporarily suspend a slot, one-for-one trades among incumbents at comment. The DOT intends to unless the operational circumstances any of the three airports, or involving a harmonize such proceedings with DOJ. necessitate a shorter notice period. Once sale or lease entirely to a new entrant or The DOT requests comments on the situation requiring a reduction in incumbent that holds or operates a appropriate procedures to synchronize operations ceases, any temporarily relatively small proportion of the slots the process with DOJ and to avoid suspended slots would be returned to at an airport. However, the DOT would undue burden and duplication on the the carrier that held them provided that consider multiple transactions within a parties. carrier still is operating at the airport. period of a few years, including slot With respect to information submitted The FAA also reserves the authority transfers to multiple carriers under the by the parties to a transaction, the DOT to permanently withdraw slots at an marketing or operational control of a proposes that parties could request that airport. The FAA first would make a single entity, as constituting a single any information submitted to the DOT determination of decreased airport aggregate transaction that could be for review and designated as capacity that it does not expect to subject to review. As with HSR filing confidential not be disclosed to the increase for an indefinite period of time. guidance published by DOJ and the public. The DOT, subject to the Federal Trade Commission, the DOT procedures at 49 CFR part 7, would 78 A fleet mix change could affect throughput in would seek to ensure that carriers not keep such designated information several ways. Introduction of larger aircraft with enter into multiple small transactions confidential and not include it in any greater separation standards could reduce the number of aircraft that could use a runway. A fleet with the purpose of evading the review public proceeding. The DOT would treat mix change also could change the runways process; multiple transactions within a a request to examine or copy this available for use, which could affect the three-year period could be reviewed if information as any other request under throughput.

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The FAA expects to use a permanent unscheduled operations (including favorable weather conditions or if withdrawal only in the most unusual general aviation, passenger and cargo unallocated slots exist in a particular circumstances when voluntary charter, ferry, and other ad hoc time period). Also, a secondary market cooperation and a temporary suspension operations) are typically a small alternative for unscheduled operations, of slots is determined insufficient to percentage of overall traffic, the FAA in addition to the existing reservation address capacity constraints. The FAA has determined these limits are system, could allow slot holders to would conduct a lottery of slot holdings necessary because any airport operation exchange slots that they are not able to in the particular time period to affects congestion and delays. Even a use on a particular day. The FAA determine which slots to withdraw. The few additional operations during peak requests comments on whether allowing FAA would not withdraw a slot held by hours could result in significant slots to be exchanged in the secondary a carrier that holds fewer than 20 slots additional delay, thus eroding the market to unscheduled operators would on any day of the week at the airport. effectiveness of the slot limits. lead to a more efficient use of limited The FAA would provide notice 45 days Accordingly, limitations on operational capacity. in advance of its intention to unscheduled operations should be part Reservations obtained through the permanently withdraw a slot, unless the of any comprehensive plan to manage FAA’s Airport Reservation Office (ARO) operational circumstances necessitate a congestion and delays and ensure the would be required prior to conducting shorter notice period. Following effectiveness of limits on scheduled the operation (except in the case of withdrawal, the slot would cease to operations. A comprehensive plan emergency operations) and could be exist. should seek to balance airport access to obtained up to 72 hours in advance. The FAA believes that a carrier that all potential operators without These reservations would allow an ceases all operations at an airport permitting unreasonably increased unscheduled operation (either arrival or should not continue to hold a slot and congestion and delays in the absence of departure) during a 60-minute period. earn rental income from it, just as it FAA oversight. The reservations would be allocated on believes that non-carriers should not be The FAA believes most unscheduled a first-come, first-served basis, permitted to hold slots. The FAA operations can be accommodated under determined by the time the request is believes slots held in these ways this proposed rule if operators are received by the ARO. When the ARO undermine the FAA’s promotion of flexible in their arrival and departure allocates a reservation, it would assign efficient use of a scarce resource times. Moreover, the FAA believes that a unique reservation number. Operators controlled by the U.S. Government. The general aviation demand and a segment would primarily obtain reservations FAA proposes to allow a carrier that of flights conducted as business and through the ARO’s interactive computer ceases all operations to hold the slot at private charters can be accommodated system accessed via the Internet or that airport for no longer than 2 years within regional capacity, including touch-tone telephone system. This after the end of the season in which it operating at Westchester County system is known as the e-CVRS. ceased operations. The carrier could Airport, Islip MacArthur Airport, Operators would provide the date and lease the slot during this period so that Republic Airport, Stewart International time of the proposed operation along it does not permanently lose it. This 2- Airport, Morristown Municipal Airport, with other identifying information year period provides adequate time for and Teterboro Airport. Based on data concerning the aircraft and the intended the carrier to determine its long-term from the FAA’s Enhanced Traffic flight. Additional reservations would be plans for operating at the airport and Management System (ETMS) for the available in the e-CVRS system, but either resume operations at the airport, year ended May 31, 2008,79 most these reservations may not appear until return the slot to the FAA, or sell the unscheduled flights can be close to the reservation time. slot to another carrier. After the 2 years accommodated in the actual requested All operations at the airport other elapse, the slot would revert to the FAA, hour or through capacity in an adjacent than declared emergencies, whether and any carrier operating the slot would hour (1 hour on either side of the actual under instrument flight rules (IFR) or have to cease that operation. Similarly, hour of operation in the data), or visual flight rules (VFR), would require if a carrier’s DOT economic authority or through additional reservations a reservation. However, non-emergency FAA operating certificate is suspended, available in visual meteorological national security, law enforcement, surrendered, or revoked, any slots held conditions. If an operator cannot obtain military, public aircraft, or other similar by that carrier would revert to the FAA. a reservation for its preferred time, its mission-critical operations may be The FAA has determined only operating planned flight times may need to be accommodated above the limits with carriers may hold slots. If that carrier revised because of the limited available prior FAA approval. In the case of had an existing agreement under which reservations. diplomatic or other flights in direct another carrier were operating the slots, Unscheduled operations at JFK would support of foreign governments, the the FAA could allocate the slots on a be limited to two per hour, at EWR to FAA would permit additional temporary, non-historical basis for the one per hour, and at LGA to three per reservations, if necessary, to remainder of the scheduling season or hour. The proposed LGA limits are accommodate these flights but may up to the duration of the agreement to consistent with the limit that has been approve an operation at a time other avoid disrupting operations or in place since 2009. Although the limits than the one initially requested. expectations of the operating carrier. for JFK and EWR are lower than that for The filing of a request for reservation LGA, these limits generally correlate to would not constitute the filing of an IFR G. Unscheduled Operations actual hourly unscheduled operations at flight plan as required under other rules. The FAA proposes to limit the airports in summer 2008. To the However, an IFR flight plan could not unscheduled operations into and out of extent possible, ATC would permit be filed until the reservation is obtained. JFK, EWR, and LGA during the slot- additional operations (for example, in The operator would include the controlled hours. Unscheduled reservation number in the ‘‘Remarks’’ operations already are limited at LGA by 79 The FAA also reviewed unscheduled section of the flight plan to indicate that Order, and the FAA previously had operations in summer 2009, 2010 and 2012 and found slightly fewer unscheduled operations in it has a reservation for the operation. proposed limits on unscheduled those years. Therefore, the higher 2008 traffic is The FAA recognizes the needs of operations at JFK and EWR. Although used for this analysis. public charter operators to confirm

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airport access for commercial planning proposes to remove references to these seeking greater detail read the full and 14 CFR part 380 compliance airports in part 93, subparts K and S. regulatory evaluation, a copy of which purposes. Accordingly, the FAA These out-of-date references have we have placed in the docket for this proposes to allow public charter caused confusion for the public, and rulemaking. operators to obtain a reservation up to these amendments would reduce that In conducting these analyses, the FAA 6 months in advance for a planned confusion. Accordingly, the FAA has determined this proposed rule has individual operation or a series of proposes to remove references to these benefits that justify its costs, and is a operations occurring fewer than three airports in §§ 93.123 (including the table ‘‘significant regulatory action’’ as times per month. Public charter in § 93.123(a)), 93.211, 93.223, 93.226. defined in section 3(f) of Executive operators planning to conduct a series of The FAA also proposes to remove Order 12866 because it raises novel operations more than three times per §§ 93.133, 93.215, 93.217, 93.218, and policy issues contemplated under that month would need a slot for those 93.221(e) because they do not apply to executive order. The rule is also operations. DCA, which is the only airport for ‘‘significant’’ as defined in the DOT’s Public charter operations that seek a which the HDR applies. None of these Regulatory Policies and Procedures. The reservation more than 72 hours and up amendments would substantively proposed rule, if adopted, would not to 6 months in advance of the planned change how the HDR applies to DCA. have a significant economic impact on operation, would submit their request to IV. Regulatory Notices and Analyses a substantial number of small entities, the FAA’s Slot Administration Office. A would not create unnecessary obstacles public charter operator would be A. Regulatory Evaluation to international trade and would not required to provide the Slot Changes to Federal regulations must impose an unfunded mandate on state, Administration Office with a undergo several economic analyses. local, or tribal governments, or on the certification that any required First, Executive Orders 12866 and 13563 private sector. prospectus has been submitted to the direct that each Federal agency shall Total Benefits and Costs of This Rule DOT in accordance with 14 CFR part propose or adopt a regulation only upon 380; the call sign/flight number to be a reasoned determination that the The FAA developed this analysis used for ATC communication by the benefits of the intended regulation using 2009 data to model the behaviors direct air carrier conducting the justify its costs. Second, the Regulatory of carriers based on meeting the operation; the date and time of the Flexibility Act of 1980 (Pub. L. 96–354) minimum requirement of the proposed proposed arrival or departure; and the requires agencies to analyze the rule. Under this assumption, carriers origin airport immediately prior to JFK, economic impact of regulatory changes would incrementally increase actual EWR, or LGA, or the destination airport on small entities. Third, the Trade operations in year one to meet the new immediately following JFK, EWR, or Agreements Act (Pub. L. 96–39) use-or-lose requirement and this new LGA; and aircraft type. A public charter prohibits agencies from setting operating level would grow by the operator also would be required to standards that create unnecessary FAA’s Terminal Area Forecast (TAF) notify the Slot Administration Office of obstacles to the foreign commerce of the until it reached the daily limits. In the any changes to the above information United States. In developing U.S. first year carrier utilization of slots will after the reservation has been allocated. standards, this Trade Act requires be at least 80%. After this year, any The number of reservations available agencies to consider international increase in operations and slot in advance for public charter operations standards and, where appropriate, that utilization is due to an increase in would be limited to one per hour at they be the basis of U.S. standards. forecasted demand. Total benefits and LGA and two per day at JFK and EWR. Fourth, the Unfunded Mandates Reform costs for the regulatory case are If a public charter operator were unable Act of 1995 (Pub. L. 104–4) requires estimated at $74,696,596 ($65,242,900 to obtain an advance reservation, it agencies to prepare a written assessment Present Value at 7%) for benefits and could attempt to obtain a reservation of the costs, benefits, and other effects $53,056,768 ($46,341,836 Present Value within the 3-day window that is open to of proposed or final rules that include at 7%) for costs, assuming the highest all unscheduled operations. A public a Federal mandate likely to result in the cost secondary market alternative (either charter operator also could attempt to expenditure by State, local, or tribal alternative four or five) is adopted. obtain a slot from another carrier in the governments, in the aggregate, or by the Moreover, the FAA believes that this secondary market under proposed private sector, of $100 million or more rule would improve utilization of § 93.45. annually (adjusted for inflation with existing slots, possibly increase a base year of 1995). This portion of the carrier’s penalty for retaining slots of H. Miscellaneous Amendments preamble summarizes the FAA’s limited value and thus result in the Because the HDR no longer is in effect analysis of the economic impacts of this return of some slots, and would result for JFK, EWR, LGA, and ORD, the FAA proposed rule. We suggest readers in net benefits over one year.

TOTAL COST AND BENEFITS OF ALTERNATIVES FOUR OR FIVE OF THE PROPOSED RULE

Present value Present value Year 2012 Benefits (7%) Costs (7%) Net benefits

Regulatory Case...... $74,696,596 $65,242,900 $53,056,768 $46,341,836 $18,901,064

Who is potentially affected by this rule? • All communities with air service to • The Port Authority of New York JFK, LGA, and EWR. and New Jersey, which operates the • Operators of scheduled and non- • airports. scheduled, domestic and international Passengers of scheduled flights to flights, and new entrants who do not yet JFK, LGA, and EWR. • FAA Air Traffic Control. operate at JFK, LGA, and EWR.

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Assumptions limiting operations at LGA, JFK, and required to submit a request for • All costs and benefits are in 2010 EWR with a permanent rule. Under the approval to the FAA along with the final dollars. existing Orders the hourly scheduled terms of the transaction including the • Costs and benefits estimated for the operations are limited to 81 at JFK, 81 names of all parties to the transaction, first year. at EWR, and 71 at LGA, and the consideration offered by each party, • Additional flights added to meet unscheduled operations are limited to 3 the effective date of the transfer, and, if new usage requirement excludes at LGA. This proposal, if adopted, appropriate, the length of the lease. Each respondent would require 30 weekends (Saturday and Sunday). would replace those Orders and minutes, that includes 30 minutes for • Assume some flights rescheduled to continue the existing limits on scheduled operations in addition to the transferring carrier and 30 minutes meet new usage requirement. limiting unscheduled operations to 2 for the receiving carrier. Given the legal • Present value discount rate of per hour at JFK and 1 at EWR and nature of the agreement a lawyer would 7 percent is applied. establishing daily scheduled operations be retained with an hourly burden labor • Some unscheduled flights would be limits. The FAA also intends to increase rate 80 of $89.89. redirected. the use of slots through a revised usage For alternatives that require the • Carriers that would need to add a requirement and secondary market. bulletin board the FAA estimates that large number of flights in less desirable • Statement of the legal basis and carriers would need at least one hour to hours (hours 0600 and 2100) would objectives of the proposed rule; report the buying, selling, or trading of return or sell those slots. This rulemaking is promulgated a slot. As mentioned above the FAA The majority of the costs and benefits under the authority described in Title estimates that carriers would post up to from this proposed rule are from 49 U.S.C. Subtitle VII, Part A, Subpart 25 trades. To estimate the annual changes to the usage requirement. The I, Sections 40101, 40103, 40105, and reporting costs to carriers for buying, secondary market and new 41712 and in Title 15 U.S.C. Section 21. selling, or trading on the bulletin board, administrative and reporting The FAA has broad authority under 49 the FAA multiplied the estimated requirements result in minor benefits U.S.C. 40103 to regulate the use of the number of annual reports by the number and costs. Benefits include consumer navigable airspace of the United States. of hours needed per report and the benefits (measured as consumer This section authorizes the FAA to wage. The hourly burden labor rate was surplus) from additional flights at JFK, develop plans and policy for the use of for a computer support specialist 81 at EWR, and LGA. Costs are attributed to navigable airspace and to assign the use $30.74. Total yearly cost to carriers, at the additional operating costs carriers the FAA deems necessary for safe and all three airports, is estimated to be incur for these added flights to meet the efficient utilization. between $461 and $2,305. For proposed usage requirement, the • Identification, to the extent alternative 4, there is also the added additional minutes of delay and any practicable, of all relevant Federal rules cost to carriers of submitting bids on the administrative and reporting costs. which may duplicate, overlap or bulletin board. The bidding period B. Regulatory Flexibility Determination conflict with the proposed rule; would last 14 days, and the FAA This rule would replace existing FAA estimates that bidders would spend The Regulatory Flexibility Act of 1980 Orders and does not duplicate, overlap, approximately 2 hours dealing with the (Pub. L. 96–354) (RFA) establishes ‘‘as a or conflict with other federal rules. bid over the course of 14 days. Given principle of regulatory issuance that • Description of the recordkeeping the public nature of the bid, carriers agencies shall endeavor, consistent with and other compliance requirements. would seek legal review before postings the objectives of the rule and of The FAA proposes a secondary market bids for an hourly burden labor rate for applicable statutes, to fit regulatory and and offers five alternatives. The a lawyer 82 of $89.89. The rate informational requirements to the scale secondary market would permit a multiplied by 2 hours per bid sums to of the businesses, organizations, and carrier to buy, sell, or lease a slot to $179.78. Again, the FAA estimated that governmental jurisdictions subject to another carrier or to trade a slot with there would be roughly 25 notices per regulation. To achieve this principle, another carrier. For all five alternatives, airport a year with approximately 5 bids agencies are required to solicit and each carrier party to the negotiated per notice for a total of bids a year. consider flexible regulatory proposals transaction would be required to submit • A description and estimated and to explain the rationale for their a request for approval to the FAA along number of small entities to which the actions to assure that such proposals are with the final terms of the transaction rule would apply. given serious consideration.’’ The RFA including the names of all parties to the Any scheduled carrier, employing less covers a wide-range of small entities, transaction, the consideration offered by than 1,500 employees, with existing including small businesses, not-for- each party, the effective date of the slots or wanting a slot today would be profit organizations, and small transfer, and, if appropriate, the length affected by this rule. There are two governmental jurisdictions. of the lease. For four of the alternatives, Agencies must perform a review to carriers would also submit information 80 http://www.bls.gov/oes/current/oes532011.htm; determine whether a rule will have a that would be submitted to the bulletin Bureau of Labor Statistics Occupational Employment and Wages Statistics; Lawyer (May significant economic impact on a board through either the carrier or the 2009); In May 2009, the Employee Benefit Research substantial number of small entities. If FAA. Institute, using a Bureau of Labor Statistics Survey the agency determines that it will, the The scheduled carrier would incur of employee benefits estimated the total 2009 agency must prepare a regulatory reporting costs for buying, selling, benefit as a percentage of payroll at 30.2 percent. flexibility analysis as described in the leasing or trading a slot. While these 81 http://www.bls.gov/oes/current/oes151041.htm, Occupational Employment and Wages, May 2009; RFA. costs for an operator are minimal, (15–1041 Computer Support Specialists). The initial regulatory flexibility largely voluntary, and can provide 82 http://www.bls.gov/oes/current/oes532011.htm; analysis addresses: revenue opportunities for small Bureau of Labor Statistics Occupational • Description of reasons the agency is operators, a full discussion of these Employment and Wages Statistics; Lawyer (May costs now follows. For all five 2009); In May 2009, the Employee Benefit Research considering the action; Institute, using a Bureau of Labor Statistics Survey The purpose of this rulemaking is to alternatives, each carrier party to the of employee benefits estimated the total 2009 replace the current temporary Orders negotiated transaction would be benefit as a percentage of payroll at 30.2 percent.

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carriers operating scheduled service commerce of the United States. rule to address the issues of slot with less than 1,500 employees and one Pursuant to these Acts, the management at JFK, EWR, and LGA carrier with scheduled service that has establishment of standards is not airports. The rule would limit slightly more than 1,500 employees. considered an unnecessary obstacle to scheduled and unscheduled operations. Also, unscheduled operators that the foreign commerce of the United The FAA also proposes to adjust the employ less than 1,500 employees States, so long as the standard has a usage requirements at the New York would be considered small entities. legitimate domestic objective, such the City area airports, establish a cap on The delay costs for the small entities protection of safety, and does not unscheduled operations at JFK and at the New York City area airports operate in a manner that excludes EWR, and develop a secondary market would not result in a significant imports that meet this objective. The for the exchange of slots. More economic impact. The annual delay cost statute also requires consideration of information on the proposed equals the average of delay per flight, international standards and, where requirements is detailed elsewhere in multiplied by the total number of appropriate, that they be the basis for today’s notice. flights, then by 50 percent attributed to U.S. standards. The FAA has assessed Use of: The information is reported to ground delay, and then multiplied by the potential effect of this proposed rule the FAA by carriers holding slots at JFK, the average airplane operating cost. and determined that it would impose EWR, or LGA. This information is used When this total delay cost is divided by the same costs on domestic and to allocate, track usage, withdraw, and annual revenue the result is less than 2 international entities and thus has a confirm transfers of slots among the percent for the small entity scheduled neutral trade impact. operators and facilitates the transfer of operators. The FAA believes that slots in the secondary market. The FAA compliance cost less than two percent of D. Unfunded Mandates Assessment uses this information in order to annual revenue is not a significant Title II of the Unfunded Mandates maintain an accurate accounting of economic impact. Reform Act of 1995 (Pub. L. 104–4) operations to ensure compliance with A small number of unscheduled requires each Federal agency to prepare the operations permitted under the rule passenger flights planning to operate at a written statement assessing the effects and those actually conducted at the EWR or JFK may have to operate at of any Federal mandate in a proposed or airports. another New York City area airport, final agency rule that may result in an The FAA also uses this information to such as Teterboro, if they are unable to expenditure of $100 million or more (in help provide access to unscheduled obtain a reservation. This change in 1995 dollars) in any one year by State, operators seeking access to these plans may result in an additional local, and tribal governments, in the airports. ground transportation cost to or from aggregate, or by the private sector; such The slot exchange information posted the alternative airport. However, when a mandate is deemed to be a ‘‘significant on the FAA’s electronic bulletin board considering the cost of travel by private regulatory action.’’ The FAA currently is designed to enhance competition by jet compared to commercial passenger uses an inflation-adjusted value of making the availability of slots known service, any additional ground $143.1 million in lieu of $100 million. to new entrant and incumbent carriers transportation cost is not significant. This proposed rule does not contain seeking to serve these markets. The FAA believes the nonscheduled such a mandate; therefore, the Respondents: Respondents would be cargo carriers would not have a requirements of Title II of the Act do not carriers with existing service at JFK, significant economic impact, as their apply. EWR, and LGA and new carriers flights would continue and most of their initiating service at those airports in the flights occur at night and would not E. Paperwork Reduction Act future (by acquiring slots through slot incur delay costs. The Paperwork Reduction Act of 1995 allocation or the secondary market). The FAA considered two alternatives (44 U.S.C. 3507(d)) requires that the Various carriers included in these totals to the proposed rule. The first FAA consider the impact of paperwork have service at all three airports. There alternative was to simply extend the and other information collection are 26 operating carriers at LGA, 46 at existing Orders. This alternative was burdens imposed on the public. EWR, and 75 at JFK. rejected because the FAA wanted to According to the 1995 amendments to Respondents also would be increase competition by making slots the Paperwork Reduction Act (5 CFR unscheduled operators seeking to available to more operators. The FAA 1320.8(b)(2)(vi)), an agency may not operate at LGA, JFK, or EWR. For the believes these operators are likely to be collect or sponsor the collection of period from May through August 2010, small entities. The second alternative information, nor may it impose an there were approximately 50 was to remove the existing Orders. This information collection requirement unscheduled operators at LGA, 25 at alternative would result in unacceptable unless it displays a currently valid OMB JFK, and 30 at EWR that used the delay costs from the increase in control number. respective airports for more than five operations. This action contains the following operations. Thus, the FAA certifies that this proposed information collection Frequency: The information collection proposed rule would not have a requirements. As required by the requirements of the rule involve carriers significant economic impact on a Paperwork Reduction Act of 1995 (44 notifying the FAA of their use of slots. substantial number of small entities. U.S.C. 3507(d)), the FAA has submitted Each carrier must notify the FAA of its: these proposed information collection (1) Slot requests for the upcoming C. International Trade Impact amendments to OMB for its review. season; (2) slot usage (operations); (3) Assessment Title: Slot Management and requests for approval of one-for-one slot The Trade Agreements Act of 1979 Transparency for LaGuardia Airport, trades; (4) requests for approval of slots (Pub. L. 96–39), as amended by the John F. Kennedy International Airport, transferred between carriers under the Uruguay Round Agreements Act (Pub. and Newark Liberty International same marketing control; and (5) L. 103–465), prohibits Federal agencies Airport. submissions of bulletin board notices of from establishing standards or engaging Summary: The FAA proposes to intent to transfer slots and requests for in related activities that create replace the current temporary Orders approval of secondary market unnecessary obstacles to the foreign limiting operations with a permanent transactions. The information collection

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requirements also include reservation • Total burden (Mon–Fri, Sunday): = approximately 2,700 slot transfer requests from unscheduled operators Total Annual Hourly Burden = 468 transactions yearly for all three airports. seeking access to the three airports hours This amounts to roughly 575 during the slot-controlled hours. Schedule Requests for Upcoming transactions for EWR, 1480 for LGA, and Slot requests for the upcoming Season: The FAA estimates it would 645 for JFK. Many transactions include scheduling season would take place take each carrier approximately two trades among carriers with unified twice per year, before the winter and hours per scheduling season to submit marketing control, and those carriers summer IATA scheduling seasons. Slot the required schedule request reports. could use the simplified process under usage reporting would occur four times These reports would be submitted to the proposed § 93.46 to reduce the reporting per year, with interim and final usage FAA on a semiannual basis, burden. The proposed oversight of reports for each scheduling season. corresponding with the winter and secondary market competition may Requests for approval of one-for-one summer IATA scheduling seasons. require submission of additional trades, request for approvals for slots There are 26 operating carriers at LGA, information, but the DOT expects few transferred between carriers under the 46 at EWR and 75 at JFK for a total of transactions would be reviewed. same marketing control, and submission 147 operating carriers at the three NY Secondary Market Trades (not via of bulletin board notices regarding the airports. Bulletin Board): intent to transfer slots would all be (147 carriers) * (2 hours per report) * • 2,700 (total transactions) ¥ 75 event-driven and would occur as (2 scheduling seasons) = Total Annual (bulletin board transactions) = 2,625 83 frequently as secondary market Hourly Burden = 588 hours secondary market trades transactions warrant. The FAA Usage requirement: To confirm 2,625 (secondary market trades) * 1 estimates there would be approximately adherence to the usage requirement, the hour per transaction (or 30 minutes 2,700 secondary market transactions per FAA proposes to require carriers to per party) = 2,625 hours year for all three airports. Similarly, submit an interim and final usage report The FAA estimates that there would reservation requests by unscheduled to the FAA, for each scheduling season. be roughly 25 notices per airport per operators would also be event-driven The interim report would be due by year that would be posted to a bulletin and could occur as frequently as the September 1 for the summer scheduling board under alternatives 2, 3, and 4. The hourly limit at the respective airport, season and February 1 for the winter FAA estimates carriers would spend 2 Annual Burden Estimate: The annual scheduling season. The final report hours preparing and submitting those reporting burden for each subsection of would be due no later than 30 days after notices. For alternative 4, the FAA the rule is presented below. These the end of the respective scheduling estimates approximately 5 bids per burden estimates consist of costs that season. The interim and final reports notice for a total of 375 bids at the three would result from the imposition of this should detail slot usage for each day of airports per year. The FAA estimates proposed rule. These include: A the respective scheduling season and that bidders would spend reservation system for unscheduled report the following information for approximately 2 hours dealing with operations at JFK, EWR, and LGA, each slot held: the slot number, airport each bid. schedule requests for the upcoming code, time, and arrival or departure Secondary Market Bulletin Board season, reporting and monitoring of the designation; the operating carrier; the Transactions: usage requirement, and the date and scheduled time of the actual (125 bids per airport) * (2 hours to documentation required for the operation, the flight number, origin and respond to bids) * (3 airports) = secondary market bulletin board at all destination, and aircraft type identifier; Total Annual Hourly Burden = 750 three airports. and whether the flight was actually hours Reservation system: 51 unscheduled conducted. (147 carriers) * (1.5 hours per Summary operations per day (34 at JFK, 17 at submittal) * (4 occurrences per year) = EWR). From prior experience with the The agency requests comments to— Total Annual Hourly Burden = 882 reservation system at LGA the reporting (1) Evaluate whether the proposed Hours information requirements are necessary time per reservation is two minutes. Secondary market transactions: LGA would continue to have up to 48 for the proper performance of the Reporting costs for the secondary functions of the agency, including unscheduled operations per day. market would vary according to which JFK: whether the information will have • (34 reservations per day) * (2 minutes of the five alternatives the FAA chooses. practical utility; per reservation) * (365 days per Alternative 1 is the least costly. This (2) Evaluate the agency’s estimate of alternative is very similar to current year) = Total Annual Hourly the burden; practices for lease agreements. This Burden = 414 hours (3) Enhance the quality, utility, and EWR: alternative does not include the costs for clarity of the information to be • (17 reservations per day) * (2 minutes a bulletin board, rather carriers would collected; and per reservation) * (365 days per privately-negotiate buy, sell, lease, and (4) Minimize the burden of the year)—Total Annual Hourly Burden trade transactions. Alternatives 2, 3, 4, collection of information on those who = 207 hours and 5 alternatively propose a bulletin are to respond, including through the LGA: board to post information on buy, sell, use of appropriate automated, • Monday–Fridays: (48 reservations per trade, and lease transactions. Costs electronic, mechanical, or other day) * (2 minutes per reservation) * include the reporting by carriers to the technological collection techniques or (5 days per week) * (52 weeks per FAA. other forms of information technology. year) = Total Annual Hourly From prior experience, the FAA Individuals and organizations may Burden = 416 hours estimates that there would be submit comments on the information • Sundays: (30 reservations per day) * collection requirement by March 9, (2 minutes per reservation) * (1 day 83 This analysis does not assume that a carrier 2015, and should direct them to the operating at more than one of the affected airports ADDRESSES per week) * (52 weeks per year) = would recognize an economy of scale, thus address listed in the section Total Annual Hourly Burden = 52 reducing the estimated amount of time required to of this document. Comments also hours comply with the proposed requirements. should be submitted to the Office of

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Information and Regulatory Affairs, review is required. A documented will consider comments filed after the OMB, via facsimile at (202) 395–6974, categorical exclusion has been filed in comment period has closed if it is Attention: Desk Officer for FAA. the docket. possible to do so without incurring According to the 1995 amendments to expense or delay. The agency may V. Executive Order Determinations the Paperwork Reduction Act (5 CFR change this proposal in light of the 1320.8(b)(2)(vi)), an agency may not A. Executive Orders 12866 and 13563 comments it receives. collect or sponsor the collection of See the ‘‘Regulatory Evaluation’’ Proprietary or Confidential Business information, nor may it impose an discussion in the ‘‘Regulatory Notices Information: Commenters should not information collection requirement and Analyses’’ section elsewhere in this file proprietary or confidential business unless it displays a currently valid OMB preamble. information in the docket. Such control number. The OMB control information must be sent or delivered number for this information collection B. Executive Order 13132, Federalism directly to the person identified in the will be published in the Federal The FAA has analyzed this proposed FOR FURTHER INFORMATION CONTACT Register, after the Office of Management rule under the principles and criteria of section of this document, and marked as and Budget approves it. Executive Order 13132, Federalism. The proprietary or confidential. If submitting F. International Compatibility and agency has determined that this action information on a disk or CD–ROM, mark Cooperation would not have a substantial direct the outside of the disk or CD–ROM, and effect on the States, or the relationship identify electronically within the disk or In keeping with U.S. obligations CD–ROM the specific information that under the Convention on International between the Federal Government and the States, or on the distribution of is proprietary or confidential. Civil Aviation, it is FAA policy to Under 14 CFR 11.35(b), if the FAA is conform to International Civil Aviation power and responsibilities among the various levels of government, and, aware of proprietary information filed Organization (ICAO) Standards and with a comment, the agency does not Recommended Practices to the therefore, would not have Federalism implications. place it in the docket. It is held in a maximum extent practicable. The FAA separate file to which the public does has determined that there are no ICAO C. Executive Order 13211, Regulations not have access, and the FAA places a Standards and Recommended Practices That Significantly Affect Energy Supply, note in the docket that it has received that correspond to these proposed Distribution, or Use it. If the FAA receives a request to regulations. Executive Order 13609, Promoting The FAA analyzed this proposed rule examine or copy this information, it International Regulatory Cooperation, under Executive Order 13211, Actions treats it as any other request under the promotes international regulatory Concerning Regulations that Freedom of Information Act (5 U.S.C. cooperation to meet shared challenges Significantly Affect Energy Supply, 552). The FAA processes such a request involving health, safety, labor, security, Distribution, or Use (May 18, 2001). The under Department of Transportation environmental, and other issues and to agency has determined that it would not procedures found in 49 CFR part 7. be a ‘‘significant energy action’’ under reduce, eliminate, or prevent B. Availability of Rulemaking the executive order and would not be unnecessary differences in regulatory Documents requirements. The FAA has analyzed likely to have a significant adverse effect An electronic copy of rulemaking this action under the policies and on the supply, distribution, or use of documents may be obtained from the agency responsibilities of Executive energy. Internet by— Order 13609, and has determined that VI. Additional Information 1. Searching the Federal eRulemaking this action would have no effect on Portal (http://www.regulations.gov); international regulatory cooperation. A. Comments Invited The FAA invites interested persons to 2. Visiting the FAA’s Regulations and G. Environmental Analysis Policies Web page at http:// participate in this rulemaking by _ FAA Order 1050.1E, Environmental submitting written comments, data, or www.faa.gov/regulations policies or Impacts: Policies and Procedures, views. The agency also invites 3. Accessing the Government Printing identifies FAA actions that are comments relating to the economic, Office’s Web page at http:// categorically excluded from preparation environmental, energy, or federalism www.gpoaccess.gov/fr/index.html. Copies may also be obtained by of an environmental assessment or impacts that might result from adopting sending a request to the Federal environmental impact statement under the proposals in this document. The Aviation Administration, Office of the National Environmental Policy Act most helpful comments reference a Rulemaking, ARM–1, 800 Independence in the absence of extraordinary specific portion of the proposal, explain Avenue SW., Washington, DC 20591, or circumstances. The FAA has the reason for any recommended by calling (202) 267–9680. Commenters determined this rulemaking action change, and include supporting data. To must identify the docket or notice qualifies for the categorical exclusion ensure the docket does not contain number of this rulemaking. identified in paragraph 312d ‘‘Issuance duplicate comments, commenters All documents the FAA considered in of regulatory documents (e.g., Notices of should send only one copy of written developing this proposed rule, Proposed Rulemaking and issuance of comments, or if comments are filed including economic analyses and Final Rules) covering administration or electronically, commenters should technical reports, may be accessed from procedural requirements (Does not submit only one time. include Air Traffic procedures; specific The FAA will file in the docket all the Internet through the Federal Air Traffic procedures that are comments it receives, as well as a report eRulemaking Portal referenced in item categorically excluded are identified summarizing each substantive public (1) above. under paragraph 311 of this Order.)’’. It contact with FAA personnel concerning VII. The Proposed Amendment has been determined that no this proposed rulemaking. Before acting extraordinary circumstances exist that on this proposal, the FAA will consider List of Subjects in 14 CFR Part 93 may cause a significant impact and all comments it receives on or before the Air traffic control, Airports, therefore no further environmental closing date for comments. The FAA Navigation (air).

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In consideration of the foregoing, the not considered a separate carrier under market, and be distributed regularly Federal Aviation Administration this subpart. throughout the season. proposes to amend chapter I of title 14, Slot is the operational authority Code of Federal Regulations as follows: § 93.36 Definitions. assigned by the FAA to a carrier to For purposes of this subpart: conduct one scheduled operation or a PART 93—SPECIAL AIR TRAFFIC Airport Reservation Office (ARO) is an series of scheduled operations, or a RULES operational unit of the FAA’s David J. series of public charter operations that Hurley Air Traffic Control System ■ are operated more than three times per 1. Revise the authority citation for part Command Center. Its responsibilities month, at JFK, EWR, or LGA on a 93 to read as follows: include the administration of particular day(s) of the week during a Authority: 49 U.S.C. 106(f), 106(g), 40101, reservations for unscheduled operations specific 30-minute period. 40103, 40105, 40106, 40109, 40113, 41712, at JFK, EWR, and LGA (excluding Slot-controlled hours are: 44502, 44514, 44701, 44715, 44719, 46301; reservations for public charter (1) For JFK, daily from 0600 through 15 U.S.C. 21. operations allocated under § 93.49(d)). 2259, Eastern time; ■ 2. Amend part 93 by adding subpart Carrier is a U.S. or foreign air carrier (2) For EWR, daily from 0600 through C to read as follows: with authority to conduct scheduled 2259, Eastern time; service or regularly conducted (3) For LGA, Monday through Friday Subpart C—LaGuardia Airport, John F. commercial service under parts 121, from 0600 through 2159, Eastern time, Kennedy International Airport, and Newark 129, or 135 of this chapter and the and Sunday from 1200 through 2159, Liberty International Airport Slot appropriate economic authority under Management Rules Eastern time. 14 CFR chapter II and 49 U.S.C. chapter Slot return deadline is the date by Sec. 401, 411, and 413. which a carrier must return a slot that 93.35 Applicability. Enhanced Computer Voice 93.36 Definitions. it does not intend to operate. For the 93.37 Slots for scheduled arrivals and Reservation System (e-CVRS) is the FAA summer season, the deadline is January departures. system used to make an arrival or 15. For the winter season, the deadline 93.39 Determination of historic precedence. departure reservation at JFK, EWR, or is August 15. 93.41 Allocation of slots. LGA. Reservations are made through a Standalone slot transaction is a slot 93.43 Reversion, suspension, and touch-tone telephone interface, an transfer by one carrier to another carrier withdrawal of slots. Internet Web interface, or directly (whether by sale, purchase, lease, or 93.44 Reporting requirements. through the ARO. trade), akin to monetizing a slot. A 93.45 Transfer of slots. New entrant is a U.S. or foreign air standalone slot transaction would occur 93.46 Operation of slots by carriers under carrier that holds or operates fewer than common marketing control. independently of any slot transfers that 93.47 Oversight of competitive issues. 20 slots on any day of the week, in any would result from a carrier merger or 93.49 Unscheduled operations. combination during the slot-controlled acquisition, defined as a transaction that hours, at the respective airport, with combines the ownership/operation/ Subpart C—John F. Kennedy that number including any slots that control of two (or possibly more) International Airport, Newark Liberty have been returned to the FAA after the carriers into a single entity. Specifically, International Airport, LaGuardia slot return deadline or had slots revoked slot divestitures undertaken in response Airport Slot Management Rules by the FAA for insufficient use, during to a DOJ investigation of an airline the two corresponding scheduling merger or acquisition under the Hart § 93.35 Applicability. seasons immediately preceding the Scott Rodino Antitrust Improvements (a) This subpart prescribes the air scheduling season for which a slot Act of 1976, 15 U.S.C. 18a, would not traffic rules for the arrival and departure allocation is conducted. be considered standalone slot of aircraft used for scheduled and Public charter is defined in 14 CFR transactions. unscheduled service, other than 380.2 as a one-way or roundtrip charter Summer scheduling season begins on helicopters, at John F. Kennedy flight to be performed by one or more the last Sunday of March. International Airport (JFK), Newark direct carriers that is arranged and Unscheduled operation is an arrival Liberty International Airport (EWR), and sponsored by a charter operator. or departure segment of any operation LaGuardia Airport (LGA). Public charter operator is defined in that is not regularly conducted by an air (b) This subpart prescribes procedures 14 CFR 380.2 as a U.S. or foreign public carrier, foreign air carrier, or other for the assignment, transfer, lease, and charter operator. operator of an aircraft, excluding withdrawal of slots issued by the FAA Reservation is an authorization helicopters, between JFK, EWR, or LGA for scheduled operations at JFK, EWR, received from the FAA to operate an and another service point. Certain types and LGA. unscheduled arrival to or departure of air carrier and foreign air carrier (c) This subpart applies to operations from JFK, EWR, or LGA for a specific operations are considered unscheduled at: 60-minute period during the slot- operations under this subpart including: (1) JFK, daily from 0600 through 2259, controlled hours. on demand, public and other charter Eastern time; Scheduled operation is the arrival or flights; hired aircraft services; extra (2) EWR, daily from 0600 through departure segment of any operation sections of scheduled flights; ferry 2259, Eastern time; and regularly conducted by a carrier flights; and other non-passenger flights. (3) LGA, Monday through Friday from between JFK, EWR, or LGA and another Winter scheduling season begins on 0600 through 2159, Eastern time, and airport regularly served by the carrier. the last Sunday of October. Sunday from 1200 through 2159, Scheduled series of flights is at least Eastern time. 5 operations on the same day-of-week § 93.37 Slots for scheduled arrivals and (d) A U.S. or, to the extent provided that represent substantially the same departures. for by international agreements, foreign scheduled service. These operations (a) No person may operate certain air carrier conducting operations solely generally would be at the same time public charters or any scheduled arrival under another carrier’s marketing within a specific 30-minute period, have into or departure out of JFK, EWR, or control with unified inventory control is the same flight number, serve the same LGA during the slot-controlled hours

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without first obtaining a slot under this which is beyond the carrier’s control (1) The effective period of operation; subpart. and which affects carrier operations for (2) The extent and regularity of (b) Except as otherwise approved by a period of five or more consecutive intended slot use with priority given to the Administrator, the number of slots days. year-round service; are limited to no more than 81 per hour (5) The FAA may waive these usage (3) Schedule constraints of carriers at JFK, 81 per hour at EWR, and 71 per requirements for a period of up to 180 requesting slots; and hour at LGA. days if a slot is allocated to or otherwise (4) The operational impacts of (1) At JFK, the number of slots may acquired by a new entrant carrier. scheduled demand, including the not exceed 44 in any 30-minute period, (c) A slot allocated by the FAA under distribution of flights and the mix of 81 in any 60-minute period, or a total § 93.41(i) does not have historic arrivals and departures. of 1,205 between the slot-controlled precedence for the subsequent (g) If an available slot cannot be hours of 0600 and 2159. corresponding season. allocated according to the factors in (2) At EWR, the number of slots may paragraph (f) of this section, the FAA not exceed 44 in any 30-minute period, § 93.41 Allocation of slots. may consider the following factors: 81 in any 60-minute period, or a total (a) Requests for slots must be (1) Airport facilities constraints of 1,205 between the slot-controlled submitted to the FAA Slot including gates, terminals, parking, hours of 0600 and 2159. Administration Office at the address customs and immigration, and curfews; (3) At LGA, the number of slots may and by the deadline published by the and not exceed 38 in any 30-minute period, FAA in a Federal Register notice for (2) Competition and impacts to 71 in any 60-minute period, or a total each summer and winter scheduling markets served. of 1,136 during the slot-controlled season. The request must include the (h) A carrier allocated a slot under hours. following minimum information: paragraph (f) of this section must (4) The FAA may adjust the number (1) The requesting carrier must submit operate that slot and may not transfer it of arrival and departure slots in any its entire schedule at JFK, EWR, and for two corresponding seasons, except period as necessary based on the actual LGA, as appropriate, for the particular that carrier may engage in a one-for-one or potential delays created by such season, noting which requests, if any, trade for operational reasons. number or other considerations relating are in addition to, or changes from, the (i) Notwithstanding paragraphs (a) to congestion, airfield capacity, and the previous corresponding season at the through (g) of this section, the FAA may air traffic control system. respective airport. assign an available slot to a carrier on (2) Each slot request must indicate the a non-permanent, first-come, first- § 93.39 Determination of historic effective dates of the request, proposed served basis subject to permanent precedence. days of operation, proposed time of assignment under this subpart. Any (a) Any carrier holding operating operation (indicated as either UTC or remaining unassigned slots may be authorizations (except for temporary, local time), whether the operation is for made available to unscheduled one-season-only, or other contingent an arrival or departure, flight number, operations on a non-permanent basis operating authorizations) allocated and aircraft type. according to the procedures in § 93.49. under the Order limiting operations at (b) The FAA first will accommodate (j) The FAA will assign each slot a JFK, the Order limiting operations at requests for slots for which the carrier designation that consists of the airport EWR, or the Order limiting operations at has historic precedence and are for the code, slot number, 30-minute time LGA, as evidenced by the FAA’s same time period as the previous period, frequency, summer or winter records, will be assigned corresponding corresponding season. season, and arrival or departure slots in 30-minute periods consistent (c) After accommodating historic designation. with the limits under § 93.37(b) and the precedence slots, the remaining slots (k) If directed by the Office of the carrier’s summer and winter season available for allocation will be divided Secretary of Transportation, the FAA schedules as approved by the FAA. The into two pools: will not apply the provisions of this carrier will have historic precedence, (1) Not less than 50% of the available section to any foreign air carrier or subject to the requirements of this slots will be for new entrants that have commuter operator of a country that section, for these slots for the not returned slots to the FAA after the provides slots to U.S. air carriers and subsequent corresponding season. slot return deadline, or had slots commuter operators on a basis more (b) To be eligible for historic revoked by the FAA for insufficient use, restrictive than provided under this precedence, an allocated slot must be during the two corresponding subpart. used at least 80% of the time for which scheduling seasons immediately it is allocated during the scheduling preceding the scheduling season for § 93.43 Reversion, suspension, and period, subject to the following: which a slot allocation is being withdrawal of slots. (1) Absent approval by the FAA, the conducted; and (a) Absent prior approval by the FAA same flight or series of flights must be (2) The remainder will be for any and except as otherwise provided in this reported as used for an allocated slot carrier. subpart, a carrier that ceases all throughout the summer or winter (d) Within each pool, the FAA first operations at an airport may transfer, season. will accommodate carrier requests to sell, or lease any slots to another carrier (2) For a series of flights operated on retime slots for operational reasons. as provided in § 93.45, but the carrier more than one day-of-week, each day-of- (e) Within each pool, the FAA next may not hold any slots for a period week is considered a separate series of will accommodate carrier requests to exceeding 2 years after the season in flights. extend an allocated seasonal slot to which it ceases all operations at the (3) The FAA will treat as used a slot year-round service. respective airport. held by a carrier that ceases operations (f) Within each pool, the FAA then (b) If a carrier’s DOT economic using that slot due to a strike. will accommodate any remaining carrier authority or FAA operating certificate is (4) The FAA may waive these usage requests. If all requests cannot be suspended, surrendered, or revoked, requirements in the event of a highly accommodated, the FAA will consider any slots held by that carrier revert to unusual and unpredictable condition the following factors: the FAA. If another carrier is operating

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the slots under an agreement with the (c) The FAA may withdraw the slots section, a carrier must provide notice to holding carrier, the FAA may allocate of any carrier that does not meet the the FAA four months before its intended those slots on a temporary basis not reporting requirements of paragraph (a) transaction date of its intent to transfer exceeding the duration of the of this section. a slot prior to negotiating with another agreement. carrier. The notice of intent to transfer § 93.45 Transfer of slots. [ALTERNATIVE (c) The FAA may retime or ONE] must include the slot number and time, temporarily suspend slots at any time to effective date of the transfer, and, if (a) Except as otherwise provided in fulfill operational needs. The FAA will applicable, the duration of the lease. this subpart, a carrier may buy, sell, or provide a 45-day notice, unless shorter The FAA will post a notice of the offer lease a slot to another carrier for any notice is required for operational needs, to transfer the slot and relevant details consideration and for any time period, to an affected carrier prior to on the FAA Web site at http:// and a carrier may trade a slot with temporarily suspending a slot that www.faa.gov. The notice will state the another carrier for a slot at any U.S. or specifies the date by which operations opening and closing dates for bids and foreign slot-controlled airport. using that slot must cease. The FAA will (b) Requests for FAA approval of the contact information of the determine the suspended slots by lottery transfers under this section must be transferring carrier for bid submission. of slot holdings in the particular time submitted in writing by all parties to the The offering carrier may accept any bid period during which slots are being transaction to the FAA Slot and negotiate the final terms of the suspended. The FAA will reassign a Administration Office in a manner transfer, but it may consider only bids suspended slot, if at all, only to the acceptable to the Administrator. submitted during the bidding period. carrier from which it was suspended, Requests must provide the names of the (c) A carrier may trade a slot with provided the carrier continues to transferor and recipient; business another carrier on a one-for-one basis conduct scheduled operations at the address and telephone number of the without providing notice to the FAA respective airport. person representing the transferor and under paragraph (b) of this section (d) If the FAA determines to reduce recipient; whether the slot is to be used provided the request for FAA approval the number of allocated slots following for an arrival or departure; and the slot also includes a certification by both a determination of decreased airport designation of the slot as described in carriers that no consideration or capacity, it may permanently withdraw § 93.41(j). promise of consideration was provided slots to reach the accepted limit. The (c) The request for FAA approval also by either party to the trade. FAA will determine the withdrawn slots must include the final terms of the (d) A carrier may lease a slot to by lottery of slot holdings in the transaction including: another carrier without notice to the particular time period during which (1) The names of all parties to the FAA under paragraph (b) of this section slots are being withdrawn. Following transaction; provided the lease is effective for no withdrawal, those slots would cease to (2) The consideration offered by each longer than two scheduling seasons. exist. party; (e) Carriers with agreements where (e) The FAA will not retime, suspend, (3) The effective date of the transfer; one carrier operates solely under the or withdraw slots, under this section, of and other’s marketing control may transfer a a carrier that holds fewer than 20 slots (4) The length of the lease, if slot with another party subject to that on any day of the week at the respective applicable. agreement without notice to the FAA airport. (d) Prior to approving the transfer, the under paragraph (b) of this section FAA will confirm the transferred slots provided the request for FAA approval § 93.44 Reporting requirements. come from the transferor’s FAA- also includes a certification of that (a)(1) No later than September 1 for approved slot holdings and that no agreement by both carriers. the summer scheduling season and transfer limitations apply. (f) Prior to [90 DAYS AFTER February 1 for the winter scheduling (e) The Secretary may review the final EFFECTIVE DATE], a carrier may buy, season, each carrier holding a slot must terms of the transaction for any anti- sell, or trade with another carrier a slot submit an interim report of slot usage competitive effects or adverse public that was subject to a lease or short-term for each day of the applicable interest effects under § 93.47. The FAA trade under the Order limiting scheduling season. may not approve the transfer until the operations at JFK, Order limiting (2) No later than 30 days after the last Secretary notifies the FAA of the operations at EWR, or Order limiting day of the applicable scheduling season, Secretary’s approval or non-objection or operations at LGA without notice to the each carrier must submit a final report the 14-day notice period under FAA under paragraph (b) of this section. of the completed operations for each § 93.47(b) elapses. (g) Requests for FAA approval for (f) The slot may not be used by the day of the entire scheduling season. transfers under this section must be transferee until the conditions of this (b) The report required under submitted in writing by all parties to the section have been met, and the FAA paragraph (a) this section must contain, transaction to the FAA Slot provides notice of its approval of the in a format acceptable to the FAA, the Administration Office in a manner transfer. following information for each slot: acceptable to the Administrator. (1) The slot number, airport code, § 93.45 Transfer of slots. [ALTERNATIVE Requests must provide the names of the time, and arrival or departure TWO] transferor and recipient; business designation; (a) Except as otherwise provided in address and telephone number of the (2) The operating carrier; this subpart, a carrier may buy, sell, or person representing the transferor and (3) The date and scheduled time of lease a slot to another carrier for any recipient; whether the slot is to be used each of the operations conducted with consideration and for any time period, for an arrival or departure; and the slot the slot, including the flight number, and a carrier may trade a slot with designation of the slot as described in origin and destination, and aircraft type another carrier for a slot at any U.S. or § 93.41(j). identifier; and foreign slot-controlled airport. (h) The request for FAA approval also (4) Whether the flight was actually (b) Except as permitted under must include the final terms of the conducted. paragraphs (c), (d), (e), (f), and (g) of this transaction including, as applicable:

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(1) The names of all parties to the carriers that no consideration or (k) The slot may not be used by the transaction; promise of consideration was provided transferee until the conditions of this (2) A description of the transaction; by either party to the trade. section have been met, and the FAA (3) The consideration offered by each (d) A carrier may lease a slot to provides notice of its approval of the party; another carrier without notice to the transfer. (4) The names of all bidders and FAA under paragraph (b) of this section consideration offered by each bidder; provided the lease is effective for no § 93.45 Transfer of slots. [ALTERNATIVE FOUR] (5) The effective date of the transfer; longer than two scheduling seasons. and (e) Carriers with agreements where (a) Except as otherwise provided in (6) The length of the lease. one carrier operates solely under the this subpart, a carrier may buy, sell, or (i) Prior to approving the transfer, the other’s marketing control may transfer a lease a slot to another carrier for any FAA will confirm the relevant slots are slot with another party subject to that consideration and for any time period, part of the carrier’s FAA-approved slot agreement without notice to the FAA and a carrier may trade a slot with holdings and that no transfer limitations under paragraph (b) of this section another carrier for a slot at any U.S. or apply. provided the request for FAA approval foreign slot-controlled airport. (j) The Secretary may review the final also includes a certification of that (b) Except as permitted under terms of the transaction for any anti- agreement by both carriers. paragraphs (c), (d), (e), and (f) of this competitive effects or adverse public (f) Prior to [90 DAYS AFTER section, a carrier must provide notice to interest effects under § 93.47. The FAA EFFECTIVE DATE], a carrier may buy, the FAA four months before its intended may not approve the transfer until the sell, or trade with another carrier a slot transaction date of its intent to transfer Secretary notifies the FAA of the that was subject to a lease or short-term a slot prior to negotiating with another Secretary’s approval or non-objection or trade under the Order limiting carrier. The notice of intent to transfer the 14-day notice period under operations at JFK, Order limiting must include the slot number and time, § 93.47(b) elapses. operations at EWR, or Order limiting effective date of the transfer, and, if (k) The slot may not be used by the operations at LGA without notice to the applicable, the duration of the lease. transferee until the conditions of this FAA under paragraph (b) of this section. The FAA will post a notice of the offer section have been met, and the FAA (g) Requests for FAA approval for to transfer the slot and relevant details provides notice of its approval of the transfers under this section must be on the FAA Web site at http:// transfer. submitted in writing by all parties to the www.faa.gov. The notice will state the § 93.45 Transfer of slots. [ALTERNATIVE transaction to the FAA Slot opening and closing dates for bids and THREE] Administration Office in a manner the contact information of the (a) Except as otherwise provided in acceptable to the Administrator. transferring carrier. Bids must be this subpart, a carrier may buy, sell, or Requests must provide the names of the submitted through the bulletin board for lease a slot to another carrier for any transferor and recipient; business public posting. The offering carrier may consideration and for any time period, address and telephone number of the accept any bid and negotiate the final and a carrier may trade a slot with person representing the transferor and terms of the transfer, but it may consider another carrier for a slot at any U.S. or recipient; whether the slot is to be used only bids submitted during the bidding foreign slot-controlled airport. for an arrival or departure; and the slot period. (b) Except as permitted under designation of the slot as described in (c) A carrier may trade a slot with paragraphs (c), (d), (e), and (f) of this § 93.41(j). another carrier on a one-for-one basis section, a carrier may negotiate tentative (h) The request for FAA approval also without providing notice to the FAA terms of a transfer without providing must include the final terms of the under paragraph (b) of this section advance notice to the FAA. A carrier transaction including: provided the request for FAA approval must provide notice to the FAA four (1) The names of all parties to the also includes a certification by both months before its intended transaction transaction; carriers that no consideration or date of these tentative transfer terms (2) The consideration offered by each promise of consideration was provided that includes the slot number and time, party; by either party to the trade. effective date of the transfer, (3) The names of all bidders and (d) A carrier may lease a slot to consideration offered, and, if applicable, consideration offered by each bidder, if another carrier without notice to the the duration of the lease. The FAA will applicable; FAA under paragraph (b) of this section post a notice of the relevant details of (4) The effective date of the transfer; provided the lease is effective for no the transfer on the FAA Web site at and longer than two scheduling seasons. http://www.faa.gov. The notice will (5) The length of the lease, if (e) Carriers with agreements where state the opening and closing dates for applicable. one carrier operates solely under the bids and the contact information of the (i) Prior to approving the transfer, the other’s marketing control may transfer a transferring carrier(s) for bid FAA will confirm the transferred slots slot with another party subject to that submission. The offering carrier may come from the transferor’s FAA- agreement without notice to the FAA accept the tentative transaction or any approved slot holdings and that no under paragraph (b) of this section counterbid and then negotiate the final transfer limitations apply. provided the request for FAA approval terms of the transfer, but it may consider (j) The Secretary may review the final also includes a certification of that only bids submitted during the bidding terms of the transaction for any anti- agreement by both carriers. period. competitive effects or adverse public (f) Prior to [90 DAYS AFTER (c) A carrier may trade a slot with interest effects under § 93.47. The FAA EFFECTIVE DATE], a carrier may buy, another carrier on a one-for-one basis may not approve the transfer until the sell, or trade with another carrier a slot without providing notice to the FAA Secretary notifies the FAA of the that was subject to a lease or short-term under paragraph (b) of this section Secretary’s approval or non-objection or trade under the Order limiting provided the request for FAA approval the 14-day notice period under operations at JFK, Order limiting also includes a certification by both § 93.47(b) elapses. operations at EWR, or Order limiting

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operations at LGA without notice to the to transfer the slot and relevant details (i) Prior to approving the transfer, the FAA under paragraph (b) of this section. on the FAA Web site at http:// FAA will confirm the transferred slots (g) Requests for FAA approval for www.faa.gov. The notice will state the come from the transferor’s FAA- transfers under this section must be opening and closing dates for bids but approved slot holdings and that no submitted in writing by all parties to the not the identity of the transferring transfer limitations apply. transaction to the FAA Slot carrier. Bids must be submitted through (j) The Secretary may review the final Administration Office in a manner the bulletin board for public posting. terms of the transaction for any anti- acceptable to the Administrator. The identity of the bidders may not be competitive effects or public interest Requests must provide the names of the disclosed during the bidding period. effects under § 93.47. The FAA may not transferor and recipient; business The offering carrier must accept the approve the transfer until the Secretary address and telephone number of the highest bid submitted during the notifies the FAA of the Secretary’s person representing the transferor and bidding period. approval or non-objection or the 14-day recipient; whether the slot is to be used (c) A carrier may trade a slot with notice period under § 93.47(b) elapses. for an arrival or departure; and the slot another carrier on a one-for-one basis (k) The slot may not be used by the designation of the slot as described in without providing notice to the FAA transferee until the conditions of this § 93.41(j). under paragraph (b) of this section section have been met, and the FAA (h) The request for FAA approval also provided the request for FAA approval provides notice of its approval of the must include the final terms of the also includes a certification by both transfer. transaction including: carriers that no consideration or (1) The names of all parties to the § 93.46 Operation of slots by carriers promise of consideration was provided under common marketing control. transaction; by either party to the trade. (2) The consideration offered by each (d) A carrier may lease a slot to A carrier that operates solely under party; another carrier without notice to the the marketing control of another carrier (3) The names of all bidders and FAA under paragraph (b) of this section may operate the other carrier’s slots consideration offered by each bidder, if provided the lease is effective for no without transferring the slots provided applicable; longer than two scheduling seasons. that: (a) The marketing carrier is (4) The effective date of the transfer; (e) Carriers with agreements where responsible for ensuring that there are and one carrier operates solely under the slots assigned for the planned (5) The length of the lease, if other’s marketing control may transfer a operations of the carrier under its applicable. slot with another party subject to that marketing control. The marketing carrier (i) Prior to approving the transfer, the agreement without notice to the FAA must submit information in advance to FAA will confirm the transferred slots under paragraph (b) of this section the FAA Slot Administration Office, at come from the transferor’s FAA- provided the request for FAA approval least on a seasonal basis, detailing the approved slot holdings and that no also includes a certification of that airport, carrier, marketed and transfer limitations apply. agreement by both carriers. (j) The Secretary may review the final operational flight number ranges, and (f) Prior to [90 DAYS AFTER terms of the transaction for any anti- effective dates. EFFECTIVE DATE], a carrier may buy, competitive effects or adverse public (b) The marketing carrier must submit sell, or trade with another carrier a slot interest effects under § 93.47. The FAA changes throughout the reporting that was subject to a lease or short-term may not approve the transfer until the period. trade under the Order limiting Secretary notifies the FAA of the (c) The marketing carrier is operations at JFK, Order limiting Secretary’s approval or non-objection or responsible for submitting the usage operations at EWR, or Order limiting the 14-day notice period under reports required under § 93.44. operations at LGA without notice to the § 93.47(b) elapses. FAA under paragraph (b) of this section. (k) The slot may not be used by the § 93.47 Oversight of public interest and (g) Requests for FAA approval for competitive issues. transferee until the conditions of this transfers under this section must be section have been met, and the FAA (a) The Secretary may review a submitted in writing by all parties to the provides notice of its approval of the standalone slot transfer transaction transaction to the FAA Slot transfer. conducted under § 93.45, to determine Administration Office in a manner adverse public interest and/or anti- § 93.45 Transfer of slots. [ALTERNATIVE acceptable to the Administrator. competitive effects, as described in 49 FIVE] Requests must provide the names of the U.S.C. 40101(a). Small transactions of (a) Except as otherwise provided in transferor and recipient; business fewer than 8 slots in total or transfers this subpart, a carrier may buy, sell, or address and telephone number of the extending for 2 or fewer seasons) would lease a slot to another carrier for person representing the transferor and not be subject to review under this currency only and for any time period, recipient; whether the slot is to be used section. However, the Secretary may and a carrier may trade a slot with for an arrival or departure; and the slot consider multiple transactions within a another carrier for a slot at any U.S. or designation of the slot as described in three-year period as constituting a single foreign slot-controlled airport. § 93.41(j). aggregate transaction, including (b) Except as permitted under (h) The request for FAA approval also transactions that involve the transfer of paragraphs (c), (d), (e), and (f) of this must include the final terms of the slots to carriers under the marketing or section, a carrier must provide notice to transaction including: operational control of a single entity. the FAA four months before its intended (1) The names of all parties to the (b) The following procedures are used transaction date of its intent to transfer transaction; when conducting a review for public a slot. The notice of intent to transfer (2) The price offered by each bidder; interest or competitive factors under must include the slot number and time, (3) The effective date of the transfer; paragraph (a) of this section. effective date of the transfer, and, if and (1) Within 14 days of receiving from applicable, the duration of the lease. (4) The length of the lease, if the FAA the final terms of a transaction The FAA will post a notice of the offer applicable. under § 93.45, the Secretary will notify

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the parties of the Secretary’s (3) At LGA, three reservations per approval of the Vice President, System determination of whether to request and hour during the slot-controlled hours. Operations Services, Air Traffic evaluate additional information. If the (c) The ARO will receive and process Organization. Procedures for obtaining Secretary decides to request and all reservation requests for unscheduled the appropriate waiver will be available evaluate additional information, the arrivals and departures and assign on the Internet at http:// DOT will request the additional reservations on a first-come, first-served www.fly.faa.gov/ecvrs. information. basis determined by the time the request (g) Notwithstanding the limits in (2) After receiving notice of a slot is received by the ARO. paragraph (b) of this section, if transfer under § 93.45, the FAA may not (d) One reservation per hour at LGA conditions are favorable, and significant approve the transaction without further and two reservations per day at JFK and delay is unlikely, the FAA may notice from the Secretary. EWR will be available for assignment to determine that additional reservations (3) If the Secretary does not notify the certain public charter operations prior may be accommodated for a specific parties and the FAA within 14 days of to the 72-hour reservation window in time period. Unused slots also may be the intent to request and evaluate paragraph (a) of this section. made available temporarily for (1) A public charter operator may additional information, the FAA may unscheduled operations. Reservations request a reservation up to six months approve the transaction. for additional operations must be in advance of the date of the flight (c) The procedures for objections to obtained through the ARO. public disclosure of information at 14 operation for a planned individual CFR 302.12 do not apply to information operation or a series of operations (h) No reservations may be bought, submitted to the DOT under paragraphs occurring fewer than 3 times per month. sold, or leased. (a) or (b) of this section. Any person Reservation requests must be submitted (i) A Reservation must be canceled if seeking confidential treatment for to the Federal Aviation Administration, it will not be used as assigned. information submitted to the DOT under Slot Administration Office, AGC–200, ■ 3. Amend § 93.123 to revise paragraphs (a) or (b) of this section must 800 Independence Avenue SW., paragraphs (a), (b)(4) to read as follows: clearly designate the information for Washington, DC 20591. Requests may be which confidential treatment is sought made via facsimile at (202) 267–7277 or § 93.123 High density traffic airports. by including appropriate markings on by email at [email protected]. (a) Each of the following airports is each page of the submission. The DOT (2) The public charter operator must designated as a high density traffic will not disclose such designated certify that its prospectus has been airport and, except as provided in information to the public, except as accepted by the Department of § 93.129 and paragraph (b) of this required under the Freedom of Transportation in accordance with 14 section, or unless otherwise authorized Information Act, 5 U.S.C. 552, and CFR part 380. by ATC, is limited to the hourly number pursuant to the procedures in 49 CFR (3) The public charter operator must of allocated IFR operations (takeoffs and part 7. identify the call sign/flight number or landings) that may be reserved for the (d) Nothing in this section limits the aircraft registration number of the direct specified classes of users for that authority of the Secretary to investigate air carrier; the date and time of the airport: and prohibit any unfair or deceptive proposed operation; the airport served practice or an unfair method of immediately prior to or after JFK, EWR, IFR OPERATIONS PER HOUR competition, as provided by 49 U.S.C. or LGA; aircraft type; and the nature of 41712. the operation (e.g., ferry or passenger). Ronald Any changes to an approved reservation Reagan § 93.49 Unscheduled operations. must be approved in advance by the Class of user Washington (a) During the slot-controlled hours, National Slot Administration Office. Airport no person may operate an aircraft other (4) A series of operations occurring than a helicopter to or from JFK, EWR, more than 3 times per month is required Air carriers ...... 37 or LGA unless he or she has received, to have a slot allocated by the FAA as Commuters ...... 11 for that unscheduled operation, a provided in § 93.37. Other ...... 12 reservation that is assigned by the ARO (5) If all reservations available under or, in the case of certain public charters, paragraph (d)(1) of this section have (b) * * * in accordance with the procedures in been assigned, the public charter (4) The allocation of IFR reservations paragraph (d) of this section. The FAA operator may request a reservation for air carriers except commuters at will accept requests for reservations under paragraph (a) of this section. Ronald Reagan Washington National (e) The filing of a request for a through the e-CVRS beginning 72 hours Airport does not include extra sections reservation does not constitute the filing prior to the proposed time of arrival to of scheduled flights. The allocation of of an IFR flight plan as required by or departure from the respective airport. IFR reservations for scheduled regulation. The IFR flight plan may be Additional information on procedures commuters at Ronald Reagan filed only after the reservation is for obtaining a reservation is available Washington National Airport does not obtained, must include the reservation on the Internet at http:// include extra sections of scheduled number in the ‘‘Remarks’’ section, and www.fly.faa.gov/ecvrs. flights. These flights may be conducted must be filed in accordance with FAA (b) Reservations, including those without regard to the limitation upon assigned to certain public charter regulations and procedures. (f) Air Traffic Control will the hourly IFR reservations at those operations under paragraph (d) of this airports. section, will be available to be assigned accommodate declared emergencies by the ARO on a 60-minute basis as without regard to reservations. Non- * * * * * follows: emergency national security, law § 93.133 [Removed and Reserved] (1) At JFK, two reservations per hour enforcement, military, public aircraft, or during the slot-controlled hours. other similar mission-critical operations ■ 4. Remove and reserve § 93.133. (2) At EWR, one reservation per hour may be accommodated above the ■ 5. Amend § 93.211 to revise paragraph during the slot-controlled hours. reservation limits with the prior (a) to read as follows:

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§ 93.211 Applicability. commuter operators at each airport. The ■ 9. Amend § 93.226 to revise paragraph (a) This subpart prescribes rules FAA shall assign, by random lottery, (a)(3) introductory text to read as applicable to the allocation and withdrawal priority numbers for the follows: withdrawal of IFR operational authority recall priority of slots at each airport. (takeoffs and landings) to individual air Each additional permanent slot, if any, § 93.226 Allocation of slots in low-demand periods. carriers and commuter operators at the will be assigned the next higher number High Density Traffic Airports identified for air carrier or commuter slots, as (a) * * * in subpart K of this part. appropriate, at each airport. Each slot (3) For Ronald Reagan Washington * * * * * shall be assigned a designation National Airport: consisting of the applicable withdrawal § 93.215, 93.217 and 93.218 [Removed and priority number; the airport code; a code * * * * * Reserved] indicating whether the slot is an air Issued in Washington, DC, on December ■ 6. Remove and reserve §§ 93.215, carrier or commuter operator slot; and 19, 2014. 93.217, and 93.218. the time period of the slot. The Susan L. Kurland, ■ 7. Amend § 93.221 to remove designation shall also indicate, as Assistant Secretary for Aviation and paragraph (e). appropriate, if the slot is daily or for International Affairs. ■ 8. Amend § 93.223 to revise paragraph certain days of the week only; is limited Richard M. Swayze, (b) to read as follows: to arrivals or departures; and is Assistant Administrator for Policy, § 93.223 Slot withdrawal. allocated for international operations or International Affairs, and Environment. (b) Separate slot pools shall be for EAS purposes. [FR Doc. 2014–30378 Filed 1–6–15; 11:15 am] established for air carriers and * * * * * BILLING CODE 4910–13–P

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Part VI

Department of Transportation

Federal Aviation Administration 14 CFR Parts 5 and 119 Safety Management Systems for Domestic, Flag, and Supplemental Operations Certificate Holders; Final Rule

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DEPARTMENT OF TRANSPORTATION standards for other practices, methods, issues that may result in accidents or and procedures necessary for safety in incidents. Federal Aviation Administration air commerce and national security. This final rule is part of the FAA’s In addition, the Airline Safety and efforts to continuously improve safety in 14 CFR Parts 5 and 119 Federal Aviation Administration air transportation by filling gaps through [Docket No. FAA–2009–0671; Amendment Extension Act of 2010 (the Act), Public improved management practices. SMS’s Nos. 5–1 and 119–17] Law 111–216, sec. 215 (August 1, 2010), proactive emphasis on hazard required the FAA to conduct identification and mitigation, and on RIN 2120–AJ86 rulemaking to ‘‘require all 14 CFR part communication of safety issues, will 121 air carriers to implement a safety Safety Management Systems for provide air carriers with robust tools to management system.’’ The Act required Domestic, Flag, and Supplemental improve safety. Congress, in the Airline the FAA to issue this final rule within Operations Certificate Holders Safety and Federal Aviation 24 months of the passing of the Act (July Administration Extension Act of 2010 AGENCY: 30, 2012). Federal Aviation (Pub. L. 111–216, August 1, 2010), Administration (FAA), Department of Table of Contents directed the FAA to issue a notice of Transportation (DOT). proposed rulemaking within 90 days of ACTION: Final rule. I. Overview of the Final Rule II. Summary of the Costs and Benefits of the enactment, and a final SMS rule by July SUMMARY: This final rule requires each Final Rule 30, 2012. In addition, the National air carrier operating under 14 CFR part III. Background Transportation Safety Board (NTSB) has A. Summary of NPRM recommended the FAA pursue 121 to develop and implement a safety B. Summary of Comments management system (SMS) to improve rulemaking to require all part 121 IV. Discussion of Final Rule and Comments operators to implement an SMS. the safety of its aviation-related A. Scalability activities. SMS is a comprehensive, B. Scope and Definition of Hazard Further, the International Civil Aviation process-oriented approach to managing C. Protection of Information/Data From Organization (ICAO), in its March 2006 safety throughout an organization. SMS Disclosure Under Freedom of amendments to Annex 6 part I, which includes an organization-wide safety Information Act (FOIA) addresses operation of airplanes in policy; formal methods for identifying D. Enforcement international commercial air transport, E. Scope of SMS and Compliance With established a standard for member states hazards, controlling, and continually Administrative Procedure Act assessing risk and safety performance; F. Duplicative Rulemaking to mandate that each air carrier establish and promotion of a safety culture. SMS G. Credit for Pilot Project Participants and an SMS. This regulation will comply stresses not only compliance with Adoption of Third Party/Accredited SMS with the statutory requirement, fully technical standards but also increased H. Applicability, Subpart A— address the NTSB recommendation, and emphasis on the overall safety Implementation Plans harmonize U.S. requirements with ICAO performance of the organization. I. Subpart B, Safety Policy—Designation of standards for air carriers operating a Single Accountable Executive and under part 121. DATES: This final rule becomes effective Sufficient Safety Management Personnel March 9, 2015. J. Subpart C, Safety Risk Management While the commercial air carrier FOR FURTHER INFORMATION CONTACT: (SRM) accident rate in the United States has Scott Van Buren, Chief System Engineer K. Subpart D, Safety Assurance decreased substantially over the past 10 for Aviation Safety, Office of Accident L. Subpart F, Recordkeeping and years, the FAA has identified a recent Investigation and Prevention (AVP), Documentation Requirements trend involving hazards that were M. Flow-Down of Requirements revealed during accident investigations. Federal Aviation Administration, 800 N. FAA Capability To Manage Oversight Independence Avenue SW., O. Guidance Material The FAA’s Office of Accident Washington, DC 20591; telephone: (202) P. Determination of Acceptable Levels of Investigation and Prevention identified 494–8417; facsimile: (202) 267–3992; Safety 123 accidents involving part 121 air email: [email protected]. For legal Q. Performance Based v. Process Based carriers from fiscal year (FY) 2001 questions, contact Alex Zektser, Regulation through FY 2010 for which identified Regulations Division, Office of the Chief R. Employee Reporting Systems causal factors could have been mitigated Counsel, Federal Aviation V. Regulatory Notices and Analyses if air carriers had implemented an SMS VI. Executive Order Determinations to identify hazards in their operations Administration, 800 Independence VII. How To Obtain Additional Information Avenue SW., Washington, DC 20591; and developed methods to control the telephone: (202) 267–3073; facsimile: I. Overview of the Final Rule risk.1 This type of approach allows air (202) 267–7971; email: alex.zektser@ This final rule requires air carriers carriers to anticipate and mitigate the faa.gov. authorized to conduct operations under likely causes of potential accidents. This is a significant improvement over SUPPLEMENTARY INFORMATION: 14 Code of Federal Regulations (CFR) part 121 (part 121) to develop and current ‘‘reactive’’ safety action I. Authority for This Rulemaking implement a safety management system emphasis, which focuses on discovering The Federal Aviation (SMS) to improve the safety of their and mitigating the cause of an accident Administration’s (FAA) authority to aviation-related activities. SMS includes only after that accident has occurred. In issue rules on aviation safety is found in an organization-wide safety policy; order to bring about this change in Title 49 of the United States Code. This formal methods for identifying hazards, accident mitigation, as well as the other rulemaking is promulgated under the controlling, and continually assessing reasons discussed throughout this authority described in 49 U.S.C. 106(f), risk; and promotion of a safety culture. document, the FAA is requiring part 121 which establishes the authority of the When systematically applied, SMS Administrator to promulgate regulations provides a set of decision-making tools 1 Initially, the analysis identified 172 accidents, but this number was based on comments to the and rules and 49 U.S.C. 44701(a)(5), that air carriers can use to improve notice of proposed rulemaking. The accident which requires the Administrator to safety. SMS improves safety by analysis is discussed further in the Final Regulatory promulgate regulations and minimum addressing underlying organizational Evaluation.

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air carriers to develop and implement management personnel who will be (including managers) and develop the an SMS. responsible for the coordination, tools to communicate necessary safety The requirements in this rule function implementation, and maintenance of the information. Involvement of the air as follows. Air carriers authorized to SMS, as well as integration of SMS carriers’ employees is essential to the conduct operations under part 121 must processes across the air carrier. success of its SMS. The employees must develop and implement an SMS within Under safety risk management, air be properly informed of their 3 years of the effective date of the final carriers must develop processes to responsibilities and trained regarding rule. To demonstrate that the air analyze existing and potential systems their duties relevant to the safety carrier’s SMS will be fully implemented and use the resulting system analyses to performance of the air carrier. In by the end of this three-year period, the identify hazards that may impact the air addition, they must be made aware of 2 air carrier will be required to submit an carrier’s aviation operations. Air necessary safety information resulting implementation plan within 6 months carriers will then analyze the risk of a from the various SMS analyses. of the effective date of the final rule. consequence arising from the hazard The implementation plan should occurring and determine if the II. Summary of the Costs and Benefits include any existing programs, policies associated safety risk is acceptable. If it of the Final Rule or procedures the air carrier intends to is not acceptable, the air carrier must include in its SMS, such as continuing develop risk controls for This rule requires part 121 air carriers analysis and surveillance systems, implementation. (domestic, flag, and supplemental aspects of quality management systems, Through safety assurance, the air operations) to establish an SMS. SMS is and employee reporting systems. This carrier will develop and implement a tool designed to help air carriers implementation plan must be approved processes to monitor the safety effectively integrate formal risk control by the FAA within 12 months of the performance of its aviation operations. procedures into normal operational effective date of the final rule. The processes must include means to practices to improve safety for all part The air carrier’s SMS must contain monitor and audit operational 121 air carriers. It is expected that the the following four major components: processes, investigate incidents and requirements of the rule will help Safety policy, safety risk management, accidents, and allow for confidential airlines to identify safety problems, and safety assurance, and safety promotion. employee reporting of hazards as well as if airlines take steps to mitigate these To satisfy the safety policy component, proposing solutions for safety problems it is estimated that the benefits the air carrier must establish a policy improvement. The air carrier will also from that mitigation could be between which, among other things, defines the conduct evaluations regarding its safety $205.0 and $472.3 million over 10 years air carrier’s safety objectives and performance to review the effectiveness ($104.9 to $241.9 million present value commitment toward achieving those of risk controls that are implemented as at 7 percent discount rate). Costs of the objectives. The air carrier will also be well as to identify any changes in the rule’s provisions (excluding any required to designate an accountable operational environment that may mitigation costs, which have not been executive who is ultimately responsible introduce new hazards. estimated) are estimated to be $224.3 for the safety performance of its Under safety promotion, air carriers million ($135.1 million present value at operations, as well as sufficient will be required to train their employees 7 percent discount rate) over 10 years.

ESTIMATED COSTS AND BENEFITS FOR ALL PART 121 CARRIERS—2014–2023 [Millions of 2010 dollars * (discounted at 7% discount rate)]

Costs ...... Rule Implementation Costs: $135.1.

Mitigation Costs: Not quantified, estimates not included.

Benefits from Provisions of the Rule and any Consequent Safety Mitigation Actions ** $104.9–$241.9. * Table values have been rounded. Totals may not add due to rounding. ** Given the range of mitigation actions possible, it is difficult to quantify potential benefits. This range reflects the potential benefits resulting from examples of possible mitigation actions.

III. Background B. Summary of Comments (AEA), Aircraft Owners and Pilots A. Summary of NPRM Association (AOPA), Air Line Pilots The FAA received 69 comment Association, International (ALPA), Air On November 5, 2010, the FAA documents in response to the NPRM Medical Operators Association (AMOA), published a notice of proposed from a variety of commenters, including Air Transport Association of America, air carriers, aircraft designers and rulemaking (NPRM) on SMS for part 121 Inc.3 (ATA), American Association for certificate holders (75 FR 68224). In the manufacturers, trade associations, Justice (AAJ), Association of Air NPRM, the FAA proposed to require emergency medical transport services, a Medical Services (AAMS), Association these certificate holders to develop and non-profit safety organization, a implement an SMS to improve the university, and private citizens. of Flight Attendants (AFA), safety of their aviation related activities. Commenters included Aerospace Communications Workers of America, In response to several commenters’ Industries Association (AIA)/General AFL–CIO, Aviation Safety Council of requests, the comment period was Aviation Manufacturers Association Alaska (ASCA), Aviation Suppliers extended and ultimately closed on (GAMA), Air Charter Safety Foundation Association (ASA), The Boeing March 7, 2011. (ACSF), Aircraft Electronics Association Company (Boeing), Bombardier Inc.

2 Hazards may also be identified through safety 3 As of December 1, 2011, the ATA changed its assurance functions, as well as by analyzing a name to Airlines for America (A4A). proposed change to the air carrier’s system.

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(Bombardier), Cargo Airline Association accidents and incidents. The four chaired by the most senior manager (CAA), Cessna Aircraft Company components working together provide (generally a senior vice president) in the (Cessna), Clark County (Nevada) the tools necessary to allow strategic division. This senior manager may be Department of Aviation (CCDOA), Delta decision-making. one of the management personnel that is Air Lines, Inc. (Delta), DTI Training However, the FAA recognizes the already required of an air carrier Consortium (DTI Training), perceived impact that this rule may conducting operations under part 121 Experimental Aircraft Association have on small businesses. As of January under 14 CFR 119.65. These committees (EAA), FedEx Express (FedEx), Futron 6, 2012, there were 90 part 121 are most often supported by a staff-level Corporation (Futron), GE Aviation (GE), certificate holders. The size, scope, and working group that attends to day-to- Gener Ibita Topacio, Hawker Beechcraft complexity of the operations of each of day safety management functions, and Corporation (Hawker Beechcraft), these certificate holders vary greatly. advises the senior management Helicopter Association International For example, a third of the part 121 committee. These working groups are (HAI), JetBlue Airways (JetBlue), certificate holders have 10 or fewer usually made up of existing safety and Modification and Replacement Parts airplanes, while 10% have more than quality assurance personnel, along with Association (MARPA), National Air 270 airplanes. representatives from the functional Carriers Association (NACA), National Given the variance in these types of areas within the division. They are, in Air Transportation Association (NATA), operations, the FAA designed these turn, supported by the members of the National Transportation Safety Board requirements to be applicable to air flight safety organization which may (NTSB), Omni Air International (Omni carriers of various sizes, scopes, and also manage corporate level data Air), Pinnacle Airlines Corp. (Pinnacle), complexities, as well as adaptable to fit management and analysis functions. To Regional Airline Association (RAA), the different types of organizations in provide coordination and integration Rockwell Collins Inc. (Rockwell the air transportation system and across the air carrier, most large air Collins), Southwest Airlines (SWA), operations within an individual air carriers have a corporate level StandardAero, True-lock, United Parcel carrier. The FAA does not anticipate, committee made up of the division Service Co. (UPS), United Technologies nor expect, that small air carriers would managers and including the most senior Corporation (UTC), University of require an SMS as complex as one for managers in the air carrier (e.g., Chief Southern California (U.S.C.), School of large air carriers. To further clarify this Executive Office, President, Chief Engineering, the U.S. Small Business issue, the FAA has revised 14 CFR 5.3 Operating Officer). Administration’s (SBA) Office of in the final rule to state that the SMS Using this framework, a large air Advocacy, and 24 individuals. must be appropriate to the size, scope, carrier has established a team of and complexity of the certificate sufficient management personnel IV. Discussion of Final Rule and holder’s operations. As such, it is Comments responsible for the daily oversight of scalable to the size of a small entity. SMS and communication to the The FAA has also revised the The FAA is adopting the final rule, as accountable executive, to ensure that proposed, with minor modifications guidance material that was published informed decisions regarding the safety based on the comments discussed for comment with the NPRM. The performance of the air carrier’s below. The rule requires part 121 revised guidance material provides a operations are being made. This existing certificate holders to submit a plan for variety of examples of how to framework can be used to satisfy the implementation of SMS and fully implement the SMS processes and management structure requirements in implement an SMS within 3 years of the procedures that an air carrier may develop based on the size, scope, and this final rule. effective date of the final rule. At medium size air carriers, the complexity of its operation. The decision making and information A. Scalability examples outlined in the guidance process flows are similar to those of The SBA raised concerns about the material are not intended to limit an air scalability of this rule and its impact on carrier to only these methods of larger air carriers, but the supporting small business entities. The SBA, along compliance. The following outlines functions are often integrated under the with True-lock, AEA, MARPA, and different approaches, based on Director of Safety. These structures are ASA, indicated that this rule would be processes and procedures developed by similar to what are traditionally used to too costly for small businesses to air carriers participating in the Flight accomplish the requirements of an implement. The SBA suggested limiting Standards Service (AFS) Voluntary SMS independent evaluation program (IEP), the final rule to incident management, Pilot Project (‘‘Pilot Project’’), which which most part 121 air carriers already 5 strategic decision-making, and may be adapted to fit the operational have in place. notification of incidents to the FAA. needs of an air carrier based on the size At small air carriers, there will likely The FAA has decided not to limit this of its operation.4 not be the multiple tiers of decision rule as suggested by the SBA because Larger air carriers participating in the making and structures that exist in adopting the SBA’s proposal would only Pilot Project typically use their existing larger air carriers. For small air carriers, partially enact the safety assurance divisional structures as a foundation for convening ad hoc committees might be component and none of the other SMS management. The flight safety an appropriate SMS mechanism. In requirements that the FAA considers to organization or equivalent provides a these cases, the Director of Safety may be necessary for an effective SMS. The source of standardization, oversight, and be the sole support staff available. Using four parts of an SMS (safety policy, reporting directly to a corporate the Director of Safety in this capacity safety risk management, safety accountable executive. Each division typically establishes a management 5 IEP is a comprehensive program for evaluating assurance, and safety promotion) work an air carrier’s operational systems as well as its together to stress management review process with a committee assurance programs. It builds on the auditing accountability and decision-making programs of the internal audit function and based on forward looking hazard 4 The Pilot Project was established for operators provides management with an additional level of identification and mitigation of risks, to develop implementation SMS strategies and assurance that is independent of the operational oversight interfaces necessary for SMS, as well as sub-organizations’ audits and reviews. IEPs provide rather than a retrospective review of gain experience for FAA and operators regarding many of the auditing and evaluation safety conditions that have already caused SMS implementation. assurance processes required in the rule.

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would be an acceptable means of costly than the minimum requirements WBAT began as an ASAP and compliance with the management imposed by this rule. ASAP is an incident reporting tool. Its use was structure requirements of this final rule employee reporting system that air expanded to contain functions that more for a small air carrier. carriers may use to gather information broadly support SMS. Specifically, Another example of scalability stems from employees on safety compliance WBAT currently has modules that from management’s need for continued and performance issues. Approximately support the data management needs of access to information about the air two-thirds of air carriers conducting safety risk management and safety carrier’s operational processes. Larger operations under part 121 have assurance functions (e.g., employee air carriers may, as part of safety implemented some type of ASAP reporting, audits, investigations, and assurance, have full time safety and program. While ASAP originally was evaluations). WBAT also contains an quality auditors who conduct internal limited to pilots and flight engineers, SMS implementation plan manager audits, or, particularly in smaller some air carriers have expanded the module, which supports the air carrier’s divisions, these audits may be program to include their flight implementation of SMS by providing a performed by personnel from inside the attendants, dispatchers, and mechanics; tool to guide air carriers though a gap divisions as collateral duties. In and one air carrier has an ASAP for analysis and implementation planning addition, automated data entry, record ground service personnel. process. The results of the gap analysis keeping, retrieval, and analysis are To further ensure that the SMS is and implementation planning are also nearly universal at larger air carriers. scaled to fit the needs of the air carrier’s documented and stored in WBAT. Software may be developed by or for the operations, the FAA recommends each While WBAT data are treated as air carrier, or may be selected from a air carrier evaluate its existing proprietary to the air carrier, permission variety of specialty safety and quality management systems and regulatory can be given to the FAA to access it and system software providers. Larger air compliance programs and then review draft plans online and provide carriers typically also have specialized incorporate those systems and programs feedback, greatly expediting the review information technology (IT) staffs that that exemplify the key components of and approval process. WBAT is may be used to monitor and complete SMS as appropriate. The FAA designed currently used by approximately 64 air the recordkeeping requirements of the the final rule to allow for this flexibility. carriers authorized to conduct final rule. The FAA acknowledges that many air operations under part 121. Of those 64 Managers of medium to small air carriers already have quality carriers, 55 use WBAT to support their carriers certainly need the same type of management systems (QMS) and other SMS implementation as part of their information to make decisions. processes currently in place to monitor participation in the Pilot Project. Typically, though, the volume of While the FAA is not requiring air performance of their operations. In information is smaller because the carriers to use WBAT, it is one option addition, some current regulatory and operation is smaller and not as complex. that is available and it reduces the costs voluntary programs, like the continuing The frequency of the air carrier’s of developing and implementing a analysis and surveillance system (CASS) operations may also affect the rate at separate platform. The FAA has made a and ASAPs, can be incorporated into which information must be updated and commitment to continue to support the SMS and used to meet the safety audits must be conducted. Medium and WBAT for basic services as a result of assurance requirements of the final rule. small air carriers often purchase the comments submitted to the NPRM. uniform software packages sold by third Incorporating those existing systems parties rather than invest in custom- that already meet the performance B. Scope and Definition of Hazard built packages that require hiring in- objectives of this rule will only serve to ATA, AIA/GAMA, and Delta asserted house staffers to implement, design, and expedite an air carrier’s implementation that the rule was too broad and could be maintain the software. Very small air of SMS, and allow for a smoother applied to areas beyond the FAA’s carriers may use basic desktop software transition for employees expected to oversight authority. To address this (e.g., spreadsheet and basic database participate in the air carrier’s SMS issue, the commenters suggested products) to track information. Smaller because of their familiarity with their revising the final rule to limit the SMS air carriers often use line personnel to employers’ existing systems. to those areas of a certificate holder’s perform audits as a collateral duty. In addition to the flexibility business that have a direct operational Analysis of individual audits typically incorporated in the final rule and the impact on aviation activities. is performed as part of the auditing ability to leverage existing processes to To address the commenters’ concerns activity with trend analysis being done meet SMS requirements, the FAA has regarding the FAA’s oversight of SMS, by the Director of Safety and, if offered a tool to air carriers that will the FAA has incorporated the available, safety and quality staff. Using facilitate SMS implementation and data suggestions of the commenters to limit these existing tools are acceptable management. It is important to note that that oversight to the air carrier’s aviation means of compliance with the this rule does not specifically require activities conducted under part 121. requirements of this final rule. automated information technology While some air carriers may narrowly Another example of the scalability of systems. However, several SMS tailor their SMS to address only these SMS can be seen in the employee processes will require management of activities, the FAA acknowledges that reporting system required by this rule. varying amounts of data, depending on some air carriers may opt to extend their The FAA anticipates that smaller air the size and complexity of the air SMS to other aviation related activities carriers will have to deal with carrier’s organization. Currently, air for which they hold certificates, such as significantly fewer reports from the carriers have free access to the FAA’s 14 CFR part 145 (part 145) repair station employee reporting system than larger web-based application tool (WBAT) to activities, or 14 CFR part 142 training air carriers. Also, larger air carriers are assist in satisfying the data collection center activities. Some air carriers might more likely to satisfy this requirement and management aspects of the final also extend their SMS to their non- through one or more aviation safety rule. WBAT is a federally developed aviation related activities, such as action programs’ (ASAP) employee and funded software system that may be security and occupational safety and group applications. These systems for used to assist the air carriers with data health issues. If an air carrier elects to large employee groups might be more management. do so, the FAA would only conduct

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oversight of the SMS activities related to time any person boards the aircraft with record or other documentation that is its aviation operations that the air the intention of flight and all such required to show compliance with other carrier conducts in accordance with the persons have disembarked, and in regulatory requirements would not be provisions of part 121. In the final rule, which any person suffers death or protected. Protection also would not the FAA has revised the regulatory text serious injury, or in which the aircraft extend to records that must be made to limit the application of SMS only to receives substantial damage. available under the provisions of 14 the aviation-related activities conducted CFR 119.59. Furthermore, any C. Protection of Information/Data From under the air carrier’s 14 CFR part 119 information protected under the statute Disclosure Under Freedom of (part 119) certificate. is only protected from release by the Information Act (FOIA) The FAA also limited the scope of FAA. If the information is submitted or SMS, in part, by defining hazard more AMOA, AOPA, ASA, ATA, Boeing, released by the air carrier to another narrowly. There were thirteen Bombardier, CAA, EAA, FedEx, GE, government entity, the protections of comments related to the definition of HAI, JetBlue, MARPA, NACA, UTC, and the statute are not binding on these ‘‘hazard.’’ U.S.C. stated that the RAA all raised concerns that if SMS other entities. Nor are these documents definition of hazard should be data is not protected from disclosure necessarily protected from discovery in expansive enough to include non- under FOIA, the FAA’s oversight over civil litigation, although the carrier operational elements (e.g., human SMS could be compromised due to a would be free to ask the court for resources, finance, information lack of data being submitted to the FAA. whatever protections would be technology) of an organization. Twelve ATA and GE, while supporting the appropriate under the rules of the commenters (including SBA, ATA, AIA/ FAA’s approach in the NPRM to not relevant jurisdiction. GAMA, GE, and MARPA) suggested require the physical submission of any limiting the term ‘‘hazard’’ to the data, asserted that this is not adequate D. Enforcement aviation operational environment. protection. These commenters indicated ACSF, AEA, and DTI Training raised Specifically, these commenters were that protection of this data is vital to concerns about the manner in which the concerned about the scope and depth of ensuring this information is shared with FAA plans to enforce the requirements expectations regarding hazard the FAA. of the new rule and address issues of identification. They stated that the SMS Exposing submitted safety data to noncompliance identified through SMS should focus solely on conditions public scrutiny may have a chilling policies and procedures. ACSF affecting the safety of aviation effect on reporting practice. ATA recommended that the FAA publish its operations and not occupational safety acknowledged that this information plan for compliance and enforcement, or environmental protection, as could be should be shared only with the FAA. and provide industry the opportunity to inferred in the definition proposed in JetBlue suggested the FAA develop a 14 comment. the NPRM. Other commenters asked CFR part 193 (part 193) protection In regard to enforcement of the whether certificate holders would be order, extending the same protections to provisions of 14 CFR part 5 (part 5), the expected to track every conceivable SMS data that currently exist for ASAP, FAA acknowledges that each SMS will hazard, even those instances in which the Flight Operational Quality be uniquely designed to meet the needs exposure to the hazard is remote or the Assurance Program (FOQA), the Line of that air carrier’s operations. likelihood and/or severity of potential Operations Safety Audit (LOSA), etc. Determining compliance with the outcomes would be negligible. AAJ opposed the protection of requirements of part 5 will be Upon review of the comments, the information beyond existing FOIA dependent on the specific facts of each FAA recognizes that the scope of the protections because of the impact the case. As such, the FAA will exercise its hazard and risk analysis and control protection may have on the ability to discretion in deciding to pursue processes required of the SMS must be gather information during discovery enforcement of the requirements of part consistent with the FAA’s statutory processes. 5. authority and the intended scope of the The FAA recognizes that protection of The FAA also recognizes that a SMS. Therefore, the FAA has amended certain safety information is vital to fundamental concept of SMS is for air the definition of ‘‘hazard’’ to limit it to ensuring that employees and air carriers carriers to identify and correct their own a ‘‘condition that could foreseeably provide sufficient data to the FAA to instances of noncompliance and invest cause or contribute to an aircraft ensure effective oversight over SMS. resources and efforts to preclude their accident as defined in 49 CFR 830.2.’’ Section 44735 of title 49 of the United recurrence. This concept is not new to This definition more clearly limits the States Code, as amended by the FAA FAA enforcement policy. Many air potential events to be considered to Modernization and Reform Act of 2012, carriers are currently addressing these those directly related to aircraft Public Law 112–95 (Feb. 14, 2012), issues under the voluntary disclosure operations and the potential severity of specifically contemplates the protection reporting program (VDRP). When an those events to aircraft accidents, which of voluntarily submitted reports, data, or apparent violation is detected through is consistent with the FAA’s statutory other information produced or collected SMS processes and procedures, the FAA authority in 49 U.S.C. 44702. The FAA for purposes of developing and encourages air carriers to use VDRP as definition, though it is tailored implementing a safety management appropriate to disclose the violation. specifically to aviation, is consistent in system acceptable to the Administrator. intent and application with long It is important to note, however, such E. Scope of SMS and Compliance With standing industry system safety protection could not be afforded to Administrative Procedure Act definition and practice. The revised information that is required to be kept AOPA, ASA, MARPA, NATA, SBA, definition also incorporates the NTSB’s to satisfy compliance with other and True-Lock raised concerns that the definition of ‘‘aircraft accident,’’ as regulatory requirements, such as FAA could use SMS to extend provided under 49 CFR 830.2. crewmember training records or regulatory requirements without going According to 49 CFR 830.2, an ‘‘aircraft maintenance service records. through notice and comment accident’’ means an occurrence To further clarify the extent of rulemaking as required under the associated with the operation of an protection that may be afforded under Administrative Procedure Act (APA), 5 aircraft which takes place between the the statute, the FAA notes that any U.S.C. 552. Specifically, concerns were

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raised with regard to the requirement 121. This would allow for SMS G. Credit for Pilot Project Participants under the rule that the certificate holder requirements to be tailored to each and Adoption of Third Party/Accredited develop risk controls for those hazards specific part to address technical issues SMS that require mitigation as identified that are unique to the regulated entities. ATA, Delta, NACA, and StandardAero under the certificate holder’s safety risk As stated in the NPRM, the FAA suggested grandfathering in the management analysis. developed the framework of the rule as participants in the Pilot Project, or This issue is not unique to SMS. otherwise providing credit for their Many regulations impose performance a means of harmonizing with ICAO progress in developing and requirements that may be met in standards, while establishing a uniform implementing an SMS based on the different ways. For example, certificate standard that could be extended to framework set forth in AC 120–92A. holders are required under 14 CFR apply to 14 CFR part 135 (part 135) Delta requested additional guidance for 121.135 to develop and document certificate holders, part 145 repair those certificate holders transitioning certain procedures, methods, and stations, and design and manufacturing from the levels of validation in the Pilot instructions to personnel. This entities. The uniform standard is Project to satisfying the requirements of provision sets forth areas that must be necessary because some of these part 5. In addition, ASA and addressed by these procedures, but does regulated entities may hold more than not prescribe the exact procedures that one FAA certificate and may need or StandardAero requested that they must be incorporated into the certificate want to create one SMS to encompass receive credit for third party systems holders’ manuals. This discretion is all of their aviation-related activities. that are similar to SMS that they have evident in the requirement of 14 CFR The general standards set forth in part implemented, such as QMS, IEP, or 121.135(b)(15), which requires the 5 would permit such integration with International Standard for Business manual to include ‘‘procedures for only minor modifications. Any Aircraft Operations (IS–BAO). operating in periods of . . . potentially extension of the applicability of part 5 The FAA developed the requirements in the NPRM based on the ICAO SMS hazardous meteorological conditions.’’ required by the FAA will be made framework in Annex 6 and the As the regulation does not establish a through the APA notice and comment guidelines for developing a voluntary prescriptive, exclusive list of hazardous rulemaking process. meteorological conditions for which SMS described in AC 120–92A, In regard to the separate standards for Appendix I. Despite the attempt to procedures must be developed, the airports, the FAA notes that both SMS certificate holder must identify those harmonize the proposed regulatory rules are structured in accordance with conditions that are likely to impact its standards with the ICAO framework and the ICAO SMS framework, which is operation and address them guidance material, there may be some identical in Annex 6 (air operators) and appropriately in its manual. If these differences between what the air carriers procedures are incorporated in the Annex 14 (airports). However, the FAA have done in the Pilot Project and what certificate holder’s required manual, the recognizes that there are inherent would be required under part 5 once the certificate holder must ensure differences in the operation of an airport rule becomes effective. Rather than compliance with the procedures it and an air carrier. Based on a review of exempt the Pilot Project participants develops and documents in its manuals. these differences, the FAA determined from the requirements of part 5, the A practical outcome of the safety risk that the rulemakings should proceed as FAA believes that these air carriers management and safety assurance separate projects. would benefit from reviewing their components of SMS is that procedures Although there may be two separate existing implementation plans, and developed and documented under 14 regulations addressing SMS, the FAA comparing the plans with the final rule. CFR 121.135 may need to be revised, or encourages air carriers and airports to If gaps are found, the carriers would new procedures added, to mitigate risk communicate with one another when update the implementation plans to fill from identified hazards. It is not the hazards are identified through their the gaps identified and submit their plans to the FAA for approval to satisfy intent of this rulemaking to alter the respective SMS procedures and the requirements of 14 CFR 5.1(b). existing regulatory standards or the processes. In that way, they can Some air carriers completed SMS approval and acceptance processes that determine which SMS may best address already apply to each certificate holder. implementation through the Pilot the hazard. For example, if an air Project under the framework of AC 120– In some instances, the FAA may carrier’s employee identifies a hazard on determine that a particular mitigation is 92A and their SMS has been validated the movement area of the airport, the air by the FAA. To comply with the necessary for all certificate holders carrier’s employee would likely report based on the identification of a system- implementation plan requirements of 14 the hazard through the air carrier’s wide hazard. If the FAA identifies the CFR 5.1(b), these air carriers will need employee reporting system. Once need for such mitigation, the FAA to conduct a gap analysis of the systems reported, the FAA recommends that the would conduct rulemaking in currently in place under their SMS and air carrier notify the airport of the accordance with the APA in order to the requirements of the final rule, and identified hazard so the airport is aware apply the standard to all certificate identify any gaps that will need to be holders. of the issue and can analyze the risk addressed to bring their existing SMS accordingly. In addition, the air carrier into compliance with the requirements F. Duplicative Rulemaking may also analyze the risk of the hazard of the final rule. However, they may not ACSF, EAA, and NATA raised and determine if it warrants any sort of have to repeat the entire gap analysis concerns about the different set of SMS mitigation through the revision or and planning process in areas where requirements for airports and suggested further development of the air carrier’s there are no differences between the combining these two rulemaking actions procedures. This type of communication final rule and Pilot Project guidance. into one to ensure consistency. ASA and will serve to ensure that hazards, In regard to the request for credit for MARPA asserted that the FAA should whether unique to the certificate holder implementation of third party systems, not create a general part 5, but rather or more systemic to the airport, are like International Air Transportation should incorporate the proposed being addressed effectively by all Association (IATA) Operational Safety requirements into a new subpart for part parties. Audit (IOSA), International Standards

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Organization (ISO)–9000/AS–9100, implementation of SMS could be The FAA recognizes the dynamic these systems have not been subject to achieved within three years. None of the nature of an air carrier’s operations, and, review and acceptance by the FAA. It participants indicated the need for more thus, maintains that the SMS should be would be inappropriate to provide time during development of their plans. accepted rather than approved to allow credit or waive compliance Because this timeframe is consistent the air carrier to make the necessary requirements to these air carriers who with the comments received from AFA, changes to address issues in its have implemented these third party ALPA, NTSB, Omni Air, and SWA, as operations. However, to ensure that the systems. These systems may include well as the lessons learned from other SMS is properly developed within the some elements of an SMS, but may not Civil Aviation Authorities (CAAs), the required timeframe, some measure of contain all the necessary elements. FAA has determined that three years is additional oversight control is These third-party systems may be an adequate timeframe for necessary. One of the foremost incorporated into an air carrier’s SMS if implementation of SMS. acknowledged sources of hazards is the systems satisfy the requirements set However, upon review of the change in an air carrier’s operation, and forth in the final rule. If an air carrier comments, the FAA has revised 14 CFR it is one of the principal reasons for plans to incorporate these other systems 5.3 to require submission of the special or expanded oversight by the into its SMS, the air carrier should implementation plan for review within FAA. The FAA, therefore, has not outline the incorporation of these 6 months of the final rule’s effective revised the requirement that the systems in its implementation plan. date, and for approval of the plan no implementation plan must ultimately be Given these avenues for incorporating later than 12 months after the effective approved. Any changes to the existing processes and procedures, the date of the final rule. As of January 11, implementation plan and SMS will be FAA has not revised the final rule to 2012, 72 of the approximately 90 part documented and submitted to the FAA allow credit for Pilot Project 121 certificate holders are participating by the air carrier. If a modification is participants, nor other air carriers who in the Pilot Project. Of these, 17 have required, the FAA will provide have implemented third-party SMS completed implementation plans, which additional guidance to the air carrier to systems or other management tools. have been validated by the FAA. The ensure that the SMS remains in average time for completing and H. Applicability, Subpart A— compliance with part 5 and is receiving approval of these plans is Implementation Plans implemented within 3 years of the approximately one year. Based on this effective date of the final rule. ACSF, ATA, Bombardier, NACA, and average, the FAA expects that certificate ATA suggested extending the effective RAA requested the timeframe for holders will be able to meet this date of the final rule because the submission of the implementation plans requirement. Certificate holders that proposed 60-day period is not sufficient be extended from 6 months to anywhere already have a validated time to review the rule and understand from 9 to 18 months. ASCA, ATA, implementation plan through the Pilot what is required to be in the Bombardier, FedEx, Omni Air, and RAA Project will not be required to resubmit implementation plan before the time for expressed concern with the FAA’s their original implementation plan for submission of the implementation plan ability to manage the 90 submissions it approval, but rather may submit an begins to run. In contrast, AFA, NTSB, will receive, as well as the FAA’s ability abridged analysis that identifies the Omni Air, and SWA stated that the 60- to establish a consistent process for areas in their existing implementation day effective date was reasonable. review and acceptance of the plans. plans that need to be revised to comply The FAA has determined that the 60- Bombardier, EAA, and RAA asserted with the new regulatory requirements. day effective date is appropriate. The that an extension of this time is needed Many Certificate Management Teams changes to the final regulatory text are because the FAA would not be held to (CMTs), which are the FAA field offices not significant and, again, more than a timetable for accepting the responsible for managing individual 50% of the part 121 certificate holders implementation plans. FedEx suggested part 121 certificates, have been exposed already are engaged in developing and the FAA consider a timetable of three to these implementation plans due to implementing an SMS. Therefore, the months to approve the implementation their work with the Pilot Project and, 60-day effective date is a reasonable plan, or, in the alternative, to simply therefore, there should be no extended timeframe for certificate holders to accept the plan. ASCA, Bombardier, and delays in reviewing and ultimately conduct their review of the final rule FedEx requested that the time to submit approving these plans. Accordingly, the and initiate compliance. and wait for the FAA to approve an FAA believes this timeframe is implementation plan should not be sufficient and will not cause undue I. Subpart B, Safety Policy—Designation included in the 3-year implementation burden on either the affected certificate of a Single Accountable Executive and timeframe. holders or the FAA. Sufficient Safety Management Personnel In addition, ATA, AOPA, ASCA, and Pinnacle disagreed with the proposal a. Single Accountable Executive Bombardier indicated that three years to require implementation plans be was not adequate for carriers to develop approved. Due to the dynamic nature of Bombardier raised concerns that and implement an SMS. In contrast, the airline industry, Pinnacle asserts proposed 14 CFR 5.25 does not permit AFA, ALPA, NTSB, Omni Air, and SWA that these plans must be routinely any flexibility for the certificate holder acknowledged that the proposed modified to accommodate changes to an to delegate tasks to more than one timeframes for implementation plan airline’s organization or environment. If executive or other management approval and SMS acceptance were a plan requires approval, an airline representatives as appropriate, based on reasonable. would not be able to proceed with a the size and complexity of the The FAA notes that 24 of the part 121 change to a plan until the FAA reviewed organization. ATA recommended certificate holders participating in the and approved each change. Bombardier, further clarifying the role of the SMS Pilot Project have submitted an while not objecting to the requirement accountable executive, and removing SMS implementation plan as part of the to have the plans approved, the requirement that the accountable pilot project. The typical recommended some minimum executive be responsible for implementation plans received in the requirements for the content and level implementation of the SMS. ATA, pilot projects indicated that full of detail for the implementation plan. NACA, and RAA asserted that this

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responsibility is better suited for the specified in 14 CFR 5.25(c). The For an SMS to be effective, input and safety management representative. requirement to have a designated active participation is essential from all ALPA supported the designation of a management representative was levels of employees in an air carrier. single, accountable executive. Cessna intended to ensure coordinated and Many air carriers have different and Futron recommended that the consistent implementation of a fully decision-making processes, some of authority to make operational decisions integrated SMS throughout the air which include line employees. Roles and the authority to allocate resources carrier’s aviation related activities, as that employees play within that air should be better defined for the well as to provide adequate support for carrier’s SMS must be identified and accountable executive, or otherwise continued operation and maintenance of documented in the safety policy as removed from this paragraph. Futron the SMS. described in 14 CFR 5.21. If line asserted that the accountable executive Upon review of the comments, it employees are identified to participate should be outside of the normal safety appears that either one person, or a in safety boards, working groups or chain and directly involved in the combination of personnel, could audit review teams, they must be operational chain. perform the function of the management trained to actively support the safety As proposed, 14 CFR 5.25 defines representative as proposed in the policy of the accountable executive as both the accountable executive and the NPRM. The FAA does not expect that well as comply with all established management personnel. The the accountable executive will always organizational safety initiatives. accountable executive must be a single, perform every day-to-day activity that Another aspect of SMS that requires line identifiable person having final the function of the management employee participation is the employee authority and responsibility for the representative requires. As air carrier reporting system. The participation of safety performance of the air carrier. operations are diverse, one method of line employees is critical in developing This ensures that executive management managing implementation and improvements in functions that directly is integrally involved in the oversight of continued operation of an SMS cannot impact their job tasks. the air carrier’s safety performance. The be exclusively defined. To do so may FAA has not revised this requirement in J. Subpart C, Safety Risk Management stifle innovation and creativity. (SRM) the final rule. Although a single management To address the commenters’ concerns AIG, ASA, ATA, Boeing, GAMA, representative, designated by and about the accountable executive’s MARPA, Pinnacle, and RAA recognized reporting directly to the accountable responsibilities, the FAA has clarified the importance of SRM, but requested executive, is conceptually the most the criteria and responsibilities set forth clarification regarding when the SRM direct means of establishing a point of in 14 CFR 5.25. As prescribed, the processes and procedures are triggered responsibility for an integrated system, accountable executive needs to be able and what constitutes a ‘‘system.’’ The to organize, direct, and control the air this does not represent the only means. commenters also suggested reorganizing carrier’s activities, as well as allocate Depending upon the size and 14 CFR 5.51, 5.53, and 5.55, to resources to make safety controls complexity of the air carrier, the emphasize hazard identification and to effective. The accountable executive functions of the management eliminate system analysis. must also develop the documented representative or personnel may range The FAA has revised the regulatory safety policy proposed under 14 CFR between being a collateral duty of the text to clarify how safety analyses must 5.21, communicate the policy accountable executive, to a team of be used under safety risk management. throughout the air carrier, and regularly representatives working under the With regards to this rule, the term review the safety policy and safety guidance and coordination of a team ‘‘system’’ is used to describe the performance of the air carrier. The leader who is responsible for the operational components used to deliver accountable executive must review effectiveness of the team. Accordingly, aviation-related services. Systems may safety information to assess the overall the FAA has revised 14 CFR 5.25(c) to include hardware, software, people, performance of the air carrier and make allow the air carrier to designate procedures, resources, or functions necessary changes. sufficient management personnel directly related to the delivery of air responsible for the coordination and transportation services. For example, a b. Management Representative implementation of the SMS. system would include, among others: Delta suggested that the involvement Whatever structure is implemented by The aircraft, the crewmembers, crew of a part 119 management position in the air carrier, 14 CFR 5.25(c)(4) training, crewmember duty time the efficient working of an SMS must requires that these personnel regularly tracking programs, dispatch functions, suffice as a required resource for the report to the accountable executive. maintenance of the aircraft, fueling, implementation of the SMS. Other Personnel designated to perform this servicing, and flight operations. The commenters questioned the need to function must be in positions in the term ‘‘system’’ does not include those require only one management organization of sufficient independence people, procedures, resources, representative and suggested revising to have direct access to the accountable hardware, and software that are not the rule to allow for the certificate executive to report on the safety directly related to the delivery of air holder to determine how to structure a performance of the operation and transportation services (e.g., advertising, management team responsible for recommend any necessary building maintenance, payroll). The monitoring the daily operation of the improvements. FAA’s use of the term ‘‘system,’’ in this SMS. c. Role of Line Employees rulemaking, is consistent with long- Part 119 identifies various standing use of the term within the management personnel needed for an AFA raised concerns that the line industry. air carrier to function and maintain a employees are not defined as having a As part of the SRM process, air certificate. The FAA does not believe it key role in the decision-making process carriers need to consider the operational is necessary to restrict part 121 air and that they are merely a reporting environment directly related to the carriers from using only the Director of mechanism for the SMS. AFA asserted delivery of air transportation services. Safety or another part 119 management that these employees should also have The operational environment that personnel position to perform the duties input into the decision- making process. should be considered includes not only

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the physical environment (e.g., terrain, must be tracked in addition to being documentation requirements for SMS weather, geographic location) but also identified. Thus, the FAA has not are too prescriptive and onerous. ATA any constraints on the air carrier’s adopted this suggested revision in the and Delta advocated the retention actions due to business needs and other final rule. requirement be scalable and flexible laws or regulations that may affect the according to the certificate holder’s K. Subpart D, Safety Assurance air carrier’s air transportation services. policy and that outputs of the SMS Regarding when SRM would be AIG, ASA, ATA, Boeing, Cessna, should be retained for as long as triggered, 14 CFR 5.51 (Applicability.) GAMA, MARPA, Rockwell Collins, and deemed necessary by the air carrier. requires that the SRM process be U.S.C. agreed on the importance of EAA questioned the operational reason applied under the following conditions: safety assurance practices, but for mandating the retention of SMS Planning for and implementation of new recommended the FAA clarify the records beyond existing industry systems; revision of existing systems; applicability of safety assurance and the standards and requirements. NATA development of operational procedures; definition of ‘‘system’’ to mirror the requested clarification on the types of or identification of hazards or definition of ‘‘system’’ for SRM. Boeing documents that must be maintained ineffective risk controls through the also suggested revising 14 CFR 5.71 and under the proposed standards. safety assurance processes in subpart D 5.73 to limit the scope of the SMS to the Bombardier and Boeing suggested of part 5. Some examples of these aviation-related activities of the revising recordkeeping provisions in 14 triggers are outlined below. company. In addition, Boeing, GAMA, CFR 5.97 to require certificate holders to Changes to an air carrier’s operation MARPA, and Rockwell Collins maintain these records for 5 years. AIA/ could include addition of new routes, recommended replacing the term GAMA also supported a 5-year retention opening or closing of line stations, ‘‘operation’’ with ‘‘system’’ because requirement for outputs of SRM adding or changing contractual operation implies the activities of an air processes. NACA acknowledged that the arrangements for services, additions of carrier, and would require modification recordkeeping requirements were new fleets or major modifications of if these provisions were extended to acceptable as proposed. existing fleets, addition of different other types of operators in future Neither the proposed rule text nor the types of operations such as extended- rulemakings. preamble implies that an air carrier range operational performance AIA/GAMA, Boeing, Cessna, and would have to undergo a complicated standards operations, or a change in the Rockwell Collins all questioned using and expensive revamping of its software for operational systems such as the terms ‘‘continuous’’ and ‘‘periodic’’ organization to accommodate document flight planning and dispatch. Any of in 14 CFR 5.71. The commenters and record retention requirements. The these additions or changes would trigger asserted that the terms are ambiguous required records can be kept the use of the SRM process. and do not establish a frequency for electronically or in paper format. For A further trigger for SRM would be adequate monitoring. For example, one SRM outputs, the timeline associated cases when the safety assurance commenter stated that the continuous with the retention of the documents processes reveal hazards that have not monitoring requirement could imply must be scalable to the air carrier’s been addressed or instances when the monitoring the system 24 hours a day, operation. The outputs of SRM procedures that have been specified fail which could be burdensome. processes should be kept for as long as to control risk. For example, an air Because different systems will require they remain relevant to the air carrier’s carrier might discover through different monitoring processes, the FAA operation to allow the air carrier to employee reporting or internal auditing has removed the terms continuous and evaluate whether the controls put in that procedures for loading data into the periodic from 14 CFR 5.71. Additional place under SRM are effective and airplane flight management computer clarification of the monitoring needed. Once the action that triggers the are confusing. This would result in requirements is also provided in the development of the control is no longer action such as the air carrier modifying advisory material associated with this present in the air carrier’s operation, the the procedures themselves or the final rule. In regards to the suggestion to air carrier may determine that the training and checking process in use. In define the term system for safety records no longer need to be kept. Thus, another example, an analysis of internal assurance, the FAA has determined that it is important that the air carrier audits could reveal that a maintenance such a definition would not be exercise discretion to determine how tracking and control program failed to necessary in the regulatory text because long SRM output records are kept. identify required inspections, resulting the list in 14 CFR 5.71(a) provides the Similarly, this rule requires a in some of them being missed or scope of safety assurance activities. certificate holder to retain records of overdue. In this case, the air carrier may Further, as stated in section J, the term SMS-required training that is decide that the program itself is ‘‘system’’ is used to describe the administered to the accountable defective and must be reengineered, operational components used to deliver executive, members of the certificate again, requiring the application of SRM. aviation-related services. Systems may holder’s management, and other These are just some examples of systems include hardware, software, people, employees for as long as the individual and triggers for the SRM processes of procedures, resources, and functions who received the training is employed subpart C of the final rule. directly related to the delivery of air by the certificate holder. Once the RAA suggested that 14 CFR 5.53(c) transportation services. The systems individual who received the training is include the requirement to track addressed by this rule do not include no longer employed by the certificate hazards. This practice would prevent those elements that are not directly holder, there is no longer a need for the hazards from being identified and related to the delivery of air certificate holder to retain these records. recorded without further action. The transportation services. The recordkeeping requirements FAA has reviewed this suggestion and associated with the safety assurance’s determined that the purpose of the L. Subpart F, Recordkeeping and processes and procedures serve a suggested revision is already met under Documentation Requirements different purpose. The goal of safety the final rule. Subpart C, SRM, and AIA/GAMA, Boeing, Bombardier, assurance is to collect historical data on Subpart D, Safety Assurance, work Omni Air, and Rockwell Collins an operating system for analysis. The air together such that identified hazards asserted that the record keeping and carrier needs to have sufficient

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historical data to review. The 5-year sources for their SMS (e.g., reports of source, but will not mandate this period proposed in the NPRM is identified hazards). There is nothing in requirement. Associated policy and reasonable and will provide the air the regulation that prevents the FAA advisory documents will not specify or carrier with adequate records to conduct from stating that once the flow-down is imply these requirements as conditions analysis. The FAA has determined that in the manual, the supplier becomes of acceptance. An air carrier may the proposed recordkeeping retention part of the SMS system and thus include SMS in its negotiated business requirements are appropriate and has becomes subject to SMS oversight. They arrangements, consistent with the retained the requirements in the final recommended that the rule specify that common practice in industry where air rule. a company may rely on its business carriers require registration under such partners as data sources for its SMS, but programs as AS 9100, IOSA, and M. Flow-Down of Requirements even if it does so, this act alone would Coordinating Agency for Supplier ALPA asserted that an air carrier must not impose SMS regulations (or FAA Evaluation (C.A.S.E.) audits. Contractual exercise some oversight of those entities SMS oversight) on the business partner. requirements for arrangements do not providing services to them and that the NACA agreed, asserting that it is not relieve the air carrier from its proposed rule would naturally have necessary to require contractors or responsibilities under this rule. some flow down effect. ALPA asserted subcontractors to develop an SMS at there should be a requirement to this time. They should be permitted to N. FAA Capability To Manage Oversight develop and document an avenue for let data flow into a part 121 carrier’s AIA/GAMA, AOPA, Hawker the reporting of hazards from program when handling their aircraft. Beechcraft, JetBlue, Omni Air, and RAA subcontractor field employees to the air This would add valuable information to asserted it is essential that the FAA carrier. This may include establishing a SMS and produce a more develop and deploy appropriate training liaison that would communicate comprehensive program. and guidance material for the inspector necessary safety information to the AOPA strongly disagreed with the workforce involved in SMS assessment subcontractor and take corrective action FAA’s assessment and believed the FAA and oversight. Hawker Beechcraft and as necessary. has greatly underestimated the trickle Omni Air questioned whether the FAA RAA stated that, even though the FAA down implications for contractors and would be able to handle the significant will not expand these existing subcontractors of regulated certificate surge in plan submissions as the requirements to entities other than holders. The more functions a certificate deadline nears. certificate holders authorized to conduct holder contracts out, such as fueling, FedEx suggested that the FAA operations under part 121, it can be deicing, and pilot training, the more consider a process by which differences expected that air carrier SMS programs critical it is that the certificate holder in interpretation, applicability, and will produce positive trickledown include its contractors in its SMS direction between a carrier and the FAA benefits to the operational safety of process. Although the FAA is not approval authority can be elevated contractors. Under this scenario, air seeking regulation of these contracted within the FAA for resolution. carriers will provide safety-enhancing entities, AOPA asserted that FAA Clear and comprehensive guidance guidance and oversight (at some level) should not discount the potential effects documents have been developed and to relevant elements of their contract of this proposed regulation on these will be provided to the Aviation Safety service providers operations, and entities. AOPA is concerned that this Inspectors (ASIs) prior to this rule’s contractors will share information with ripple effect would become even more effective date to ensure standardization. the air carriers on the risks or safety apparent when the FAA expands the The SMS Program Office is also trends that the contractors may from requirements of 14 CFR part 5 to available as subject matter experts to time to time identify. encompass part 135 certificate holders. assist the field office inspectors. Bombardier stated that it is expected Delta Air Lines did not see a Training is also currently underway for that SMS regulated entities will significant impact or flow down effect of part 121 ASIs. This training includes the determine what aspects of the SMS need the development of SMS and its principles and precepts of SMS. to be passed on to non-regulated implications on vendors and contractors Additional training is being designed to suppliers and pass those requirements providing services to the operator. The enhance the ASI’s knowledge and along through business requirements. comprehensive implementation in all ability to assess the compliance of an air Inevitably, this will then result in levels of the organization has allowed carrier’s SMS with part 5. additional burden on the regulated the vendors and contractors to be Air carriers also will be able to use the entities to provide support and assessed under the safety assurance Consistency and Standardization increased oversight to ensure component of its SMS and findings and Initiative 6 to appeal decisions related to compliance of these suppliers, observations are mitigated under a risk- the review of their SMS. The FAA will contractors and sub-contractors with based system documented and tracked consider a process by which differences these SMS related requirements. The according to the SMS requirements and in interpretation, applicability, and SMS rule should be carefully SRM techniques. direction between an air carrier and the constructed to allow those part 121 or Boeing said that the product/service FAA approval authority can be elevated 135 carriers to accept their part 145 provider should be allowed to to the applicable FAA office for certificated suppliers’ SMS without determine the level of integration based resolution. deviation. Otherwise, inconsistent on business needs and operational O. Guidance Material requirements will be passed on from efficiency, without incurring undue different operators. compliance burden. ACSF, AOPA, Boeing, GE, Hawker ASA and MARPA stated it is normal The SMS requirements of the rule are Beechcraft, and NATA suggested in the industry for air carriers and other intended to be applied to individual air rescinding draft FAA Order 8900xx and certificate holders to flow-down their carriers. This rule does not require the reissuing simplified guidance material requirements to their suppliers, even air carrier to require SMSs on the part 6 For more information regarding the Consistency without a regulatory requirement. For of contractors, code-share partners, or and Standardization Initiative please refer to: http:// example, many certificate holders may other business affiliates. This rule www.faa.gov/about/office_org/headquarters_ decide to use their suppliers as data permits the use of contractors as a data offices/avs/consistency_standardization/.

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because the draft order is too matched the ICAO framework to allow V. Regulatory Notices and Analyses prescriptive. The commenters were for increased acceptance of an air A. Regulatory Evaluation concerned that the guidance material carrier’s SMS by foreign civil aviation and orders significantly expands the authorities. They stressed the need to Changes to Federal regulations must regulatory requirements in proposed balance prescription with the need for undergo several economic analyses. part 5. Commenters noted that the draft adequate description and flexibility to First, Executive Order 12866 and order contained material that was too develop multiple solutions in the Executive Order 13563 directs that each academic and should be revised for interest of increased innovation. They Federal agency shall propose or adopt a clarity. stated that the proposed requirements regulation only upon a reasoned Upon review of the comments, the met all of these needs. determination that the benefits of the FAA has revised the guidance material Changing the regulatory text to a pure intended regulation justify its costs. to ensure that there is a clear performance-based rule would deviate Second, the Regulatory Flexibility Act delineation between regulatory from the ICAO SMS requirements. This of 1980 (Pub. L. 96–354) requires requirements and other information.7 increases the risk that the FAA’s SMS agencies to analyze the economic The FAA has also revised the draft rules would fail to meet the impact of regulatory changes on small guidance for inspectors to provide requirements of other sovereign nations, entities. Third, the Trade Agreements instruction on various methods that may and thus jeopardize the ability of U.S. Act (Pub. L. 96–39) prohibits agencies be employed to satisfy the requirements air carriers to operate in countries where from setting standards that create unnecessary obstacles to the foreign of this rule. compliance with these standards is commerce of the United States. In enforced. This final rule specifies a P. Determination of Acceptable Levels of developing U.S. standards, this Trade basic set of processes to form a Safety Act requires agencies to consider framework for the SMS, but does not international standards and, where AEA, AOPA, ASCA, and ATA asked specify particular methods for appropriate, that they be the basis of for a definition of acceptable level of implementing these processes. This U.S. standards. Fourth, the Unfunded safety. They expressed concern that provides a balance between Mandates Reform Act of 1995 (Pub. L. lacking a clear definition of this term standardization and a robust SMS 104–4) requires agencies to prepare a would leave the industry and the FAA structure while allowing considerable in a position where inspectors would be written assessment of the costs, benefits, flexibility for how an individual air and other effects of proposed or final defining what constitutes an acceptable carrier chooses to establish its SMS. level of safety. This would lead to rules that include a Federal mandate inconsistent application across the R. Employee Reporting Systems likely to result in the expenditure by industry. The SBA also asserted that the State, local, or tribal governments, in the Proposed 14 CFR 5.21(a)(4) states aggregate, or by the private sector, of FAA should conduct a gap analysis of there must be an employee reporting its regulations and fill any holes to $100 million or more annually (adjusted system, and that the reporting system for inflation with base year of 1995). establish standardized acceptable levels must be confidential as per 14 CFR of safety through the regulations that This portion of the preamble 5.71(a)(7). AFA, ALPA, RAA, and SWA summarizes the FAA’s analysis of the can be uniformly applied throughout were concerned that unless an explicit the industry. economic impacts of this final rule. We restriction is imposed to prevent abuse, suggest readers seeking greater detail The term ‘‘acceptable level of safety’’ disclosures of safety improvement is only used in the preamble of the read the full regulatory evaluation, a opportunities, concerns, or issues copy of which we have placed in the NPRM and is only mentioned when submitted by any employee may be used referencing ICAO standards/framework docket for this rulemaking. against the reporting employee in a In conducting these analyses, FAA and an NTSB recommendation. In disciplinary manner. They suggested determining the safety performance has determined that this final rule: (1) that the employee reporting system be Has benefits that justify its costs, (2) is measurement for the air carrier’s non-punitive. operation, each air carrier should use not an economically ‘‘significant The confidential reporting system in the regulatory minimums set forth in regulatory action’’ as defined in section 14 CFR 5.71(a)(7) is a conduit for Chapter I, Title I, of 14 CFR as the 3(f) of Executive Order 12866, (3) is employees to raise safety issues without baseline. ‘‘significant’’ as defined in DOT’s fear of reprisal. There is a distinction in Regulatory Policies and Procedures; (4) Q. Performance Based v. Process Based a non-punitive reporting system and the will not have a significant economic Regulation requirement in 14 CFR 5.21(a)(5) to impact on a substantial number of small ASA and MARPA stated that the require the certificate holder to establish entities; (5) will not create unnecessary proposed part 5 was a process-based a policy that defines unacceptable obstacles to the foreign commerce of the rule. In contrast, AIA/GAMA and employee behaviors. There are some United States; and (6) will not impose Bombardier stated that the proposal was instances where disciplinary action is an unfunded mandate on state, local, or a performance-based rule. All of these warranted (e.g., the behavior indicates a tribal governments, or on the private commenters expressed a strong desire to willful disregard to comply with sector by exceeding the threshold avoid a prescriptive-based rule because company procedures or regulations) and identified above. These analyses are of the dynamic nature of air carrier 14 CFR part 5 recognizes this fact. summarized below. Therefore, the rule requires a certificate operations. They were also concerned i. Total Benefits and Costs of This Rule that a performance-based rule could holder to establish a confidential lead to wide variances in interpretation employee reporting system and define This rule requires Part 121 operators as to what is acceptable for an SMS. unacceptable behaviors. This allows the (domestic, flag, and supplemental The ARC, ATA, and GE expressed a confidential gathering of safety operations) to establish an SMS. It is strong desire for a rule that closely information from employees while expected that the requirements of the maintaining the certificate holder’s rule will help airlines to identify safety 7 The FAA acknowledges that Advisory Circular freedom to address unacceptable problems, and if airlines take steps to 120–92 is not binding. behavior. mitigate these problems it is estimated

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that the benefits from that mitigation discount rate). Costs of the rule’s ($135.1 million present value at 7 could be between $205.0 and $472.3 provisions (excluding any mitigation percent discount rate) over 10 years. million over 10 years ($104.9 to $241.9 costs, which have not been estimated) million present value at 7 percent are estimated to be $224.3 million

ESTIMATED COSTS AND BENEFITS FOR ALL PART 121 CARRIERS—2014–2023 [Millions of 2010 Dollars * (Discounted at 7% Discount Rate)]

Costs ...... Rule Implementation Costs: $135.1.

Mitigation Costs: Not quantified, estimates not included.

Benefits from Provisions of the Rule and any Consequent Safety Mitigation Actions ** $104.9–$241.9. * Table values have been rounded. Totals may not add due to rounding. ** Given the range of mitigation actions possible, it is difficult to quantify potential benefits. This range reflects the potential benefits resulting from examples of possible mitigation actions.

ii. Who is potentially affected by this modification or purchasing of new (IRFA) as part of the NPRM for this rule rule? equipment/software, additional staff (75 FR 68240, November 5, 2010). As a All Part 121 Operators and promotional materials, and training. result of that analysis we determined Costs increase with the size of the this rule would have a significant iii. Assumptions carrier and the type of operations that impact on a substantial number of small • All costs and benefits are presented they provide. However, medium and entities for the following reasons: We in 2010 dollars. large operators have existing quality estimated that 64 operators were small • All costs and benefits are estimated management systems which will lower entities. Even though the proposed rule over a 10-year period from 2014 through their estimated compliance costs. Costs responds to the PL 111–216 2023. of the rule’s provisions (excluding any Congressional requirement, we • Benefits of SMS implementation mitigation costs, which have not been structured the requirement such that would begin to accrue in 2017. estimated) are estimated to be $224.3 small entities could meet the • Costs to air carriers would begin to million ($135.1 million present value at requirements with lower costs than a accrue in 2014. 7 percent discount rate) over 10 years. larger firm. • The present value discount rate is 7 B. Regulatory Flexibility Determination Section 604 of the RFA also requires percent. an agency to publish a final regulatory • The Value of Statistical Life = $8.9 The Regulatory Flexibility Act of 1980 flexibility analysis (FRFA) in the million in 2010$. (Pub. L. 96–354) (RFA) establishes ‘‘as a Federal Register when issuing a final principle of regulatory issuance that rule. Section 604(a) requires that each iv. Benefits of This Rule agencies shall endeavor, consistent with FRFA contain: The benefits of this final rule consist the objectives of the rule and of • A statement of the need for, and of the value of averted fatalities, applicable statutes, to fit regulatory and objectives of, the rule; informational requirements to the scale casualties, aircraft damage, accident • a statement of the significant issues investigation costs, and reduced of the businesses, organizations, and governmental jurisdictions subject to raised by the public comments in employee compensation claims. These response to the initial regulatory benefits are a result of identifying safety regulation. To achieve this principle, agencies are required to solicit and flexibility analysis, a statement of the issues, spotting trends, implementing assessment of the agency of such issues, necessary safety mitigations, and consider flexible regulatory proposals and to explain the rationale for their and a statement of any changes made in communicating findings before they the proposed rule as a result of such result in a near-miss, incident, or actions to assure that such proposals are given serious consideration.’’ The RFA comments; accident. Over the 10-year period of • analysis, it is estimated that the benefits covers a wide-range of small entities, the response of the agency to any from averted accidents, reduced including small businesses, not-for- comments filed by the Chief Counsel for employee compensation claims, and profit organizations, and small Advocacy of the Small Business safety mitigations could range between governmental jurisdictions. Administration in response to the $205.0 and $472.3 million ($104.9 to Agencies must perform a review to proposed rule, and a detailed statement $241.9 million present value at 7 determine whether a rule will have a of any change made to the proposed rule percent discount rate). significant economic impact on a in the final rule as a result of the substantial number of small entities. If comments; v. Costs of This Rule the agency determines that it will, the • a description of and an estimate of Each air carrier will be required to agency must prepare a regulatory the number of small entities to which develop an SMS that includes the four flexibility analysis as described in the the rule will apply or an explanation of SMS components: Safety Policy, Safety RFA. Section 603 of the Act requires why no such estimate is available; Risk Management, Safety Assurance, agencies to prepare and make available • a description of the projected and Safety Promotion. To support each for public comment an initial regulatory reporting, recordkeeping and other component, the FAA projects that the flexibility analysis (IRFA) describing the compliance requirements of the rule, compliance cost of this rule will come impact of proposed rules on small including an estimate of the classes of from the initial development and entities. small entities which will be subject to documentation of the carriers’ SMS, As required by Section 603(a) of the the requirement and the type of implementation and continuous RFA, we prepared and published an professional skills necessary for operating costs to include the initial regulatory flexibility analysis preparation of the report or record; and,

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• a description of the steps the agency be burdensome for a small carrier, plus an Aviation Safety Action Programs has taken to minimize the significant SMS may be more suitable for larger (ASAP) or the Web-Based Application economic impact on small entities carriers because it aids in reducing silos Tool (WBAT) to meet these consistent with the stated objectives of which many not be an issue because of requirements. applicable statutes, including a size for many smaller carriers. The FAA The FAA estimated the average statement of the factual, policy, and maintains the program is flexible and annual compliance cost during the first legal reasons for selecting the alternative there are several existing programs that three years the rule is in effect for the adopted in the final rule and why each small carriers can leverage to make SMS 60 carriers identified as small entities one of the other significant alternatives less expensive. For example, many and compared these costs to calendar to the rule considered by the agency small and medium sized carriers year 2011 operating revenues (the most which affect the impact on small reported that they would use the Web- current data available).8 The compliance entities was rejected. Based Application Tool (WBAT), which cost for small entities was then averaged is an FAA sponsored tool, to report and for three groups based on carrier fleet A Statement of the Need for, and house their data. In addition, carriers size (small, medium, and large). Carriers Objectives of, the Rule that are currently pursuing an SMS with a fleet of 9 or less aircraft are in The objective of Safety Management reported benefits similar to their larger the ‘‘small’’ group; carriers with Systems (SMS) is to proactively manage counterparts. between 10 and 47 aircraft are in the safety, to identify potential hazards, to ‘‘medium’’ group; and carriers with a determine risk, and to implement A Description of and an Estimate of the fleet size greater than 47 aircraft are in measures that mitigate the risk. The Number of Small Entities To Which the the ‘‘large’’ group. FAA envisions operators being able to Rule Will Apply or an Explanation of Each of the 29 carriers in the ‘‘small’’ use all of the components of SMS to why no Such Estimate is Available group fits the criteria of a small entity. enhance a carrier’s ability to identify Under the North American Industry The compliance cost for this group of safety issues and spot trends before they Classification System (NAICS) codes carriers will average $164,500 per year. result in a near-miss, incident, or 481111 and 481112, for scheduled air For the 26 small entities in the accident. For this reason, the FAA is transportation, small entities would be ‘‘medium’’ group, the compliance cost requiring carriers to develop and all part 121 carriers with less than 1,500 will average $206,400 per year. The implement an SMS. employees. The FAA estimates that compliance cost for the five carriers there are approximately 90 part 121 identified as small entities in the A Statement of the Significant Issues operators and 60 of these operators meet ‘‘large’’ group will average $408,000 per Raised by the Public Comments in the definition of a small entity; therefore year. Each carrier’s compliance cost will Response to the Initial Regulatory the FAA believes that there are a vary from the averages presented here Flexibility Analysis, a Statement of the substantial number of small entities due to carrier size (in terms of employee Assessment of the Agency of Such impacted by this rule. headcount), and the extent to which a Issues, and a Statement of any Changes carrier already has an ASAP or other A Description of the Projected Made in the Proposed Rule as a Result safety program already in place. Reporting, Recordkeeping and Other of Such Comments Of the 60 carriers classified as small Compliance Requirements of the Rule, AEA commented that the FAA failed entities, 54 reported operating revenues Including an Estimate of the Classes of to analyze alternatives and stated that on Form 41. For these 54 reporting Small Entities Which Will be Subject to small carriers do not have enough carriers, annual compliance costs during the Requirement and the Type of incidents to make SMS cost-beneficial. the first three years the rule is in effect Professional Skills Necessary for The FAA maintains that SMS is were less than two percent of their Preparation of the Report or Record congressionally mandated and we did calendar year 2011 operating revenues. look at two alternatives. For the final An SMS is a formalized approach to A determination for the six remaining rule we discussed: (1) Extending the managing safety by developing an small entities was not possible because timeframe for development of SMS organization-wide safety policy, financial data was not publicly implementation plans; and (2) developing formal methods of available. extending the timeframe for identifying hazards, analyzing and mitigating risk, developing methods for A Description of the Steps the Agency implementation of SMS. However, as Has Taken To Minimize the Significant stated above, the FAA ultimately ensuring continuous safety improvement, and creating Economic Impact on Small Entities determined that delaying the Consistent With the Stated Objectives of implementation of SMS delays the organization-wide safety promotion strategies. Each air carrier would be Applicable Statutes, Including a safety benefits and this delay in benefits Statement of the Factual, Policy, and is not offset by the small, delayed required to develop an SMS that includes the four SMS components: Legal Reasons for Selecting the compliance cost. Upon a review of these Alternative Adopted in the Final Rule Safety Policy, Safety Risk Management, costs, the FAA determined the and Why Each One of the Other Safety Assurance, and Safety Promotion. compliance costs are not a significant Significant Alternatives to the Rule To support each component, the FAA economic impact. Considered by the Agency Which Affect projects that the compliance cost of this the Impact on Small Entities Was The Response of the Agency to any rule would come from the initial Rejected Comments Filed by the Chief Counsel development and documentation of for Advocacy of the Small Business their SMS, implementation and To relieve the burden of this rule on Administration in Response to the continuous operating costs to include small entities, the FAA considered Proposed Rule, and a Detailed the modification or purchasing of new extending the timeframe for Statement of any Change Made to the equipment/software, additional staff Proposed Rule in the Final Rule as a and promotional materials, and training. 8 U.S. Department of Transportation Form 41 Result of the Comments (Schedule P1.1, and P1.2), and Form 298–C Costs increase as the size of the carrier (Schedule F1). For carriers not reporting a full year The Small Business Administration increases. However, carriers have the of CY 2011 operating revenues, the most recent four (SBA) commented that an SMS would ability to use existing programs such as consecutive quarters of data was used.

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development of SMS implementation not be a significant economic impact. This final rule will impose new plans. In making this determination, the Therefore, as the FAA Administrator, I information collection requirements. FAA considered longer and shorter certify this rule will not have a The estimated burden of those terms. However, it settled on one year significant economic impact on a requirements is discussed below. As based on information from the SMS substantial number of small entities. required by the Paperwork Reduction Pilot Project, which showed that an Act of 1995 (44 U.S.C. 3507(d)), the D. International Trade Impact average of one year was sufficient to FAA has submitted these information Assessment develop and approve an implementation collection requirements to OMB for its plan.9 As part of its analysis, the FAA The Trade Agreements Act of 1979 review. Notice of OMB approval for this noted that pilot project participants (Pub. L. 96–39), as amended by the information collection will be published ultimately had differing levels of SMS Uruguay Round Agreements Act (Pub. in a future Federal Register document. implementation. However, because all L. 103–465), prohibits Federal agencies Under this final rule, each certificate pilot project participants had initially from establishing standards or engaging holder operating under part 121 will developed (and received FAA validation in related activities that create develop an SMS, tailored to its unique on) an implementation plan that unnecessary obstacles to the foreign operating environment, comprised of provided for full SMS implementation, commerce of the United States. the four key components: Safety policy, the FAA was able to use this data to Pursuant to these Acts, the safety risk management, safety estimate how long it would take a establishment of standards is not assurance, and safety promotion. certificate holder to develop such a plan considered an unnecessary obstacle to Collection and analysis of safety data is and get the plan approved by the FAA. the foreign commerce of the United an essential part each carrier’s SMS. The The FAA also considered extending States, so long as the standard has a FAA has identified the following areas the timeframe for implementation of legitimate domestic objective, such the that will create information collection SMS. However, the FAA ultimately protection of safety, and does not burdens under this final rule: concluded that three years for full operate in a manner that excludes Development and implementation of the implementation of SMS is appropriate. imports that meet this objective. The SMS; implementation plan and In making this determination, the FAA statute also requires consideration of documentation; recordkeeping considered longer and shorter terms. international standards and, where requirements associated with the safety Based on information from the SMS appropriate, that they be the basis for policy, safety risk management and Pilot Project, as well as lessons learned U.S. standards. The FAA has assessed safety assurance processes; training from other Civil Aviation Authorities the potential effect of this final rule and records, and communication records. In (CAAs), which showed that three years determined that it uses ICAO addition, based on comments received was an appropriate timeframe for international standards as its basis and to the proposed rule, the FAA has also implementation of an SMS, the FAA therefore is in compliance with the identified information collection decided that three years was the best Trade Agreements Act. burdens associated with expanding existing programs that may be used to interval to allow carriers to prepare and E. Unfunded Mandates Assessment begin implementation.10 With regard to satisfy the requirements of the final rule. both of these alternatives, the timelines Title II of the Unfunded Mandates For all information required to be chosen for implementation plans and Reform Act of 1995 (Pub. L. 104–4) submitted, documented, or collected final implementation of SMS are requires each Federal agency to prepare under this final rule, the FAA does not mitigated for small entities to the extent a written statement assessing the effects specify how, or in what media, the that SMS plans and programs must be of any Federal mandate in a proposed or documents and records must be appropriate to the size, scope, and final agency rule that may result in an maintained relative to the requirements complexity of the certificate holder’s expenditure of $100 million or more (in of the final rule. Air carriers are operations, and are therefore scalable to 1995 dollars) in any one year by State, encouraged to use existing mechanisms the size of the small entity. local, and tribal governments, in the and systems to minimize the burden of In conclusion, while the FAA found aggregate, or by the private sector; such the final rule. These burdens are this rule will affect a substantial number a mandate is deemed to be a ‘‘significant outlined below. The cost estimates of small entities, we found annual regulatory action.’’ The FAA currently associated with these burdens are based compliance cost was less than two uses an inflation-adjusted value of on comments from the ARC, percent of annual revenue for the firms $143.1 million in lieu of $100 million. information from the SMS pilot program with public data. As the compliance This final rule does not contain such a participants, and comments received in cost is less than two percent of annual mandate; therefore, the requirements of response to the NPRM. Title II of the Act do not apply. revenue, the FAA concludes there will i. Expansion of Existing Programs F. Paperwork Reduction Act 9 MITRE Corporation conducted a study of the The FAA has strongly encouraged air pilot project participants and concluded that it The Paperwork Reduction Act of 1995 carriers to use existing programs, such took, on average, approximately one year for pilot (44 U.S.C. 3507(d)) requires that the as the Aviation Safety Action Program project participants to complete implementation FAA consider the impact of paperwork (ASAP), and the Internal Evaluation plans. 10 While many pilot project participants are not and other information collection Program (IEP), to satisfy some of the small carriers, the large and mid-size carriers that burdens imposed on the public. requirements for the safety assurance make up a large portion of the pilot project According to the 1995 amendments to component of SMS. The FAA expects participants had to build an SMS from the ground the Paperwork Reduction Act (5 CFR that the 59 air carriers with existing up. The typical implementation plan received from these carriers showed that they would be able to 1320.8(b)(2)(vi)), an agency may not ASAP programs will expand their fully implement an SMS within three years. collect or sponsor the collection of programs to cover those employees Because SMS is scalable, a small carrier’s SMS will information, nor may it impose an currently not covered, to satisfy the be less complex than a large or mid-size carrier’s information collection requirement employee reporting system requirement SMS. Accordingly, the FAA does not expect small carriers to need more time to implement an SMS unless it displays a currently valid of the final rule. For the 31 remaining than the large and mid-size carriers that were part Office of Management and Budget air carriers, the FAA expects that these of the pilot project. (OMB) control number. carriers will use the employee reporting

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tools in the Web-Based Application document hazards, and create an collection costs for air carriers Tool (WBAT), which is a federally employee reporting system. Because this expanding existing programs to comply developed and funded software system is a federally funded system, the FAA with this rule are as follows. that can be used, for example, to estimated a minimal burden for those 31 a. Estimate Annual Cost of Expanding develop an implementation plan, carriers using WBAT. The information Existing Programs

59 ...... Part 121 Carriers with an ASAP for one or more employee groups 11 1 ...... Full Time Employee (FTE) = 2000 hours per year 2 ...... FTEs per additional ASAP @ 0.2 FTE each 12 = 800 hours per ASAP

3 ...... Pilot ASAPs 14 ...... Mechanic and Engineering (M&E) ASAPs 18 ...... Dispatcher ASAPs + 32 ...... Flight Attendant (FA) ASAPs

67 ...... Total Employee Group ASAPs

$2,000 ...... Hardware/software, administration, and meeting logistics per group 13 × 67 ...... Total Employee Group ASAPs

$134,000 ...... Material Cost per Year

Employee group Annual salary Hourly salary

Airline pilots/copilots/flight engineers salary: 14 ...... $151,248 $75.6239 Maintenance staff salary: 15 ...... 73,606 36.8031 Dispatchers salary: 16 ...... 70,250 35.1249 Flight attendants salary: 17 ...... 54,290 27.1452

3 Pilot ASAPs * 800 hours: ...... 2,400 hours. 14 M&E ASAPs * 800 hours: ...... 11,200 hours. 18 Dispatcher ASAPs * 800 hours: ...... 14,400 hours. + 32 FA ASAPs * 800 hours: ...... 25,600 hours.

Total Labor Hours per Year ...... 53,600 hours.

Hours * labor rate In 000’s

3 Pilot ASAPs ...... 2,400 hr * $75.6239 ...... $181.497 14 M&E ASAPs ...... 11,200 hr * 36.8031 ...... 412.195 18 Dispatcher ASAPs ...... 14,400 hr * 35.1249 ...... 505.798 + 32 FA ASAPs ...... 25,600 hr * 27.1452 ...... 694.917

Total Labor Cost per Year ...... 1,794.408 + Total Material Cost per Year ...... 134.000

Total Cost per Year for Expanding Existing Programs ...... 1,928.408

b. Estimated Implementation Cost of The FAA assumes that the 59 carriers program will be completed in year two, Expanding of Existing Programs expand these programs over 3 years. A and the program will be fully third of the expansion will be operational by the third year. completed in year one, two-thirds of the

Year 1 ...... 53,600 hours * 33.3% ...... 17,848.8 Year 2 ...... 53,600 hours * 66.6% ...... 35,697.6 + Year 3 ...... 53,600 hours * 100.0% ...... 53,600.0

Total Labor Hours for 3 Years ...... 107,146.4

In 000’s

Year 1 ...... $1,928.408 * 33.3% ...... $ 642.160 Year 2 ...... $1,928.408 * 66.6% ...... 1,284.320

11 http://www.faa.gov/about/initiatives/asap 13 Ibid. compensation per employee is roughly 31% of an (August 23, 2011). 14 http://www.bls.gov/oes/current/naics3_ employee’s salary 12 ATA response to NPRM ‘‘Request for 481000.htm, http://www.bls.gov/news.release/pdf/ 15 Ibid. ecec.pdf, BLS reports in Table A. Relative Comments’’ (Docket No. FAA–2009–061), Figure 3, 16 Ibid. importance of employer costs for employee page 35. 17 compensation, June 2011 that additional employer Ibid.

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In 000’s

+ Year 3 ...... $1,928.408 * 100.0% ...... 1,928.408

Total Cost for 3 Years ...... 3,854.888

c. Estimated Total Costs of Expanding development and implementation reporting of safety hazards or issues, Existing Programs phases. The SMS implementation plan and an emergency response plan. is the only document or data that the In addition to the safety policy, all 90 Implementation Cost: 107,146.4 labor certificate holder must submit to the hours and $3.9 million over 3 years. certificate holders are required under FAA. It is a one-time submission due six this rule to develop and maintain Average Annual Cost: 35,715.5 labor months after the effective date of the documentation of SMS processes and hours and $1.28 million per year. final rule. procedures, including safety risk All 90 certificate holders must also ii. Implementation Plan, SMS management processes and safety develop and maintain documentation Documentation and Implementation assurance processes. Given that these that describes the safety policy for the processes and procedures will depend All 90 certificate holders will be certificate holder. The safety policy on the size and scope of each air required to develop and submit an must address, among other things, the carrier’s operation, the amount of implementation plan. The certificate holder’s safety objectives, documentation will vary greatly implementation plan will guide the statements about the necessary amongst these certificate holders. certificate holder’s implementation of resources for the implementation of the SMS, as well as provide the basis for SMS, a safety reporting policy that a. Estimated Cost of Implementation FAA’s oversight during the defines requirements for employee Plan and SMS Documentation

One Full Time Employee (FTE): ...... 2,000 hours/yr Research Analyst Salary: 18 ...... $92,958/yr or $46.479/hr Material Documentation Cost (3 years): 19 ...... Small $24,000 Medium 95,000 Large 337,500

Hours

30 Large Carriers * 4,256 hrs/yr of labor per carrier: ...... 127,680 31 Medium Carriers * 2,732 hrs/yr of labor per carrier: ...... 84,692 + 29 Small Carriers * 3,045 hrs/yr of labor per carrier: ...... 88,305

Total Labor Hours per Year for 90 Carriers ...... 300,677 Total Labor Hours for 90 Carriers over 3 Years ...... 902,031

Total Labor Hours per Year ...... 300,677 × Research Analyst Hourly Wage ...... $46.479

Total Labor Cost/Per Year for 90 Carriers ...... $13,975,166 Total Initial Labor Cost for 90 Carriers over 3 Years ...... 41,925,498

30 Large Carriers * $337,500 material cost over three years: ...... $10,125,000 31 Medium Carriers * $95,000 material cost over three years: ...... 2,945,000 29 Small Carriers * $24,000 material cost over three years: ...... 696,000

90 Carriers Initial Material Cost Over 3 Years ...... 13,766,000

Initial Labor Cost for 90 Carriers over 3 Years ...... 41,925,498 × Initial Material Cost for 90 Carriers over 3 Years ...... 13,766,000

Initial Cost Burden Over Years 1–3 ...... 55,691,498

b. Estimated Annual Cost of SMS In comments to the NPRM, ATA will spend $15,000, and large carriers Documentation estimates that small carriers will spend will spend $30,000 on SMS manual $10,000 a year, medium sized carriers revision.

30 Large Carriers * $30,000/yr per carrier ...... $ 900,000 31 Medium Carriers * $15,000/yr per carrier ...... 465,000

18 Bureau of Labor Statistics, http://www.bls.gov/ oes/current/oes152031.htm. 19 Initial Regulatory Evaluation Voluntary Program Participant’s Survey.

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+ 29 Small Carriers * $10,000/yr per carrier ...... 290,000

Document Update Costs per Year for Years 4–10 ...... $1,655,000

iii. SMS Recordkeeping Requirements recordkeeping requirements will medium carriers with few pre-existing depend on the size and complexity of programs, and a part-time employee for This rule requires air carriers to the certificate holder’s operation. To small carriers. The FAA also maintains record outputs from their safety risk mitigate these burdens, the FAA has not that there will be minimal additional management (SRM) processes, safety specified how, or in what media, these material costs and training record costs assurance (SA) processes, safety records must be maintained, and has since all part 121 certificate holders communications and SMS training. also encouraged the use of existing already maintain training records. Records of outputs for SRM processes mechanisms. For example, the FAA has Operating costs will begin after the must be maintained for as long as the estimated the burden of maintaining development, documentation, and outputs remain relevant to the employee SMS training records to be implementation of an SMS. certificate holder’s operation. Outputs of minimal since 121 certificate holders a. Estimated Annual Cost of SMS safety assurance processes must be are already required to maintain training Recordkeeping Requirements: maintained for 5 years. Training records records. must be kept for as long as the Based on this information, the FAA 90 Operators individual is employed by the certificate maintains that only one additional One Full Time Employee (FTE) = 2000 holder and all SMS communication employee will be required for carriers hours per year records under § 5.93 must be kept for 24 with several existing safety programs, 2 Research Analyst Salary 20 = $92,958 per months. The scope and breadth of these full time employees for large and year = $46.479 per hour

Hours

59 Large/Medium Carriers * 1 FTE * 2,000 hours ...... 118,000 9 Large/Medium Carriers * 2 FTE * 2,000 hours ...... 36,000 + 22 Small Carriers * 0.5 FTE * 2,000 hours ...... 22,000

Total Recordkeeping Hours per Year for 90 carriers (Years 4–10) ...... 176,000

Total Recordkeeping Hours per Year for 90 carriers ...... 176,000 × Hourly Wage—Research Analyst ...... $46.479

Total Recordkeeping Cost per Year for 90 Carriers (Years 4–10) ...... $8,180,304

Promotional material per year per carrier 21 ...... $833 × 90 Carriers ...... 90

Total Promotional Material Cost per Year for 90 Carriers (Years 4–10) ...... $74,970

Total Recordkeeping Cost per Year for 90 Carriers (Years 4–10) ...... $8,180,304 + Total Promo Material Cost per Year for 90 Carriers (Years 4–10) ...... $74,970

Total Annual Cost (Years 4–10) ...... $8,255,274

b. Estimated Total Annual Cost of SMS This rule requires air carriers to variety of functions in addition to aiding Recordkeeping Requirements implement an SMS acceptable to the carriers with their ASAPs and SMS. The 176,000 labor hours and $8.3 million Administrator within 3 years of the FAA estimates at most that it costs $2.6 per year (Years 4–10). effective date of the final rule. The FAA million per year to maintain WBAT. offers a federally developed and funded v. Summary of Total Burden iv. Estimated Costs to the Federal software system, WBAT, which serves a Government a. Implementation Cost

Years 1–3 ...... Develop, Implement, Document SMS-Initial Cost Burden ...... $55,691,498 + Years 1–3 ...... Cost to Expand Existing Programs ...... 3,854,888

Years 1–3 ...... Total Implementation Cost ...... 59,546,386

b. Annual Cost

+ Years 1–10 ...... Federal Govt Cost—WBAT ...... $ 2,600,000

Years 4–10 ...... Staffing and Promotional Material ...... $8,255,274

20 Bureau of Labor Statistics, http://www.bls.gov/ 21 Initial Regulatory Evaluation Voluntary oes/current/oes152031.htm. Program Participant’s Survey.

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Years 4–10 ...... ASAPs ...... 1,928,408 + Years 4–10 ...... SMS Manual Updates ...... 1,655,000

Years 4–10 ...... Total Cost Per Year ...... 11,838,682 Years 1–10 ...... $ 2,600,000 * 10 years ...... $26,000,000 Years 4–10 ...... $11,838,682 * 7 years ...... 82,870,774

G. International Compatibility from preparation of an environmental VII. How To Obtain Additional In keeping with U.S. obligations assessment or environmental impact Information statement under the National under the Convention on International A. Rulemaking Documents Civil Aviation, it is FAA policy to Environmental Policy Act in the An electronic copy of a rulemaking conform to International Civil Aviation absence of extraordinary circumstances. document may be obtained by using the Organization (ICAO) Standards and The FAA has determined this Internet— Recommended Practices to the rulemaking action qualifies for the categorical exclusion identified in 1. Search the Federal eRulemaking maximum extent practicable. The FAA Portal (http://www.regulations.gov); has reviewed the corresponding ICAO Chapter 3, paragraph 312d and involves no extraordinary circumstances. 2. Visit the FAA’s Regulations and Standards and Recommended Practices Policies Web page at http:// and has identified the following I. Regulations Affecting Intrastate www.faa.gov/regulations_policies/ or differences with these proposed Aviation in Alaska 3. Access the Government Printing regulations. Amendment 30 to Annex 6 Office’s Web page at http:// part I Section 3.2 Safety Management, Section 1205 of the FAA www.gpo.gov/fdsys/browse/ Paragraph 3.3.6 effective 1 January, 2009 Reauthorization Act of 1996 (110 Stat. collection.action?collectionCode=FR. requires that a Flight Data Analysis 3213) requires the FAA, when Copies may also be obtained by Program be in the SMS standard. The modifying its regulations in a manner sending a request (identified by notice, FAA will file a difference with ICAO. affecting intrastate aviation in Alaska, to amendment, or docket number of this ICAO Annex 6 part I includes a consider the extent to which Alaska is rulemaking) to the Federal Aviation provision that part 121 air carriers not served by transportation modes Administration, Office of Rulemaking, operating airplanes having a maximum other than aviation, and to establish ARM–1, 800 Independence Avenue gross takeoff weight in excess of 27,000 appropriate regulatory distinctions. In SW., Washington, DC 20591, or by kg (approximately 59,400 lbs.). ‘‘. . . the NPRM, the FAA requested calling (202) 267–9680. shall establish and maintain a flight data comments on whether the proposed rule analysis programme as part of its safety should apply differently to intrastate B. Comments Submitted to the Docket management system.’’ Flight Data operations in Alaska. The agency did Comments received may be viewed by Analysis Program (FDAP) is a general not receive any comments, and has going to http://www.regulations.gov and term encompassing a number of means determined, based on the administrative following the online instructions to by which routine flight operations data record of this rulemaking, that there is search the docket number for this may be acquired, recorded, analyzed, no need to make any regulatory action. Anyone is able to search the and shared. Flight Operational Quality distinctions applicable to intrastate electronic form of all comments Assurance (FOQA) is one such program. aviation in Alaska. received into any of the FAA’s dockets by the name of the individual FOQA is a formal voluntary program VI. Executive Order Determinations which has been implemented by 41 air submitting the comment (or signing the carriers conducting operations under A. Executive Order 13132, Federalism comment, if submitted on behalf of an part 121. FOQA specifications include association, business, labor union, etc.). installation of extensive flight data The FAA has analyzed this final rule under the principles and criteria of C. Small Business Regulatory recording systems which facilitate rapid Enforcement Fairness Act transfer of recorded data, de- Executive Order 13132, Federalism. The identification of that data, and agency determined that this action will The Small Business Regulatory agreements between pilot organizations not have a substantial direct effect on Enforcement Fairness Act (SBREFA) of and the air carriers which define how the States, or the relationship between 1996 requires FAA to comply with this information may be used. the Federal Government and the States, small entity requests for information or The part 121 fleet is diverse in terms or on the distribution of power and advice about compliance with statutes of size, complexity, and age, as well as responsibilities among the various and regulations within its jurisdiction. the size of the air carriers that operate levels of government, and, therefore, A small entity with questions regarding them. Many of the older aircraft would does not have Federalism implications. this document, may contact its local FAA official, or the person listed under require extensive modifications to adapt B. Executive Order 13211, Regulations them to the technical requirements of a the FOR FURTHER INFORMATION CONTACT That Significantly Affect Energy Supply, heading at the beginning of the FOQA program. The investment and Distribution, or Use expense of implementing and preamble. To find out more about The FAA analyzed this final rule SBREFA on the Internet, visit http:// maintaining such a system exceeds the _ under Executive Order 13211, Actions www.faa.gov/regulations policies/ financial capability of many smaller air _ carriers. There are a number of ways to Concerning Regulations that rulemaking/sbre act/. meet the requirements of an FDAP. Significantly Affect Energy Supply, List of Subjects Therefore, the FAA will not require Distribution, or Use (May 18, 2001). The 14 CFR Part 5 FOQA in this rule. agency has determined that it is not a ‘‘significant energy action’’ under the Air carriers, Aircraft, Airmen, H. Environmental Analysis executive order and it is not likely to Aviation safety, Reporting and FAA Order 1050.1E identifies FAA have a significant adverse effect on the recordkeeping requirements, Safety, actions that are categorically excluded supply, distribution, or use of energy. Transportation.

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14 CFR Part 119 and is acceptable to the Administrator effectiveness of safety risk controls. It Administrative practice and by January 8, 2018. includes systematic procedures, procedure, Air carriers, Aircraft, (b) A certificate holder must submit practices, and policies for the Aviation safety, Charter flights, an implementation plan to the FAA management of safety risk. Reporting and recordkeeping Administrator for review no later than Safety objective means a measurable requirements. September 9, 2015. The implementation goal or desirable outcome related to plan must be approved no later than safety. The Amendment March 9, 2016. Safety performance means realized or In consideration of the foregoing, and (c) The implementation plan may actual safety accomplishment relative to under the authority of 49 U.S.C. 106(f) include any of the certificate holder’s the organization’s safety objectives. and 44701(a)(5), the Federal Aviation existing programs, policies, or Safety policy means the certificate amends chapter I of title 14, Code of procedures that it intends to use to meet holder’s documented commitment to Federal Regulations, as follows: the requirements of this part, including safety, which defines its safety ■ 1. The heading for subchapter A is components of an existing SMS. objectives and the accountabilities and revised to read as follows: responsibilities of its employees in § 5.3 General requirements. regards to safety. Subchapter A—Definitions and General (a) Any certificate holder required to Safety promotion means a Requirements have a Safety Management System combination of training and under this part must submit the Safety ■ 2. Add part 5 to subchapter A to read communication of safety information to Management System to the as follows: support the implementation and Administrator for acceptance. The SMS operation of an SMS in an organization. PART 5—SAFETY MANAGEMENT must be appropriate to the size, scope, Safety Risk Management means a SYSTEMS and complexity of the certificate process within the SMS composed of holder’s operation and include at least describing the system, identifying the Subpart A—General the following components: hazards, and analyzing, assessing and Sec. (1) Safety policy in accordance with controlling risk. 5.1 Applicability. the requirements of subpart B of this 5.3 General requirements. part; Subpart B—Safety Policy 5.5 Definitions. (2) Safety risk management in § 5.21 Safety policy. Subpart B—Safety Policy accordance with the requirements of subpart C of this part; (a) The certificate holder must have a 5.21 Safety policy. safety policy that includes at least the 5.23 Safety accountability and authority. (3) Safety assurance in accordance 5.25 Designation and responsibilities of with the requirements of subpart D of following: required safety management personnel. this part; and (1) The safety objectives of the 5.27 Coordination of emergency response (4) Safety promotion in accordance certificate holder. planning. with the requirements of subpart E of (2) A commitment of the certificate Subpart C—Safety Risk Management this part. holder to fulfill the organization’s safety (b) The Safety Management System objectives. 5.51 Applicability. (3) A clear statement about the 5.53 System analysis and hazard must be maintained in accordance with identification. the recordkeeping requirements in provision of the necessary resources for 5.55 Safety risk assessment and control. subpart F of this part. the implementation of the SMS. (c) The Safety Management System (4) A safety reporting policy that Subpart D—Safety Assurance must ensure compliance with the defines requirements for employee 5.71 Safety performance monitoring and relevant regulatory standards in chapter reporting of safety hazards or issues. measurement. I of Title 14 of the Code of Federal (5) A policy that defines unacceptable 5.73 Safety performance assessment. Regulations. behavior and conditions for disciplinary 5.75 Continuous improvement. action. Subpart E—Safety Promotion § 5.5 Definitions. (6) An emergency response plan that 5.91 Competencies and training. Hazard means a condition that could provides for the safe transition from 5.93 Safety communication. foreseeably cause or contribute to an normal to emergency operations in aircraft accident as defined in 49 CFR Subpart F—SMS Documentation and accordance with the requirements of Recordkeeping 830.2. § 5.27. Risk means the composite of (b) The safety policy must be signed 5.95 SMS documentation. predicted severity and likelihood of the 5.97 SMS records. by the accountable executive described potential effect of a hazard. in § 5.25. Authority: Pub. L. 111–216, sec. 215 (Aug. Risk control means a means to reduce (c) The safety policy must be 1, 2010); 49 U.S.C. 106(f), 106(g), 40101, or eliminate the effects of hazards. documented and communicated 40113, 40119, 41706, 44101, 44701–44702, Safety assurance means processes throughout the certificate holder’s 44705, 44709–44711, 44713, 44716–44717, within the SMS that function 44722, 46105. organization. systematically to ensure the (d) The safety policy must be Subpart A—General performance and effectiveness of safety regularly reviewed by the accountable risk controls and that the organization executive to ensure it remains relevant § 5.1 Applicability. meets or exceeds its safety objectives and appropriate to the certificate holder. (a) A certificate holder under part 119 through the collection, analysis, and of this chapter authorized to conduct assessment of information. § 5.23 Safety accountability and authority. operations in accordance with the Safety Management System (SMS) (a) The certificate holder must define requirements of part 121 of this chapter means the formal, top-down, accountability for safety within the must have a Safety Management System organization-wide approach to organization’s safety policy for the that meets the requirements of this part managing safety risk and assuring the following individuals:

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(1) Accountable executive, as must designate sufficient management (2) The system’s operating described in § 5.25. personnel who, on behalf of the environment. (2) All members of management in accountable executive, are responsible (3) An outline of the system’s regard to developing, implementing, for the following: processes and procedures. and maintaining SMS processes within (1) Coordinate implementation, (4) The personnel, equipment, and their area of responsibility, including, maintenance, and integration of the facilities necessary for operation of the but not limited to: SMS throughout the certificate holder’s system. (i) Hazard identification and safety organization. (c) The certificate holder must risk assessment. (2) Facilitate hazard identification and develop and maintain processes to (ii) Assuring the effectiveness of safety risk analysis. identify hazards within the context of safety risk controls. (3) Monitor the effectiveness of safety the system analysis. (iii) Promoting safety as required in risk controls. subpart E of this part. (4) Ensure safety promotion § 5.55 Safety risk assessment and control. (iv) Advising the accountable throughout the certificate holder’s (a) The certificate holder must executive on the performance of the organization as required in subpart E of develop and maintain processes to SMS and on any need for improvement. this part. analyze safety risk associated with the (3) Employees relative to the (5) Regularly report to the accountable hazards identified in § 5.53(c). certificate holder’s safety performance. executive on the performance of the (b) The certificate holder must define (b) The certificate holder must SMS and on any need for improvement. a process for conducting risk assessment identify the levels of management with that allows for the determination of § 5.27 Coordination of emergency acceptable safety risk. the authority to make decisions response planning. regarding safety risk acceptance. (c) The certificate holder must Where emergency response develop and maintain processes to § 5.25 Designation and responsibilities of procedures are necessary, the certificate develop safety risk controls that are required safety management personnel. holder must develop and the necessary as a result of the safety risk (a) Designation of the accountable accountable executive must approve as assessment process under paragraph (b) executive. The certificate holder must part of the safety policy, an emergency of this section. identify an accountable executive who, response plan that addresses at least the (d) The certificate holder must irrespective of other functions, satisfies following: evaluate whether the risk will be the following: (a) Delegation of emergency authority acceptable with the proposed safety risk (1) Is the final authority over throughout the certificate holder’s control applied, before the safety risk operations authorized to be conducted organization; control is implemented. under the certificate holder’s (b) Assignment of employee certificate(s). responsibilities during the emergency; Subpart D—Safety Assurance (2) Controls the financial resources and required for the operations to be (c) Coordination of the certificate § 5.71 Safety performance monitoring and conducted under the certificate holder’s holder’s emergency response plans with measurement. certificate(s). the emergency response plans of other (a) The certificate holder must (3) Controls the human resources organizations it must interface with develop and maintain processes and required for the operations authorized to during the provision of its services. systems to acquire data with respect to be conducted under the certificate its operations, products, and services to holder’s certificate(s). Subpart C—Safety Risk Management monitor the safety performance of the (4) Retains ultimate responsibility for § 5.51 Applicability. organization. These processes and the safety performance of the operations systems must include, at a minimum, A certificate holder must apply safety conducted under the certificate holder’s the following: risk management to the following: (1) Monitoring of operational certificate. (a) Implementation of new systems. processes. (b) Responsibilities of the accountable (b) Revision of existing systems. (2) Monitoring of the operational executive. The accountable executive (c) Development of operational environment to detect changes. must accomplish the following: procedures. (1) Ensure that the SMS is properly (d) Identification of hazards or (3) Auditing of operational processes implemented and performing in all ineffective risk controls through the and systems. areas of the certificate holder’s safety assurance processes in subpart D (4) Evaluations of the SMS and organization. of this part. operational processes and systems. (2) Develop and sign the safety policy (5) Investigations of incidents and of the certificate holder. § 5.53 System analysis and hazard accidents. (3) Communicate the safety policy identification. (6) Investigations of reports regarding throughout the certificate holder’s (a) When applying safety risk potential non-compliance with organization. management, the certificate holder must regulatory standards or other safety risk (4) Regularly review the certificate analyze the systems identified in § 5.51. controls established by the certificate holder’s safety policy to ensure it Those system analyses must be used to holder through the safety risk remains relevant and appropriate to the identify hazards under paragraph (c) of management process established in certificate holder. this section, and in developing and subpart B of this part. (5) Regularly review the safety implementing risk controls related to (7) A confidential employee reporting performance of the certificate holder’s the system under § 5.55(c). system in which employees can report organization and direct actions (b) In conducting the system analysis, hazards, issues, concerns, occurrences, necessary to address substandard safety the following information must be incidents, as well as propose solutions performance in accordance with § 5.75. considered: and safety improvements. (c) Designation of management (1) Function and purpose of the (b) The certificate holder must personnel. The accountable executive system. develop and maintain processes that

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analyze the data acquired through the relevant to the operation and (d) The certificate holder must retain processes and systems identified under performance of the SMS. records of all communications provided paragraph (a) of this section and any under § 5.93 for a minimum of 24 other relevant data with respect to its § 5.93 Safety communication. consecutive calendar months. operations, products, and services. The certificate holder must develop and maintain means for communicating PART 119—CERTIFICATION: AIR § 5.73 Safety performance assessment. safety information that, at a minimum: CARRIERS AND COMMERCIAL (a) The certificate holder must (a) Ensures that employees are aware OPERATORS conduct assessments of its safety of the SMS policies, processes, and tools performance against its safety that are relevant to their responsibilities. ■ 3. The authority citation for part 119 objectives, which include reviews by (b) Conveys hazard information is revised to read as follows: relevant to the employee’s the accountable executive, to: Authority: Pub. L. 111–216, sec. 215 (1) Ensure compliance with the safety responsibilities. (August 1, 2010); 49 U.S.C. 106(f), 106(g), risk controls established by the (c) Explains why safety actions have 1153, 40101, 40102, 40103, 40113, 44105, certificate holder. been taken. 44106, 44111, 44701–44717, 44722, 44901, (2) Evaluate the performance of the (d) Explains why safety procedures 44903, 44904, 44906, 44912, 44914, 44936, SMS. are introduced or changed. 44938, 46103, 46105. (3) Evaluate the effectiveness of the ■ safety risk controls established under Subpart F—SMS Documentation and 4. Add § 119.8 to read as follows: Recordkeeping § 5.55(c) and identify any ineffective § 119.8 Safety Management Systems. controls. § 5.95 SMS documentation. (4) Identify changes in the operational (a) Certificate holders authorized to environment that may introduce new The certificate holder must develop conduct operations under part 121 of hazards. and maintain SMS documentation that this chapter must have a safety (5) Identify new hazards. describes the certificate holder’s: management system that meets the (b) Upon completion of the (a) Safety policy. requirements of part 5 of this chapter assessment, if ineffective controls or (b) SMS processes and procedures. and is acceptable to the Administrator new hazards are identified under § 5.97 SMS records. by March 9, 2018. paragraphs (a)(2) through (5) of this (a) The certificate holder must (b) A person applying to the section, the certificate holder must use maintain records of outputs of safety Administrator for an air carrier the safety risk management process risk management processes as described certificate or operating certificate to described in subpart C of this part. in subpart C of this part. Such records conduct operations under part 121 of must be retained for as long as the this chapter after March 9, 2015, must § 5.75 Continuous improvement. demonstrate, as part of the application The certificate holder must establish control remains relevant to the operation. process under § 119.35, that it has an and implement processes to correct SMS that meets the standards set forth safety performance deficiencies (b) The certificate holder must maintain records of outputs of safety in part 5 of this chapter and is identified in the assessments conducted acceptable to the Administrator. under § 5.73. assurance processes as described in subpart D of this part. Such records Issued in Washington, DC, under the Subpart E—Safety Promotion must be retained for a minimum of 5 authority provided by 49 U.S.C. 106(f), years. 44701(a)(5) and Sec. 215 of Pub. L. 111–216, § 5.91 Competencies and training. (c) The certificate holder must 124 Stat. 2350 (49 U.S.C. 44701 note) on The certificate holder must provide maintain a record of all training January 5, 2015. training to each individual identified in provided under § 5.91 for each Michael P. Huerta, § 5.23 to ensure the individuals attain individual. Such records must be Administrator. and maintain the competencies retained for as long as the individual is [FR Doc. 2015–00143 Filed 1–7–15; 8:45 am] necessary to perform their duties employed by the certificate holder. BILLING CODE 4910–13–P

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